TITLE: MySocialSecurity Notices and T2COA Notices

TERM: Date of Award to August 31, 2023

PROG.: 794-S

BASIS OF

ITEM NO. DESCRIPTION AWARD UNIT RATE COST UNIT RATE COST UNIT RATE COST UNIT RATE

I. PROCESSING/FORMATTING FILES:

Processing/Formatting Files---------per workload 2 N/C 50.00 100.00 N/C

II. Composition:

Envelopes-------------------------------per envelope 1 N/C 50.00 50.00 N/C

III. Preproduction Tests:

 (a) Transmission Test---------------------------per test 1 N/C N/C N/C

 (b) Preproduction Validation Test ----------per test 1 N/C N/C N/C

IV. Printing/Imaging, Binding, and Construction:

 (a). Per Makeready/setup charge----------------------- 250 50.00 12,500.00 250.00 62,500.00 N/C

 (b) Notices: Printing/imaging in black, including 

binding--------------------------------per 1,000 pages 36,454 5.90 215,078.60 5.19 189,196.26 4.50 164,043.00

 (c ) Envelopes: Printing in black, including

construction-----------------per 1,000 envelopes 15,800 12.75 201,450.00 12.90 203,820.00 N/C

V. Paper: Per 1,000 Leaves

 (a) Notices (at contractor's option: White Uncoated

Text (50 or 60-lb.); 18,227 10.40 189,560.80 7.36 134,150.72 7.00 127,589.00

 (b) Envelopes (at contractor's option): White

Writing Invelope (20 or 24-lb.); or, White

Uncoated Text (60-lb.) 15,800 12.75 201,450.00 12.90 203,820.00 14.00 221,200.00

VI. Gathering, Inserting, and Mailing:

 (a) Mailers--------------------------per 1,000 mailers 15,800 14.90 235,420.00 29.00 458,200.00 10.00 158,000.00

CONTRACTOR TOTALS 1,055,459.40 1,251,836.98 670,832.00

DISCOUNT 0.25% 3,129.59 0.25% 1,677.08

DISCOUNTED TOTALS 1,055,459.40 1,248,707.39 669,154.92

AWARDED - ST

CURRENT CONTRACTOR

AMSIVE

MIAMISBURG, OH

NPC, INC.

CLAYSBURG, PA

PINNACLE DATA SYSTEM

SUWANEE, GA

Page 1 of 1
Program 794-S Page 1 of 64

Specifications by MRN

U.S. GOVERNMENT PUBLISHING OFFICE

Washington, DC

GENERAL TERMS, CONDITIONS, AND SPECIFICATIONS

For the Procurement of

MySocialSecurity Notices and T2COA Notices

as requisitioned from the U.S. Government Publishing Office (GPO) by the

Social Security Administration (SSA)

Single Award

TERM OF CONTRACT: The term of this contract is for the period beginning from September 1, 2022 and ending 

August 31, 2023, plus up to four (4) optional 12-month extension period(s) that may be added in accordance with 

the “OPTION TO EXTEND THE TERM OF THE CONTRACT” clause in SECTION 1 of this contract. 

Contractor interfacing with SSA’s National File Transfer Management System (FTMS) for electronic 

transmission of files from SSA to the production facility will take place from September 1, 2022 through May 

31, 2023. Transmission of live production files will commence on June 1, 2023.

BID OPENING: Bids shall be opened at 11:00 a.m., prevailing Washington, DC Time, on May 6, 2022, at the 

Government Publishing Office, Washington, DC. (Due to the COVID-19 pandemic, this will NOT be a public bid 

opening.)

BID SUBMISSION: Due to the COVID-19 pandemic, the GPO physical office will NOT be open. Based on this, 

bidders must submit email bids to bidsapsdc@gpo.gov for this solicitation. No other method of bid submission will 

be accepted at this time. The program number and bid opening date must be specified in the subject line of the 

emailed bid submission. Bids received after 11:00 a.m. on the bid opening date specified above will not be 

considered for award. 

BID RESTRICTIONS: Due to time constraints, bidders must possess an SSA installed/active data connection 

between the exact location specified by the bidder and SSA’s National Computer Center (NCC). SSA must have 

security-cleared the bidder’s physical location(s) used for production of materials for this contract, and all 

employees have passed Final Suitability (for same locations) prior to bid submission in order to be eligible for 

award of this contract. NOTE: If bidder does not have these requirements completed prior to bid submission, then 

the bidder will be declared non-responsible.

BIDDERS, PLEASE NOTE: This program was formerly Program 81-S. These specifications have been 

extensively revised; therefore, all bidders are cautioned to familiarize themselves with all provisions of these 

specifications before bidding, with particular attention to: “Clause 2352.204-1 – Security and Suitability 

Requirements (MAR 2018)” requirements specified in Section 1.

Abstracts of contract prices are available at https://www.gpo.gov/how-to-work-with-us/vendors/contract-pricing.

For information of a technical nature, contact Starr Thompson at sthompson@gpog.gov or (202) 512-0307.
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SECTION 1. - GENERAL TERMS AND CONDITIONS

GPO CONTRACT TERMS: Any contract which results from this Invitation for Bid will be subject to the 

applicable provisions, clauses, and supplemental specifications of GPO Contract Terms (GPO Publication 310.2, 

effective December 1, 1987, Rev. 01-18) and GPO Contract Terms, Quality Assurance Through Attributes Program, 

for Printing and Binding (GPO Publication 310.1, effective May 1979 (Rev. 09-19)).

GPO Contract Terms (GPO Publication 310.2) – https://www.gpo.gov/docs/default-source/forms-and-standardsfiles-for-vendors/contractterms2018.pdf.

GPO QATAP (GPO Publication 310.1) – https://www.gpo.gov/docs/default-source/forms-and-standards-files-forvendors/qatap-rev-09-19.pdf.

SUBCONTRACTING: The predominant production function is the laser/ion deposition imaging or inkjet printing, 

inserting of data from electronically transmitted files, and disposal of waste materials. Any bidder who cannot 

perform the predominant production functions will be declared non-responsible.

The contractor is responsible for enforcing all contract requirements outsourced to a subcontractor.

If the presorting and mailing is subcontracted, the subcontractor must complete and pass the same security

clearances as the prime contractor.

If the contractor wishes to add a subcontractor at any time after award, the subcontractor must be approved by the

Government prior to production starting in that facility. If the subcontractor is not approved by the Government,

then the contractor must submit a new subcontractor’s information to the Government for approval 30 calendar days 

prior to the start of production at that facility.

QUALITY ASSURANCE LEVELS AND STANDARDS: The following levels and standards shall apply to 

these specifications:

Product Quality Levels:

(a) Printing (page related) Attributes -- Level III.

(b) Finishing (item related) Attributes -- Level III.

Inspection Levels (from ANSI/ASQC 1.4):

(a) Non-destructive Tests - General Inspection Level I. 

(b) Destructive Tests - Special Inspection Level S-2.

(c) Transparent, low-gloss, poly-type window material, covering the envelope window, must pass a readability 

test with a rejection rate of lessthan 1/4 of 1% when run through a U.S. Postal Service (USPS) OCR Scanner.

Specified Standards: The specified standards for the attributes requiring them are:

Attribute Specified Standard

P-7. Type Quality and Uniformity O.K. Press Sheets

Special Instructions: In the event that inspection of press sheets is waived by the Government, the following 

listed alternate standards (in order of precedence) shall become the Specified Standards:

P-7. O.K. Preproduction Test Samples; O.K. Proofs; Average Type Dimension; Electronic Media; Camera Copy; 

Manuscript Copy.
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Prior to award, contractor may be required to provide information related to specific equipment that will be used 

for production.

OPTION TO EXTEND THE TERM OF THE CONTRACT: The Government has the option to extend the 

term of this contract for a period of 12 months by written notice to the contractor not later than 30 days before the 

contract expires. If the Government exercises this option, the extended contract shall be considered to include this 

clause, except, the total duration of the contract may not exceed five (5) years as a result of, and including, any

extension(s) added under this clause. Further extension may be negotiated under the “EXTENSION OF 

CONTRACT TERM” clause. See also “ECONOMIC PRICE ADJUSTMENT” for authorized pricing 

adjustment(s).

EXTENSION OF CONTRACT TERM: At the request of the Government, the term of any contract resulting 

from this solicitation may be extended for such period of time as may be mutually agreeable to the GPO and the

contractor.

ECONOMIC PRICE ADJUSTMENT: The pricing under this contract shall be adjusted in accordance with this 

clause, provided that in no event will any pricing adjustment be made that would exceed the maximum permissible 

under any law in effect at the time of the adjustment. There will be no adjustment for orders placed during the

first period specified below. Pricing will thereafter be eligible for adjustment during the second and any

succeeding performance period(s). For each performance period after the first, a percentage figure will be 

calculated as described below and that figure will be the economic price adjustment for that entire next period. 

Pricing adjustments under this clause are not applicable to reimbursable postage or transportation costs, or

to paper, if paper prices are subject to adjustment by separate clause elsewhere in this contract.

For the purpose of this clause, performance under this contract will be divided into successive periods. The first 

period will extend from September 1, 2022 to August 31, 2023, and the second and any succeeding period(s) will

extend for 12 months from the end of the last preceding period, except that the length of the final period may

vary. The first day of the second and any succeeding period(s) will be the effective date of the Economic Price

Adjustment for that period.

Pricing adjustments in accordance with this clause will be based on changes in the seasonally adjusted “Consumer 

Price Index For All Urban Consumers - Commodities Less Food” (Index) published monthly in the CPI Detailed 

Report by the U.S. Department of Labor, Bureau of Labor Statistics.

The economic price adjustment will be the percentage difference between Index averages as specified in this 

paragraph. An index called the variable index will be calculated by averaging the monthly Indexes from the 12-

month interval ending three (3) months prior to the beginning of the period being considered for adjustment. This 

average is then compared to the average of the monthly Indexes for the 12-month interval ending May 31, 2022

called the base index. The percentage change (plus or minus) of the variable index from the base index will be

the economic price adjustment for the period being considered for adjustment.

The Government will notify the contractor by contract modification specifying the percentage increase or decrease

to be applied to invoices for orders placed during the period indicated. The contractor shall apply the percentage 

increase or decrease against the total price of the invoice less reimbursable postage or transportation costs and

separately adjusted paper prices. Payment discounts shall be applied after the invoice price is adjusted.

PAPER PRICE ADJUSTMENT: Paper prices charged under this contract will be adjusted in accordance with 

“Table 9 - Producer Price Indexes and Percent Changes for Commodity Groupings and Individual Items” in 

Producer Price Indexes report, published by the Bureau of Labor Statistics (BLS), as follows: 

NOTE: For the purpose of this contract, the Paper Price Adjustment will be based on the date of actual 

production. Actual production will begin June 1, 2023.
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1. BLS code 0913-01 for Offset and Text will apply to all paper required under this contract.

2. The applicable index figures for the month of May 2023, will establish the base index.

3. There shall be no price adjustment for the first three (3) production months of the contract.

4. Price adjustments may be monthly thereafter, but only if the index varies by an amount (plus or minus) 

exceeding 5% by comparing the base index to the index for that month which is two months prior to the 

month being considered for adjustment.

5. Beginning with order placement in the fourth month, index variances will be calculated in accordance with 

the following formula:

X – base index x 100 = ____%

base index

where X = the index for that month which is two months prior to the month being considered for adjustment.

6. The contract adjustment amount, if any, will be the percentage calculated in 5 above less 5%.

7. Adjustments under this clause will be applied to the contractor’s bid price(s) for Item V., “PAPER” in the 

“SCHEDULE OF PRICES” and will be effective on the first day of any month for which prices are to be 

adjusted.

The Contracting Officer will give written notice to the contractor of any adjustments to be applied to invoices for 

orders placed during months affected by this clause.

In no event, however, will any price adjustment be made which would exceed the maximum permissible under any 

law in effect at the time of the adjustment. The adjustment, if any, shall not be based upon the actual change in cost 

to the contractor, but shall be computed as provided above.

The contractor warrants that the paper prices set forth in this contract do not include any allowance for any 

contingency to cover anticipated increased costs of paper to the extent such increases are covered by this price 

adjustment clause.

SECURITY REQUIREMENTS: Clause 2352.224-1 Protection of Confidential Information (Dec 2008):

(a) “Confidential information,” as used in this clause, means information or data, or copies or extracts of 

information or data, that is: (1) provided by the Social Security Administration (SSA) to the contractor for, or 

otherwise obtained by the contractor in, the performance of this contract; and (2) of a personal nature about an 

individual, such as name, home address, and social security number, or proprietary information or data 

submitted by or pertaining to an institution or organization, such as employee pay scales and indirect cost rates. 

(b) The Contracting Officer and the contractor may, by mutual consent, identify elsewhere in this contract specific

information or categories of information that the Government will furnish to the contractor or that the contractor 

is expected to generate which are confidential. Similarly, the Contracting Officer and the contractor may, by 

mutual consent, identify such confidential information from time to time during the performance of the contract. 

The confidential information will be used only for purposes delineated in the contract; any other use of the 

confidential information will require the Contracting Officer’s express written authorization. The Contracting 

Officer and the contractor will settle any disagreements regarding the identification pursuant to the “Disputes” 

clause.
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(c) The contractor shall restrict access to all confidential information to the minimum number of employees and 

officials who need it to perform the contract. Employees and officials who need access to confidential 

information for performance of the contract will be determined in conference between SSA's Contracting 

Officer, Contracting Officer’s Technical Representative, and the responsible contractor official. Upon request, 

the contractor will provide SSA with a list of “authorized personnel,” that is, all persons who have or will have 

access to confidential information covered by this clause.

(d) The contractor shall process all confidential information under the immediate supervision and control of 

authorized personnel in a manner that will: protect the confidentiality of the records; prevent the unauthorized 

use of confidential information; and prevent access to the records by unauthorized persons. 

(e) The contractor shall assure that each contractor employee with access to confidential information knows the 

prescribed rules of conduct and that each contractor employee is aware that he/she may be subject to criminal 

penalties for violations of the Privacy Act and/or the Social Security Act. 

When the contractor employees are made aware of this information, they will be required to sign the SSA-301, 

“Contractor Personnel Security Certification.” (See Exhibit A.) 

A copy of this signed certification must be forwarded to: Social Security Administration, Attn: Cheryl Tarver, 

DMIM, 1300 Annex Building, 6401 Security Boulevard, Baltimore, MD 21235-6401, or email to: 

cheryl.tarver@ssa.gov. A copy must also be forwarded to: U.S. Government Publishing Office, 732 North 

Capitol Street, NW, CSAPS, APS DC, Attn: Contracting Officer, Room C-838, Washington, DC 20401 (email 

address to be provided after award). (See paragraph (f) below regarding the minimum standards that the

safeguards must meet.)

(f) Whenever the contractor is storing, viewing, transmitting, or otherwise handling confidential information, the 

contractor shall comply with the applicable standards for security controls that are established in the Federal 

Information Security and Management Act (FISMA). (These standards include those set by the National 

Institute of Standards and Technology (NIST) via the Federal Information Processing Standards (FIPS) 

publications and NIST Special Publications, particularly FIPS 199, FIPS 200, and NIST Special Publications -

800 series.) 

(g) If the contractor, in the performance of the contract, uses any information subject to the Privacy Act of 1974, 5 

U.S.C. 552a, and/or section 1106 of the Social Security Act, 42 U.S.C. 1306, the contractor must follow the 

rules and procedures governing proper use and disclosure set forth in the Privacy Act, section 1106 of the Social 

Security Act, and the Commissioner’s regulations at 20 C.F.R. Part 401 with respect to that information. 

(h) For knowingly disclosing information in violation of the Privacy Act, the contractor and contractor employees 

may be subject to the criminal penalties as set forth in 5 U.S.C. Section 552(i)(1) to the same extent as 

employees of SSA. For knowingly disclosing confidential information as described in section 1106 of the 

Social Security Act (42 U.S.C. 1306), the contractor and contractor employees may be subject to the criminal 

penalties as set forth in that provision.

(i) The contractor shall assure that each contractor employee with access to confidential information is made aware 

of the prescribed rules of conduct, and the criminal penalties for violations of the Privacy Act and/or the Social 

Security Act.
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(j) Whenever the contractor is uncertain how to handle properly any material under the contract, the contractor 

must obtain written instructions from the Contracting Officer addressing this question. If the material in 

question is subject to the Privacy Act and/or section 1106 of the Social Security Act or is otherwise confidential 

information subject to the provisions of this clause, the contractor must obtain a written determination from the 

Contracting Officer prior to any release, disclosure, dissemination, or publication. Contracting Officer 

instructions and determinations will reflect the result of internal coordination with appropriate program and 

legal officials.

(k) Performance of this contract may involve access to tax return information as defined in 26 U.S.C. Section 

6103(b) of the Internal Revenue Code (IRC). All such information shall be confidential and may not be 

disclosed without the written permission of the SSA Contracting Officer. For willfully disclosing confidential 

tax return information in violation of the IRC, the contractor and contractor employees may be subject to the 

criminal penalties set forth in 26 U.S.C. Section 7213.

(l) The Government reserves the right to conduct on-site visits to review the contractor's documentation and inhouse procedures for protection of and security arrangements for confidential information and adherence to the 

terms of this clause.

(m) The contractor must include this clause in all resulting subcontracts whenever there is any indication that the 

subcontractor(s), engaged by the contractor, and their employees or successor subcontractor(s) and their 

employees might have access to SSA’s confidential information.

(n) The contractor must assure that its subcontractor(s) and their employees or any successor subcontractor(s) and 

their employees with access to SSA confidential information are made aware of the prescribed rules of conduct. 

For knowingly disclosing SSA’s confidential information, any subcontractor(s) and their employees or 

successor subcontractor(s) and their employees may be subject to criminal penalties as described in section 

1106 of the Social Security Act (42 U.S.C. 1306) and the Privacy Act (5 U.S.C. 552a).

SSA EXTERNAL SERVICE PROVIDER SECURITY REQUIREMENTS: This resource identifies the basic 

information security requirements related to the procurement of Information Technology (IT) services hosted 

externally to SSA’s Network.

The following general security requirements apply to all External Service Providers (ESP): 

a. The solution must be located in the United States, its territories, or possessions.

NOTE: “United States” means the 50 States, the District of Columbia, Puerto Rico, the Northern Mariana 

Islands, American Samoa, Guam, the U.S. Virgin Islands, Johnston Island, Wake Island, and Outer 

Continental Shelf Lands as defined in the Outer Continental Shelf Lands Act (43 U.S.C. 1331, et seq.), but 

does not include any other place subject to U.S. jurisdiction or any U.S. base or possession within a foreign 

country (29 CFR 4.112).

b. Upon request from the SSA Contracting Officer Technical Representative (COTR), the ESP shall provide 

access to the hosting facility to the U.S. Government or authorized agents for inspection and facilitate an 

on-site security risk and vulnerability assessment.

c. The solution must meet Federal Information Processing Standards (FIPS) and guidance developed by the 

National Institute of Science and Technology (NIST) under its authority provided by the Federal 

Information Security Modernization Act (FISMA) to develop security standards for federal information 

processing systems, and Office of Management and Budget’s (OMB) Circular A-130 Appendix III.
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d. ESPs classified as Cloud Service Providers (CSP) must be FedRAMP authorized. Further information may 

be found at: http://www.gsa.gov/portal/category/102371. As part of these requirements, CSPs must have a 

security control assessment performed by a Third Party Assessment Organization (3PAO).

e. The ESP shall submit to the SSA COTR documentation describing how the solution implements security 

controls in accordance with the designated categorization (FIPS 199) and the Minimum Security 

Requirements for Federal Information and Information Systems (FIPS 200) which requires the use of NIST 

SP 800-53 Rev 4 before SSA provides data.

f. All ESPs that process or store Personally Identifiable Information (PII) are considered a Moderate impact 

categorization. If PII or sensitive data (defined by the COTR) is stored or processed by the ESP, then the 

ESP shall provide a Security Authorization Package (SAP) created by an independent assessor. The SAP 

should include a System Security Plan (SSP), Security Assessment Report (SAR), Risk Assessment Report 

(RAR), and Plan of Action & Milestone Report (POA&M). The SAP must be reviewed by SSA before the 

SSA transfers data to the ESP. Refer to NIST SP 800-37 for more information on the Security Authorization 

Package.

NOTE: PII is any information about an individual maintained by an agency, including (1) any information

that can be used to distinguish or trace an individual’s identity, such as name, social security number, date

and place of birth, mother’s maiden name, or biometric records; and (2) any other information that is

linked or linkable to an individual, such as medical, educational, financial, and employment information.

NOTE: Independent assessor is any individual or group capable of conducting an impartial assessment of

security controls employed within or inherited by an information system.

g. SSA will consider a self-assessment of security controls for solutions that do not involve sensitive 

information or PII.

For additional security requirements and NIST 800-53, REV 4 organization defined parameters, refer to “ESP 

Additional Security Requirements” document.

References - Refer to most up to date revision:

▪ Federal Information Security Modernization Act (P.L. 113-283), December 2014.

https://www.govinfo.gov/app/details/PLAW-113publ283

▪ Clinger-Cohen Act of 1996 also known as the “Information Technology Management Reform Act of 1996.”

▪ Privacy Act (P.L. 93-579), December 1974.

https://www.govinfo.gov/app/details/STATUTE-88/STATUTE-88-Pg1896

▪ Homeland Security Presidential Directive (HSPD‐12), “Policy for a Common Identification Standard for 

Federal Employees and Contractors,” August 27, 2004.

https://www.dhs.gov/homeland-security-presidential-directive-12

▪ Revision of OMB Circular No. A–130, “Managing Information as a Strategic Resource,” July 28, 2016.

https://www.govinfo.gov/content/pkg/FR-2016-07-28/pdf/2016-17872.pdf

▪ OMB Memorandum M-04-04, “E-Authentication Guidance for Federal Agencies,” December 16, 2003.

https://obamawhitehouse.archives.gov/sites/default/files/omb/assets/omb/memoranda/fy04/m04-04.pdf

and
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ITL BULLETIN FOR DECEMBER 2011 REVISED GUIDELINE FOR ELECTRONIC 

AUTHENTICATION OF USERS HELPS ORGANIZATIONS PROTECT THE SECURITY OF THEIR 

INFORMATION SYSTEMS.

https://csrc.nist.gov/csrc/media/publications/shared/documents/itl-bulletin/itlbul2011-12.pdf

▪ FIPS PUB 199, National Institute of Standards and Technology Federal Information Processing Standards 

Publication 199, Standards for Security Categorization of Federal Information and Information Systems, 

February 2004.

https://doi.org/10.6028/NIST.FIPS.199

▪ FIPS PUB 200, National Institute of Standards and Technology Federal Information Processing Standards 

Publication 200, Minimum Security Requirements for Federal Information and Information Systems, 

March 2006. 

https://doi.org/10.6028/NIST.FIPS.200

▪ FIPS 140-3 Security Requirements for Cryptographic Modules, March 22, 2019.

https://csrc.nist.gov/publications/detail/fips/140/3/final

▪ NIST Special Publication 800-18, Guide for Developing Security Plans for Federal Information Systems, 

February 2006.

https://doi.org/10.6028/NIST.SP.800-18r1

▪ NIST SP 800-30, Guide for Conducting Risk Assessments, September 2012.

https://doi.org/10.6028/NIST.SP.800-30r1

▪ ITL Bulletin Contingency Planning for Information Systems NIST Special Publication (SP) 800-34, Rev. 

1.

https://csrc.nist.gov/CSRC/media/Publications/Shared/documents/itl-bulletin/itlbul2010-07.pdf

▪ NIST SP 800‐37 Revision 2, Risk Management Framework for Information Systems and Organizations -

A System Life Cycle Approach for Security and Privacy, December 2018.

https://csrc.nist.gov/publications/detail/sp/800-37/rev-2/final

▪ NIST SP 800-47, National Institute of Standards and Technology Special Publication 800-47, Security 

Guide for Interconnecting Information Technology Systems, August 2002.

https://csrc.nist.gov/publications/detail/sp/800-47/final

▪ NIST SP 800-53 Revision 4, Security and Privacy Controls for Federal Information Systems and 

Organizations, April 2013.

https://csrc.nist.gov/publications/detail/sp/800-53/rev-4/final

▪ NIST SP 800-53A Revision 4, Assessing Security and Privacy Controls in Federal Information Systems 

and Organizations: Building Effective Assessment Plans, December 2014.

https://csrc.nist.gov/publications/detail/sp/800-53a/rev-4/final

▪ NIST SP 800-60 Volume 1 Revision 1, Guide for Mapping Types of Information and Information Systems 

to Security Categories, August 2008.

https://csrc.nist.gov/publications/detail/sp/800-60/vol-1-rev-1/final

and

NIST SP 800-60 Volume 2 Revision 1, Guide for Mapping Types of Information and Information Systems 

to Security Categories: Appendices, August 2008.

https://csrc.nist.gov/publications/detail/sp/800-60/vol-2-rev-1/final

▪ OMB M-17-12, Preparing for and Responding to a Breach of Personally Identifiable Information.
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See Exhibit B, “SSA External Service Provider Additional Security Requirements” for complete details regarding 

this requirement.

Templates for Required Security Documents:

▪ Exhibit C: Security Assessment Report (SAR) Template

▪ Exhibit D: Risk Assessment Report (RAR) Template

▪ Exhibit E: Externally Hosted Information System Plan (ESP) Template FY17

PHYSICAL SECURITY: Contractor’s facilities storing SSA assets and information are required to meet the 

Interagency Security Committee’s standard for Federal facilities. This information can be found in the “Facility 

Security Plan: An Interagency Security Committee Guide,” dated February 2015, 1st Edition. SSA reserves the right 

to inspect contractor facilities to ensure compliance with the ISC guidelines. If facilities are found deficient, the 

contractor must implement corrective actions within 45 calendar days of notification. Requirements can include, 

but not be limited to, the physical security countermeasures, such as access control systems, closed circuit television 

systems, intrusion detection systems, and barriers.

Contractor must pass all External Service Provider Security and Physical Security requirements as specified above 

before the Government can award this contract. Any bidder who cannot obtain approval for any of these security 

requirements within 60 calendar days of approval of production plans and physical security inspection will be 

declared non-responsible.

SECURITY WARNING: “Personally identifiable information” (PII) means information that can be used to 

distinguish or trace an individual’s identity, either alone or when combined with other information that is linked or 

linkable to a specific individual. The PII may range from common data elements such as names, addresses, dates of 

birth, and places of employment, to identity documents, Social Security numbers (SSN) or other Government-issued 

identifiers, precise location information, medical history, and biometric records.

All employees working on this contract must:

▪ Be familiar with current information on security, privacy, and confidentiality as they relate to the 

requirements of this contract.

▪ Obtain pre-screening authorization before using sensitive or critical applications pending a final suitability 

determination as applicable to the specifications.

▪ Lock or logoff their workstation/terminal prior to leaving it unattended. 

▪ Act in an ethical, informed, and trustworthy manner.

▪ Protect sensitive electronic records.

▪ Be alert to threats and vulnerabilities to their systems.

▪ Be prohibited from having any mobile devices or cameras in sensitive areas that contain any confidential 

materials, including areas where shredding and waste management occurs.

Contractor’s managers working on this contract must:

▪ Monitor use of mainframes, PCs, LANs, and networked facilities to ensure compliance with national and 

local policies, as well as the Privacy Act statement.

▪ Ensure that employee screening for sensitive positions within their department has occurred prior to any 

individual being authorized access to sensitive or critical applications.

▪ Implement, maintain, and enforce the security standards and procedures as they appear in this contract and 

as outlined by the contractor.

▪ Contact the security officer within 24 hours whenever a systems security violation is discovered or 

suspected.
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Applicability: The responsibility to protect PII applies during the entire term of this contract and all option year 

terms if exercised. All contractors must secure and retain written acknowledgement from their employees stating 

they understand these policy provisions and their duty to safeguard PII. These policy provisions include, but are not 

limited to, the following:

▪ Employees are required to have locking file cabinets or desk drawers for storage of confidential material, 

if applicable.

▪ Material is not to be taken from the contractor’s facility without express permission from the Government.

▪ Employees must safeguard and protect all Government records from theft and damage while being 

transported to and from contractor’s facility.

The following list provides examples of situations where PII is not properly safeguarded:

▪ Leaving an unprotected computer containing Government information in a non-secure space (e.g., leaving 

the computer unattended in a public place, in an unlocked room, or in an unlocked vehicle).

▪ Leaving an unattended file containing Government information in a non-secure area (e.g., leaving the file 

in a break-room or on an employee’s desk).

▪ Storing electronic files containing Government information on a computer or access device (flash drive, 

CD, etc.) that other people have access to (not password-protected).

This list does not encompass all failures to safeguard PII but is intended to act as an alert to the contractor’s 

employees to situations that must be avoided. Misfeasance occurs when an employee is authorized to access 

Government information that contains sensitive or personally identifiable information and, due to the employee’s 

failure to exercise due care, the information is lost, stolen, or inadvertently released.

Clause 2352.224-2A Protecting and Reporting the Loss of Personally Identifiable Information (May 2019)

(a) Definitions. 

The following terms are defined for the purposes of this clause:

“Agency” means the Social Security Administration (SSA).

“Breach” means the loss of control, compromise, unauthorized disclosures, unauthorized acquisition, or 

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

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

personally identifiable information for another than authorized purpose. A breach is not limited to an 

occurrence where a person other than an authorized user potentially accesses PII by means of a network 

intrusion, a targeted attack that exploits website vulnerabilities, or an attack executed through an email 

message or attachment. A breach may also include the loss or theft of physical documents that include PII 

and portable electronic storage media that store PII, the inadvertent disclosure of PII on a public website, 

or an oral disclosure of PII to a person who is not authorized to receive that information. It may also include 

an authorized user accessing PII for other than an authorized purpose. Often, an occurrence may be first 

identified as an incident, but later identified as a breach once it is determined that the incident involves PII, 

as is often the case with a lost or stolen laptop or electronic storage device. 

Some common examples of a breach include: 

▪ A laptop or portable storage device storing PII is lost or stolen; 

▪ An email containing PII is inadvertently sent to the wrong person; 

▪ A box of documents with PII is lost or stolen during shipping; 

▪ An unauthorized third party overhears agency employees discussing PII about an individual seeking 

employment or Federal benefits; 
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▪ A user with authorized access to PII sells it for personal gain or disseminates it to embarrass an 

individual; 

▪ An information technology system that maintains PII is accessed by a malicious actor; or 

▪ PII that should not be widely disseminated is posted inadvertently on a public website.

“Employee(s)” means individual(s) under a direct employee-employer relationship with the contractor, 

where the contractor has the power or right to control and direct the individual in the material details of 

how work is to be performed. 

“Handling of PII” or “handle(s) PII” means accessing, using, creating, collecting, processing, storing, 

maintaining, disseminating, disclosing, disposing, or destruction of PII, as defined in this clause. 

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

integrity, confidentiality, or availability of information or an information system or (2) constitutes a 

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

policies.

“Personally identifiable information” (PII) means information that can be used to distinguish or trace an 

individual’s identity, either alone or when combined with other information that is linked or linkable to a 

specific individual. The PII may range from common data elements such as names, addresses, dates of 

birth, and places of employment, to identity documents, Social Security numbers (SSN) or other 

government-issued identifiers, precise location information, medical history, and biometric records. Within 

this clause, “PII” shall specifically mean PII that is made or becomes available to the contractor, including 

its employees, as a result of performing under this contract. 

“Primary agency contact” means the SSA Contracting Officer’s Representative (COR) who is the 

Contracting Officer’s Technical Representative (COTR) or, for indefinite delivery contracts with individual 

orders issued against the contract, e.g., task-order contracts, the order’s Task Manager, if one has been 

assigned. The COR may have one or more designated alternates to act for the COR when the COR is 

unavailable. If neither the COR nor the designated alternate is available, the alternate shall be considered 

a responsible agency manager in the office.

“Secure area” or “Secure duty station” means, for the purpose of this clause, either of the following, unless 

the agency expressly states otherwise on a case-by-case basis: (1) a contractor employee’s official place of 

work that is in the contractor’s established business office in a commercial setting, or (2) a location within 

the agency or other Federal- or State-controlled premises. A person’s private home, even if it is used 

regularly as a “home office” (including that of a contractor management official), shall not be considered a 

secure area or duty station. 

“Suspected breach” means PII that, among other possibilities, has been lost or stolen, or accessed in an 

unauthorized fashion, but it is not yet confirmed that the PII has been compromised to meet the level of a 

breach. 

“Transport(ing)” or “transported” means the physical taking or carrying of PII from one location to another. 

For the purpose of this clause, the term does not include shipping by a common or contract carrier (as 

defined in Federal Acquisition Regulation (FAR) section 47.001), shipping by the U.S. Post Office, or 

electronic transmission. See “FILE TRANSFER MANAGEMENT SYSTEM (FTMS) REQUIREMENTS”

specified herein for information regarding electronic transmission. SSA will review and approve the 

Material Handling and Inventory Control plans (see “PREAWARD PRODUCTION PLANS, Materials 

Handling and Inventory Control”). The plans shall describe in detail how the contractor will transport PII. 
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(b) Responsibility for Safeguarding PII. 

(1) The contractor shall comply with applicable limitations on use, treatment, and safeguarding of PII under 

the Privacy Act of 1974 (5 U.S.C. § 552a); the Federal Information Security Management Act of 2002 

(44 U.S.C. § 3541, et seq.), as amended by the Federal Information Security Modernization Act of 2014 

(Pub. L. 113-283); related National Institute of Standards and Technology guidelines; the Paperwork 

Reduction Act, 44 U.S.C. § 3501-3521; the E-Government Act of 2002, 44 U.S.C. § 3501 note; Office 

of Management and Budget (OMB) guidance relating to handling of PII, including OMB Memorandum 

M-17-12, “Preparing for and Responding to a Breach of Personally Identifiable Information”; SSA 

privacy and security policies and procedures relating to handling of PII; and other Federal laws 

governing handling of PII.

(2) The contractor shall establish, maintain, and follow its own policies and procedures to protect the 

confidentiality of PII (PII policies and procedures) in accordance with the laws, policies, and 

requirements referenced in this clause and elsewhere in the contract. The contractor’s PII policies and 

procedures shall include safeguards to protect PII from loss, theft, or inadvertent disclosure and breach 

procedures.

(3) The contractor shall restrict handling of PII to only those authorized employees who need it in 

connection with the performance of work under this contract.

(4) Unless authorized by this contract or otherwise in writing by SSA, the contractor shall not publish, 

disclose, release, or otherwise disseminate PII, internally or externally.

(5) The contractor shall inform its employees who will or may handle PII of their individual responsibility 

to safeguard it. In addition, the contractor shall educate and train employees as required by FAR 24.301

and enforce employees’ compliance with the contractor’s PII policies and procedures and other 

requirements relating to handling of PII in this contract. SSA may require the contractor to provide 

evidence of the performance of training and the content of the training.

(6) Additional policies, procedures, and requirements involving the handling of PII may be prescribed 

elsewhere in this contract, including but not limited to information security policies. The contractor 

shall follow all such policies, procedures, and requirements. If contract performance calls for the 

contractor handling of PII in a manner not addressed in this clause or elsewhere in the contract that may 

cause a security question or concern, the contractor shall seek clarification and direction from the 

agency, prior to commencing the handling of PII in question. 

(c) Safeguarding Requirements.

(1) The contractor is responsible for safeguarding PII at all times. The contractor shall ensure that PII 

remains under the immediate supervision and control of authorized employees in a manner that will 

protect the confidentiality and integrity of PII. Examples of proper safeguarding include, but are not 

limited to: maintaining the confidentiality of each employee’s individual password (by not sharing the 

password with any other individual or entity and not writing it down); verifying the identity of 

individuals before disclosing information to them; preventing others in the area from viewing PII on 

one’s computer screen; consistently locking or logging off one's workstation when one is away; and 

ensuring that PII is appropriately returned or, upon receiving the agency’s approval, destroyed when 

no longer needed. The contractor may use its internal policies and practices, non-disclosure agreements, 

system security requirements or any other means to accomplish its safeguarding responsibilities.
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(2) Transporting PII Outside a Secure Area/Secure Duty Station. 

(i) The contractor shall safeguard equipment, files, or documents containing PII when transporting 

information from a secure area/secure duty station. The contractor shall ensure that the laptops and 

other electronic devices/media being used to transport PII are encrypted and password protected. 

The contractor shall ensure that the encryption and password protection are in accordance with any 

agency-prescribed standards or policies, which shall be communicated separately from this clause. 

The contractor shall use reasonable protection measures when transporting PII, e.g., storing files in 

a locked briefcase, not leaving files and/or equipment in plain view. 

(ii) The contractor shall ensure that its PII policies and procedures address transporting PII outside a 

secure area and emailing PII to and from non-SSA email addresses. The contractor shall provide 

employees, upon or immediately prior to their commencing work on the contract, with contact 

information and instructions relating to PII breaches and incidents, based on the contractor’s 

security/PII loss incident policy and procedures. (If the preceding requirement is introduced to the 

contract under a contract modification, the contractor shall ensure employees are provided this 

information and instructions within 10 working days of the modification.) The contractor shall 

periodically remind employees of the foregoing information and instructions per the regular 

training requirements at (d)(1) below. (NOTE: Agency-prescribed contact information and 

instructions for reporting lost or possibly lost PII are discussed in paragraph (d) below.) SSA may 

require that the contractor present evidence of compliance with these provisions.

(iii) Tracking PII-containing material (files, documents, etc.). 

(A) Unless the PII is being transported for disposal pursuant to the contract per (c)(3) below, or 

SSA grants an exception per (c)(2)(iii)(D) below, the contractor shall take appropriate and 

necessary action to ensure that the PII-containing material, such as file(s) or document(s) 

being physically transported or transmitted electronically outside the secure area/secure duty 

station, are tracked through a log. The PII-containing material shall be logged out prior to 

transport as well as logged back in upon return. The contractor can establish any mechanism 

for tracking as long as the process, at a minimum, provides for the following information to 

be logged: 

(1) first and last name of the employee taking/returning the material; 

(2) the identification of the PII-containing material, such as the name of the file(s) or 

document(s) containing PII; 

(3) the media used to transport the PII (e.g., electronic, such as laptop, portable drive, 

compact disc/digital versatile disc (CD/DVD), or email—be as specific as possible; 

paper, such as paper file folders or printouts);

(4) the reason he/she intends to transport the PII-containing material;

(5) the date he/she transported the PII-containing material from the secure area/secure duty 

station; 

(6) the date the PII-containing material is due to be returned to the secure area/duty station. 

See subparagraph (c)(2)(iii)(B) immediately below.

(7) the approver’s name and phone number.

(8) the actual return date of the PII-containing material.
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(B) Materials shall be returned or, when authorized by paragraph (c)(3), documented as 

destroyed, within 90 calendar days of removal from the office or have contractor supervisory 

approval for being held longer.

(C) The log shall be maintained in a secure manner. Upon request by the agency, the contractor 

shall provide the information from the log in a format (e.g., electronic or paper) that can be 

readily accessed by the agency. The contractor shall retain the log in accordance with General 

Records Schedule 4.2, Information Access and Protection Records, Item 40 (disposition 

authority DAA-GRS-2016-0002-0004). (See Exhibit F.)

(D) SSA may relieve the contractor of having to comply with these logging requirements for 

certain transmissions when the contractor is engaged in routine and secure transmission of 

PII, and SSA determines that there are appropriate security controls in place to track the data 

through other means.

(3) Return and/or Disposal of PII. The contractor shall return and/or dispose of the PII when the PII is no 

longer required for performance of this contract, e.g., upon contract completion, per agency direction 

and requirements. The marked statement(s) below apply to this contract: 

[ x ] (i) This contract entails the return of PII. 

[ x ] (ii) This contract entails the disposal of PII. The contractor shall follow the procedures 

described in “Disposal of Waste Materials” (see “PREAWARD PRODUCTION PLANS, 

Disposal of Waste Materials”).

(4) Emailing PII. The contractor’s corporate or organizational email system is deemed not to be secure. 

Therefore, the contractor shall put policies and procedures in place to ensure that its employees email 

PII using only the following procedures in (i) and (ii), below: 

(i) Sending from an SSA email address. If employees have been given access to the SSA email system, 

they may use it to send email messages containing PII in the body or in an unencrypted attachment 

but only to other SSA email addresses (which contain the “name @ssa.gov” format) or to email 

addresses belonging to an SSA-certified email system. Email directed to any other address(es) may 

contain PII only if the PII is entirely contained in an encrypted attachment. The contractor shall 

encrypt PII in accordance with OMB Circular A-130, Managing Information as a Strategic 

Resource (July 28, 2016).

(ii) Sending from a non-SSA email system. If employees are using the contractor’s own or any other 

non-agency email system (e.g., Yahoo!, Gmail), they may send email messages transmitting PII 

only if the PII is entirely contained in an encrypted attachment, per OMB Circular A-130; none of 

the PII may be in the body of the email itself or in an unencrypted attachment. When emailing from 

such systems, this procedure applies when emailing PII to any email address, including but not 

limited to, an SSA email system address. Unless specifically noted otherwise, the contractor and 

its employees are expected to conduct business operations under this contract using the contractor’s 

own email system, i.e., in accordance with the foregoing rules for transmitting PII. 

SSA may grant written exceptions to compliance with the email requirements in paragraph (c)(4) 

above when the contractor’s corporate or organizational email system has been deemed by SSA to 

be secure. 
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(d) Procedures for Reporting PII Breach or Incident. The agency has its own reporting requirements for PII 

breaches or incidents. The purpose of the following paragraphs is to ensure that the contractor meets the 

requirements and shares breach or incident information appropriately. The contractor’s report of a breach 

or incident will not, by itself, be interpreted as evidence that the contractor failed to provide adequate 

safeguards for PII.

(1) Contractor Responsibility. In addition to establishing and implementing its own internal procedures 

referenced in paragraph (b) above, the contractor shall provide regular training (at least annually and 

when new employees commence work) for contractors on how to identify and report a breach or 

incident and take reasonable actions to implement agency-prescribed procedures described in paragraph

(d)(3) below for reporting PII breaches or incidents. These include training employees handling PII 

about these procedures, including how to identify and report a PII breach or incident, and otherwise 

taking appropriate and necessary steps to enforce their compliance in carrying them out. The contractor 

shall cooperate and exchange information with agency officials, as determined necessary by the agency, 

in order to report and manage a suspected or confirmed breach or incident effectively. The contractor 

shall maintain capabilities to determine what agency information was or could have been accessed and 

by whom, be able to construct a timeline of user activity, determine methods and techniques used to 

access agency information, and identify the initial attack vector. The contractor shall allow for an 

inspection, investigation, forensic analysis, and any other action necessary to ensure compliance with 

OMB memorandum M-17-12 and agency guidance and breach procedures to assist with responding to 

a breach or incident. SSA may require evidence of compliance with this guidance.

(2) Potential Need for Immediate, Direct Reporting by the Employee. The agency recognizes that 

contractor employees will likely make the initial discovery of a PII breach or incident. When an 

employee becomes aware or suspects that PII has been lost or compromised, he/she is required to follow 

the contractor’s established security/PII breach/incident reporting process (see paragraph (d)(1), 

above). The contractor’s reporting process, along with the agency’s (see paragraph (d)(3) below), shall 

require the contractor, and not necessarily the employee, in such circumstances to notify the agency of 

the breach or incident. However, the contractor shall inform each employee handling or potentially 

handling PII that he/she must be prepared to notify outside authorities directly and immediately as 

described in paragraph (d)(3)(v) below, if, shortly following the breach or incident or discovery of the 

breach or incident, he/she finds it evident that neither an appropriate contractor nor the agency 

manager/contact can be reached. The contractor shall emphasize to the employee that timeliness in 

reporting the incident is critical.

(3) Procedures.

(i) When a contractor employee becomes aware of or suspects a PII breach or incident, the contractor, 

in accordance with its incident reporting process, shall provide immediate (as soon as possible and 

without unreasonable delay) notification of the breach or incident to the primary agency contact. 

If the primary agency contact is not readily available, the contractor shall immediately notify the 

contact’s alternate. (See the worksheet in agency-specific clause 2352.224-2B (Exhibit G), for the 

identity of the designated primary and alternate agency contacts.) The contractor shall act to ensure 

that each employee, prior to commencing work on the contract, has been given information as to 

who the primary and alternate agency contacts are and how to contact them. In addition, the 

contractor shall act to ensure that each employee promptly receives any updates on such 

information, as they are made available. Whenever the employee removes PII from a secure 

area/secure duty station, he/she shall comply with the contractor’s security policies, including 

having on hand the current contact information for the primary agency contact and at least one 

alternate. 
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(ii) The contractor shall provide the primary agency contact or the alternate, as applicable, updates on 

the status of the reported PII loss or compromise as they become available but shall not delay the 

initial report.

(iii)The contractor shall provide complete and accurate information about the details of the PII breach 

or incident to assist the agency contact/alternate, including the following information:

(A) Contact information;

(B) A description of the PII breach or incident (i.e., nature of the breach, scope, number of files or 

records, type of equipment or media, etc.) including the approximate time and location of the 

loss;

(C) A description of safeguards used, where applicable (e.g., locked briefcase, redacted personal 

information, password protection, encryption, etc.);

(D) An identification of agency components (organizational divisions or subdivisions) contacted, 

involved, or affected;

(E) Whether the contractor or its employee has contacted or been contacted by any external 

organizations (i.e., other agencies, law enforcement, press, etc.);

(F) Whether the contractor or its employee has filed any other reports (i.e., Federal Protective 

Service, local police, and agency reports); and

(G) Any other pertinent information. 

(iv) The contractor may use the worksheet following this clause to gather and organize information 

quickly about the incident. The contractor shall ensure that each employee with access to PII under 

the contract, prior to accessing the PII, has a copy of the worksheet with its instructions (see agencyspecific clause 2352.224-2B (Exhibit G)), and particularly when transporting PII from a secure 

duty station.

(v) There may be rare instances (e.g., outside of business hours) when the contractor is unable to reach 

either the primary agency contact or the alternate immediately. In such a situation, the contractor 

shall immediately call the agency’s National Network Service Center (NNSC) toll-free at 1-877-

697-4889 to file the initial report directly, providing the information in (d)(3)(iii) above and as 

requested by the NNSC (again, the worksheet in agency-specific clause 2352.224-2B (Exhibit G) 

may be used to collect and organize the information prior to (and/or during) the call). Overall, 

during this time, the contractor shall cooperate as necessary with the NNSC or any of the other 

external organizations described in (d)(3)(iii) above.

(vi) If the contractor makes a direct report to the NNSC, the contractor shall document the call with the 

Change, Asset, and Problem Reporting System (CAPRS) number, which the NNSC will assign. 

The contractor shall provide the CAPRS number to the primary agency contact, or, if unavailable, 

his/her alternate. 

(vii) Subparagraphs (v) through (vi) apply to all contractor employees. The contractor shall ensure its 

internal procedures and PII breach/incident training make clear to employees these 

responsibilities. Reports to the NNSC should not be delayed because an employee could not reach 

the contractor’s management.
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(viii) The contractor and its employee(s) shall limit disclosures about PII involved in a breach or 

incident to only those SSA and contractor employee(s) with a need for the information in order to 

respond to and take action to prevent, minimize, or remedy the breach or incident. The contractor 

may disclose breach or incident information to Federal, state, or local law enforcement agencies 

and other third parties with a need for the information; however, information about the specific PII 

involved may only be disclosed to such authorities and third parties as Federal law permits. The 

contractor shall not, without SSA approval, publicly disclose information about PII involved in a 

breach or incident or SSA’s involvement in a breach or incident. The contractor shall not, without 

SSA approval, notify individuals affected by the PII breach or incident. The contractor’s PII breach 

and incident reporting process shall ensure that disclosures are made consistent with these 

requirements. As used in this paragraph, the term PII references only PII covered by this clause.

(e) Additional Contractor Responsibilities When There Is a Suspected or Confirmed Breach. 

(1) The contractor shall have a formal security/PII breach or incident reporting process in place that outlines 

appropriate roles and responsibilities, as well as the steps that must be taken, in the event of a 

security/PII breach or incident. The plan shall designate who within the contractor’s organization has 

responsibility for reporting the PII breach or incident to the agency.

(2) In the event of a PII breach or incident, the contractor shall take immediate steps to address 

consequential security issues that have been identified, including steps to minimize further security 

risks to those individuals whose personal information was lost, compromised, or potentially 

compromised. 

(3) The contractor shall confer with SSA personnel in reviewing the actions the contractor has taken and 

plans to take in dealing with the breach or incident. Additionally, the contractor shall provide any 

documentation requested by SSA.

(4) The contractor shall bear the cost for any data breach or incident: (1) occurring outside of SSAcontrolled facilities, systems, or environments when the affected PII was in the possession or control 

of the contractor or its employees, agents, or representatives; or (2) resulting from the contractor or its 

employees, agents, or representatives’ failure to properly safeguard PII or facilities, systems, or other 

environments containing PII in accordance with this contract’s requirements. In addition, as SSA 

requires, the contractor shall be responsible for or shall assist SSA in taking preventative and remedial 

actions that SSA determines are necessary to address such a breach or incident. Preventative and 

remedial actions may include notification to individuals potentially affected by the breach and other 

countermeasures to mitigate the risk of harm or to protect PII (e.g., operating call centers and providing 

resources for potentially affected individuals). SSA will notify the contractor when SSA determines 

that preventative or remedial action(s) are necessary and instruct the contractor on whether the action(s) 

will be effectuated by the contractor or SSA. SSA may choose to effectuate the action(s) at the agency’s 

discretion. The contractor shall be responsible for the cost of all preventative or remedial action(s), 

including those actions effectuated by SSA, resulting from the breaches and incidents covered by this 

paragraph. Note: Nothing in this paragraph affects the contractor’s obligations in paragraph (e)(2) 

above to take immediate steps to address identified security issues.

(f) Subcontractor(s). 

(1) The contractor shall include this clause in all resulting subcontracts whenever there is any indication 

that the subcontractor(s) and their employees, or successor subcontractor(s) and their employees, will 

or may handle PII. When this clause is included in a subcontract, all references to “contractor” in 

paragraphs (a) through (e) and (h) shall be read to apply to the subcontractor(s).
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(2) The contractor shall take appropriate and necessary action to ensure its subcontractor(s) and their 

employees, or any successor subcontractor(s) and their employees, comply with this clause. 

(3) Notification of Subcontractor Handling of PII. If the contractor engages a subcontractor under this 

contract whose employee(s) will actually or potentially handle PII, the contractor shall do the following: 

(i) Notify the SSA COR-COTR and the Contracting Officer of this arrangement in advance of 

providing access to PII, providing the subcontractor name(s) and address(es) and, upon request, a 

description of the nature of the PII to which the employee(s) will actually or potentially be 

given/have access (e.g., phone numbers, SSN); and 

(ii) Provide the agency’s COR-COTR the names of the subcontractor employee(s) who will actually 

or potentially be assigned and/or have access to the PII. The contractor may satisfy this requirement 

when submitting the name(s) of the subcontractor employee(s) to the agency’s COR-COTR for the 

requisite security background check described in paragraph (g) below. 

(g) Security & Suitability Requirements Clause. For each contractor employee handling PII, the contractor 

shall fulfill the requirements of the Security and Suitability Requirements Clause, found elsewhere in this 

contract, to ensure that any such individual has the appropriate background checks.

(h) The contractor shall permit the agency to conduct security reviews and inspections to ensure that the 

contractor maintains adequate safeguards and security measures for PII in accordance with the terms of this 

contract. At SSA’s request, the contractor shall grant SSA, and its auditors, access to all systems, facilities, 

equipment, locations, and other environments that create, collect, use, process, store, maintain, disseminate, 

disclose, or dispose of PII for such reviews and inspections. The contractor is not required to provide SSA 

access to parts of those systems, facilities, equipment, locations, and other environments that are not 

impacted by such reviews and inspections

Clause 2352.204-1 – Security and Suitability Requirements (MAR 2018)

(a) Acronyms and Definitions – As used in this clause –

NOTE: For the purposes of this contract, the Contracting Officer’s Representative (COR) or Contracting 

Officer’s Technical Representative (COTR) is the SSA representative/Program Lead. The terms “vendor” 

and “contractor” are used interchangeably throughout this contract. Additionally, the terms “business 

days” and “workdays” are used interchangeably throughout this contract.

“Access to a facility, site, system, or information” means physical access to any Social Security 

Administration (SSA) facility or site, logical access to any SSA information system, or access to 

programmatic or sensitive information.

“CO” means Contracting Officer.

“Contractor” means any entity having a relationship with SSA because of this contract. This term includes, 

but is not limited to, corporations, limited liability partnerships, and sole proprietorships.

“Contractor personnel” means employees of the contractor, employees of the subcontractor, any consultant 

retained by the contractor or subcontractor, any volunteer or intern of the contractor or subcontractor, and 

if the contractor or subcontractor is a sole proprietorship, it refers to the sole proprietorship. 

“CPOC” means company point of contact as specified by the contract.

“CSPS” means Center for Suitability and Personnel Security.
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“e-QIP” means Electronic Questionnaire for Investigations Processing. 

“PIV” means Personal Identity Verification.

“Subcontractor” means any entity having a relationship with SSA’s contractor because of this contract. This 

term includes, but is not limited to, corporations, limited liability partnerships, and sole proprietorships

(b) Purpose 

This clause provides SSA’s policies and procedures concerning the conduct of background investigations 

(i.e. suitability determinations) of contractor personnel. A background investigation is required any time 

contractor personnel requires any type of access to a facility, site, system, or information, whether or not a 

PIV credential is required. Contractor personnel may be subject to periodic reinvestigation per SSA policy. 

The purpose of these investigations is to determine the suitability of contractor personnel needing access to 

an SSA facility, site, system, or information. If applicable, the clause also describes the process to obtain 

a PIV credential. 

(c) PIV Credentials

(1) A PIV credential is required for contractor personnel requiring access to an SSA information system or 

routine, unescorted access to a SSA facility or site for a period of six months or more. (See paragraph 

(k) for more information.)

(2) A PIV credential is not required for: 

(i) Contractor personnel requiring escorted access to an SSA facility or site for less than six months; 

or

(ii) Contractor personnel requiring infrequent escorted access to an SSA facility or site, even if the 

access may be longer than six months (e.g., contractor personnel who provide infrequent facilities 

or equipment maintenance or repair, or who conduct onsite shredding, etc.). 

(d) Authorities

(1) Homeland Security Presidential Directive 12

(http://www.dhs.gov/homeland-security-presidential-directive-12). 

(2) Office of Management and Budget Memorandum M-05-24

(https://obamawhitehouse.archives.gov/sites/default/files/omb/assets/omb/memoranda/fy2005/m05-

24.pdf).

(3) The Crime Control Act of 1990, Public Law 101-647, subtitle E, as amended by Public Law 102-190 

(for childcare center security requirements)

(http://www.gpo.gov/fdsys/pkg/USCODE-2010-title42/pdf/USCODE-2010-title42-chap132-

subchapV-sec13041.pdf).

(4) Executive Orders 13764 and 12968

(https://www.hsdl.org/?abstract&did=798174) and

https://www.gpo.gov/fdsys/pkg/FR-1995-08-07/pdf/95-19654.pdf) 
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(5) Title 5, Code of Federal Regulations (CFR), Parts 731, 736, and 1400 (for positions assigned a 

“National Security” designation) 

(http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&tpl=/ecfrbrowse/Title05/5cfr731_main_02.tpl, 

http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&tpl=/ecfrbrowse/Title05/5cfr736_main_02.tpl, and 

http://www.ecfr.gov/cgi-bin/textidx?SID=ea8d9b7f129b58c4b512ea9d68a44761&mc=true&node=pt5.3.1400&rgn=div5%23se5.3.14

00_1201)

(e) Suitability Process

The background investigation and adjudication processes are compliant with 5 CFR 731 or equivalent. Any 

new vendor personnel (i.e., those who have not previously received a suitability determination under this 

contract) requiring access to an SSA facility, site, information, or system, must complete and submit, 

through the COR-COTR, the documents listed in (a)(1) at least 30 workdays prior to the date vendor 

personnel are to begin work. The suitability process cannot begin until the vendor submits, and SSA 

receives, accurate and complete documents.

(1) Suitability Document Submission

a. Immediately upon award, the Company Point of Contact (CPOC) must provide to the Center for 

Suitability and Personnel Security (CSPS) and a copy to the Contracting Officer’s Representative 

(COR) for all vendor personnel requesting a suitability determination using a secured/encrypted 

email* with a password sent separately to dchr.ope.suitability@ssa.gov:

(i) An e-QIP applicant listing including the names of all vendor personnel requesting suitability;

(ii) Completed Optional Form (OF) 306, Declaration for Federal Employment. (See Exhibit H); 

(iii)Fair Credit Reporting Act (FCRA) Authorization Form (Exhibit I);

(iv) Additional Questions for Public Trust Positions Branching (Exhibit J); and,

(v) Work authorization for non-United States (U.S.) born applicants, if applicable.

b. The e-QIP applicant listing must include the vendor name, the Social Security Administration 

(SSA) vendor number, the CPOC’s name, the CPOC’s contact information, the COR’s name, the 

COR’s contact information, and the full name, Social Security Number, date of birth, place of birth 

(must show city and state if born in the U.S. OR city and country if born outside of the U.S.), and 

a valid email address for all vendor personnel requesting suitability. All spelling of names, email 

addresses, places, and numbers must be accurate and legible.

(2) e-QIP Application 

a. Once SSA receives all completed documents, listed in (a)(1), the Center for Suitability and 

Personnel Security (CSPS) will initiate the e-QIP process using the e-QIP applicant listing. CSPS 

will email the e-QIP notification to the CPOC and COR inviting vendor personnel to the e-QIP 

website to electronically complete the background investigation form (Standard Form (SF) 85P, 

Questionnaire for Public Trust Positions). (See Exhibit L.)

b. Vendor personnel will have up to 10 business days to complete the e-QIP application. The 10-day 

timeframe begins the day CSPS sends the invitation to the CPOC and COR. Vendor personnel must 

electronically sign the signature pages before releasing the application in e-QIP. Signature pages 

include the Certification, Release, and Medical Release pages for the SF 85P. Find information 

about the e-QIP process in the e-QIP Quick Reference Guide for e-QIP Applicants at 

https://nbib.opm.gov/e-qip-background-investigations/.
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c. If vendor personnel need assistance with e-QIP logon and navigation, they can call the e-QIP 

Hotline at 1-844-874-9940.

(3) Fingerprinting 

a. The e-QIP notification email also provides vendor personnel with instructions to obtain electronic 

fingerprinting services. Vendor personnel must report for fingerprint services immediately upon 

completion and release of the e-QIP application and within 10 business days from the day CSPS 

sends the invitation.

b. If vendor personnel cannot report to the designated fingerprint locations (in the notification email), 

CSPS will accept completed Field Division (FD) 258 fingerprint cards. (See Exhibit M.) The COR 

can provide the FD 258, if required. Vendor personnel must complete all fields on the FD 258. 

Incomplete fields may delay suitability processing.

c. If the vendor needs to mail completed FD 258 fingerprint cards, the vendor can send them, via 

certified mail, along with a completed Vendor Personnel Suitability Cover Sheet to: Social Security 

Administration Center for Suitability and Personnel Security, Attn: Suitability Program Officer, 

6401 Security Boulevard, 2246 Annex Building, Baltimore, MD 21235.

(4) Status Check

If vendor personnel have completed each of the steps in (e) in their entirety and do not receive a 

suitability determination within 15 business days of their last submission, call 1-844-874-9940 to 

determine suitability status.

(f) Suitability Determination

(1) CSPS uses a Federal Bureau of Investigation fingerprint check as part of the basis for making a 

suitability determination. 

This determination is final unless information obtained during the remainder of the full background 

investigation, conducted by the Office of Personnel Management, is such that SSA would find the 

vendor personnel unsuitable to continue performing under this contract. CSPS will notify the CPOC 

and the COR of the results of these determinations.

(2) SSA will not allow vendor personnel access to a facility, site, information, or system until CSPS issues 

a favorable suitability determination. A suitability determination letter issued by CSPS is valid only for 

performance on the vendor specified in the letter.

(3) If personnel have been cleared at a previous contractor’s facility and are to perform work under a new 

vendor, the CPOC must submit a fully completed, legible Contractor Personnel Rollover Request Form

to the COR. (See Exhibit N.) CSPS will notify the CPOC, COR, and Contracting Officer (CO) of 

suitability to work under the new vendor.

(g) Vendor Personnel Previously Cleared by SSA or Another Federal Agency

If vendor personnel previously received a suitability determination from SSA or another Federal agency, 

the CPOC should include this information next to the vendor personnel’s name on the initial applicant 

listing (see paragraph (a)(1)(b)) along with the OF 306. CSPS will review the information. If CSPS 

determines another suitability determination is not required, it will provide a letter to the CPOC and the 

COR indicating the vendor personnel were previously cleared under another Federal contract and do not 

need to go through the suitability determination process again.
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(h) A contractor is not entitled to an equitable adjustment of the contract because of an unfavorable suitability 

determination(s). Additionally, if SSA determines that the number or percentage of unfavorable 

determinations make successful contract performance unlikely, SSA may terminate the contract for cause 

or default. 

(i) Unsuitable Determinations

(1) The vendor must notify the contractor personnel of any unsuitable determinations as soon as possible 

after receipt of such a determination.

(2) The vendor must submit requests for clarification for unsuitable determinations in writing within 30 

calendar days of the date of the unsuitable determination to the email mailbox or address listed below. 

Vendor personnel must file their own requests; vendor may not file requests on behalf of vendor 

personnel.

dchr.ope.suitclarify@ssa.gov

OR

Social Security Administration; Center for Suitability and Personnel Security, Attn: Suitability Program 

Officer, 6401 Security Boulevard, 2246 Annex Building, Baltimore, MD 21235

(j) Vendor Notification to Government

The vendor shall notify the COR and CSPS within one business day if any vendor personnel are arrested 

or charged with a crime, or if there is any other change in the status of vendor personnel (e.g., leaves the 

company, no longer works under the vendor, the alien status changes, etc.) that could affect their suitability 

determination. 

The vendor must provide in the notification as much detail as possible, including, but not limited to: name(s) 

of vendor personnel whose status has changed, SSA vendor number, the type of charge(s), if applicable, 

date of arrest, the court date, jurisdiction, and, if available, the disposition of the charge(s).

(k) Obtaining a Credential

(1) This section applies only if contractor personnel will have access to a SSA information system or 

routine or unescorted access to a SSA facility or site for a period of six months or more as described in 

paragraph (c)(1).

(2) Once the contractor personnel receive notification of an acceptable suitability determination, but prior 

to beginning work under the contract, the contractor personnel must appear at the respective Regional 

Security Office or SSA Headquarters Parking and Credentialing Office to begin the credentialing 

process. The contractor must contact the COR-COTR to arrange for credentialing. Once the CORCOTR makes the appointment, the COR-COTR must contact the contractor to inform the contractor of 

the credentialing appointment(s). The COR-COTR will also arrange for the contractor personnel to be 

escorted (by either the COR-COTR or a COR-COTR’s representative) to the appropriate credentialing 

office at the time of this appointment. The contractor personnel must present the suitability 

determination letter and two forms of identification at this meeting. At least one of the forms of 

identification must be a Government-issued photo identification (ID) (for acceptable forms of ID, see 

List of Acceptable Documents on OAG’s website). For SSA Headquarters access, a completed Form 

SSA-4395, Application for Access to SSA Facilities, signed by the contractor personnel and the CORCOTR is also required. The COR-COTR will provide the SSA-4395 Form to the contractor personnel 

when applicable. 
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(3) Credentialing appointments last approximately 15 minutes. Depending on a contractor’s scheduling 

needs and availabilities, contractor personnel may be scheduled for credentialing all in one day (this 

process may take a few hours to complete, depending on the number of contractor personnel that need 

to be credentialed) or they may come in at separate times convenient to the contractor personnel’s and 

the COR-COTR’s schedules. 

(4) Contacts

a. SSA Headquarters’ Parking and Credentialing Office representatives can be reached at 

Parking.and.Credentialing@ssa.gov or 410-965-5910. 

b. Research Triangle Park Parking and Credentialing Office representatives can be reached at 

SSC.Parking.and.Credentialing@ssa.gov or 877-586-6650, extensions 25206 or 25207.

c. Regional Security Office contact information is in the Appendix at the end of this clause. 

(l) Contractor Return of PIV Credential 

The contractor must account for and ensure that all forms of Government-provided identification (PIV 

credential) issued to contractor personnel under this contract are returned to SSA’s Headquarters’ Parking 

and Credentialing Office or Regional Security Office, as appropriate, as soon as any of the following occur: 

when no longer needed for contract performance; upon completion of any contractor personnel 

employment; or upon contract completion or termination. 

(m)Government Control 

The Government has full control over and may grant, deny, or withhold access to a facility, site, system, or 

information and may remove contractor personnel, or require the contractor to remove contractor personnel 

from performing under the contract for reasons related to conduct even after contractor personnel are found 

suitable to work on the contract (see paragraph (n) below).

(n) Removal From Duty 

The CO, in coordination with the COR-COTR and CSPS, may remove a contractor, or request the 

contractor immediately remove any contractor personnel from working under the contract based on conduct 

that occurs after a favorable suitability determination. This includes temporarily removing contractor 

personnel arrested for a violation of law pending the outcome of any judicial proceedings. The contractor 

must comply with these requests to remove any contractor personnel. The Government’s determination 

may be made based on, but not limited to, these incidents involving the misconduct or delinquency: 

(1) Violation of the Rules and Regulations Governing Public Buildings and Grounds, 41 CFR 101-20.3. 

This includes any local credentialing requirements.

(2) Neglect of duty, including sleeping while on duty; unreasonable delays or failure to carry out assigned 

tasks; conducting personal affairs while on duty; and refusing to cooperate in upholding the integrity 

of SSA’s security program. 

(3) Falsification or unlawful concealment, removal, mutilation, or destruction of any official documents, 

records, or Government property or concealment of material facts by willful omissions from official 

documents or records.
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(4) Disorderly conduct, use of abusive or offensive language, quarreling, intimidation by words or actions, 

or fighting. Also, participating in disruptive activities that interfere with the normal and efficient 

operations of the Government. 

(5) Theft, vandalism, or any other criminal actions. 

(6) Selling, consuming, possessing, or being under the influence of intoxicants, drugs, or substances that 

produce similar effects. 

(7) Improper use of official authority or credentials.

(8) Unauthorized use of communications equipment or Government property.

(9) Misuse of weapon(s) or tools used in the performance of the contract.

(10) Unauthorized access to areas not required for the performance of the contract.

(11) Unauthorized access to SSA’s employees’ personal property.

(12) Violation of security procedures or regulations. 

(13) Prior contractor personnel unsuitability determination by SSA or another Federal agency. 

(14) Unauthorized access to, or disclosure of, agency programmatic or sensitive information, or Internal 

Revenue Service Tax Return information.

(15) Failure to ensure the confidentiality of or failure to protect from disclosure, agency information 

entrusted to them. Certain provisions of these statutes and regulations apply to Federal employees, 

and apply equally to contractor personnel: The Privacy Act of 1974, The Tax Reform Act of 1976 

and the Taxpayer Browsing Protection Act of 1997, SSA regulation 1, The Computer Fraud and 

Abuse Act of 1986, and Section 1106 of the Social Security Act. 

(16) Being under investigation by an appropriate authority for violating any of the above. 

(o) The contractor is required to include the substance of this clause in any subcontract requiring the 

subcontractor to access a SSA facility, site, system, or information. However, the contractor must obtain, 

review, and submit to SSA all of the completed and required forms (see paragraph (e) from the 

subcontractor. SSA will not accept completed forms from anyone other than the contractor. 

Regional Security Offices and Regional Credentialing Contacts for Contractor Personnel:

Region 1 – Boston

Management and Operations Support, Wilson Osorio, (617) 565-2840

Region 2 – New York

Center for Materiel Resources, Physical Security and Safety Team, Emmanuel Fernandez, (212) 264-

2603

Region 3 – Philadelphia

For Mid-Atlantic Social Security Center occupants: Center for Materiel Resources, Kevin Wiley, (215) 

597-1627

For all others: Center for Automation, Security and Integrity, (215) 597-5100
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Region 4 – Atlanta

Center for Security and Integrity

Willie Martin, (404) 562-1761

Charlene C. Jones, (404) 562-1432

Glen Gaston, (404) 562-1871

Dennis Loewer, (404) 562-1340

Region 5 – Chicago

Management and Operations Support, Building Services Unit

Sharon Young, (312) 575-4150

Evelyn Principe, (312) 575-6342

Sofia Luna, (312) 575-5762

Carlon Brown, (312) 575-5957

Colleen Carrington, (312) 575-5242

Region 6 – Dallas

Center for Materiel Resources, Employee Relations, Veronica Drake, (214) 767-2221

Region 7 – Kansas City

Center for Automation Security Integrity, General Office Line, (816) 936-5555

Region 8 – Denver

Center for Security and Integrity, Phil Mocon, (303) 844-4016

Region 9 – San Francisco

Center for Security and Integrity, Cassandra Howard, (510) 970-4124

Region 10 –Seattle

Center for Security and Integrity

Mary Bates, (206) 615-2105

Lisa Steepleton, (206) 615-2183

Clause 2352.204-2 Federal Information Security Modernization Act (FISMA) and Agency Privacy 

Management (MAY 2021)

(a) Definitions 

Terms defined for this clause:

“Agency” means the Social Security Administration (SSA).

“COR-COTR” means Contracting Officer’s Representative-Contracting Officer’s Technical 

Representative.

“Electronic Personnel Enrollment and Credentialing System (EPECS)” means the system supporting the 

Homeland Security Presidential Directive-12 credentialing process at SSA.

“OAG” means the Office of Acquisition and Grants at SSA.

“PIV Credential” means personal identity verification credentials required for contractor personnel 

requiring unescorted access to an SSA facility or access to SSA information systems. 
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(b) Agency Responsibility Related to FISMA Training Requirements 

(1) The Federal Information Security Management Act of 2002 (44 U.S.C. § 3541, et seq.), as amended by 

the Federal Information Security Modernization Act of 2014 (Pub. L. 113-283) (collectively, 

“FISMA”), and the Office of Management and Budget Circular No. A-130 (published July 28, 2016) 

require all agency contractor and subcontractor personnel working under agency contracts who will 

have access to any kind of SSA information, receive periodic training in information technology (IT) 

security awareness and accepted IT security practice. This includes training for contractor personnel 

who do not have access to electronic information systems. The training level and content is tailored to 

the contractors’ assigned roles and responsibilities and the risk and magnitude of harm related to the 

required activities. 

(2) SSA requires contractor personnel to read and sign the Security Awareness Contractor Personnel 

Security Certification (CPSC) form, SSA-222. The SSA-222 is on OAG’s internet site (see paragraph 

(c)(3)(i) below) or contractors can ask the COR-COTR for a copy. This training does not preclude any 

additional role-based information security or privacy training specified elsewhere in this contract. 

(c) Contractor Responsibilities Related to FISMA Training Requirements

(1) Contractor Personnel Requiring an SSA-issued PIV Credential and Access to SSA’s Network

(i) Following contract award, the agency mandates contractor personnel requiring a PIV credential 

and access to SSA’s network to take security awareness training by reading and electronically 

signing the CPSC form, SSA-222, during the PIV credentialing process. This requirement also 

applies to contractor personnel requiring a PIV credential and access to SSA’s network 

subsequently added to the contract. If contractor personnel receive a PIV credential, contractors 

are not required to send an email per paragraph (c)(3)(iii). 

(ii) For each successive year of the contract, contractor personnel shall take annual security awareness 

training via a video on demand on an SSA-managed website. Contractor personnel with a valid 

SSA email address will receive an email to take this training at the appropriate time. Additionally, 

contractor personnel must electronically attest to the CPSC form, SSA-222, within EPECS. The 

COR-COTR will email this invitation to contractor personnel initiating this action.

(2) Contractor Personnel Requiring an SSA-issued PIV Credential but Not Access to SSA’s Network: 

(i) Following contract award, the agency mandates contractor personnel requiring a PIV credential to 

take security awareness training by reading and electronically signing the CPSC form, SSA-222, 

during the PIV credentialing process. This requirement also applies to contractor personnel 

subsequently added to the contract and requiring a PIV credential. For contractor personnel 

receiving a PIV credential, contractors are not required to send an email per paragraph (c)(3)(iii) 

for the first year of the contract.

(ii) For each successive year of the contract, the contractor shall repeat the processes described in 

paragraphs (c)(3)(i) through (iii), below, on an annual basis. The contractor must submit the 

information in paragraph (c)(3)(iii), below, within 45 calendar days of the date the option was 

renewed, or the anniversary of the contract award date, whichever comes first.
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(3) Contractor Personnel Not Requiring an SSA-issued PIV Credential and No Access to SSA’s Network: 

(i) Following contract award, the contractor shall ensure that all contractor personnel performing under 

this contract take the security awareness training by reading and signing the CPSC form, SSA-222. 

This requirement also applies to contractor personnel subsequently added to the contract. A copy 

of this form is on OAG’s Internet website

(http://www.socialsecurity.gov/oag/acq/SSA-222.pdf) (See Exhibit O.)

(ii) The contractor must receive signed copies of the form from each contractor personnel working 

under the contract within 30 calendar days following contract award, or within 30 calendar days 

after a contractor personnel begins working under the contract, whichever comes first. 

(iii)The contractor shall send an email to the COR-COTR, within 45 calendar days following contract 

award. Similarly, the contractor shall send such email notification 45 calendar days of when new 

contractor personnel are added to perform work under the contract. The contractor will attach each 

signed form, completed per paragraph (c)(3)(ii), above, to the email along with a list of the names 

(first, middle initial, and last) of the contractor personnel who signed the form and the contract 

number they are working under.

(iv) For each successive year of the contract, the contractor shall repeat the processes described in 

paragraphs (c)(3)(i)-(iii), above, on an annual basis. The contractor must submit the information 

in paragraph (c)(3)(iii), above, within 45 calendar days of the date the option was renewed, or the 

anniversary of the contract award date, whichever comes first. 

(4) The contractor shall retain copies of signed CPSC forms, SSA-222, mentioned in paragraphs (c)(2) and 

(3) above for potential future SSA audits for a period of three years after final payment (per FAR, 

Section 4.703). 

(d) Applicability of this Clause to Subcontractor Personnel. The contractor is required to include a clause 

substantially the same as this in all subcontracts awarded under the prime contract. This clause shall require 

the subcontractors to follow the instructions in paragraph (c) of this clause. For subcontractor personnel 

following paragraphs (c)(2) and (3), the subcontractor shall submit the signed forms to the contractor and 

the contractor will be responsible for submitting this information to SSA per paragraph (c)(3)(iii). The 

subcontractor shall be responsible for maintaining its signed forms as detailed in paragraph (c)(4). 

Email Procedures

For the contractor’s convenience, SSA has included the following instructions to send emails with sensitive 

documentation or messages containing personally identifiable information (e.g., SSNs, etc.) securely to an SSA 

email address. Contractor is to consult their local information technology staff for assistance. If the contractor 

utilizes an alternate secure method of transmission, it is recommended that the contractor contact the recipient to 

confirm receipt.

To Encrypt a File using WinZip

i. Save the file to contractor’s hard drive.

ii. Open Windows Explorer and locate the file.

iii. Right click on the file.

iv. Select “WinZip.”

v. Select “Add to Zip File.”

vi. An Add box pops up. Near the bottom of the box is an “Options” area.

vii. Click the “Encrypt added files” checkbox.

viii. Click the “Add” button.
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ix. Check the “Hide Password” checkbox if not already checked.

a. Enter a string of characters as a password composed of letters, numbers, and special characters 

(minimum 8 characters – maximum 64 characters).

b. Select the 256-Bit AES encryption radio button.

c. Click “OK.”

x. The file has been encrypted successfully, and the new Zip file can now be attached to an email.

Providing the Recipient with the Password

Send the password to the intended recipient in a separate email message prior to sending the encrypted file or after 

sending the encrypted file. Do not send the password in the same email message to which the encrypted file is 

attached.

If possible, it is recommended to provide the password to the COR-COTR by telephone or establish a predetermined 

password between the contractor and the COR-COTR.

The COR-COTR should also submit the password in a separate email from the documentation when submitting to 

^DCHR OPE Suitability. Due to the large volume of submissions, the COR-COTR must always provide the 

password to ^DCHR OPE Suitability in a separate email, even if it is a pre-established password for a contract.

Sending an encrypted Zip File via email

1. Compose a new message.

2. Attach the Zip File.

3. Send message.

PREAWARD SURVEY: In order to determine the responsibility of the prime contractor or any subcontractor, 

the Government reserves the right to conduct an on-site preaward survey at the contractor’s/subcontractor’s facility 

or to require other evidence of technical, production, managerial, financial, and similar abilities to perform, prior to 

the award of a contract. As part of the financial determination, the contractor in line for award may be required to 

provide one (1) or more of the following financial documents: 

1) Most recent profit and loss statement

2) Most recent balance sheet(s)

3) Statement of cash flows

4) Current official bank statement

5) Current lines of credit (with amounts available)

6) Letter of commitment from paper supplier(s)

7) Letter of commitment from any subcontractor

The documents will be reviewed to validate that adequate financial resources are available to perform the contract 

requirements. Documents submitted will be kept confidential and used only for the determination of responsibility 

by the Government. 

Failure to provide the requested information in the time specified by the Government may result in the Contracting 

Officer not having adequate information to reach an affirmative determination of responsibility.

Additionally, the preaward survey will include a review of all subcontractors involved, along with their specific 

functions, and the contractor’s/subcontractor’s backup facility, quality control/recovery program, computer system, 

mail, material, personnel, production, security control, production area, and disposal of waste material plans as 

required by this specification.

If award is predicated on the purchase of production and/or systems equipment to meet the file transmission 

requirements, the contractor must provide purchase order(s) with delivery date(s) of equipment to arrive, be 

installed, and be fully functional at least 90 calendar days prior to the start of live production. 
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If the preaward survey is waived, the below referenced production plans must be submitted to the Contracting 

Officer within five (5) workdays of being notified to do so by the Contracting Officer or his/her representative. 

The workday after notification to submit will be the first day of the schedule. 

PREAWARD PRODUCTION PLANS: As part of the preaward survey, the contractor shall present, in writing, 

to the Contracting Officer within five (5) workdays of being notified to do so by the Contracting Officer or his/her 

representative, detailed plans for each of the following activities. The workday after notification to submit will be 

the first day of the schedule. If the Government requests additional information after review of plans, the contractor 

must submit updated plans within two (2) workdays of request. 

Five (5) additional workdays will be permitted to provide a Security Assessment Package as required. The 

contractor, at SSA discretion, may be granted five (5) additional workdays if additional information is required for 

the Security Assessment Package. The workday after notification to submit will be the first day of the schedule. 

These proposed plans are subject to review and approval by the Government, and award will not be made 

prior to approval of same. The Government reserves the right to waive some or all of these plans.

If the contractor intends to change processes described in the production plans during the term of the contract, they 

must provide updated plans to SSA and GPO for review and approval prior to implementing any changes. 

Option Years: For each option year that may be exercised, the contractor will be required to review their plans and 

re-submit in writing the above plans detailing any changes and/or revisions that may have occurred. The revised 

plans are subject to Government approval and must be submitted to the Contracting Officer or his/her representative 

within five (5) workdays of notification of the option year being exercised.

If there are no changes/revisions, the contractor will be required to submit to the Contracting Officer or his/her 

representative a statement confirming that the current plans are still in effect.

If the contractor intends to use multiple plants, the production plans must indicate which plants will be used, 

and the quantity to be produced in each plant. This requirement applies to all Security requirements, tests, 

and live production. 

If the Government, during the preaward survey, concludes that the contractor does not or cannot meet all of the 

requirements as described in this contract, the contractor will be declared non-responsive. 

Information Sheet – If the contractor is currently producing on other GPO contracts, they must submit an 

information sheet specifying how the workload(s) on this contract will fit into the pre-existing Government 

production without hampering the production/delivery schedules for all the contracts. (NOTE: This is a 

requirement of this program due to the legislated nature of certain GPO contracts.) 

At a minimum, the information sheet must include a list of the contracts currently held and the production/delivery 

schedules for each of those contracts. The sheet must also specify which of those contracts would run concurrently 

with the projected schedule for this contract.

Backup Facility – The failure to deliver the products required under this specification in a timely manner would 

have an impact on the daily operations of SSA. Therefore, if for any reason(s) (act of God, labor disagreements, 

national emergencies, pandemics, etc.) the contractor is unable to perform at said locations for a period longer than 

24 hours, contractor must have a backup facility with the capability of producing the products required under this 

specification.

Plans for their contingency production must include the location of the facility to be used, equipment available at

the facility, and a timetable for the start of production at that facility.
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Part of the plan must also include the transportation of Government materials from one facility to another. SSA

has the option to install a data connection into the contractor’s backup facility.

NOTE: All terms and conditions of this contract will apply to the backup facility. Due to the time sensitive nature 

of the notices produced on this contract, the contractor must maintain the original schedule set forth in this contract. 

Quality Control Plan – The contractor shall provide and maintain, within their own organization, an independent 

quality assurance organization of sufficient size and expertise to monitor the operations performed and inspect 

the products of each operation to a degree and extent that will ensure the Government’s quality assurance, 

inspection, and acceptance provisions specified herein are met. The contractor shall perform, or have performed, 

the process controls, inspections, and tests required to substantiate that the products provided under this contract 

conform to the specifications and contract requirements. The contractor shall describe in detail their quality 

control/quality assurance and recovery plans describing how, when, and by whom the plans will be performed.

The quality control plan must also include examples and a detailed description of all quality control samples and 

their corresponding inspection reports or logs the contractor will keep to document the quality control inspections 

performed on each run. Furthermore, the plan must include the names of all quality assurance officials and describe 

their duties in relationship to the quality control plan.

The quality control plan must account for the number of pieces mailed daily and must also cover the security 

over the postage meters as well as the controls for the setting of the meters.

Quality Control Sample Plan – The plan must provide a description of how the contractor will create quality control 

samples for periodic samplings to be taken during the production run, provide for backup and re-running in the 

event of an unsatisfactory sample, and contain control systems that will detect defective, missing, or mutilated 

pieces.

The plan should include the sampling interval the contractor intends to utilize. The contractor will be required to 

create two (2) control samples every 4,000 notices. The samples to be drawn from the production stream at the 

same time: 

▪ One (1) sample will be drawn, inspected, and retained as part of the contractor’s quality assurance records.

▪ One (1) sample will be drawn for the Social Security Administration and packed with the remaining samples 

associated with each task order and shipped to SSA, Printing Management Branch (see Exhibit K). 

NOTE: Mailers with low volumes (less than 4,000) will require at least one (1) set of samples to be produced. 

The plan shall detail the actions to be taken by the contractor when defective, missing, or mutilated items are 

discovered. These actions must be consistent with the requirements found in GPO Contract Terms (GPO Publication 

310.2, effective December 1, 1987 (Rev. 01-18)). 

The plan shall monitor all aspects of the job, including material handling and mail flow, to assure that the production 

and delivery of these notices meet specifications and Government requirements. This includes maintaining 100% 

accountability in the accuracy of imaging and mailing of all pieces throughout each run. The contractor must ensure 

that there are no missing or duplicate pieces. 

The contractor must maintain quality control samples, inspection reports, and records for a period of no less than 

210 calendar days subsequent to the date of the check tendered for final payment by the Government Publishing 

Office. The Government will periodically verify that the contractor is complying with the approved quality control 

plan through on-site examinations and/or requesting copies of the contractor’s quality assurance records and quality 

assurance random copies. 
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Computer System Plan – This plan must include a detailed listing of the contractor’s operating software platform 

and file transfer system necessary to interface with SSA’s National File Transfer Management System (FTMS) for

electronic transmission of notice files from SSA. The plan must also include the media type on which files from

SSA will be received to the extent that operator intervention (e.g., a tape mount) is not required at SSA or the

contractor’s production facility.

The Computer System Plan shall demonstrate the contractor’s ability to provide complete hardware and software 

compatibility with SSA’s existing network (see “FILE TRANSFER MANAGEMENT SYSTEM (FTMS) 

REQRUIREMENTS” and “PREPRODUCTION TEST, Transmission Test” for additional information). The 

contractor must complete a Computer System Plan (see Exhibit P).

Included with the Computer System Plan shall be a resume for each employee responsible for the monitoring and 

the programming of the contractor’s computer system and file transmissions. If the contractor plans to use a 

consultant, a resume must still be included. This plan must show that the programmer(s) is skilled in the handling 

of record specifications and programming of the Advanced Function Presentation (Fully Composed) resources and 

files.

Mail Plan – This plan should include sufficient detail as to how the contractor will comply with all applicable 

USPS mailing requirements as listed in the USPS Domestic and International Mail Manuals in effect at the

time of the mailing and other USPS instructional material such as the Postal Bulletin. The contractor must also

disclose how they will achieve multi-level USPS presort postal discounts as outlined in the contract.

Material Handling and Inventory Control – This plan should explain in detail how the following materials 

will be handled: incoming raw materials; work-in-progress materials; quality control inspection materials; USPS 

inspection materials; and all outgoing materials cleared for USPS pickup/delivery.

Personnel Plan – In conjunction with the required applicant listing (see “Clause 2352.204-1 – Security and 

Suitability Requirements (MAR 2018)”), this plan should include a listing of all personnel who will be involved 

with this contract. For any new employees, the plan should include the source of these employees and a description

of the training programs the employees will be given to familiarize them with the requirements of this program.

Production Plan – The contractor is to provide a detailed plan of the following:

▪ list of all production equipment and equipment capacities to be utilized on this contract; 

▪ the production capacity currently being utilized on this equipment;

▪ capacity that is available for these workloads; and,

▪ if new equipment is to be utilized, documentation of the purchase order, source, delivery schedule, and

installation dates are required.

The contractor must disclose in their production plan their intentions for the use of any subcontractors. The plan 

must include the same information required from the contractor for all items contained under “SECURITY

REQUIREMENTS” and “PREAWARD SURVEY.” If a subcontractor for any operation is added at any time after

award, the contractor must submit the subcontractor’s proposed plans which are subject to review and approval by 

the Government.

The subcontractor must be approved by the Government prior to production starting in that facility. If the 

subcontractor is not approved by the Government, then the contractor has 30 calendar days prior to production to 

submit to the Government the new subcontractor’s information. 
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Security Control Plan – The contractor shall maintain in operation, an effective security system where items by 

these specifications are manufactured and/or stored (awaiting distribution or disposal) to assure against theft 

and/or the product ordered falling into unauthorized hands.

Contractor is cautioned that no Government provided information shall be used for non-Government business. 

Specifically, no Government information shall be used for the benefit of a third party.

The Government retains the right to conduct on-site security reviews at any time during the term of the contract. 

▪ How Government files (data) will be secured to prevent disclosure to a third party. 

▪ How the disposal of waste materials will be handled.

▪ How all applicable Government-mandated security/privacy/rules and regulations as cited in this contract

shall be adhered to by the contractor and/or subcontractor(s).

▪ How contractors classified as Cloud Service Providers (CSP) will adhere to additional FedRAMP security 

control requirements. CSPs must have a security control assessment performed by a Third Party Assessment 

Organization (3PAO), additional information is also available at:

http://www.gsa.gov/portal/category/102371.

▪ The contractor shall submit a System Security Plan which documents how the solution implements security 

controls in accordance with the designated FIPS 199 security categorization and the Minimum Security 

Requirements for Federal Information and Information Systems which requires the use of NISTSP 800-53, 

or the contractor shall provide a Security Assessment Package (SAP) completed by either an independent 

assessor or another Federal agency (see Exhibit Q).

Materials – The contractor is required to explain how all accountable materials will be handled throughout all phases 

of production.

Production Area Plan– The contractor must provide a secure area(s) dedicated to the processing and storage of

data for all notices produced on this contract, either a separate facility dedicated to these products, or a walledin limited access area within the contractor’s existing facility. Access to the area(s) shall be limited to securitytrained employees involved in the production of the notices.

Part of the Production Area Plan shall include a floor plan detailing the area(s) to be used, showing existing walls, 

equipment to be used, and the printing and finishing locations. 

Contractor must have, in place, a building security system that is monitored 24 hours a day, seven (7) days a week, 

and a badging/keypunch system that limits access to Government materials (data processing center/production 

facility and other areas where Government materials with PII are stored or are accessible) that is only accessible by 

approved personnel. Contractor must present this information, in detail, in the production area plan. 

Disposal of Waste Materials – The contractor is required to demonstrate how all waste materials used in the 

production of sensitive SSA records (records containing PII information as identified in “SECURITY WARNING”) 

will be definitively destroyed (ex., burning, pulping, shredding, macerating, or other suitable similar means). 

Electronic Records must be definitively destroyed in a manner that prevents reconstruction. Sensitive records are 

records that are national security classified or exempted from disclosure by statue, including the Privacy Act or 

regulation. Definitively destroying the records means the material cannot be reassembled and used in an 

inappropriate manner in violation of law and regulations. 

The contractor, at a minimum, must crosscut shred all documents into squares not to exceed one-quarter inch. All 

documents to be destroyed cannot leave the security of the building and must be destroyed at contractor’s printing 

site. The contractor must specify the method planned to dispose of the material. 
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UNIQUE IDENTIFICATION NUMBER: Unique identification numbers will be used to track each individual 

notice, thereby providing 100% accountability. This enables the contractor to track each notice through completion 

of the project. The contractor will be required to create two (2) test samples every 4,000 notices. Each file must 

have a minimum of one (1) test sample. This sample must have a unique number and must be produced on each 

notice. The contractor will generate a list of the unique identifying numbers for each sample. As samples are 

pulled, the unique numbers will be marked off the list. This enables the contractor to track which samples have 

been produced and pulled and what records have been produced. 

The contractor may create their own sequence number and run date to facilitate their presorting and inserting 

process but must maintain the original SSA identification number.

RECOVERY SYSTEM: A recovery system will be required to ensure that all defective, missing, or mutilated 

pieces detected are identified, reprinted, and replaced. The contractor’s recovery system must use the unique 

alpha/numeric identifiers assigned to each piece (including quality control samples) to aid in the recovery and 

replacement of any defective, missing, or mutilated pieces and must be capable of tracking and/or locating any

individual piece of mail from the time it leaves the press, up to and including when it is off-loaded at the USPS

facility. An explanation of the contractor’s sequential numbering system is required to understand the audit trail

required for each and every piece.

100% ACCOUNTABILITY OF PRODUCTION AND MAILING: Contractor must have a closed loop process* 

to determine that the data from the original print file is in the correct envelope with the correct number of pages and 

inserts. Notices requiring print regeneration must be reprinted from their original print image with the original job 

ID and piece ID remaining unchanged as each mail piece continues through the inserting life cycle. This process

will repeat itself (since subsequent reprint runs may yield damages) until all mail pieces from the original print run 

have been inserted and accounted for.

*Closed Loop Processing – A method for generating a plurality of mail pieces including error detection and 

reprinting capabilities. The method provides a mail handling process which tracks processing errors with the use of

a first and second scan code which obtain information regarding each mail piece, diverts mail pieces in response to 

error detection, transmits such errors to a processor, and automatically generates a reconfigured print file to initiate

reprints for the diverted mail pieces.

Contractor will be responsible for providing a unique identifying number that will be used to track each individual 

notice, thereby providing 100% accountability and validating the integrity of every notice produced in all phases of 

printing, inserting, and mailing and to ensure all notices received from SSA were correctly entered into the U.S. 

postal system.

NOTE: Contractor must have all hardware, programming, and finalized reports in place to meet this requirement 

arrive at least 90 calendar days prior to the start of live production, on June 1, 2023. Contractor must submit a 

sample of their proposed Audit and Summary reports with the required preaward production plans for approval. 

The Government considers grounds for the immediate default of this contract if the contractor, at any time, is 

unable to perform or found not complying with any part of this requirement.

Notice integrity shall be defined as follows:

▪ Each notice shall include all pages (and only those pages) intended for the designated recipient as contained 

in the print files received from SSA.

▪ The contractor’s printing process must have automated systems which can detect all sync errors, stop

printing when detected, and identify, remove, and reprint all effected notices.
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Mailing integrity shall be defined as follows:

▪ All notices received from SSA for each file date were printed, inserted, and entered correctly into the U.S. 

postal system.

The contractor is responsible for providing the automated inserted notice tracking/reporting systems and processes

required to validate that 100% of all notices received from SSA were printed, all pages for each notice with the

correct inserts are accounted for, inserted, and mailed correctly.

The contractor’s inserting equipment must have automated systems that include notice coding and scanning 

technology capable of:

(a) Uniquely identifying each notice and corresponding notice leaves within a print order. 

(b) Unique identifier to be scanned during insertion to ensure all notices and corresponding notice leaves are present 

and accounted for. 

(c) Entrance Scanning: A camera system must electronically track and scan all leaves of each mail piece as the 

inserting equipment pulls them into the machine to ensure each mail piece was produced and inserted. If there 

is any variance on a mail piece or if a mail piece is not verified that all leaves are present, that piece and the 

piece prior to and immediately following must be diverted and sent back for reprint. All instances of variance 

must be logged. 

(d) Touch and Toss: All spoilage, diverted, mutilated, or mail pieces that are acted upon directly by a human hand 

prior to sealing must be immediately recorded, discarded, properly destroyed, and automatically regenerated in 

a new print file for reprint. Exception - Intentionally diverted pieces due to a requirement for a product, which 

cannot be intelligently inserted and requires manual insertion such as a publication, can be sealed, re-scanned 

and placed back into production. These must be programmed diverts and sent to a separate bin for processing 

to ensure they are not mixed with other problem diverts and logged into the Audit system as such. 

(e) Exit Scanning: A camera system must be mounted just aft of the inserting equipment. This camera system must 

read a unique code through the window of each mail piece and be capable of identifying and reporting all 

missing notices that were lost or spoiled during production for each print order or mail date (if the print order 

requires multiple mail dates). This system ensures that no missing mail pieces have been inadvertently inserted 

into another mail piece. The equipment must check the mail pieces after insertion, verify that all leaves are 

accounted for, and divert any suspect product. During exit scanning, if a sequence number is missing, the notice 

prior to and immediately after must be diverted. The equipment must divert all products that exhibit missing or 

out of order sequence numbers and any other processing errors. All diverted pieces are to be automatically 

recorded and regenerated in a new print file for reprint. 

(f) Reconciliation: All notices and the amount of correct finished product must be electronically accounted for 

after insertion through the use of the audit system that is independent of the inserting equipment as well as 

independent of the operator. The sequence numbers for each file must be reconciled, taking into account any 

spoilage, duplicate, and/or diverted product. If the reconciliation yields divergent results, corrective action must 

be taken to locate the mail pieces that are causing any difference between the input and outputs of the inserting 

process. Therefore, all finished mail for that sequence run must be held in an accessible area until this 

reconciliation is complete. 

(g) Generate a new production file for all missing, diverted, or mutilated notices (reprint file). 
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(h) Contractor must generate an automated audit report from the information gathered from scanning for each print 

order and for each notice (manual inputs are not allowed). This audit report will contain detailed information 

for each notice as outlined below for each print order. Contractor must maintain this information for no less 

than 210 calendar days after mailing. 

(i) Audit report must contain the following information: 

1. Job name 

2. Mailer number, file date, and mail date(s) 

3. Machine ID 

4. Date of production with start and end times for each phase of the run (i.e., machine ID) 

5. Start and end sequence numbers in each run 

6. Status of all sequence numbers in a run 

7. Total volume in run 

8. Status report for all incidents for each sequence number and cause (e.g., inserted, diverted, and reason for 

divert such as missing sequence number, missing leaves, mutilated, duplicate, pulled for inspection). 

9. Bottom of audit report must contain total number of records for that run, quantity sent to reprint, number 

of duplicates, duplicates verified and pulled, and total completed. 

10. Audit report must contain the same information for all the reprints married with this report as listed above 

showing that all pieces for each print order are accounted for. (See Exhibit R, “Audit and Summary 

Reports.”) 

(j) Contractor must generate a final automated 100% accountability summary report for each print order. This 

information must be generated directly from the audit report (manual inputs are not allowed). 

The summary report must contain the following (see Exhibit R):

1. Job name 

2. Print order and mail date(s) (must show sequence numbers for each section, i.e., first pass and then reprints) 

3. Sequence number range for each print order and/or mail date

4. Volume of all sequence numbers associated with the print order and/or mail date were inserted. 

5. Volume of reprints that were inserted for each print order and/or mail date. 

6. Volumes for each file or print order and date that each print order or mail date was completed. 

A PDF copy of the summary report(s) and matching USPS 3607R and/or GPO 712 form(s) must be submitted

to SSA, Printing Management Branch (Exhibit K) for each file date within two (2) workdays of mailing.

Contractor must submit a sample of their Audit and Summary reports (see Exhibit R) with the required preaward 

production plans for approval. The audit team must approve the audit and summary reports prior to award. During 

the term of the contract, NO changes are to be made to the approved audit and summary reports without prior 

approval from the audit team. The contractor must submit in writing a request to make changes to the audit and 

summary reports, along with samples of the proposed audit and summary reports for review and approval.

Contractor must generate an automated audit report when necessary showing the tracking of all notices throughout 

all phases of production for each mail piece. This audit report will contain all information as outlined in item (i) 

above. Contractor is required to provide any requested Summary and/or Audit reports within one (1) hour of a

request via email in an MS Word, MS Excel, or PDF file.

All notice tracking/reporting data must be retained in electronic form for 210 calendar days after mailing and must

be made available to SSA for auditing of contractor performance upon request.
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NOTE: The Government will not as a routine matter request that the contractor produce individual pieces in transit 

within the plant, however, the contractor must demonstrate that they will have an audit trail established that has the 

ability to comply with this type of request when and if the need arises.

REQUEST FOR NOTICE PULLS FROM PRODUCTION: Due to the sensitivity of some of the notices in this 

contract, the Government may request that certain notices be removed from the production stream. When this 

occurs, the Government will supply the contractor with a list of Social Security Numbers (SSNs) or ID Codes that 

need to be pulled. The SSNs for each notice are contained in the Mail Run Data (MRD) File. 

The contractor must be able to run a sort to find and eliminate the notice from the production run. If the list is 

provided after the notice has been produced, the contractor must be capable of identifying the notice and pulling it 

from the production floor. It is anticipated that this will be an infrequent occurrence.

ON-SITE REPRESENTATIVES: One (1) or two (2) full-time Government representatives may be placed on the

contractor’s premises on a limited basis or throughout the term of the contract.

The contractor will be required to provide one private office of not less than 150 square feet, furnished with one 

desk, one swivel arm chair, telephone lines, internet access via wireless or Ethernet for two computers, two work 

tables, and two 4-drawer letter-size file cabinets with combination padlock and Pendaflex file folders or equal.

On-site representative(s) may be stationed at the contractor’s facility to: provide project coordination in receipt of 

transmissions; verify addresses; monitor the printing, imaging, folding, inserting, mail processing, quality control,

sample selections, and inspections; and monitor the packing and staging of the mail.

These representatives will not have contractual authority and cannot make changes in the specifications or in 

contract terms, but will bring any and all defects detected to the attention of the company Quality Control Officer. 

The representatives must have full and unrestricted access to all production areas where work on this program is 

being performed. 

POSTAWARD CONFERENCE: Unless waived by the Contracting Officer, the total requirements of the job as 

indicated in these specifications will be reviewed by Government representatives with the contractor’s 

representatives at the Social Security Administration, Baltimore, MD, immediately after award. NOTE: At the 

Government’s option, the postaward conference may be held via teleconference.

Person(s) that the contractor deems necessary for the successful implementation of the contract must be in 

attendance.

PREPRODUCTION MEETING: A preproduction meeting covering the printing, imaging, folding, inserting,

and mailing shall be held at the contractor’s facility after award of the contract to review the contractor’s production 

plan and to establish coordination of all operations. Attending this meeting will be representatives from the 

Government Publishing Office, Social Security Administration, and the U.S. Postal Service. The contractor shall 

present and explain their final plan for the printing, imaging, folding, inserting, and mailing.

NOTE: The Government reserves the right to waive the Preproduction Meeting. At the Government’s option, the 

preproduction meeting may be held via teleconference.

The contractor shall meet with SSA and USPS representatives to present and discuss their plan for mailing. The

preproduction meeting will include a visit to the contractor’s mailing facility where the contractor is to furnish

specific mail flow information.

In addition, the contractor shall be prepared to present detailed production plans, including such items as quality 

assurance, projected commencement dates, equipment loading, pallet needs, etc.
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Person(s) that the contractor deems necessary for the successful implementation of the contract must be in

attendance.

SSA may conduct unscheduled visits during the term of this contract at the contractor’s mailing facility. In addition, 

sample postage documentation must be submitted to SSA, emailed to SSA, Mail & Postal Policy (see Exhibit K) 

after the contract award that will detail the amount of mail submitted to USPS verifying the date released and 

detailing the cost and volume of 1 and 2-ounce mail. 

The contractor must present documentation of the plant loading agreement and either a copy of the optional 

procedure, which has been negotiated with the USPS, or a draft of the original procedure that the contractor intends 

to negotiate with the USPS for SSA approval. The contractor also needs to present SSA with a copy or a draft of 

the manifest (tracking system) to be used to accomplish the above. 

The contractor is to provide the name of the representative responsible for the mailing operation and that 

individual’s backup. 

ASSIGNMENT OF JACKET, PURCHASE ORDER, TASK ORDERS, AND PRINT ORDERS: A GPO

jacket number will be assigned and a purchase order issued to the contractor to cover work performed. The purchase 

order will be supplemented by an individual daily “Task Order” for each job placed with the contractor. A print 

order will be issued weekly and will indicate the total number of task orders placed and the total number of 

notices produced that week. The print order will also indicate any other information pertinent to the particular 

order.

ORDERING: Items to be furnished under the contract shall be ordered by the issuance of weekly print orders 

supplemented by daily electronic task orders. Orders may be issued under the contract from September 1, 2022

through August 31, 2023, plus for such additional period(s) as the contract is extended. All print orders and task 

orders issued hereunder are subject to the terms and conditions of the contract. The contract shall control in the 

event of conflict with any print order or task order. 

Task orders will be “issued” daily for purposes of the contract and shall detail the daily volume of notices required. 

A print order (GPO Form 2511) will be used for billing purposes, will be issued weekly, and will cover all daily

task orders issued that week. A print order or task order shall be “issued” upon notification by the Government for 

purposes of the contract when it is electronically transmitted or otherwise physically furnished to the contractor in 

conformance with the schedule. 

REQUIREMENTS: This is a requirements contract for the items and for the period specified herein. 

Shipment/delivery of items or performance of work shall be made only as authorized by orders issued in

accordance with the clause entitled “ORDERING.” The quantities of items specified herein are estimates only

and are not purchased hereby. Except as may be otherwise provided in this contract, if the Government’s

requirements for the items set forth herein do not result in orders in the amounts or quantities described as

“estimated,” it shall not constitute the basis for an equitable price adjustment under this contract.

Except as otherwise provided in this contract, the Government shall order from the contractor all the items set 

forth which are required to be purchased by the Government activity identified on page 1.

The Government shall not be required to purchase from the contractor, requirements in excess of the limit on total

orders under this contract, if any.

Orders issued during the effective period of this contract and not completed within that time shall be completed 

by the contractor within the time specified in the order, and the rights and obligations of the contractor and the 

Government respecting those orders shall be governed by the terms of this contract to the same extent as if 

completed during the effective period of this contract.
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If shipment/delivery of any quantity of an item covered by the contract is required by reason of urgency prior to 

the earliest date that shipment/delivery may be specified under this contract, and if the contractor will not accept 

an order providing for the accelerated shipment/delivery, the Government may procure this requirement from 

another source.

The Government may issue orders which provide for shipment/delivery to or performance at multiple 

destinations.

Subject to any limitations elsewhere in this contract, the contractor shall furnish to the Government all items set 

forth herein which are called for by print orders issued in accordance with the “ORDERING” clause of this contract.

PRIVACY ACT NOTIFICATION: This procurement action requires the contractor to do one or more of the 

following: design, develop, or operate a system of records on individuals to accomplish an agency function in 

accordance with the Privacy Act of 1974, Public Law 93-579, December 31, 1974 (5 U.S.C. 552a) and applicable 

agency regulations. Violation of the Act may involve the imposition of criminal penalties as stated in 5 U.S.C. 552a 

(i)(1) CRIMINAL PENALTIES. It is incumbent upon the contractor to inform its officers and employees of the 

penalties for improper disclosure imposed by the Privacy Act of 1974, 5 U.S.C. 552a, specifically, 5 U.S.C. 552a 

(i)(1) CRIMINAL PENALTIES and m(1) GOVERNMENT CONTRACTORS.

PRIVACY ACT

(a) The contractor agrees:

(1) to comply with the Privacy Act of 1974 and the rules and regulations issued pursuant to the Act in the 

design, development, or operation of any system of records on individuals in order to accomplish an agency 

function when the contract specifically identifies (i) the system or systems of records and (ii) the work to 

be performed by the contractor in terms of any one or combination of the following: (A) design, (B) 

development, or (C) operation;

(2) to include the solicitation notification contained in this contract in every solicitation and resulting 

subcontract and in every subcontract awarded without a solicitation when the statement of work in the 

proposed subcontract requires the design, development, or operation of a system of records on individuals 

to accomplish an agency function; and

(3) to include this clause, including this paragraph (3), in all subcontracts awarded pursuant to this contract 

which require the design, development, or operation of such a system of records.

(b) In the event of violations of the Act, a civil action may be brought against the agency involved where the 

violation concerns the design, development, or operation of a system of records on individuals to accomplish 

an agency function, and criminal penalties may be imposed upon the officers or employees of the agency where 

the violation concerns the operation of a system of records on individuals to accomplish an agency function. 

For purposes of the Act when the contract is for the operation of a system of records on individuals to 

accomplish an agency function, the contractor and any employee of the contractor is considered to be an 

employee of the agency.

(c) The terms used in this clause have the following meanings:

(1) “Operation of a system of records” means performance of any of the activities associated with maintaining 

the system of records including the collection, use, and dissemination of records.
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(2) “Record” means any item, collection or grouping of information about an individual that is maintained by 

an agency, including, but not limited to, his education, financial transactions, medical history, and criminal 

or employment history and that contains his name, or the identifying number, symbol, or other identifying 

particular assigned to the individual, such as a finger or voice print or a photograph.

(3) “System of records” on individuals means a group of any records under the control of any agency from 

which information is retrieved by the name of the individual or by some identifying number, symbol, or 

other identifying particular assigned to the individual.

ADDITIONAL EMAILED BID SUBMISSION PROVISIONS: The Government will not be responsible for any 

failure attributable to the transmission or receipt of the emailed bid including, but not limited to, the following:

1. Illegibility of bid.

2. Emails over 75 MB may not be received by GPO due to size limitations for receiving emails.

3. The bidder’s email provider may have different size limitations for sending email; however, bidders are 

advised not to exceed GPO’s stated limit.

4. When the email bid is received by GPO, it will remain unopened until the specified bid opening time. 

Government personnel will not validate receipt of the emailed bid prior to bid opening. GPO will use the 

prevailing time (specified as the local time zone) and the exact time that the email is received by GPO’s 

email server as the official time stamp for bid receipt at the specified location.

PAYMENT: Submitting invoices for payment via the GPO fax gateway (if no samples are required) utilizing the 

GPO barcode coversheet program application is the most efficient method of receiving payment. Instruction for 

using this method can be found at the following web address:

http://winapps.access.gpo.gov/fms/vouchers/barcode/instructions.html. 

Invoices may also be mailed to: U.S. Government Publishing Office, Office of Financial Management, Attn: 

Comptroller, Stop: FMCE, Washington, DC 20401. 

For more information about the billing process, refer to the General Information of the Office of Finance web page 

located at: https://www.gpo.gov/how-to-work-with-us/vendors/how-to-get-paid

Contractor’s billing invoice must be itemized in accordance with the items in the “SCHEDULE OF PRICES.”
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SECTION 2 – SPECIFICATIONS

SCOPE: These specifications cover the production of two (2) workloads consisting of personalized English 

notices, personalized Spanish notices, Domestic and Foreign notices and mail-out envelopes requiring such

operations as: the receipt and processing of transmitted data; re-development of Advanced Function Presentation 

(AFP) (Mixed Mode or Fully Composed) printing platform; composition; printing/imaging; binding; construction;

inserting; packing; and distribution.

TITLE: MySocialSecurity Notices and T2COA Notices.

WORKLOADS:

Mailer 1: MySocialSecurity Notices

Mailer 2: T2COA Notices

NOTE: During the term of this contract, the Government expects to develop new notice workloads with the 

same requirements as the mailing packages described by these specifications. All terms and conditions in these 

specifications will apply to any future notice workloads. It is estimated that approximately one (1) to three

(3) new notice workloads may be added during the term of this contract.

FREQUENCY OF ORDERS:

An electronic task order will be issued daily.

A print order will be issued weekly and will indicate the total number of task orders placed and total number of

copies produced that week. 

A separate print order will be issued for proofs; for the transmission, preproduction validation, and preproduction

press and mail run tests; and for any test during the term of the contract.

QUANTITY: The total requirement of this contract is approximately 15,800,000 notices per year broken down 

by mailer as follows –

Mailer 1: Approximately 14,400,000 notices per year.

Mailer 2: Approximately 1,400,000 notices per year.

The Government reserves the right to increase or decrease by up to 25% the total number of notices ordered 

annually. This 25% includes the additional notices occasioned by the one (1) to three (3) new notices workloads 

developed during the term of this contract.

The figures specified under “MAKE-UP OF MAILERS” show the minimum and maximum quantities required

daily for the notices, number of printed pages in a notice (notices are duplex printed), and how the notice is to be

folded. Exact quantities will not be known until each run is electronically transmitted to the contractor. (NO

SHORTAGES WILL BE ALLOWED.)

NUMBER OF PAGES:

Notices: 2 to 10 pages (1 to 5 leaves) per notice.

Envelopes: Face and back (after manufacture).
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TRIM SIZES:

Personalized Notices: 8-1/2 x 11”.

Mail-out Envelopes: 4-1/8 x 9-1/2” (No. 10) plus flap.

MAKE-UP OF MAILERS:

MySocialSecurity Notices:

DATA SET NAME*: BTI.vendor.ROMAFP.M1*****.Ryymmdd

Daily Minimum: 9,060

Daily Maximum: 100,000

Printed Pages: 2 to 4

Leaves: 1 or 2

Inserts: Personalized English Notice

Mail-out envelope

Folding: Trifold

T2 COA Notices:

DATA SET NAME*: BTI.vendor.T2RAFP.M2*****.Ryymmdd

Daily Minimum: 855

Daily Maximum: 10,000

Printed Pages: 2 to 4

Leaves: 1 or 2

Inserts: Personalized English and Bilingual Spanish/English notices

Mail-out envelope

Folding: Trifold

New Notice Workloads:

These new mailers could be English or Spanish only or bilingual Spanish/English notices. Notices will consist of 2

to 10 printed pages. All notice and envelope requirements will match those specified herein for the Notices.

DATA SET NAME*: BTI.vendor.***AFP.M3#aaaaa.Ryymmdd

The file names/data set names for each new notice workload will be supplied to the contractor as they are 

developed.

Daily Minimum: 20

Daily Maximum: 25,000

Printed Pages: 2 to 10

Leaves: 1 to 5

Inserts: Personalized Notice

Mail-out envelope

Folding: Trifold

The data set names listed above (and throughout these specifications) are not the final data set names that will 

be transmitted to the contractor. Final data set names for MySocialSecurity and T2COA notices will be supplied

to the contractor at the postaward conference, or shortly thereafter.
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PREMIUM PAYMENTS: The maximum number of notices transmitted from SSA to the contractor per day is

101,272. If the figure is exceeded by up to 25%, the contractor will receive a “Premium Payment” of 15% (for 

those extra notices only) on their submitted bid prices for line items IV. (b) and VI. in the “SCHEDULE OF 

PRICES.” NOTE: No additional time will be allowed for the mailing of these additional notices.

Any premium payment will be forfeited if the contractor fails to meet the contracted production schedule.

GOVERNMENT TO FURNISH:

Manuscript copy for one (1) mail-out envelope.

Electronic files (see “ELECTRONIC FILES”).

At the Government’s option, camera copy or electronic files (PostScript format) for the recycled paper logo and

legend may be furnished for the notices and envelopes.

PS Form 3615 (Mailing Permit Application and Customer Profile). 

National Change of Address (NCOA) Certificate.

Coding Accuracy Support System (CASS) Certificate.

Postage and Fee Paid Mailing Indicia.

Official Government Postage Meter head only (not the machine base). All meter equipment and supplies must be 

borne by the contractor.

Identification markings such as register marks, commercial identification marks of any kind, etc., except GPO 

imprint, form number, and revision date, carried in the furnished electronic files or furnished copy, must not print 

on the finished product.

EXHIBITS:

Exhibit A: Form SSA-301, Contractor Personnel Security Certification

Exhibit B: SSA External Service Provider Additional Security Requirements

Exhibit C: Security Assessment Report (SAR) Template

Exhibit D: Risk Assessment Report (RAR) Template

Exhibit E: Externally Hosted Information System Plan ((ESP) Template FY17 

Exhibit F: General Records Schedule 4.2, Information Access and Protection Records

Exhibit G: Clause 2352.224-2B: Worksheet for Reporting Loss or Suspected Loss of Personally Identifiable 

Information (May 2019)

Exhibit H: Declaration for Federal Employment (Optional Form 306)

Exhibit I: Fair Credit Reporting Act (FCRA) Authorization Form

Exhibit J: Additional Questions for Public Trust Positions Branching

Exhibit K: Key SSA and GPO Personnel Contact Information

Exhibit L: Questionnaire for Public Trust Positions (SF85P)

Exhibit M: Fingerprint Card (FD-258)

Exhibit N: Contractor Personnel Rollover Request Form

Exhibit O: Form SSA-222

Exhibit P: Computer System Plan

Exhibit Q: 3PAO-Obligations-and-Performance-Guide v1.0

Exhibit R: Audit and Summary Reports
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Exhibit S: Mail Run Data (MRD) File

Exhibit T: MVRP Request Letter

Exhibit U: Postage Meter Activity Log

ELECTRONIC FILES: All files will be electronically transmitted to the contractor and contain a complete record 

for each notice. Any programming or other format changes necessitated due to the contractor’s method of 

production will be the full responsibility of the contractor and must be completed prior to SSA’s validation. All 

files transmitted by SSA will be physical sequential Advanced Function Presentation (AFP; Mixed Mode or Fully 

Composed). Any alteration of the notice content in the file is not permitted. The contractor must not merge file 

dates and mailers (if applicable) during processing, printing/imaging, and mailing. 

NOTE: During the course of this contract, the Government’s intention is to convert all AFP mixed mode mailers 

to AFP fully composed. The print contractor will be responsible to ensure they are capable of programming 

required for AFP fully composed.

The contractor must not compress files in processing data for this contract.

The contractor will receive three (3) files for each print file: Advanced Function Presentation (AFP; Mixed Mode

or Fully Composed) file, the Mail Run Data (MRD) file, and the Banner (BNR) file, similar to the following: 

AFP file = vendor***AFP.M01xaaaaa.Ryymmdd 

MRD file = vendor***MRD.M01xaaaaa.Ryymmdd 

BNR file = vendor***BNR.M01xaaaaa.Ryymmdd

NOTE: AFP files can be Mixed Mode or Fully composed; contractor must be able to handle both formats.

Files provided to the contractor must be retained for 21 workdays after mailing (before destruction). 

The MRD file will contain all information relevant to each mail piece. This would include, for each mail piece, the 

unique alpha/numeric identifier (the sequential number of the document), the number of sheets of paper, recipient’s 

address, and USPS Intelligent Mail Barcode (IMb). (See Exhibit S for MRD file record layout.) 

The BNR file contains information for setting up the intelligent inserters such as file totals and number of mail 

packets. 

The contractor will receive a daily electronic task order each morning after transmission with the volumes for 

notices, leaves, and pages. 

Prior to the commencement of production of orders placed under this contract, the Government will furnish 

preproduction electronic test files shortly after the postaward conference that are to be used in performing the 

various preproduction validation tests and the preproduction press and mail run tests. 

Files will be in print image format and in ZIP Code sequence. Contractor will be required to sort files as necessary 

to obtain maximum USPS Postal discounts (i.e., leaf counts or mail weight). Any alteration of the notice content in 

the file is not permitted. 

Whenever the contractor makes a change in the programming, the contractor is required to execute a selfcertification statement specifying the date of the last programming change. Prior notification of a programming 

change is required in addition to the self-certification statement for the contractor to schedule a validation test with 

SSA. 
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The contractor shall notify SSA of any reprogramming and/or reformatting of data supplied by transmission 

necessitated due to the contractor’s method of production. 

All data provided by the Government or duplicates made by the contractor and any resultant printouts must be 

accounted for and kept under strict security to prevent their release to any unauthorized persons. Data may not be 

duplicated in whole or in part for any other purpose than to create material to be used in the performance of this 

contract. 

Any duplicate data and any resultant printouts must be destroyed by the contractor upon completion of each order. 

PRINTER RESOURCES: AFP

SSA will provide the Advanced Function Presentation (Mixed Mode or Fully Composed) resources for notice 

workloads. These resources will be provided to the contractor via transmission or email shortly after the postaward 

conference. (The test files are to be used in the preproduction press and mail run test (see “PREPRODUCTION 

TESTS, Preproduction Press and Mail Run Test”).) SSA will also provide test files for transmission with samples 

of each workload to enable the start of the validation process. 

These compliances relate solely to interpreting and printing files to be provided to the contractor by SSA, to ensure 

that the contractor is able to print the files as provided without alteration of any kind on the part of SSA. It is solely 

the contractor’s responsibility to re-develop/re-program the AFP resources and MRD file to ensure proper printing 

and inserting in their environment. 

The contractor will be responsible for maintaining the AFP resources on each system that processes SSA’s notices. 

SSA will provide updated resources electronically, as necessary. 

Government to provide the following at the postaward conference, or shortly thereafter: 

Print Resource Library (AFP) via Email: Advanced Function Presentation resources including page and form 

definitions, fonts, page segments, and overlays (if applicable) for page formatting. 

NOTE: The resource file will contain all fonts except licensed fonts, required to print this file. SSA will supply 

any customized fonts. It is the contractor’s responsibility to provide all licensed fonts necessary for printing. 

Preproduction Press and Mail Run Test Files for Transmission: An AFP formatted print file with the 

corresponding Mail Run Data File and Banner file will be supplied for workload in the quantities required. 

Revised Resource Library (AFP) via Email (when applicable): AFP print resources, overlays, page segments, and 

non-standard fonts provided shortly after the postaward conference may change during the term of the contract, in 

which case SSA will provide revised AFP resource file(s) via email to the contractor as a replacement(s). 

The contractor is cautioned that there may be a signature change(s) during the term of this contract. If this occurs, 

SSA will provide the contractor with a new AFP resource file. 

CONTRACTOR TO FURNISH: All materials and operations, other than those listed under “GOVERNMENT 

TO FURNISH,” necessary to produce the product(s) in accordance with these specifications.

Secure File Transfer Protocols (SFTP) Site: Contractor is required to set up, establish and maintain a Secure File

Transfer Protocol SFTP site that multiple users at SSA can access for passing PDF notice validation samples 

containing PII to SSA and back. Contractor cannot send PDF notices with PII via email.

Contractor must have programmer(s) capable of handling AFP resources.
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FILE TRANSFER MANAGEMENT SYSTEM (FTMS) REQUIREMENTS: The contractor must provide the 

capability to interface with SSA’s National FTMS for electronic transmission of designated files from SSA to the 

production facility. SSA will provide the necessary data connection into the contractor’s location. At the discretion 

of SSA, the line speed may be either increased or decreased depending on utilization. The contractor must provide, 

at their expense, the equipment and operating software platform and the file transfer software required at their 

location. The contractor assumes all responsibility for configuration, maintenance, and troubleshooting of their 

equipment and software. 

SSA utilizes, and the contractor must provide compatibility with TIBCO’s Managed File Transfer Platform Server.

The personal computers/servers must have the capability to run Managed File Transfer software with encryption 

enabled using IP protocols on Windows, UNIX (i.e., IBM’s AIX, SUN, or HP), or z/OS platforms. 

SSA will not permit any private class A, B, or C IP addresses, i.e., 10.xxx.xxx.xxx type IP addresses from external 

users, on its network. At connection time to SSA, the contractor will be provided a suitable IP address for access 

to SSA’s network via a firewall. SSA will provide the necessary subnet(s) for connection at the remote site. The 

contractor will be responsible for their own name/address translation to fulfill the intended purpose of data transfers. 

SSA will provide Managed File Transfer node information to the contractor as required to accomplish file transfers. 

The contractor may determine the media type on which files from SSA will be received, to the extent that operator 

intervention (e.g., a tape mount) is not required at SSA or the contractor’s production facility. Simultaneous multiple 

transmission sessions must be possible on the contractor’s equipment. All files transmitted by SSA will be written 

as Physical Sequential or “flat” files at the contractor’s location and will be distinguished with a “run date” in the 

contractor’s file name. 

Virtual Storage Access Method files and Generation Data Groups, supported by IBM/MVS or IBM z/OS operating 

systems are not permitted under this contract. The contractor’s storage format must not preclude the availability of 

the Managed File Transfer Platform Server software’s Checkpoint/Restart feature. 

The contractor may not use VM/VSE/ESA on a mainframe system as this hinders automated file transmission. 

The contractor’s FTMS software must be operational for the receipt of data files 24 hours a day, seven (7) days a 

week, unless otherwise specified by the Government. The communications protocol between SSA and the 

contractor must be the Internet Protocol (IP). The contractor must specify the type Local Area Network (LAN) 

connection that will be used at the location where the SSA connection is to be installed. The contractor is responsible 

for providing complete hardware and software compatibility with SSA’s existing network. Production file transfers 

will be established according to SSA’s standard procedures for transmission control, dataset naming, and resource 

security. The contractor’s file management system must accommodate multiple file transmission sessions without 

intervention at either end. The contractor must have sufficient capacity to support the number of concurrent 

transmission file sessions as directed by SSA. 

The above will apply, regardless of the number of workloads transmitted to the contractor daily. If the contractor 

is awarded multiple SSA notice workloads, there must be sufficient capacity at the contractor’s production facility 

to accept transmission of all files according to their schedules. 

Transmission of production files must be the standard, automated technique. In the event that the transmission 

network is unavailable for a time period deemed critical by the Government, the files may (at the Government’s 

option) be processed at the SSA print/mail facility. 

In the event any transmission cannot be processed due to media problems, the contractor must notify SSA within 

two (2) hours of receipt. 
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In the event any transmissions cannot be processed due to link problems or data transmission circuit/connection 

outages, the contractor must notify SSA’s HELP DESK operations immediately at (877) 697-4889 and report 

required observations and findings. The contractor must notify SSA of any reprogramming and/or reformatting of 

data supplied by transmission necessitated due to the contractor’s method of production, within two (2) hours of 

receipt of the data. It is the contractor’s responsibility to notify SSA when systems or connection problems arise 

and transmission cannot take place. 

All data provided by the Government or duplicates made by the contractor and any resultant printouts must be 

accounted for and kept under strict security to prevent their release to any unauthorized persons. Data may not be 

duplicated in whole or in part for any other purpose than to create material to be used in the performance of this 

contract. Any duplicate data and any resultant printouts must be destroyed by the contractor. Data provided to the 

contractor must be retained for 21 workdays after mailing. 

PREPRODUCTION TESTS: Prior to the commencement of production of orders placed under this contract, the 

contractor will be required to demonstrate their ability to perform to the contract requirements by performing the 

following tests:

▪ Transmission Test

▪ Preproduction Validation Test

▪ Preproduction Press and Mail Run Test

▪ Programming a New Notice or Notice Change/Signature Validation Test/New and Existing Notice Files 

Validation Test

The Government will furnish electronic test files at the postaward conference, or shortly thereafter, to be used in 

performing the Transmission Test, Preproduction Validation Test, Preproduction Press and Mail Run Test, and the 

Notice Change/Signature Validation Test.

Failure of the contractor to perform any of the below tests satisfactorily may be cause for default. 

The Government reserves the right to waive the requirements of any of these tests. The contractor will be notified 

at the postaward conference if any test(s) is to be waived. 

The contractor will be required to have all material necessary to perform these tests. 

Transmission Test: After the appropriate VPN connection has been installed, the contractor will be required to 

receive within one (1) workday approximately 110,000 notices. Notices will consist of 1 or 2 printed pages. 

The contractor will be required to perform a record count verification (broken down by data set name) the same

workday of the complete transmission of the test files, before proceeding with any other processing. 

Additionally, the contractor must provide a timeline showing how long it took to receive the test files. 

The contractor will be required to copy the files to their own system and provide to SSA, Printing Management 

Branch (see Exhibit K) with the exact counts received (broken down by data set name) before proceeding with any 

other processing. 

SSA will respond within one (1) workday of receipt thereof. 

Preproduction Validation Test: When the count verification has been successfully completed, the contractor will 

be required to provide SSA, within five (5) workdays of receipt of test files, no less than 101 samples of the 

completed product. 

Notices must be complete, include all variable data from the Government furnished files, and be inserted into mailout envelopes. Seal envelopes. 
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Contractor to submit these test samples to:

▪ 100 Samples - SSA, Printing Management Branch (see Exhibit K). 

▪ One (1) Sample - Social Security Administration Wilkes-Barre Direct Operations Center (see Exhibit K). 

The Government will approve, conditionally approve, or disapprove the samples within five (5) workdays of receipt 

thereof. Approval or conditional approval shall not relieve the contractor from complying with the specifications 

and all other terms and conditions of the contract. A conditional approval shall state any further action required by 

the contractor. A notice of disapproval shall state the reasons thereof. 

If errors are found, additional samples of notices (25 samples) will be required until such time as the validation 

produces no errors. 

If required due author’s alterations or contractor’s error, the contractor must submit 25 revised samples within

five (5) workdays of notification. The Government will approve, conditionally approve, or disapprove the

preproduction validation test samples within three (3) workdays of receipt thereof.

All samples must be manufactured at the facilities and on the equipment in which the contract production quantities 

are to be manufactured. 

Preproduction Press and Mail Run Test (24-Hour Test): Prior to commencement of production on the contract, 

the contractor will be required to perform a 24-hour preproduction press and mail run test. 

The contractor will be issued a print order for the Preproduction Press and Mail Run Test. The test is to be performed 

within 90 workdays prior to the start of live production.

Government representatives will witness all phases of the Preproduction Press and Mail Run Test. The contractor 

must produce a sufficient amount of notices that will prove to the Government representatives that the contractor 

can satisfactorily complete the requirements of this contract during live production.

Upon successful completion of all test requirements, the contractor will be reimbursed for all applicable costs in 

accordance with the applicable line items in the “SCHEDULE OF PRICES.” If the contractor fails to meet all test 

requirements, they will not be reimbursed for any associated costs. 

The Government will furnish preproduction test files. The contractor will be required to have all composition, 

proofing, envelopes, scanning equipment, and reports for 100% accountability of production and mailing, 

completed, available, and ready for production prior to the beginning of the test. Notices are to be completed in 

accordance with contract requirements, inserted into envelopes, and prepared for mailing. 

NOTE: If a subcontractor is utilized for the presorting and/or mailing of the notices of this contract, the 24-hour 

test must include the use of the subcontractor’s facility. No additional time will be allowed for the transportation

and handling of the notices to and from this facility. Contractor will be required to provide the necessary audit and 

summary reports for 100% accountability of production and mailing within one (1) hour after the run is completed. 

The contractor must produce a minimum of 110,000 notices in a continuous 24-hour period that will prove to

the Government representatives that the contractor can satisfactorily complete the requirements of this contract

during live production.

The 24-hour period for the printing process will begin when an “O.K. to Print” is given by the Government 

representative on site. The 24-hour period for the inserting and mailing process will begin within two (2) 

hours after the start of the printing to allow the contractor to print sufficient materials to begin the inserting 

process. See “SCHEDULE” for the Preproduction Press and Mail Run Test.
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The test run will incorporate all aspects of the program consisting of the processing of the electronically 

transmitted test files; the duplex printing and imaging of notices; gathering; folding; inserting; manifesting; 

presorting; and preparing finished notices for delivery to the USPS. To simulate actual production conditions, the

product to be produced must be in accordance with all contract specifications and all USPS regulations.

The contractor must perform the preproduction press and mail run test on their equipment and using their 

personnel. The test must be performed on the printing equipment and inserting machines with required scanning

equipment that will be used in live production. All samples shall be manufactured at the facilities in which the 

contract production quantities are to be manufactured.

Samples of the preproduction press and mail run test will be brought back to SSA for validation. 

The Government will approve, conditionally approve, or disapprove the validation output within seven (7) 

workdays of receipt thereof. Approval or conditional approval shall not relieve the contractor from complying

with the specifications and all other terms and conditions of the contract. A conditional approval shall state any

further action required by the contractor. A notice of disapproval shall state the reasons thereof.

The contractor must perform the same Preproduction Press and Mail Run Test at their backup facility within one 

(1) week of passing the test at the primary contractor’s facility. 

Failure to meet the requirements of the 24-hour test is grounds to immediately terminate the contractor for

default.

New Notice or Notice Change/Signature Validation Test/New and Existing Notice Files Validation Test When

required, the Government will furnish test files for transmission that are to be used in performing a New Notice 

or Notice Change/Signature Validation Test/New and Existing Notice Files Validation Test. This test is required

whenever SSA initiates a systems/programming change or a new notice workload is developed or existing notice 

workload is changed. 

The contractor shall furnish up to 20 printed/imaged samples (no envelopes) within five (5) workdays of receipt 

of changes.

Contractor to submit these samples to SSA, Printing Management Branch (see Exhibit K).

The Government will approve, conditionally approve, or disapprove the samples from the Systems

Change/Signature Change Validation Test within five (5) workdays of receipt thereof.

NOTE: The test shall occur without a break in production of notices. The Government will inform the contractor

in advance when the transmissions will contain the systems changes.

COMPOSITION: Contractor will be required to set up to six (6) lines of type on the face of the mail-out envelope 

(return address, “Business Use Penalty,” SSA G-11 postal indicia, USPS ancillary “RETURN SERVICE

REQUESTED”), up to two (2) lines of type on the envelope flap, and any other markings that SSA may require. 

Helvetica or similar typeface will be utilized.

Century Schoolbook, Sonoran Serif, or equivalent fonts are to be used for producing the notices.

Social Security Administration will provide the required font numbers. The contractor will be required to validate 

that they have the proper licenses for each. No alternate typefaces will be allowed; however, manufacturers’ generic

equivalents may be accepted (upon Government approval) for the above typefaces.

Contractor must provide the font for Intelligent Mail Barcode (IMb).
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PROOFS (Notices and Envelopes): Proofs will be required with the first order and any time that a copy change 

may be required during the term of the contract. 

Proofs will be required for ALL envelopes. Proofs will be required for only 50 random notices to include both 

static matter and variable information. Contractor to randomly select 50 notices from transmitted files. 

One (1) press quality Adobe Acrobat (most current version) PDF soft proof (for content only - showing all elements)

using the same Raster Image Processor (RIP) that will be used to produce the final printed product. PDF proof will 

be evaluated for text flow, image position, and color breaks. Proof will not be used for color match. Proof must 

show all margins and dimensions, indicate trim marks, show flap, and show window size and placement. 

SSA reserves the right to make changes to all proofs. The Government may require one (1) or more sets of revised 

proofs before rendering an “O.K. to Print.” Author’s Alterations (AA’s) may be required.

If any contractor’s errors are serious enough in the opinion of the GPO to require revised proofs, the revised 

proofs are to be provided at no expense to the Government. No extra time can be allowed for this reproofing; 

such operations must be accomplished within the original production schedule allotted in the specifications.

The contractor must not print prior to receipt of an “O.K. to Print.”

STOCK/PAPER: The specifications of all paper furnished must be in accordance with those listed herein or listed for the 

corresponding JCP Code numbers in the “Government Paper Specification Standards No. 13” dated September 2019.

Government Paper Specification Standards No. 13 - https://www.gpo.gov/docs/default-source/forms-and-standards-files-forvendors/vol_13.pdf.

All paper used in each copy must be of a uniform shade.

Personalized Notices (at contractor’s option): White Uncoated Text, basis weight: 50 or 60 lbs. per 500 sheets, 25

x 38”, equal to JCP Code A60; or, White Writing, basis weight: 20 lbs. per 500 sheets, 17 x 22”, equal to JCP Code 

D10.

Mail-Out Envelopes (at contractor’s option): White Writing Envelope, basis weight: 20 or 24 lbs. per 500 sheets,

17 x 22”, equal to JCP Code V20; or, White Uncoated Text, basis weight: 60 lbs. per 500 sheets, 25 x 38”, 

equal to JCP Code A60.

PRINTING/IMAGING: Contractor will be required to convert furnished data from electronic transmission for 

either laser/ion deposition or inkjet printing. All printing/imaging shall have a minimum resolution of 600 x 600 dpi.

The Government reserves the right to make changes to the envelopes at any time during the term of the contract. 

Notification of a proposed change will be given with sufficient time for the contractor to allow for the change and

submit proofs to the Government.

Notices – Print notices duplex (face and back, head-to-head) in black ink only. Printing consists of text and line 

matter. Image notices duplex in black. Imaging consists of text and line matter.

Notices must appear exactly as approved during validation. Absolutely no deviation will be accepted.

Mail-out Envelopes – Print face and back (after manufacture) in black ink only. Printing consists of text and line 

matter and barcode. 

Printing shall be in accordance with the requirements for the style envelope ordered. All printing shall comply with 

all applicable U.S. Postal Service regulations. The envelope shall accept printing without feathering or penetrating 

to the reverse side.
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Mail-out envelopes require a security tint printed on the inside (back - before manufacture) in black ink. Contractor

may use their own design but must guarantee that the product will ensure complete opacity and prevent show

through of any material contained therein.

RECYCLED PAPER LOGO: See Government Paper Specifications Standards No. 13 for recycled content 

requirements. If recycled paper is used for the mail-out envelope, the recycled paper logo and legend must print 

in black ink on the back of the mail-out envelope (after manufacture) in the bottom left hand corner.

PRESS SHEET INSPECTION: Final makeready press sheets may be inspected and approved at the contractor’s

plant for the purpose of establishing specified standards for use during the actual press run. Upon approval of

the sheets, contractor is charged with maintaining those standards throughout the press run (within QATAP

tolerances when applicable) and with discarding all makeready sheets that preceded approval. When a press

sheet inspection is required, it will be specified on the individual print order See GPO Publication 315.3 (Guidelines 

for Contractors Holding Press Sheet Inspections) issued January 2015. NOTE: A press sheet inspection is for the

purpose of setting specific standards that are to be maintained throughout the entire run. It does not constitute a

prior approval of the entire run.

Press sheets must contain control bars for each color of ink on the sheet. Control bars must be placed parallel to 

the press’s ink rollers. The control bars (such as BRUNNER, GATF, GRETAG, or RIT) must show areas 

consisting of 1/8 x 1/8” minimum solid color patches; tint patches of 25, 50, and 75%; dot gain scale; and gray 

balance patches for process color (if applicable). These areas must be repeated across the entire press sheet.

Viewing Light: Press sheets will be viewed under controlled conditions with 5000 degrees Kelvin overhead 

luminaries. The viewing conditions must conform to ISO 3664-2009; a viewing booth under controlled conditions 

with 5000 degrees Kelvin overhead luminaries with neutral gray surroundings must be provided.

MARGINS: Margins will be as indicated on the print order, furnished copy, or furnished electronic file.

BINDING (Notices): Trim four sides.

CONSTRUCTION (Mail-out Envelope): Envelopes are open side, with gummed, fold-over flap for sealing and 

contain high-cut diagonal seams or double side seams, at contractor’s option. Flap depth is at contractor’s option

but must comply with all USPS requirements. Flap must be coated with suitable glue that will securely seal the

envelope without adhering to contents, not permit resealing of the envelope and permit easy opening by the recipient.

Face of envelope to contain one (1) die-cut address window (1-1/2 x 4-1/4” in size) with slightly rounded corners. 

Die-cut window is to be located 5/8” from the bottom edge of the envelope and 3/4” from the left edge of the

envelope (the long dimension of the window is to be parallel to the long dimension of the envelope). NOTE: 

Contractor has the option to adjust the size and placement of the window opening (subject to Government

approval), providing the visibility of the computer-generated mailing address and barcode on the notice are not

obscured, and other extraneous information is not visible when material is inserted into the envelope.

Window is to be covered with a suitable, transparent, low-gloss poly-type material that must be clear of smudges, 

lines, and distortions. Poly-type material must be securely affixed to the inside of the envelope so as not to 

interfere with insertion of contents. Window material must meet the current USPS readability 

standards/requirements.
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NOTE: The Government reserves the right to make changes to the size and position of mail-out envelope window 

openings during the term of the contract to comply with the USPS new Intelligent Mail Barcode. Notification of a 

proposed change will be given with sufficient time for the contractor to allow for the change and submit proofs to

the Government. Therefore, the contractor should not preprint or maintain more than a 90-day surplus/inventory

of any of the mail-out envelopes required on this contract. The Government shall not be required to purchase from 

the contractor the surplus/inventory of any of the mail-out envelopes remaining on hand in excess of what was 

authorized when an envelope change is implemented.

GATHERING AND INSERTING: Gather all pages in the notice in numerical sequence. Notices are to be

nested together with all faces forward. Fold from a flat size of 8-1/2 x 11” down to 8-1/2 x 3-11/16, recipient 

name/address out. Either wraparound or accordion folds are acceptable.

Insert into mail-out envelope with recipient’s name and address on first page facing out for visibility through 

window envelope.

It is the contractor’s responsibility to assure that only the computer-generated address and Intelligent Mail 

Barcode on the notice will be visible through the window in the envelope and that only one notice is inserted into 

each envelope.

Seal envelopes.

PACKING:

Delivered Shipments – Pack suitable in shipping containers not to exceed 45 pounds when fully packed. All 

shipments which fill less than a shipping container must be packaged with materials of sufficient strength and 

durability, and in such a manner that will guarantee that the containers will not be damaged and the containers will 

not open or split during delivery. The contractor is responsible for proper packing of all items delivered.

Mailed Shipments – Mail each individual mailer. 

LABELING AND MARKING (Delivered Shipments): Contractor to download the “Labeling and Marking 

Specifications” form (GPO Form 905, R. 7-15) from gpo.gov, fill in appropriate blanks, and attach to shipping 

containers (wood boxes or corrugated crates).

PRODUCTION INSPECTION: Production inspection(s) may be required at the contractor’s/subcontractor’s 

plant for the purpose of establishing that the receipt of transmitted files, the printing of notices, the imaging, 

collating, folding, inserting, and mailing are being accomplished in accordance with contract quality attributes and 

requirements.

A production inspection is for the purpose of setting specific standards that are to be maintained throughout the 

entire run. It does not constitute a prior approval of the entire run.

When a production inspection is required, the Government will notify the contractor.

DISTRIBUTION:

▪ Deliver f.o.b. destination on the first order and any order that requires a significant change to the language, 

format, or appearance of a notice, 30 complete sample copies of each type of notice inserted into mail-out 

envelopes. DO NOT SEAL ENVELOPES. Samples must be delivered to: SSA, Forms Management Team 

(see Exhibit K). 

▪ Deliver f.o.b. destination one (1) copy of the above specified samples to: Social Security Administration 

Wilkes-Barre Direct Operations Center (see Exhibit K). 
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▪ Deliver f.o.b. destination on the first order and any order that requires a copy change, 10 envelope 

production samples to: SSA, Mail and Policy Team (see Exhibit K). 

▪ Mail f.o.b. contractor’s city each individual mailer. (NOTE: The contractor is responsible for all costs 

incurred in transporting the mailers to the U.S. Postal Service facility.)

All mailing shall be made at the First Class rate.

Domestic First-Class Letter-Size Mail – The contractor is required to prepare domestic First Class letter-size mail 

and obtain the maximum postage discount allowed by the USPS in accordance with appropriate USPS rules and 

regulations, including the USPS Domestic Mail Manual, and Postal Bulletins, in effect at the time of the mailing.

SSA requires the use of a Permit Imprint. Orders may contain various weight pieces. The contractor must use SSA’s 

“Postage and Fees Paid First Class Mail” permit imprint mailing indicia to be printed on each mail piece. Each 

mail piece sent under this payment method must bear a permit imprint indicia showing that postage is paid. Permit 

imprint indicia may be printed directly on mail pieces. 

Permit imprint mailings must contain at least 200 pieces or 50 pounds. The contractor is cautioned to use the permit 

imprint only for mailing material produced under this contract. 

The contractor is required to prepare Domestic First Class letter-size mail pieces and obtain the maximum postage 

discount allowed by USPS in accordance with the appropriate USPS rules and regulations, including USPS 

Domestic Mail Manual and Postal Bulletins on Automation-Compatible First-Class Domestic Mail-Automated and 

Non-automated mail discount structure in effect at the time of the mailing; a) Automation (5-digit); (b)Automation 

(3-digit); (c) Automation (AADC); (d) Automation (Mixed AADC); (e) Nonautomation (Presorted); and (f) Nonautomation (Single Piece). 

All envelopes for the MySocialSecurity and the T2COA workloads are required to carry the USPS ancillary

“RETURN SERVICE REQUESTED.”

The contractor is strongly encouraged to use manifest mail when postal regulations allow. The contractor must have 

a Manifest Mailing System (MMS) for First-Class Mail, which has been approved by USPS to document postage 

charges for this mailing. Each mail piece must be identified with a unique identification number or with a keyline 

containing a unique identification number and rate information about the piece. Contractor must be in accordance 

with the MMS in effect at the time of mailing. The requirements for the MMS are contained in Publication 401 

“USPS Guide to the Manifest Mailing System.” A copy of the USPS approval for the MMS must be presented at 

the postaward conference.

Workload orders that result in mailings of less than 200 pieces or less than 50 pounds will require the contractor to 

apply the appropriate postage to each piece or meter, at contractor’s option. When postage is applied to the mail 

piece, the permit imprint indicia must be covered/concealed by a meter strip. The contractor will be reimbursed for 

postage by submitting a properly completed U.S. Postal Service form (or equivalent) with his billing invoice. 

Permit imprint may not be used if the mailing is less than 200 pieces. Instead, the mail must be metered and any 

permit imprint must be covered/concealed by a meter strip. The contractor will be reimbursed for the metered 

postage by submitting a properly completed Postal Service form (or equivalent). NOTE: All meter equipment and 

supplies must be borne by the contractor.

Contractors are strongly encouraged to apply for an exception in the Domestic Mail Manual section 604.5.1.2 called 

the Minimum Volume Reduction Provision (MVRP) through their local BMEU and USPS Headquarters in 

Washington, DC (see Exhibit T, MVRP Request Letter, for local BMEU).
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The MVRP provides an exception to the “200 pieces or 50 pounds” rule for Permit Imprint mailings (including 

certified and foreign mail). With the MVRP exception, contractors will be allowed to mail pieces under the 200 

pieces or less than 50 pounds on a permit imprint eliminating metering, this includes certified and foreign mail. 

Mailers must submit USPS postal paperwork electronically, including piece level barcode information. Contractor 

will be required to contact USPS prior to any MVRP expiration date (if specified by USPS). All MVRP agreements 

must be current.

To achieve the maximum automation compatible postal discount, the contractor is required to either presort the 

notices prior to printing or sort the mail after the notices are inserted. The contractor may use a presort subcontractor 

for the mailing portion of the contract. SSA has the right to inspect the subcontractor for the security of the mailing 

operation and compliance with the contract. All of the pieces without a barcode must be separated and mailed as a 

non-automation rate single piece mailing. 

Mail addressed to United States territories and possessions (e.g., American Samoa, Federated States of Micronesia,

Guam, Marshall Islands, Northern Mariana Islands, Palau, Puerto Rico, Virgin Islands, Wake Island, and Military

Overseas Addresses (APO/FPO mail) is Domestic Mail, not International Mail.

If a Government meter is required: All meter equipment and supplies must be borne by the contractor. SSA will 

provide an Official Government Postage Meter head only, but will not supply the meter mail machine. SSA will 

fund the postage for meters through the USPS’ Official Mail Accounting System (OMAS).

The contractor is responsible for the security of the SSA postage meters and access is to be restricted to authorized 

personnel only. Contractors are to place SSA postage meters in a locked position and place them in a secure server 

room or safe when not in use. The contractor is to advise all staff there is a penalty for the private use of official 

postage meters (39USC3203). 

Contractors should always maintain sufficient postage on the SSA meters. The contractor should contact SSA if 

they are not sure of how much postage to load or frequency. 

The contractor is required to submit spoiled postage/postage error envelope(s)/meter strip(s) and prepare a Postal 

Service Form 3533, Application for Refund of Fees, Products and Withdraw of Customer Accounts. Forms are not 

obtainable from the United States Postal Service (USPS) website since they contain a barcode making each form 

unique. Contractor must go to local Post Offices, postal retail units, or Bulk Mailing Units to obtain the hard copy 

version of the revised PS Form 3533. USPS will credit the postage refund to SSA through the Official Mail 

Accounting System (OMAS). SSA requires the contractor to submit a copy of Form 3533 along with the associated 

print order in which the spoilage occurred and all other postal documentation to the SSA COTR.

The contractor must have approval from SSA’s Postage Meter Accountability Team for turn-in of SSA postage 

meter(s) to the meter manufacturer (e.g., excess meter, defective meter, etc.). If the contractor requires a 

replacement postage meter, USPS credits any remaining postage to SSA through the USPS’ Official Mail 

Accounting System (OMAS), or the meter manufacturer may transfer the remaining postage from the old meter to 

the new meter. The contractor must document the last meter reading (postage remaining amount) before the meter 

is checked out of service. The contractor may receive a PS Form 3601-C, Postage Meter Activity Report from the 

meter manufacturer. The contractor is to forward a copy of this report to SSA within three (3) workdays of the 

transaction. 

On the first workday of each month, the contractor must load $5.00 on all SSA postage meters (including backup 

postage meters). In addition to the monthly upload, the Government reserves the right to request the contractor to 

upload additional funds at any time. These uploads are in addition to any routine meter replenishments. As a result 

of the postage uploads, the contractor may receive a Postage Meter Reset Activity Report Statement from the meter 

manufacturer. If received, the contractor should retain this documentation for 12 months. 
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Contractor is not to relocate SSA postage meters to any other building. Contactors are required to contact the SSA 

COTR before any movement of an SSA postage meter. 

The contractor is required to prepare all metered mail in accordance with the rules and regulations in USPS’s 

Domestic Mail Manual and International Mail Manual. 

Contractor should not receive invoicing for meter rentals. If the contractor receives an invoice, they are to contact 

the SSA COTR immediately. 

Contractor Sites Using “Official Government” Postage Meters with Automated Reporting Capability (Detailed 

and Limited): Postage meters with “Detailed Account Reporting” are capable of providing trend reports, postal 

class reports, summary reports, chart production, accounts, subaccounts, operator ID’s, etc. These meters provide 

SSA with remote tracking per print program of postage used. This is SSA’s preferred meter type. This meter type 

is ideal for use when processing multiple SSA workloads because of the account and subaccount feature. 

Contractors will be required to utilize the postage meter account feature for each SSA print program. Contractors 

may also be required to use subaccount features for each SSA program. If a contractor requires assistance with 

setup and operating the “accounting” features of the postage meters, SSA will provide a contact to assist them. 

Postage meters with “Limited Account Reporting” are capable of providing SSA with remote tracking of the meter 

date, contractor/location, meter used, start funds available, any refills/refunds, number of pieces (postage applied), 

total cost, end funds available, and postage used. This meter is best suited for use when processing one single SSA 

workload. No action is necessary on the part of the contractor since SSA will be viewing postage meter usage 

remotely for the individual workload. 

Contractor Sites Using an SSA Postage Meter Activity Log (manual process): If the contractor is using mailing 

equipment that cannot support a postage meter with an internal accounting feature and/or is not capable of remotely 

providing SSA with the detailed data it requires when producing multiple workloads will receive a compatible meter 

but will be required to complete an SSA Postage Meter Activity Log (Exhibit U). 

The contractor will forward a completed SSA Postage Meter Activity Log to the appropriate SSA COTR or backup

for each print order. If the contractor is producing multiple workloads using the same postage meter, the contractor 

is required to send the log to each SSA COTR/backup. Every field must contain an entry or an N/A if the field does 

not apply. SSA will return incomplete or incorrect activity logs to the contractor for correction.

If a primary meter fails and a backup meter is needed to complete the workload, the contractor will need to document 

the primary meter log in the note field (i.e., meter failed, out of postage, etc.) and create a new activity log 

(documenting the necessary fields) to use with the backup meter. 

Use of the above accounting feature or manual logs does not alter the current postal process. Contractors will 

continue to forward all postal documentation as required in the contract requirements. 

To maximize automation discounts, Intelligent Mail Barcoding, delivery address placement and envelopes used

for the mailing are among the items that must comply with USPS requirements for automation-compatible mail in

effect at the time of the mailing.

Contractor will be required to produce and use a USPS Intelligent Mail Barcode (IMb) with full service option and 

achieve the maximum postage discounts available with this option. The contractor will be required to comply with 

USPS requirements and place the IMb on all notices/mail pieces of this workload. The contractor is required to be 

capable of achieving the postage discounts available with the Full-Service option of the IMb program. The FullService option requires the contractor to use Postal One.

The contractor is responsible for producing and providing all reporting data required for acceptance and processing

of full-service mail required by USPS for the Intelligent Mail barcode (IMb).
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In addition, USPS uses a verification procedure called a “tap” test. This test is used to screen all mailings with

barcoded inserts for proper barcode spacing within the envelope window. When the insert showing through the

window is moved to any of its limits inside the envelope, the entire barcode must remain within the barcode clear

zone. In addition, a clear space must be maintained that is at least 0.125” between the left and right edges of the

window, and at least 0.028”-clearance between the Intelligent Mail Barcode and the top and bottom edges of the

window.

All letters in a mailing must pass the “tap” test in order to obtain the maximum postal discounts for the ordering 

agency. The contractor will be responsible for payment of any additional postage resulting from a loss of postage 

discounts due to failure to pass the “tap” test because of inaccuracy or failure to conform to USPS specifications.

Contractor should be aware that USPS uses the Mail Evaluation Readability Look-up Instrument (MERLIN) to 

evaluate barcodes. If MERLIN is in effect in the contractor’s geographic area, the contractor must ensure that all 

barcoded mail meets the new barcode standards. The contractor will be responsible for payment of any additional 

postage resulting from a loss of such discounts due to failure of the contractor-generated barcodes to pass the 

MERLIN test because of inaccuracy or failure to conform to USPS specifications.

International First-Class Mail: All items mailed must conform to the appropriate USPS International Mail Manual

(IMM), Postal Bulletins, and other USPS rules and regulations in effect at the time of mailing.

If the mailing meets the qualifications for International Priority Airmail (IPA), it must be processed through IPA in 

accordance with USPS rules and regulations in effect at the time of the mailing. Contractor must prepare mail 

pieces in accordance with the shape-based requirements of First Class Mail International service listed in the USPS 

International Mail Manual (IMM) and the additional requirements for IPA as specified in the most recent IMM. 

The contractor is required to sort the mail to achieve the maximum postage discounts available with the IPA 

program. To maximize postage savings, the contractor shall sort to the IPA Rate Group 1 through 15. Due to 

heightened security, many foreign postal administrations require complete sender and addressee information in 

roman letters and arabic numerals on postal items.

Pieces not qualifying for the IPA Rate Group Levels of discount will be prepared at the Worldwide Non-presorted 

rate level and any remaining pieces that do not meet the IPA qualifications will be sorted by individual country 

rules according to the USPS IMM in effect at the time of the mailing. 

International Mail return addresses must show as the last line of the address “UNITED STATES OF AMERICA”

or “USA” in all capital letters. All International Mail must be endorsed PAR AVION or AIR MAIL as described

in the USPS IMM. The contractor may use a rubber stamp to meet this requirement.

NOTE: International mail cannot contain a presort endorsement. Again, mail addressed to United States territories 

and possessions (American Samoa, Federated States of Micronesia, Guam, Marshall Islands, Northern Mariana 

Islands, Palau, Puerto Rico, Virgin Islands, Wake Island, and Military Overseas Addresses (APO/FPO mail). This 

mail is considered Domestic Mail, not International Mail and must be included in the discount sorting required 

under “Domestic First-Class Letter-Size Mail.”

National Change of Address (NCOA) and Coding Accuracy Support System (CASS): The contractor shall run all 

addresses through NCOA and CASS software for address accuracy. The contractor cannot change the addresses, 

but if an address fails CASS or NCOA or requires a NCOA move update, the contractor shall sort those pieces into 

a separate file and mail at the non-automated presort rate or full postage rate as to avoid any USPS fines for failure 

to meet address accuracy rules imposed by USPS. If contractor fails to meet this requirement, the Government will 

not reimburse for any USPS imposed fines. 

Contractor cannot at any time change the SSA supplied address prior to receipt by the USPS. 
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Certificate of Conformance: When using Permit Imprint Mail, the contractor must complete GPO Form 712 –

Certificate of Conformance (Rev. 10-15), and the appropriate mailing statement(s) supplied by the USPS. A fillable 

GPO Form 712 Certificate of Conformance can be found at https://www.gpo.gov/how-to-work-withus/vendors/forms-and-standards.

Mailing Documentation: The contractor must provide SSA with complete copies of all documents used by

USPS to verify and accept the mail (e.g., computer records of presort ZIP+4, barcode breakdown, press runs, etc.)

including GPO’s Form 712 (Certificate of Conformance), noted with file date and mailer number. 

The contractor must place the number that is on top of the GPO Form 712 (the number that starts with “A”) in the

space provided on the USPS mailing statements. If no space is provided on the mailing statement, place the number

in the upper right margin of the mailing statement. The contractor is to place our Federal Agency Cost Code 276-

00007 on all USPS mailing documents.

Within 72 hours of completion of each print order, the contractor must provide PDF copies of the mailing 

documentation, USPS 360R, GPO Form 712, and 100% Accountability Summary reports to SSA, Printing 

Management Branch (see Exhibit K) via email. All copies must be legible and include both obverse and reverse 

side. 

The contractor will be required to forward (via email) photocopies of Postal Form 3533 (to USPS for credit), Postage 

Meter Activity Report forms, and all postage meter replenishment receipts (from the meter vendor) to SSA, Mail 

and Postal Policy Team (see Exhibit K). 

Upon completion of each print order, contractor must return all furnished material and provide USPS validated 

copies of postal documentation (via overnight carrier) to: SSA, Printing Management Branch (see Exhibit K). 

Within 10 workdays of completion of each print order, one copy of the contractor’s billing invoice must be sent via 

email to SSA, Printing Management Branch (see Exhibit K). 

Upon completion of each print order, the contractor must provide Form SSA-3105 to SSA, Printing Management 

Branch (see Exhibit K).

Upon completion of this contract, the contractor must furnish (via email) all PDF files of the envelopes to: SSA, 

Printing Management Branch (see Exhibit K). 

All expenses incidental to picking up and returning materials (as applicable), submitting PDF soft proofs, and

furnishing sample copies must be borne by the contractor.

SCHEDULE: Adherence to this schedule must be maintained. Contractor must not start production of any job 

prior to receipt of the daily electronic task order or print order (GPO Form 2511), as applicable.

In the event that it becomes necessary for the contractor to deviate from the specified mailout date or the quantity 

to be mailed, contractor must notify the SSA immediately. 

Manuscript for envelopes will be provided at the postaward conference, or shortly thereafter. 

Furnished material (as applicable) must be picked up from: SSA, Printing Management Branch (see Exhibit K).

PDF soft proofs must be submitted to SSA via email to the address as specified on the print order. 
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Proof Schedule:

The following schedule begins the workday after notification of the availability of print order and furnished 

material; the workday after notification will be the first workday of the schedule.

▪ Contractor must submit PDF soft proofs for envelopes within seven (7) workdays of notification of 

availability of print order and furnished material.

▪ Proofs will be withheld no more than five (5) workdays from their receipt at SSA until the contractor 

is notified of changes/corrections/“O.K. to Print” via email. (NOTE: The first workday after receipt of

proofs at the ordering agency is day one (1) of the hold time.)

▪ If required due to author’s alterations, the contractor must submit revised proofs within five (5) workdays 

of notification of the author’s alterations. 

▪ Revised proofs will be withheld no more than three (3) workdays from receipt at SSA until the contractor 

is notified of changes/corrections/“O.K. to Print” via email. (NOTE: The first workday after receipt of

proofs at the ordering agency is day one (1) of the hold time.)

Preproduction Test Schedules:

Transmission Test –

▪ This test is to be performed within one (1) week of the VPN connection being installed.

▪ The contractor will be required to receive approximately 110,000 notices within one (1) workday.

▪ The contractor will be required to perform a record count verification same workday as receipt of 

complete transmission of the test files and furnish the Government with the exact counts.

▪ The Government will provide verification within one (1) workday of receipt thereof.

Preproduction Validation Test –

▪ Contractor to submit required samples within five (5) workdays of receipt of test files.

▪ The Government will approve, conditionally approve, or disapprove the samples within five (5) workdays

of receipt thereof.

▪ If required due author’s alterations or contractor’s error, the contractor must submit revised samples 

within five (5) workdays of notification of alterations or errors.

▪ The Government will approve, conditionally approve, or disapprove the revised samples within three (3)

workdays of receipt thereof.

Preproduction Press and Mail Run Test –

▪ The test is to be performed within 90 workdays prior to the start of live production.

▪ The contractor must produce 110,000 notices in a continuous 24-hour period.

▪ The Government will approve, conditionally approve, or disapprove the samples within seven (7)

workdays of receipt thereof.
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The contractor must perform the same Preproduction Press and Mail Run Test at their backup facility within one 

(1) week of passing the test at the primary contractor’s facility. 

Contractor must notify the GPO of the date and time the Preproduction Press and Mail-Run Test will be performed. 

In order for proper arrangements to be made, notification must be given at least three (3) workdays prior to all print 

and mail run tests. 

Programming a New Notice or Notice Change/Signature Validation Test/New and Existing Notice Files 

Validation Test –

▪ When required, the contractor will furnish up to 100 printed/imaged samples (no envelopes) within five (5) 

workdays of receipt of changes. 

▪ The Government will approve, conditionally approve or disapprove the samples within five (5) workdays 

of receipt thereof. 

Production Schedule:

Workday - For the purpose of this contract, the term “workday” is defined as Monday through Friday* each week,

exclusive of the days on which Federal Government holidays are observed. Also excluded are those days on

which the Government Publishing Office is not open for the transaction of business, such as days of national

mourning, hazardous weather, etc.

Federal Government Holidays are as follows: New Year’s Day, Martin Luther King’s Birthday, President’s Day, 

Memorial Day, Juneteenth Day, Independence Day, Labor Day, Columbus Day, Veterans Day, Thanksgiving Day, 

and Christmas Day.

Live production files for the MySocialSecurity and T2COA workloads will transmit on a daily basis Tuesday 

through Saturday, except for Federal holidays in which case the data will be transmitted on the next day (i.e., when 

a Federal holiday falls on a Friday, production files will be transmitted on Saturday). 

*The contractor’s FTMS software must be operational for the receipt of data files from 00:01 ET Monday until 

24:00 ET Saturday, unless otherwise specified by the Government (see “FILE TRANSFER MANAGEMENT 

SYSTEM (FTMS) REQUIREMENTS” for additional information). 

NOTE: Contractor should not proceed with processing a transmission until counts are verified against the task 

order. If a discrepancy is found, the contractor must call SSA’s Scheduling Helpline immediately at (877) 697-

4889, and SSA, Printing Management Branch (see Exhibit K). 

The transmission of the first live files and electronic task order for actual live production will be issued June 1,

2023.

The following schedule begins the workday after receipt of the electronic task order; the workday after receipt will 

be the first workday of the schedule. NOTE: If the contractor receives a partial electronic task order, the schedule

will not start until the balance of the task order is received.

Contractor must complete the production and distribution of each daily transmission within four (4) workdays of 

receipt of each electronic task order. (NOTE: For task orders received on the weekend, the schedule will commence 

on the next workday (Monday)).
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The contractor must notify the GPO of the date and time the production inspection OR press sheet inspection can 

be performed. In order for proper arrangements to be made, notification must be given at least 72 hours prior to the 

inspection(s). Notify the U.S. Government Publishing Office, Quality Control for Published Products, Washington, 

DC 20401 at (202) 512-0542 AND SSA (see Exhibit K). Telephone calls will only be accepted between the hours 

of 8:00 a.m. and 2:00 p.m., prevailing Eastern Time, Monday through Friday. NOTE: See contract clauses, 

paragraph 14(e) (1), Inspections and Tests in GPO Contract Terms (GPO Publication 310.2, effective December 1, 

1987 (Rev. 01-18)). When supplies are not ready at the time specified by the contractor for inspection, the 

Contracting Officer may charge to the contractor the additional cost of the inspection. 

NOTE: If the backup facility is used for the production of these notices, the Government will require a press 

sheet inspection. Prior to production, notification must be given at least 72 hours in advance of production 

startup.

The ship/deliver date indicated on the print order is the date products ordered for delivery f.o.b. destination must 

be delivered to the destinationsspecified, and products ordered for mailing f.o.b. contractor’s city must be delivered

to the U.S. Postal Service.

Unscheduled material such as shipping documents, receipts or instructions, delivery lists, labels, etc. will be 

furnished with each order or shortly thereafter. In the event such information is not received in due time, the 

contractor will not be relieved of any responsibility in meeting the shipping schedule because of failure to request 

such information.

For compliance reporting purposes, the contractor must notify the U.S. Government Publishing Office of the date 

of shipment or delivery, as applicable. Upon completion of each order, contractor must contact the Shared Support 

Services Compliance Section via email at compliance@gpo.gov or via telephone at (202) 512-0520. Personnel 

receiving the email or call will be unable to respond to questions of a technical nature or to transfer any inquiries. 
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SECTION 3. - DETERMINATION OF AWARD

The Government will determine the lowest bid by applying the prices offered in the “SCHEDULE OF PRICES”

to the following units of production which are the estimated requirements to produce one (1) year’s production

under this contract. These units do not constitute, nor are they to be construed as, a guarantee of the volume of

work which may be ordered for a like period of time.

The following item designations correspond to those listed in the “SCHEDULE OF PRICES.”

I. 2

II. 1

III. (a) 1

(b) 1

IV. (a) 250

(b) 36,454

(c) 15,800

V. (a) 18,227

(b) 15,800

VI. 15,800
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SECTION 4 - SCHEDULE OF PRICES

Bids offered are f.o.b. contractor’s city for all mailing and f.o.b. destination to Baltimore, MD, and Wilkes-Barre, 

PA.

Prices must include the cost of all required material and operations for each item listed in the accordance with the 

specifications.

Bidder must make an entry in each of the spaces provided. Bids submitted with any obliteration, revision, or 

alteration of the order and manner of submitting bids, may be declared non-responsive.

An entry of NC (No Charge) shall be entered if bidder intends to furnish individual items at no charge to the 

Government. 

Bids submitted with NB (No Bid), NA (Not Applicable), or blank spaces for an item may be declared nonresponsive.

The Contracting Officer reserves the right to reject any offer that contains prices for individual items of production 

(whether or not such items are included in the DETERMINATION OF AWARD) that are inconsistent or unrealistic 

in regard to other prices in the same offer or to GPO prices for the same operation if such action would be in the 

best interest of the Government.

All invoices submitted to the GPO shall be based on the most economical method of production. 

Fractional parts of per 1,000 will be prorated at the per-1,000 rate. 

Cost of all required paper must be charged under Item V. “PAPER.”

Contractor’s billing invoice must be itemized in accordance with the line items in the “SCHEDULE OF PRICES.”

I. PROCESSING/FORMATTING FILES: The contractor will be allowed only one (1) charge per workload

for the term of the contract to process and/or format the Advanced Function Presentation (AFP) (Mixed Mode 

or Fully Composed) printing platform and the Mail Run Data Files supplied necessary to print and mail the

notices in each notice file.

Processing/Formatting Files............................................................................. per workload......$___________

II. COMPOSITION: Prices offered must include the cost of all operations and materials necessary in accordance 

with the terms of these specifications for the mail-out envelopes.

Envelopes..........................................................................................................per envelope......$___________

_____________

(Initials)
MySocialSecurity Notices and T2COA Notices Page 62 of 64

794-S (08/23)

III. PREPRODUCTION TESTS: Prices offered must include all costs incurred in performing the tests as 

specified in these specifications. These costs shall cover but are not limited to: machine time, personnel, all 

required materials, transmissions, films, electronic prepress, plates, paper, printing (laser ion/deposition/inkjet),

imaging, collating, inserting, mail preparation, and any other operations necessary to produce the required

quantities of the product in the time specified and in accordance with specifications.

(a) Transmission Test............................................................................................... per test......$___________

(b) Preproduction Validation Test............................................................................. per test......$___________

IV. PRINTING/IMAGING, BINDING, AND CONSTRUCTION: Prices offered must include the cost of all

materials and operations (including proofs) necessary for the printing/imaging, binding, and construction of 

the product listed in accordance with these specifications.

(a) *Per Makeready/setup charge................................................................................................$___________

*Contractor will be allowed only one (1) makeready/setup charge per workday. This combined charge 

shall include all materials and operations necessary to makeready and/or set up the contractor’s

equipment for all files transmitted for that day. Invoices submitted with more than one makeready/setup 

charge per daily transmission (with a maximum of five (5) charges per week) will be disallowed.

(b) Notices: Printing/imaging in black, including binding........................... per 1,000 pages......$___________

(c) Envelopes: Printing in black, including construction .................... per 1,000 envelopes .....$___________

V. PAPER: Payment for all paper supplied by the contractor under the terms of these specifications, as ordered 

on the individual task order/print order, will be based on the net number of leaves furnished for the product(s) 

ordered. The cost of any paper required for makeready or running spoilage must be included in the prices offered.

Computation of the net number of leaves will be based on the following:

Notices – A charge will be allowed for each page-size leaf.

Envelopes – A charge will be allowed for each envelope.

Per 1,000 Leaves

(a) Notices (at contractor’s option: White Uncoated Text (50 or 60-lb.);

or, White Writing (20-lb.).....................................................................................................$___________

(b) Envelopes (at contractor’s option): White Writing Envelope (20 or 24-lb.); 

or, White Uncoated Text (60-lb.) ...........................................................................................$___________

_____________

(Initials)
MySocialSecurity Notices and T2COA Notices Page 63 of 64

794-S (08/23)

VI. GATHERING, INSERTING, AND MAILING: Prices offered must be all inclusive and include the cost

of all required materials and operations necessary for the mailing of the notice(s) including cost of collating 

notice pages in proper sequence, folding to required size in accordance with these specifications, insertion of

notice into mail-out envelope, and mailing, in accordance with these specifications.

Mailers...................................................................................................... per 1,000 mailers......$___________

LOCATION OF POST OFFICE: All mailing will be made from the__________________________________

Post Office located at Street Address ,

City , State , Zip Code

_____________

(Initials)
MySocialSecurity Notices and T2COA Notices Page 64 of 64

794-S (08/23)

SHIPMENT(S): Shipments will be made from: City __________________________, State ________________

The city(ies) indicated above will be used for evaluation of transportation charges when shipment f.o.b. contractor’s 

city is specified. If no shipping point is indicated above, it will be deemed that the bidder has selected the city and 

state shown below in the address block, and the bid will be evaluated and the contract awarded on that basis. If 

shipment is not made from evaluation point, the contractor will be responsible for any additional shipping costs 

incurred.

DISCOUNTS: Discounts are offered for payment as follows: __________ Percent, _________calendar days. See 

Article 12 “Discounts” of Solicitation Provisions in GPO Contract Terms (Publication 310.2).

AMENDMENT(S): Bidder hereby acknowledges amendment(s) number(ed) ___________________________

BID ACCEPTANCE PERIOD: In compliance with the above, the undersigned agree, if this bid is accepted 

within____________ calendar days (60 calendar days unless a different period is inserted by the bidder) from the 

date for receipt of bids, to furnish the specified items at the price set opposite each item, delivered at the designated 

points(s), in exact accordance with specifications. NOTE: Failure to provide a 60-day bid acceptance period may 

result in expiration of the bid prior to award.

BIDDER’S NAME AND SIGNATURE: Unless specific written exception is taken, the bidder, by signing and 

submitting a bid, agrees with and accepts responsibility for all certifications and representations as required by the 

solicitation and GPO Contract Terms – Publication 310.2. When responding by email, fill out and return one copy 

of all pages in “SECTION 4. – SCHEDULE OF PRICES,” including initialing/signing where indicated. Valid 

electronic signatures will be accepted in accordance with the Uniform Electronic Transactions Act, §2. Electronic 

signatures must be verifiable of the person authorized by the company to sign bids. Failure to sign the signature 

block below may result in the bid being declared non-responsive.

Bidder _____________________________________________________________________________________

(Contractor Name) (GPO Contractor’s Code)

___________________________________________________________________________________________

(Street Address)

___________________________________________________________________________________________

(City – State – Zip Code)

By _________________________________________________________________________________________

(Printed Name, Signature, and Title of Person Authorized to Sign this Bid) (Date)

___________________________________________________________________________________________

(Person to be Contacted) (Telephone Number)

___________________________________________________________________________________________

(Email) (Fax Number)

__________________________________________________________ _________________________________

THIS SECTION FOR GPO USE ONLY

Certified by: __________ Date: __________ Contracting Officer: __________ Date: __________

(Initials) (Initials)

__________________________________________________________ _________________________________
EXHIBIT A
EXHIBIT A – Page 1 

CONTRACTOR PERSONNEL SECURITY CERTIFICATION 

Purpose: This form is used for contractor personnel to certify that they understand SSA's security and confidentiality 

requirements. 

I understand the SSA security and confidentiality requirements and agree that: 

1. I will follow all SSA rules of conduct and security policy/privacy rules/regulations. 

2. I agree not to construct and maintain, for a period of time longer than required by the contract, any file containing 

SSA data unless explicitly agreed to by SSA in writing as part of the task documentation. 

3. I agree to safeguard SSA information, whether electronic or hardcopy, in secured and locked containers during 

transportation. 

4. I will use all computer software according to Federal copyright laws and licensing agreements. 

5. I agree to keep confidential any third-party proprietary information which may be entrusted to me as part of the 

contract. 

6. I will comply with systems security requirements contained in the SSA Systems Security Handbook. 

7. I will not release or disclose any information subject to the Privacy Act of 1974, the Tax Return Act of 1976, SSA 

Regulation 1 and section 1106 of the Social Security Act to any unauthorized person. 

8. I understand that disclosure of any information to parties not authorized by SSA may lead to criminal prosecution 

under Federal law. 

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Contractor Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

Form SSA-301 (2-98) 
EXHIBIT A – Page 2 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

Form SSA-301 (2-98) 
EXHIBIT A – Page 3 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

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Contractor Employee Date 

Form SSA-301 (2-98) 
EXHIBIT B
Resource Page: SSA External Service Provider Security Guidance Page 1 

SSA External Service Provider Security Requirements

DSPP Home

All External Service Providers (ESP) are subject to the following security requirements:

 All ESPs are subjected to SSA’s Security Authorization Process, which will entail

security testing and evaluation of the in-place security controls. For more

information see NIST SP 800-37, Revision 1.

 ESPs must follow NIST SP 800-53 Revision 4 Recommended Security Controls

for Federal Information Systems and Organizations for protecting Low or

Moderate impact level information as categorized by FIPS 199 for the information

system. Note: Systems that contain Personally Identifiable Information (PII) are

considered “Moderate”.

 ESPs must document all deployed (applicable) and planned controls for an

information system in a System Security Plan that is in NIST-compliant format.

Refer to NIST SP 800-18.

 ESPs classified as Cloud Service Providers (CSP) must adhere to additional

FedRAMP security control requirements. Further information may be found at:

http://www.gsa.gov/portal/category/102371. As part of these requirements CSPs must

have a security control assessment performed by a Third Party Assessment

Organization (3PAO).

 Upon request from SSA, the ESP shall provide the following network security

information and documentation for review and audit purposes:

 All information security control artifacts required to support the Security

Assessment and Authorization (SA&A) process.

 Intrusion Detection Systems (IDS) configuration.

 Network firewall configuration.

 Server and network device patching schedules and compliance.

 Server, network device, and security logs.

 Detailed hardware inventory including servers, network devices, and

storage.

ESPs are required to adhere to NIST 800-53 Rev.4 security control framework based on 

their assigned categorization. The following sections outline additional security controls 

and SSA organizational defined parameters for NIST 800-53, Rev 4. Security 

requirements below are applicable to low and moderately categorized systems unless 

otherwise designated. For additional information or supplement guidance for these 

controls, refer Appendix F of NIST 800-53, Rev 4. 
Resource Page: SSA External Service Provider Security Guidance Page 2 

Account Management Requirements 

The purpose of the following is to address requirements for account and session 

management for External Service Providers (ESPs). 

SSA Additional Requirements for ESPs:

 AC-2 ESPs must employ individual account types on external service provider 

systems. The use of group, anonymous or temporary accounts is strictly 

prohibited.

 AC-2 ESPs must demonstrate the implementation of an approval process that 

describes how system accounts are created, deleted, disabled, or modified. The 

process should account for roles in the system and the appropriate 

authorizations to grant access. Public-facing systems may use a registration 

process in place of the approval process.

 AC-2(3) A deactivation process is required to manage inactive accounts. The 

process must describe how the system identifies and deactivates inactive 

accounts that have not been in use for 90 days or more. ESPs must 

automatically disable inactive accounts after 90 days and then remove these 

disabled accounts after 1 year.

 AC-2(4) ESPs must provide the capability to produce a record of all account 

management activities that occur on the system and develop an automated 

method to submit these records in the form of a report to SSA.

 AC-6 ESP administrator accounts and privileged user accounts must be 

customized to only allow access to specific roles and functions on the system. 

ESP must provide a list of these functions to the Contract Officer Technical 

Representative (COTR). (Moderate and High categorized systems only).

 AC-7 ESPs must enforce a limit of 3 consecutive invalid login attempts by a user 

during a 20 minute time frame and automatically lock the account/node for 30 

minutes when the maximum number of unsuccessful attempts is exceeded. The 

account shall remain locked for 30 minutes. (Moderate and High categorized 

systems only).

 AC-8 ESPs providing services to SSA internal users must display the internally 

used and approved warning banner. 

 The SSA internal banner is as follows: 

 Only authorized users can access the system. 

 The system is a U.S. Government computer system subject to 

Federal law. 

 Unauthorized attempts to access or modify any part of SSA’s 

systems are prohibited and subject to disciplinary, civil action or 

criminal prosecution. 
Resource Page: SSA External Service Provider Security Guidance Page 3 

If the system is serving the general public as its user base, the system must 

display a warning banner containing language that is appropriate to the 

application. The SSA COTR must approve the public warning banner language 

prior to implementation. 

 AC-11 ESPs must enforce termination of user sessions after 30 minutes of 

inactivity. Users must authenticate again after sessions are terminated in order 

to continue using the application. (Moderate and High categorized systems only).

 AC-17(4) ESPs must restrict remote access to approved administrative functions 

and accounts. 

Auditing Requirements 

The purpose of the following is to address requirements for auditing for External 

Service Providers (ESPs). 

SSA Additional Requirements for ESPs:

 (AU-2) ESPs must maintain an audit log of transactions create, modify, or delete 

SSA information. 

 (AU-2) ESPs must maintain an audit log of the following events: Logon/logoff 

events, account management, privilege or role changes, and administrator 

activity. 

 (AU-5) ESPs must report any failure of audit processing that occurs to the SSA 

COTR within 24 hours. 

 (AU-6) ESPs must review and analyze information system audit record for 

indications of inappropriate or unusual activity and report those findings to SSA 

COTR within 24 hours. ESPs must support monitoring and review of the system 

for unusual or inappropriate activity daily. This activity must be provided to the 

COTR immediately for review. 

 (AU-6) ESPs must provide user and transaction log reports to SSA when 

requested.

 (AU-7(1)) ESPs must allow for scoping of audit criteria for efficient reporting 

capability.

 (AU-11) ESPs must retain online audit logs for 90 days. 

 (AU-11) ESPs must retain audit records for seven (7) years. 

Awareness and Training Requirements 
Resource Page: SSA External Service Provider Security Guidance Page 4 

The purpose of the following is to address requirements for awareness and training for 

External Service Providers (ESPs). 

SSA Additional Requirements for ESPs:

 (AT-2) ESP contractors and their employees or sub-contractors must complete 

SSA provided security awareness training at least annually.

 (AT-3) ESPs must provide role based training to all employees who fulfill special 

roles or duties in regards to SSA data or systems. 

 (AT-4) ESPs must retain and produce records of role based training completions 

for 3 years.

Configuration Management Requirements

The purpose of the following is to address requirements for configuration 

management for External Service Providers. 

SSA Additional Requirements for ESPs:

 (CM-2(3)) ESPs must define and deploy an approved device configuration on 

each device used to provide services to SSA at least annually. 

 CM-6 ESPs must periodically scan the device configuration of each device used 

to provide services to SSA and identify deviations from the approved device 

configuration. Deviations shall be logged and corrected within 24 hours. The 

ESP shall submit device scan reports to SSA upon request. 

 CM-8 ESPs must maintain an inventory all IT assets that store, process, or 

transmit SSA data and provide to SSA upon request. 

 CM-9 The contractor shall maintain a configuration management plan that 

addresses the roles, responsibilities, processes, and procedures to manage 

inventory throughout the lifecycle. 

Contingency Planning Requirements

The purpose of the following is to address requirements for contingency planning for 

External Service Providers. 

SSA Additional Requirements for ESPs:

 (CP-2) ESP must submit a contingency plan that will support and meet the SSA 

supplied recovery objectives and must be maintained, reviewed and, if necessary 

updated at least annually. 
Resource Page: SSA External Service Provider Security Guidance Page 5 

 (CP-9) ESPs must encrypt all Media used for backup and archiving purposes 

using Federal Information Processing Standard (FIPS) 140-2 compliant 

solutions. (Moderate and High categorized systems only).

Identification and Authentication Requirements

The purpose of the following is to address requirements for identification and 

authentication for External Service Providers (ESPs). 

SSA Additional Requirements for ESPs:

 (IA-2(12)) Identity, Authorization and Access Management (IdAAM) - The

External Service Providers must seamlessly integrate with the SSA’s Federation 

Service. This service is based on oAuth and SAML (Security Assertion Markup 

Language) 2.0 standards and enables SSA to meet its two factor authentication 

requirements as specified in Homeland Security Presidential Directive (HSPD)-

12, dated August 12, 2004. This service enables SSA to leverage an internal 

Microsoft’s Active Directory to create a single SSA-Wide directory of all users. 

Currently, SSA users are required to authenticate using their SSA HSPD-12 PIV 

Smart Card at the workstation. In certain acceptable instances, users can revert 

to user name and password, while the Department is transitioning to HSPD-12 

PIV Smart Card Authentication. The External Service Providers must support 

both authentications methods.

 (IA-6) ESPs must mask all fields on a system that has a logon screen that 

requires credentials, to prevent unauthorized exposure. 

 (IA-7) The ESP must encrypt credentials used for e-authentication. The 

encryption solution must be compliant with FIPS 140-2. (Moderate and High 

categorized systems only).

Incident Response Requirements

The purpose of the following is to address requirements for incident response for 

External Service Providers. 

SSA Additional Requirements for ESPs:

 (IR-6) ESPs will receive the incident response capability timeframe and reporting 

requirements from the SSA COTR. 

 (IR-6) ESPs Incident Response plan must require all security incidents of US 

CERT categories 1,2,3,4 and 6 must be reported to SSA COTR. 

 (IR-7) ESPs are responsible for notifying the appropriate SSA COTR when there 

is a security incident that has been categorized 1,2,3,4 or 6 per US CERT 
Resource Page: SSA External Service Provider Security Guidance Page 6 

regulations. The COTR is authorized to issue orders to take down external 

systems or components to perform IR, forensics, further loss of data, etc. 

Maintenance Requirements

The purpose of the following is to address requirements for maintenance for External 

Service Providers. 

SSA Additional Requirements for ESPs:

 (MA-2) ESP must retain records of maintenance activities performed on IT 

devices used to provide services to SSA. Maintenance activity logs must be 

made available upon request. 

 (MA-2) IT equipment and media used to provide services to SSA must be 

sanitized prior to removal from the ESP’s facility for maintenance or disposal 

purposes. The ESP must maintain a log as evidence that the IT equipment or 

media was sanitized prior to removal. Logs must be made available upon 

request. Refer to NIST SP 800-88 for more information on media sanitization. 

Media Protection Requirements

The purpose of the following is to address requirements for media protection for 

External Service Providers. 

SSA Additional Requirements for ESPs:

 (MP-2) Removable media used to store SSA data must be encrypted using a 

FIPS 140-2 compliant encryption solution. 

 (MP-3) ESP must label or mark (human readable) all media containing PII or 

other sensitive SSA data as “SSA Confidential Unclassified Information”. 

(Moderate and High categorized systems only).

 (MP-4) ESP must have a documented process describing how IT equipment and 

media are controlled to ensure the security and confidentiality of SSA data. 

 (MP-5) ESP must maintain chain of custody for IT equipment and media during 

transport outside of controlled-access facilities. Transport of media outside of 

controlled areas must be performed by authorized personnel. 
Resource Page: SSA External Service Provider Security Guidance Page 7 

Planning Requirements

The purpose of the following is to address requirements for the planning for External 

Service Providers (ESPs). 

SSA Additional Requirements for ESPs:

 (PL-2) ESP must develop a System Security Plan (SSP) compliant with SP SP 

800-18. The SSP shall be submitted to the SSA COTR.

 (PL-2) ESP must conduct an annual security review of the solution used to 

provide services to SSA. The System Security Plan (SSP) must be updated to 

reflect changes affecting the security of SSA data.

 (PL-4) The SSA COTR will provide the SSA Rules of Behavior (within the SSA 

Information System Security Handbook) for ESP systems that support internal 

users providing services to SSA. The rules of behavior ensure users are familiar 

with information security, privacy, and confidentiality practices. 

Risk Assessment Requirements

The purpose of the following is to address requirements for risk assessment for 

External Service Providers (ESPs). 

SSA Additional Requirements for ESPs:

 (RA-3) ESPs shall conduct a risk assessment to assess the risk and magnitude 

of harm that could result from the unauthorized access, use, disclosure, 

disruption, modification, or destruction of sensitive SSA information. The risk 

assessment should be reviewed annually and updated every three years or when 

a significant change occurs. 

 (RA-5) ESP must scan IT equipment used to provide services to SSA for security 

vulnerabilities at least monthly. The contractor must use a commercially 

available scanning tool. The scanning must include vulnerabilities identified in 

DHS national vulnerability database. Vulnerability scan reports must be retained 

for 12 months and submitted to the SSA COTR upon request.

Security Assessments and Authorization Requirements

The purpose of the following is to address requirements for security assessments and 

authorization for External Service Providers (ESPs). 

SSA Additional Requirements for ESPs:
Resource Page: SSA External Service Provider Security Guidance Page 8 

 (CA-2) ESPs must develop an assessment plan that includes: 

o Annual assessment of a subset of controls 

o Triennial comprehensive assessment (full scope) 

o Assessments as needed when a significant change occurs on the system. 

 (CA-2) ESP and COTR must define what a significant change is and require a 

new assessment whenever a significant change occurs. Significant change is 

defined in NIST Special Publication 800-37 Revision 1, Appendix F. 

 (CA-3) The contractor shall document in the SSA security plan, all connections to 

contractor resources made to external information systems, and applications. 

Examples of connections would include: connections to subcontractor sites, 

connections used for remote administration, connections made to contractor’s 

company/corporate networks, etc. These connections shall be reviewed and 

monitored on an ongoing basis, at least annually to determine the need for 

ongoing use by the contractor management. (Moderately categorized systems 

only).

 (CA-5) For any security reports issued to the contractor, including internal 

independent reviews, the contractor is responsible for developing a POA&M that 

identifies corrective actions and/or mitigating controls for any identified 

vulnerabilities. Contractors shall report to COTR POA&M progress at least 

monthly. In addition, the contractor must provide artifacts to update POA&M 

items at least 7 days prior to milestone completion date to ensure SSA has 

sufficient time to review. 

 (CA-7) ESP must monitoring the effectiveness of its security controls on a 

continual basis and take appropriate corrective actions as necessary to ensure 

SSA data is protected from unauthorized access, modification or disclosure. 

System and Communication Requirements

The purpose of the following is to address requirements for system and 

communications for External Service Providers (ESPs). 

SSA Additional Requirements for ESPs:

 (SC-4) ESP must logically or physically segregate SSA data from that of other 

customer if a multi-tenant environment is used to provide services to SSA. 

(Moderate and High categorized systems only).

 (SC-7(1)) ESPs shall physically allocate publicly accessible information system 

components to separate subnetworks with separate physical network interfaces. 

 (SC-7(4)) ESPs must provide traffic flow policy for each managed interface to 

SSA COTR for review and approval prior to implementation. 
Resource Page: SSA External Service Provider Security Guidance Page 9 

 (SC-8) ESP must encrypt PII and other sensitive SSA data when stored on 

persistent storage devices, or when transmitted over approved system 

interconnections, using a FIPS 140-2 compliant encryption solution (Moderate 

and High categorized systems only).

 (SC-10) ESPs must terminate user sessions automatically after 15 minutes of 

inactivity. (Moderate and High categorized systems only).

 (SC-15) ESPs use of collaborative computing devices (e.g., networked 

whiteboards, cameras, and microphones) on systems hosting /processing/ shall 

have their remote activation capability removed/disabled. 

 (SC-17) For all ESPs, who manage information systems, the information system 

shall utilize automated mechanisms with supporting procedures in place for 

digital certificate generation, installation, and distribution. Subscriber key pairs 

are generated and stored using FIPS 140-2 Security Level 2 or higher 

cryptographic modules. The same public/private key pair is not to be used for 

both encryption and digital signature. Private keys are protected using, at a 

minimum, a strong password. A certificate is revoked if the associated private 

key is compromised; management requests revocation; or the certificate is no 

longer needed. (Moderate and High categorized systems only).

 (SC-18) Mobile code is software that is executed from a host machine to run 

scripts on a client machine, including animation scripts, movies, etc. Mobile code 

is a powerful computing tool that can introduce risks to the user’s information 

system. Whenever an ESP is developing or deploying the mobile code 

technology, this shall be identified in the ESP’s security plan to SSA. Contractors, 

who use mobile code, shall be subject to a source code review by SSA personnel 

to ensure that there is no potential risk in introducing malicious code into the 

contractor/user’s environment. (Moderate and High categorized systems only).

Personnel Security Requirements

The purpose of the following is to address requirements for personnel security for 

External Service Providers. 

SSA Additional Requirements for ESPs:

 (PS-4) ESP must terminate employee and sub-contractor access to the solution 

used to provide services to SSA immediately upon reassignment or separation. 

 (PS-6) ESP personnel who are granted access to IT equipment, media or data 

used to provide services to SSA must agree and sign a non-disclosure 

agreement prohibiting unauthorized disclosure of SSA data encountered in the 

performance of their duties. 
Resource Page: SSA External Service Provider Security Guidance Page 10

 (PS-7) ESP sub-contractors are bound to the same security requirements as 

employees. 

 (PS-8) ESP must inform the SSA project officer of any violation of security 

requirements within 24 hours. 

System and Information Integrity Requirements

The purpose of the following is to address requirements for system and information 

integrity for External Service Providers. 

SSA Additional Requirements for ESPs:

 (S1-2) ESPs will remediate discovered flaws in the information system according 

to a process that is approved by the COTR. 

 (SI-3) ESP must submit alerts on malicious code detection and actions 

performed on malicious code to the SSA COTR for review. 

 (SI-4) The ESP shall employ tools and techniques to monitor events on the 

information system to detect attacks, vulnerabilities, and detect, deter, and report 

on unauthorized use of the information system. Whenever there is an elevated 

security level, the monitoring efforts shall be increased as necessary to enable 

deterrence, detection, and reporting to take place so that corrective actions shall 

be made to the networked environment. 

 (SI-5) ESPs must receive advisories (from US CERT) on a regular basis and take 

appropriate actions as necessary. 

 (SI-11) The information system shall identify security relevant error conditions 

and handle error conditions in an expeditious manner. (Moderately and High 

categorized systems only). 

Government Access Requirements (FedRAMP)

To the extent required to carry out a program of inspection to safeguard against threats 

and hazards to the security, confidentiality, integrity, availability, and reliability of any 

non-public government data collected and stored by the Offeror, the Offeror shall afford 

the government access to the Offeror’s facilities, installations, technical capabilities, 

operations, documentation, records and databases. The Provider shall also identify how 

the following compliance, oversight and law enforcement objectives can be effectively 

and efficiently conducted by SSA in the event such activity is deemed by SSA to be 

appropriate and necessary relative to the facilities, installations, operations, 
Resource Page: SSA External Service Provider Security Guidance Page 11

documentation, databases, IT systems, devices, and personnel used in performance of 

the contract, regardless of the location: 

 Audits; 

 Inspections; 

 Evaluations; 

 Investigations; 

 Continuous monitoring of the security posture and continued effectiveness of 

management, operational and technical controls (including IT asset and device 

discovery, inventory and security configurations); 

 Penetration testing; and 

 Vulnerability testing
EXHIBIT C
UNCLASSIFIED // FOR OFFICIAL USE ONLY 

UNCLASSIFIED // FOR OFFICIAL USE ONLY 

TEMPLATE VERSION (V1.3 FY17) - REMOVE BEFORE PUBLISHING

Security Assessment Report 

Social Security Administration 

(SSA) 

<System Name> (<Acronym>)

Security Categorization: <Enter Categorization>

<DRAFT/FINAL> Version <x.x>

<Month DD, YYYY>

Prepared by

8229 Boone Blvd., Suite 750 

Vienna, VA 22182 
Social Security Administration 

<System Name> 

Security Assessment Report (SAR) 

Version <X.X>

TMP V1.3 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY ii

<INSTRUCTIONS: Orange, bracketed text indicates instructions on how a section should be completed or 

sample text, which should be replaced with project specific information or removed. Ensure sample text is 

turned from orange to black where necessary (e.g., headings shall be changed to the standard heading 

color), and all instructions are removed (including this paragraph). Remove the template ID (e.g., TMP V1.3 

FY17) from the footer before publishing. All black text shall remain unchanged.>
Social Security Administration 

<System Name> 

Security Assessment Report (SAR) 

Version <X.X>

TMP V1.3 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY iii

Assessment Summary 

This document describes the Federal Information Security Modernization Act (FISMA) Security Assessment

Report (SAR) for Social Security Administration (SSA). The primary purpose of this document is to deliver

the independent security assessment findings for <System Name> (hereafter known as <System 

Acronym>). These findings will lead to the initiation of corrective actions or for making risk-based 

decisions. This independent security assessment supports the U.S. Government’s mandate that all 

U.S. Federal information systems comply with FISMA of 2014. 

The assessment took place between <MM DD, YYYY> and <MM DD, YYYY>. The independent 

security assessment followed the approved the Security Assessment Plan (SAP). All deviations from the

approved SAP are located in Table 7.

The table below represents the aggregate risk identified from the independent security assessment. 

Table 1: Executive Summary of Risks 

 NOTE: Total is the sum of high, moderate, and low risks with operationally required 

risks being represented as a subset of this total. 

Risk Category Total % of Total Risks

High <# high risks> <% of total risks>

Moderate <# moderate risks> <% of total risks>

Low <# low risks> <% of total risks>

Total Risks <Sum of all H, M, L

risks>

100%
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Document Revision History 

Version Date Description Author

1.0 <10/02/2015> Initial release Coalfire

<1.1> <10/26/2015> <Final template updates FY17> Coalfire

<1.2> <10/24/2017> <Template updates for FY17> Coalfire
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Table of Contents 

1 INTRODUCTION ..................................................................................................................... 1

1.1 Applicable Laws and Regulations ............................................................................................... 1

1.2 Applicable Standards and Guidance ........................................................................................... 1

1.3 Purpose ....................................................................................................................................... 2

2 SCOPE ................................................................................................................................. 3

2.1 Applicable Security Controls ....................................................................................................... 3

2.2 System Name/Title ...................................................................................................................... 3

2.3 Assessment Documentation ....................................................................................................... 4

2.4 Location of Components Tested ................................................................................................. 4

2.5 Subsystems, Users and Interfaces ............................................................................................. 4

2.6 Assessment Inventory ................................................................................................................. 5

3 SYSTEM OVERVIEW............................................................................................................... 6

3.1 Security Categorization ............................................................................................................... 6

3.2 System Description and Purpose ................................................................................................ 6

4 ASSESSMENT METHODOLOGY ............................................................................................... 7

4.1 Perform Tests .............................................................................................................................. 7

4.1.1 Assessment Deviations ............................................................................................................. 7

4.2 Identification of Vulnerabilities..................................................................................................... 7

4.3 Consideration of Threats ............................................................................................................. 8

4.4 Perform Risk Analysis ...............................................................................................................14

5 SECURITY ASSESSMENT RESULTS.......................................................................................16

5.1 Security Assessment Summary ................................................................................................17

6 NON-CONFORMING CONTROLS ............................................................................................18

6.1 Risks Corrected During Testing ................................................................................................18

6.2 Risks with Mitigating Factors .....................................................................................................18

6.3 Risks Remaining Due to Operational Requirements ................................................................18

7 RISKS KNOWN FOR INTERCONNECTED SYSTEMS ..................................................................20

8 RECOMMENDATIONS ...........................................................................................................20

APPENDIX A. ACRONYMS AND TERMS .....................................................................................21

APPENDIX B. SECURITY RISK TRACEABILITY MATRIX (SRTM) ..................................................24

APPENDIX C. INFRASTRUCTURE SCAN RESULTS......................................................................25

Infrastructure Scans: Inventory of Items Scanned ..............................................................................25

Infrastructure Scans: Raw Scan Results ............................................................................................25

Infrastructure Scans: False Positive Reports ......................................................................................25

APPENDIX D. DATABASE SCAN RESULTS ................................................................................26

Database Scans: Inventory of Databases Scanned ...........................................................................26

Database Scans: False Positive Reports ...........................................................................................26

APPENDIX E. WEB APPLICATION SCAN RESULTS ....................................................................27

Web Application Scans: Inventory of Web Applications Scanned ......................................................27

Web Application Scans: False Positive Reports .................................................................................27

APPENDIX F. ASSESSMENT RESULTS......................................................................................28
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APPENDIX G. PENETRATION TEST REPORT..............................................................................29

APPENDIX H. SECURITY ASSESSMENT REPORT SIGNATURE .....................................................30

 

List of Tables 

Table 1: Executive Summary of Risks .......................................................................................................... iii

Table 2: Identified Security Controls Assessed ............................................................................................ 3

Table 3: Information System Name and Title................................................................................................ 3

Table 4: Location of Components ................................................................................................................. 4

Table 5: Users and Interfaces ....................................................................................................................... 5

Table 6: Hardware and Software Inventory .................................................................................................. 5

Table 7: List of Assessment Deviations ........................................................................................................ 7

Table 8: Threat Categories and Type Identifiers........................................................................................... 8

Table 9: Potential Threats ............................................................................................................................. 9

Table 10: Likelihood Definitions from NIST 800-30 Rev. 1 Publication .......................................................14

Table 11: Impact Definitions from NIST 800-30 Rev. 1 Publication .............................................................14

Table 12: Risk Exposure Ratings from NIST 800-30 Rev. 1 Publication ....................................................15

Table 13: Risk Exposure .............................................................................................................................18

Table 14: Summary of Risks Corrected During Testing .............................................................................18

Table 15: Summary of Risks with Mitigating Factors ..................................................................................18

Table 16: Summary of Risks Remaining Due to Operational Factors ........................................................19

Table 17: Risks from Interconnected Systems ...........................................................................................20

Table 18: Acronyms and Terms ..................................................................................................................21

Table 19: Security Test Procedure Workbook ............................................................................................24

Table 20: Inventory of Items Scanned ........................................................................................................25

Table 21: Raw Scan Results .......................................................................................................................25

Table 22: Infrastructure Scans: False Positive Reports ..............................................................................25

Table 23: Inventory of Databases Scanned ................................................................................................26

Table 24: Database Scans: False Positive Reports ...................................................................................26

Table 25: Inventory of Web Applications Scanned .....................................................................................27

Table 26: Web Application Scans: False Positive Reports .........................................................................27

Table 27: Summary of System Security Risks from FISMA Testing ...........................................................28

Table 28: SAR Signatures...........................................................................................................................30
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1 Introduction 

This SAR document for <System Acronym> is required by the National Institute of Standards and

Technology (NIST) 800-53 Revision 4 (Rev 4) document. This SAR contains unbiased and factual 

security findings by an independent security assessment team. This SAR contains the <System Acronym>

system specific security controls tested as per the Security Assessment Plan (SAP) approved by SSA Office 

of Information Security (OIS), the <System Acronym> Security Authorization Manager (SAM), and the

Coalfire (formally Veris Group) Project Manager (PM). The implementation status of these controls identify 

the residual risk (risk remaining after controls have been implemented). These controls are required per

NIST 800-53 Rev. 4 to address known information system vulnerabilities. The results are in support of SSA 

Security Authorization program goals, efforts, and activities necessary to achieve compliance with FISMA 

security requirements. 

1.1 Applicable Laws and Regulations 

• Computer Fraud and Abuse Act [Public Law (PL) 99-474, 18 U.S. Code (USC) 1030] 

• E-Authentication Guidance for Federal Agencies [Office of Management and Budget (OMB) M-04-

04] 

• FISMA of 2014 [PL 113-283] 

• Freedom of Information Act (FOIA) As Amended in 2002 [PL 104-232, 5 USC 552] 

• Guidance on Inter-Agency Sharing of Personal Data – Protecting Personal Privacy [OMB M-01-05] 

• Homeland Security Presidential Directive(HSPD)-7, Critical Infrastructure Identification, 

Prioritization and Protection [HSPD-7] 

• Internal Control Systems [OMB Circular A-123] 

• Management of Federal Information Resources [OMB Circular A-130] 

• Management’s Responsibility for Internal Control [OMB Circular A-123, Revised 12/21/2004] 

• Privacy Act of 1974 as amended [5 USC 552a] 

• Protection of Sensitive Agency Information [OMB M-06-16] 

• Records Management by Federal Agencies [44 USC 31] 

• Responsibilities for the Maintenance of Records About Individuals by Federal Agencies [OMB 

Circular A-108, as amended] 

• Security of Federal Automated Information Systems [OMB Circular A-130, Appendix III] 

1.2 Applicable Standards and Guidance 

• A NIST Definition of Cloud Computing [NIST SP 800-145] 

• Computer Security Incident Handling Guide [NIST SP 800-61, Revision 2] 

• Contingency Planning Guide for Federal Information Systems [NIST SP 800-34, Revision 1] 

• Engineering Principles for Information Technology Security (A Baseline for Achieving Security) 

[NIST SP 800-27, Revision A] 

• Assessing Security and Privacy Controls in Federal Information Systems and Organizations [NIST 

SP 800-53A, Revision 4] 
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• Security and Privacy Controls for Federal Information Systems and Organizations [NIST SP 800-

53, Revision 4] 

• Guide for Developing Security Plans for Federal Information Systems [NIST SP 800-18, Revision 

1] 

• Guide for Applying the Risk Management Framework to Federal Information Systems: A Security 

Life Cycle Approach [NIST SP 800-37, Revision 1] 

• Guide for Mapping Types of Information and Information Systems to Security Categories [NIST SP 

800-60, Revision 1] 

• Guide for Security-Focused Configuration Management of Information Systems [NIST SP 800-128] 

• Information Security Continuous Monitoring for Federal Information Systems and Organizations 

[NIST SP 800-137] 

• Managing Information Security Risk: Organization, Mission, and Information System View [NIST 

SP 800-39] 

• Minimum Security Requirements for Federal Information and Information Systems [FIPS 

Publication 200] 

• Personal Identity Verification (PIV) of Federal Employees and Contractors [FIPS Publication 201-

2] 

• Recommended Security Controls for Federal Information Systems [NIST SP 800-53, Revision 4] 

• Guide for Conducting Risk Assessments [NIST SP 800-30, Revision 1] 

• Security Considerations in the System Development Life Cycle [NIST SP 800-64, Revision 2] 

• Security Requirements for Cryptographic Modules [Federal Information Processing Standard 

(FIPS) Publication 140-2] 

• Standards for Security Categorization of Federal Information and Information Systems [FIPS 

Publication 199] 

• Technical Guide to Information Security Testing and Assessment [NIST SP 800-115] 

1.3 Purpose 

The purpose of this document is to provide the System Owner (SO) and the SSA Authorization Official (AO)

with a detailed level of the residual risk for <System Acronym>. An independent security assessment team 

conducted a test for each system specific security control implemented by SSA stakeholders. These 

tests include a combination of interviews, document examinations, and actual technical testing of controls 

when applicable. These controls each had implementation statements listed in the <System Acronym>

System Security Plan (SSP). These statements identified how the controls are in place and the 

assessment team tested the controls based on that criteria. Additionally, the testing ensures the controls 

are in are in compliance with the FISMA baseline security control requirements as defined in NIST 800-53

Rev 4. FISMA mandates that all Federal Agencies will comply with the NIST 800-53 Rev. 4 standards. 

Assessors from the independent security assessment team are members of contracted Coalfire Federal 

Services (formally Veris Group). 

The system specific security controls for this assessment are in section 2.1 
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2 Scope 

2.1 Applicable Security Controls 

The applicable security controls as listed in the <System Acronym> SAP are in Table 2 of this <System 

Acronym> SAR. The security control assessment authorized by OIS and the <System Acronym> SAM 

gives authority to the Coalfire Independent Security Assessment team to assess the listed controls. 

Table 2: Identified Security Controls Assessed 

Security Control Family Security Control

Access Control AC-2, AC-2(2), AC-2(3), AC-2(4)

Awareness and Training

Audit and Accountability AU-7(1)

Security Assessment and Authorization CA-5, CA-6

Configuration Management CM-9

Contingency Planning

Identification and Authentication IA-2, IA-(3), IA-5, IA-5(1)

Planning PL-2, PL-2(3), PL-8

Personnel Security PS-4, PS-5

Risk Assessment RA-2, RA-3

System and Services Acquisition SA-3, SA-4(9), SA-5, SA-8, SA-9, SA-9(2), SA-11

System and Communications Protection SC-4, SC-39

System and Information Integrity SI-10, SI-11, SI-16

2.2 System Name/Title 

The <System Acronym> system unique identifier and system acronyms are in Table 3. Due to the 

number of applications located within <System Acronym>, <only two of the subsystems> fall within the

scope of this assessment. The authority to use a representative sample is located within NIST 800-53 

Rev 4 Guide for Assessing the Security Controls in Federal Information Systems and Organizations. 

Table 3: Information System Name and Title 

Information System Name: <System Name>

Information System Acronym: <System Acronym>

Information System Identifier <System Identifier>

Security Categorization: (High, Moderate, Low) <Categorization>

PII data: (Yes/No) <Yes/No>

e-Authentication Application: (Yes/No) <Yes/No>

Production Data Used In Development/Test 

Environment (Yes/No)

<Yes/No>
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Federal Tax Information (Yes/No) <Yes/No>

2.3 Assessment Documentation 

Documentation used by the independent assessment team to perform the assessment of the <System 

Acronym> subsystems include the following: 

• <System Acronym> System Security Plan (SSP) 

• <System Acronym> Security Assessment Plan (SAP) 

• Security Operation Division (SOC) Nessus scanner with McAfee, McAfee ePolicy 

Orchestrator (EPO) instance scan statistic reports 

• SSA Information Security Policy (ISP) 

• The <System Acronym> Boundary Scope Memo (BSM) 

• The <System Acronym> Information System Contingency Plan (ISCP) 

• The <System Acronym> Federal Information Processing Standards Publication (FIPS) 199

2.4 Location of Components Tested 

The physical locations of all the different functional components supporting the testing of the <System 

Acronym> information system is in Table 4.

Table 4: Location of Components 

System Physical Location and Addresses

Production Environment Site 

Name

Address Description of Components

<EXAMPLE: National Computer 

Center (NCC)>

6401 Security Blvd

Baltimore, MD 21235

Production Environment (i.e., 

hardware )

(Primary Support)

Development/Test 

Environment Site Name

Address Description of Components

<EXAMPLE: National Support

Center (NSC)>

3500 Campus Drive, Suite 106

Urbana, MD 21704

Development and Testing

Environment (Integration

Testing)

Disaster Recovery 

Environment Site Name

Address Description of Components

<EXAMPLE: Secondary Support 

Center (SSC)>

3004 Tower Blvd

Durham, NC 27707

Production Environment (i.e., 

hardware)

(Secondary/Failover Support)

Contractor Owned 

Environment Site Name

Address Description of Components

2.5 Subsystems, Users and Interfaces 
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The <System Acronym> system contains the following subsystems, users and interfaces that were tested 

as part of this assessment. They are contained within the embedded Error! Reference source not found.. 

<Complete the embedded spreadsheet with system specific information.>

Table 5: Users and Interfaces 

T2 Internet - Users 

and Interfaces.doc

<Embed the applicable system’s Users and Interface, EXAMPLE attached.>

2.6 Assessment Inventory 

The <System Acronym> hardware and software inventories provided by the SO’s are in Table 6.

<Complete the embedded spreadsheet with system specific information.> 

Table 6: Hardware and Software Inventory 

T2 Internet - 

HW-SW Inventory.xlsx

<Embed the applicable system’s Hardware and Software Inventory, EXAMPLE attached.>

 NOTE: Any changes to the scope of the Authorization Boundary after the Boundary 

Scope Meeting and finalization of the Boundary Scope Memo (BSM) may impact the 

overall Independent Verification and Validation (IV&V) schedule.
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3 System Overview 

3.1 Security Categorization

The FIPS 199 Security Categorization of a Federal Information and Information System publication

determines the risk impact level of data vulnerability exploitation. The identified impact level sets the

security control baseline that needs to be tested. The categorization for <System Acronym> determined 

by the FIPS 199 publication is a Moderate baseline. The NIST 800-53 Rev 4. <Moderate> baseline of

controls are assessed during the security assessment. 

3.2 System Description and Purpose 

<In the sections below, insert a general description of the information system. Use a description that is 

consistent with the description found in the SSP. The description must only differ from the description in 

the SSP if additional information is going to be included that is not available in the SSP or if the description 

in the SSP is not accurate.>
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4 Assessment Methodology 

A summary of the assessment methodologies used to conduct the security assessment for the <System 

Acronym> subsystems are in the following steps: 

 Perform tests on the listed controls in the <System Acronym> SAP and record the results 

 Identify vulnerabilities related to <System Acronym>

 Identify known threats and determine which threats are associated with the cited vulnerabilities 

 Analyze risks based on vulnerabilities and associated threats after mitigating controls 

are implemented 

 Recommend corrective actions for controls that are not satisfied (other than satisfied) 

 Document all security assessment results, which include identified unmitigated risks, 

mitigated risks, and recommend corrective actions. 

4.1 Perform Tests 

Coalfire Federal Services performed security tests on the <System Acronym > subsystems, which 

concluded on < M M D D , YYYY >. The results of the tests are documented within the Security Risk

Traceability Matrix (SRTM) in Appendix B. The SRTM serves as input to this SAR. 

4.1.1 Assessment Deviations 

Table 7 contains any deviations from the SAP if applicable. Coalfire Federal Services did not deviate from

the testing plan. 

Table 7: List of Assessment Deviations 

Deviation ID Deviation Description Justification

4.2 Identification of Vulnerabilities 

Coalfire Federal Services conducts an assessment to identify vulnerabilities for <S ys tem 

Acro n ym > subsystems. These vulnerabilities should have controls in place to mitigate the risk of

exploitation. 

A vulnerability is an inherent weakness in an information system that can be exploited by a threat or

threat agent, resulting in an undesirable impact on the protection of the confidentiality, integrity, or

availability of the system (application and associated data). A vulnerability may be due to a design 

flaw or error in a configuration that makes the network or a host on the network, susceptible to malicious 

attacks from local or remote users. Vulnerabilities can exist in multiple areas of the system or facilities, 

such as in firewalls, application servers, Web servers, operating systems, or fire suppression systems. 

Whether or not a vulnerability has the potential to be exploited by a threat depends on a number of

variables including (but not limited to): 

• The strength of the security controls in place 

• The ease at which a human actor could purposefully launch an attack 

• The probability of an environmental event or disruption in a given local area 
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An environmental disruption is usually unique to a geographic location. Depending on the level of the risk

exposure, the successful exploitation of a vulnerability can vary from disclosure of information about the

host to a complete compromise of the host. Risk exposure to organizational operations can affect the

business mission, functions, and/or reputation of the organization. 

4.3 Consideration of Threats 

A threat is an adversarial force or phenomenon that could affect the availability, integrity, or confidentiality

of an information system, its networks, and the facility that houses the hardware and software. A threat

agent is an element that provides the delivery mechanism for a threat. An entity that initiates the launch of

a threat agent is referred to as a threat actor. 

A threat actor might purposefully launch a threat agent (e.g., a terrorist igniting a bomb). A threat actor

could also be a trusted employee that acts as an agent by making an unintentional human error (e.g., a

trusted employee clicks on a phishing email that downloads malware). Threat agents may also be

environmental in nature with no purposeful intent (e.g., a hurricane). Threat agents working alone, or in

concert, exploit vulnerabilities to create incidents. FISMA categorizes threats using a threat origination

taxonomy of purposeful (P), unintentional (U), or environmental (E) type threats as described in Table 8. 

Table 8: Threat Categories and Type Identifiers 

Threat Origination Category Type Identifier

Threats launched purposefully P

Threats created by unintentional human or machine error U

Threats caused by environmental agents or disruptions E

Threat actors for a variety of reasons launch purposeful threats and the reasons may never be fully known.

Curiosity, monetary gain, political gain, social activism, revenge or many other driving forces could motivate

threat actors. It is possible that some threats could have more than one threat origination category. 

Some threat types are more likely to occur than others are. FISMA considers threat types to help 

determine the likelihood that a vulnerability could be exploited. The threat table shown in

Table 9 describes typical threats to information systems; these threats have been considered for <System 

Acronym>.
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Table 9: Potential Threats 

ID Threat Name Type 

Identifier Description

Typical Impact to Data or System

Confidentiality Integrity Availability

T-1. Alteration U, P, E Alteration of data, files, or records. Modification

T-2. Audit 

Compromise P

An unauthorized user gains access to the audit trail and 

could cause audit records to be deleted or modified, or 

prevents future audit records from being recorded, thus 

masking a security relevant event.

Modification 

or 

destruction

Unavailable 

accurate 

records

T-3. Bomb P An intentional explosion.

Modification 

or 

destruction

Denial of 

service

T-4. Communications 

Failure U, E Cut fiber optic lines, trees falling on telephone lines. Denial of service

T-5. Compromising 

Emanations P

Eavesdropping can occur via electronic media directed 

against large scale electronic facilities that do not 

process classified National Security Information.

Disclosure

T-6. Cyber Brute 

Force P

Unauthorized user could gain access to the information 

systems by random or systematic guessing of 

passwords, possibly supported by password cracking 

utilities.

Disclosure

Modification 

or 

destruction

Denial of 

service

T-7. Data Disclosure 

Attack P

An attacker uses techniques that could result in the 

disclosure of sensitive information by exploiting 

weaknesses in system design or configuration.

Disclosure

T-8. Data Entry Error U

Human inattention, lack of knowledge, and failure to 

cross-check system activities could contribute to errors 

becoming integrated and ingrained in automated 

systems.

Modification

T-9. Denial of Service 

Attack P

An adversary uses techniques to attack a single target 

rendering it unable to respond; could cause denial of 

service for users of the targeted information systems.

Denial of 

service
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ID Threat Name Type 

Identifier Description

Typical Impact to Data or System

Confidentiality Integrity Availability

T-10. Distributed Denial 

of Service Attack P

An adversary uses multiple compromised information 

systems to attack a single target; could cause denial of 

service for users of the targeted information systems.

Denial of 

service

T-11. Earthquake E

Seismic activity can damage the information system or 

its facility. Refer to the following document for 

earthquake probability maps 

http://pubs.usgs.gov/of/2008/1128/pdf/OF08-

1128_v1.1.pdf .

Destruction Denial of 

service

T-12. Electromagnetic 

Interference E, P

Disruption of electronic and wire transmissions could be 

caused by high frequency (HF), very high frequency 

(VHF), and ultra-high frequency (UHF) communications 

devices (jamming) or sun spots.

Denial of 

service

T-13. Espionage P

The illegal, covert act of copying, reproducing, 

recording, photographing or intercepting sensitive 

information.

Disclosure Modification

T-14. Fire E, P

Fire can be caused by arson, electrical problems, 

lightning, chemical agents, or other unrelated proximity 

fires.

Destruction Denial of 

service

T-15. Floods E

Water damage caused by flood hazards can be caused

by proximity to local flood plains. Flood maps and base 

flood elevation must be considered.

Destruction Denial of 

service

T-16. Fraud P

Intentional deception regarding data or information 

about an information system could compromise the 

confidentiality, integrity, or availability of an information 

system.

Disclosure

Modification 

or 

destruction

Denial of 

service

T-17.

Hardware or 

Equipment 

Failure

E

Hardware or equipment may fail due to a variety of 

reasons.

Denial of 

service

T-18. Hardware 

Tampering P

An unauthorized modification to hardware that alters 

the proper functioning of equipment in a manner that Modification Denial of 

service
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ID Threat Name Type 

Identifier Description

Typical Impact to Data or System

Confidentiality Integrity Availability

degrades the security functionality provided by the 

asset.

T-19. Hurricane E

A category 1, 2, 3, 4, or 5 land falling hurricane could 

impact the facilities that house the information systems. Destruction Denial of service

T-20. Malicious 

Software P

Software that damages a system such a virus, Trojan, 

or worm.

Modification 

or 

destruction

Denial of 

service

T-21. Phishing Attack P

Adversary attempts to acquire sensitive information 

such as usernames, passwords, or SSNs, by 

pretending to be communications from a 

legitimate/trustworthy source. 

Typical attacks occur via email, instant messaging, or 

comparable means; commonly directing users to Web 

sites that appear to be legitimate sites, while actually 

stealing the entered information.

Disclosure

Modification 

or 

destruction

Denial of 

service

T-22. Power 

Interruptions E

Power interruptions may be due to any number of 

reasons such as electrical grid failures, generator 

failures, uninterruptable power supply (UPS) failures 

(e.g. spike, surge, brownout, or blackout).

Denial of 

service

T-23. Procedural Error U

An error in procedures could result in unintended 

consequences.

Disclosure

Modification 

or 

destruction

Denial of 

service

T-24. Procedural 

Violations P Violations of standard procedures. Disclosure

Modification 

or 

destruction

Denial of 

service

T-25. Resource 

Exhaustion U

An errant (buggy) process may create a situation that 

exhausts critical resources preventing access to 

services. 

Denial of 

service
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ID Threat Name Type 

Identifier Description

Typical Impact to Data or System

Confidentiality Integrity Availability

T-26. Sabotage P Underhanded interference with work.

Modification 

or 

destruction

Denial of 

service

T-27. Scavenging P

Searching through disposal containers (e.g.,

dumpsters) to acquire unauthorized data. Disclosure

T-28. Severe Weather E

Naturally occurring forces of nature could disrupt the 

operation of an information system by freezing, sleet, 

hail, heat, lightning, thunderstorms, tornados, or 

snowfall.

Destruction Denial of 

service

T-29. Social 

Engineering P

An attacker manipulates people into performing actions,

divulging confidential information, or providing access 

to computer systems or facilities.

Disclosure

T-30. Software 

Tampering P

Unauthorized modification of software (e.g., files, 

programs, database records) that alters the proper 

operational functions.

Modification 

or 

destruction

T-31. Terrorist P

An individual performing a deliberate violent act could 

use a variety of agents to damage the information 

system, its facility, and/or its operations.

Modification 

or 

destruction

Denial of 

service

T-32. Theft P An adversary could steal elements of the hardware. Denial of 

service

T-33. Time and State P

An attacker exploits weaknesses in timing or state of 

functions to perform actions that would otherwise be 

prevented (e.g., race conditions, manipulation of user 

state).

Disclosure Modification Denial of 

service

T-34. Transportation 

Accidents E

Transportation accidents include train derailments, river 

barge accidents, trucking accidents, and airline 

accidents. Local transportation accidents typically 

occur when airports, sea ports, railroad tracks, and 

major trucking routes occur in close proximity to 

systems facilities. Likelihood of HAZMAT cargo must

Destruction Denial of 

service
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ID Threat Name Type 

Identifier Description

Typical Impact to Data or System

Confidentiality Integrity Availability

be determined when considering the probability of local 

transportation accidents.

T-35. Unauthorized 

Facility Access P

An unauthorized individual accesses a facility which 

may result in comprises of confidentiality, integrity, or 

availability.

Disclosure

Modification 

or 

destruction

Denial of 

service

T-36. Unauthorized 

Systems Access P An unauthorized user accesses a system or data. Disclosure

Modification 

or 

destruction

T-37. Volcanic Activity E

A crack, perforation, or vent in the earth’s crust followed 

by molten lava, steam, gases, and ash forcefully 

ejected into the atmosphere. For a list of volcanoes in 

the U.S. see:

http://volcanoes.usgs.gov/about/volcanoes/volcanolist.

php .

Destruction Denial of 

service
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4.4 Perform Risk Analysis 

NIST identifies risk assessment as the first process in the risk management methodology. Organizations

use the risk assessment to determine the extent of the potential threat and the risk associated with an

information system. NIST defines Risk as “a function of the likelihood of a given threat-source’s exercising

a particular vulnerability and the resulting impact of the adverse event on the organization”. The outcome

of performing risk analysis yields risk exposure metrics that can be used to make risk-based decisions. 

The FISMA risk analysis process is a qualitative risk analysis. In qualitative risk analysis, the risk level of

exploiting a threat may be subjective and the justification for each risk is explained in terms of probability.

The following tables have probabilities associated with the likelihood and the impact level of the risk. For

example, when a system is easy to exploit, it has a “Very High” likelihood that a threat could exploit the

vulnerability. Likelihood definitions and probabilities are in Table 10.

Note: The likelihood levels should not be confused or used interchangeably with the security categorization

of the system even though they use the some of the same terminology. The security categorization is

determined by the sensitivity of the data residing on the information system and is in the FIPS 199

publication. 

Table 10: Likelihood Definitions from NIST 800-30 Rev. 1 Publication 

Likelihood 

Probability Level

Description

Very Low If the threat event is initiated or occurs, it is almost certain to have adverse impacts.

Low If the threat event is initiated or occurs, it is unlikely to have adverse impacts.

Moderate If the threat event is initiated or occurs, it is somewhat likely to have adverse

impacts.

High If the threat event is initiated or occurs, it is highly likely to have adverse impacts.

Very High If the threat event is initiated or occurs, it is almost certain to have adverse impacts.

Impact refers to the magnitude of potential harm to the information system (or its data) by successful

vulnerability exploitation. Definitions for the impact are in Table 11. Since exploitation has not yet occurred,

these values are perception values based on available information system information if the exploitation of

a vulnerability can cause significant loss to a system (or its data) then the impact is “Very High”. 

Table 11: Impact Definitions from NIST 800-30 Rev. 1 Publication 

Impact

Probability

Description

Very Low The threat event could be expected to have a negligible adverse effect on

organizational operations, organizational assets, individuals other organizations, or

the Nation.

Low The threat event could be expected to have a limited adverse effect on

organizational operations, organizational assets, individuals other organizations, or

the Nation. A limited adverse effect means that, for example, the threat event might:

(i) cause a degradation in mission capability to an extent and duration that the 

organization is able to perform its primary functions, but the effectiveness of the

functions is noticeably reduced; (ii) result in minor damage to organizational assets;

(iii) result in minor financial loss; or (iv) result in minor harm to individuals
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Moderate The threat event could be expected to have a serious adverse effect on

organizational operations, organizational assets, individuals other organizations, or

the Nation. A serious adverse effect means that, for example, the threat event might:

(i) cause a significant degradation in mission capability to an extent and duration

that the organization is able to perform its primary functions, but the effectiveness

of the functions is significantly reduced; (ii) result in significant damage to

organizational assets; (iii) result in significant financial loss; or (iv) result in

significant harm to individuals that does not involve loss of life or serious lifethreatening injuries.

High The threat event could be expected to have a severe or catastrophic adverse

effect on organizational operations, organizational assets, individuals, other

organizations, or the Nation. A severe or catastrophic adverse effect means that, for

example, the threat event might: (i) cause a severe degradation in or loss of mission

capability to an extent and duration that the organization is not able to perform

one or more of its primary functions; (ii) result in major damage to organizational

assets; (iii) result in major financial loss; or (iv) result in severe or catastrophic harm

to individuals involving loss of life or serious life-threatening injuries.

Very High The threat event could be expected to have multiple severe or catastrophic

adverse effects on organizational operations, organizational assets, individuals,

other organizations, or the Nation.

The combination of the Likelihood Probability and the Impact Probability creates the risk exposure. The risk

exposure matrix shown in Table 12 presents the same likelihood and impact severity ratings as those found

in NIST SP 800-30 Rev. 1 Risk Management Guide for Information Technology Systems. 

Table 12: Risk Exposure Ratings from NIST 800-30 Rev. 1 Publication 

Likelihood Impact

Very Low Low Moderate High Very High

Very High Very Low Low Moderate High Very High

High Very Low Low Moderate High Very High

Moderate Very Low Low Moderate Moderate High

Low Very Low Low Low Low Moderate

Very Low Very Low Very Low Very Low Very Low Very Low

Using Table 12 as a reference, Coalfire Federal Services reviewed all identified vulnerabilities and assigned

a risk exposure located in the <System Acronym> SRTM in Appendix B.

Documenting the results of security control testing creates a record of the security posture for the system

at a given moment in time. The record can be used by the AO to make risk-based decision and to create

plans of action to mitigate unacceptable residual risks. 

FISMA requires that a Plan of Action and Milestones (POA&M) be developed. The POA&M is a mitigation

plan designed to address specific residual security risks and includes information on costing, resources,

and target dates for remediation efforts resolving the identified security weaknesses. The plan is utilized as

the primary mechanism for tracking all the residual risks and other issues. SSA will leverage the SAR to

create a POA&M for <System Acronym>. 
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5 Security Assessment Results 

This section describes all security risks found during assessment. The following elements for each security

risk are reported. 

• Identifier 

• Name 

• Source of Discovery 

• Description 

• Affected internet protocol (IP) Address/Hostname/Database 

• Applicable Threats 

• Likelihood (before mitigating controls/factors) 

• Impact (before mitigating controls/factors) 

• Risk Exposure (before mitigating controls/factors) 

• Risk Statement 

• Mitigating Controls/Factors 

• Likelihood (after mitigating controls/factors) 

• Impact (after mitigating controls/factors) 

• Risk Exposure (after mitigating controls/factors) 

• Recommendation 

Below is a description of the SAR security risk elements. 

• Identifier: All weaknesses are assigned a vulnerability identifier (ID) in the form of V#-Security 

Control ID. For example, the first vulnerability listed would be reported as V1-AC-2(2) if the 

vulnerability is for control ID AC-2(2). If there are multiple vulnerabilities for the same security 

control ID, the first part of the vulnerability ID must be incremented, for example V1-AC-2(2), V2-

AC-2(2). 

• Name: A short, unique name for each vulnerability. 

• Source of Discovery: The source of discovery refers to the method that was used to discover the 

vulnerability (e.g., web application scanner, manual testing, security test procedure workbook, 

interview, document review). References must be made to scan reports, security test case 

procedure IDs, staff that were interviewed, manual test results, and document names. All scans 

reports are attached in Appendix C, Appendix D, Appendix E, and Appendix F. Results of manual 

tests can be found in Appendix G. If the source of discovery is from one of the security test 

procedure workbooks, a reference must point to the workbook name, the sheet number, and the 

cell number. Workbook tests results are found in Appendix B. If the source of discovery is from 

an interview, the date of the interview and the people who were present at the interview are named. 

If the source of discovery is from a document, the document must be named. 
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• Description: All security weaknesses must be described in enough detail to be reproduced by the 

stakeholder, the Information System Security Officer (ISSO), or the AO. If a test was performed 

manually, the exact manual procedure and any relevant screenshots must be included. If a test 

was performed using a tool or scanner, a description of the reported scan results for that 

vulnerability must be included along with the vulnerability identifier (e.g., Common Vulnerabilities 

and Exposures (CVE), Common Vulnerability Scoring System (CVSS), Nessus Plugin ID) and 

screenshots of the particular vulnerability being described. If the tool or scanner reports a severity 

level, that level must be reported in this section. Any relevant login information and role information 

must be included for vulnerabilities discovered with scanners or automated tools. If any security 

weaknesses affect a database transaction, a discussion of atomicity violations must be included. 

• Affected IP Address/Hostname(s)/Database: For each reported vulnerability, all affected IP 

addresses/hostnames/databases must be included. If multiple hosts/databases have the same 

vulnerability, list all affected hosts/databases. 

• Applicable Threats: The applicable threats describe the unique threats that have the ability to 

exploit the security vulnerability. (Use threat numbers from Error! Reference source not found..)

• Likelihood (before mitigating controls/factors): Very High, High, Moderate, Low, or Very Low 

(see Error! Reference source not found.). 

• Impact (before mitigating controls/factors): Very High, High, Moderate, Low, or Very Low (see 

Error! Reference source not found.). 

• Risk Exposure (before mitigating controls/factors): Very High, High, Moderate, Low, or Very 

Low (see Error! Reference source not found.).

• Risk Statement: Provide a risk statement that describes the risk to the business. (See examples 

in Error! Reference source not found.). Also indicate whether the affected machine(s) is/are 

internally or externally facing. 

• Mitigating Controls/Factors: Describe any applicable mitigating controls/factors that could 

downgrade the likelihood or risk exposure. Also indicate whether the affected machine(s) is/are 

internally or externally facing. Include a full description of any mitigating factors and/or 

compensating controls if the risk is an operational requirement. 

• Likelihood (after mitigating controls/factors): Moderate or Low (see Error! Reference source 

not found.) after mitigating control/factors have been identified and considered. 

• Impact (after mitigating controls/factors): Moderate or Low (see Error! Reference source not 

found.) after mitigating control/factors have been identified and considered. 

• Risk Exposure (after mitigating controls/factors): Moderate or Low (see Error! Reference 

source not found.) after mitigating controls/factors have been identified and considered. 

• Recommendation: The recommendation describes how the vulnerability should be resolved. 

Indicate if there are multiple ways that the vulnerability could be resolved or recommendation for 

acceptance of operational requirement. 

5.1 Security Assessment Summary 

<Two (2) vulnerabilities, (0 high, zero moderate, 2 low)> have been discovered as part of the manual 

security assessment testing. Vulnerability scans provided did not provide enough information to provide 

analysis of scan vulnerability to assessment result. 
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The vulnerabilities summary is contained in the following embedded file: 

Table 13: Risk Exposure 

T2 Risk Exposure 

Table.xlsx

<Embed applicable system’s Risk Exposure table, EXAMPLE attached.> 

6 Non-conforming Controls 

In some cases, the initial risk exposure to the system has been adjusted due to either corrections that 

occurred during testing or to other mitigating factors. Additional detail is provided in the following sections. 

6.1 Risks Corrected During Testing 

Any risks that were discovered during the testing of the <System Acronym> subsystems and subsequently 

mitigated prior to authorization are listed in Table 14. Coalfire Federal Services verified risks corrected 

during testing. The verification method used to determine correction is noted in the right-hand column of

Table 14. 

Table 14: Summary of Risks Corrected During Testing 

Identifier Description Source of 

Discovery

Initial Risk 

Exposure

Remediation 

Description

Date of 

Remediation

Verification 

Statement/Testing 

Procedures

6.2 Risks with Mitigating Factors 

Risks that have had their severity levels changed due to mitigating factors are summarized in Table 15.

The factors used to justify changing the initial risk exposure rating are noted in the right-hand column of the

table. See Table 13 for more information on these risks. 

Table 15: Summary of Risks with Mitigating Factors 

Identifier Description Source of 

Discovery

Initial Risk 

Exposure

Current Risk 

Exposure

Description of 

Mitigating 

Factors

6.3 Risks Remaining Due to Operational Requirements 

Risks that reside in the <system acronym> that cannot be corrected due to operational constraints are 

summarized in Error! Reference source not found.. An explanation of the operational constraints and 

risks are included in Error! Reference source not found. as well as in the appropriate security assessment 

test cases and SSP. Because these risks will not be corrected, they are not tracked in the POA&M. See 

Error! Reference source not found.for more information on these risks. 
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Table 16: Summary of Risks Remaining Due to Operational Factors 

Identifier Description Source of Discovery Current Risk Exposure Operational 

Requirements 

Rationale
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7 Risks Known for Interconnected Systems 

Inherent relationships between the system and other interconnected systems may affect the overall system

security posture. A summary of the risks known for systems that connect to <System Acronym> is provided 

in Table 17. 

Table 17: Risks from Interconnected Systems 

System Authorization 

Date/Status

Date of POA&M Control Family 

Identifier

8 Recommendations 

<System Acronym> subsystem risks that were discovered during the assessment have an impact on

the security posture of the SSA Federal Agency as a whole. These risks must be mitigated and Coalfire 

Federal Services has made recommendations in the Risk Exposure section, Table 14. These

recommendations should be addressed by the SAM, system owners, OIS, and other stakeholders that have

a responsibility for the controlling the overall risk of <System Acronym>. 
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Appendix A. Acronyms and Terms 

Acronyms and terms used throughout this SAR are defined in Table 18. 

Table 18: Acronyms and Terms 

Acronym/Term SAR Acronym Definitions

AC Associate Commissioner

AC Access Control

AO Authorizing Official

ARB Architecture Review Board

ART Analysis and Reporting Tool

AU Audit and Accountability

BRI Benefit Rate Increase

BSM Boundary Scope Memo

CA Security Assessment and Authorization

CCB Configuration Control Board

CIC Customer Information Control System

CM Configuration Management

CMP Contingency Management Plan

COTR Contract Officer’s Technical Representative

CSAM Cyber Security Assessment & Management

CSO Component Security Officer

CVE Common Vulnerabilities and Exposures

CVSS Common Vulnerability Scoring System

DCS Deputy Commissioner for Systems

DSPP Division of Security Policy & PII

EPECS Electronic Personal Enrollment Credential System

EPO ePolicyOrchestrator

FIPS Federal Information Processing Standard

FISMA Federal Information Security Modernization Act

FOIA Freedom of Information Act

HRMIS Human Resources Management Information System

HRODS Human Resources Operational Data Store

HSPD Homeland Security Presidential Directive

IA Identification and Authentication

ID Identification
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IP Internet Protocol

ISCP Information System Contingency Plan

ISO Information Security Officers

ISP Information Security Policy

ISSO Information System Security Officer

LIS Low Income Subsidy

NIST National Institute of Standards and Technology

NSC National Support Center

OIS Office of Information Security

OMB Office of Management and Budget

OSOHE Office of Systems Operations and Hardware Engineering

OTSO Office of Telecommunications and Systems Operations

PAM Payment Application Modernization

PCCB Project Configuration Control Board

PIN Personal Identification Number

PIV Personal Identification Verification

PL Public Law

PL (Control) Planning

PM Program Manager

POA&M Plan of Action and Milestones

PRIDE Project Resource Guide

PS (Control) Personnel Security

P, U, E Purposeful, Unintentional, Environmental

SA System and Services Acquisition

SAM Security Authorization Manager

SAP Security Assessment Plan

SARA Security Administration Report Application (User Guide)

SAR Security Assessment Report

SC Systems and Communications Protection

SDLC System Development Life Cycle

SI System and Information Integrity

SMACS Security Management Access Control Systems

SO System Owner

SOC Security Operation Division
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SP Special Publication

SRC System Release Certificate

SRTM Security Requirements Traceability Matrix

SSA Social Security Administration

SSC Secondary Support Center

SSP System Security Plan

SVR Security Violations Report

Threat An adversarial force or phenomenon that could affect the availability,

integrity, or confidentiality of an information system, its networks, and the

facility that houses the hardware and software.

Threat Actor An entity that initiates the launch of a threat agent is referred to as a threat

actor.

Threat Agent An element that provides the delivery mechanism for a threat.

UPS uninterruptable power supply

USC United States Code

Vulnerability An inherent weakness in an information system that can be exploited by a

threat or threat agent, resulting in an undesirable impact in the protection

of the confidentiality, integrity, or availability of the system (application and

associated data).
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Appendix B. Security Risk Traceability Matrix (SRTM) 

The Security Risk Traceability Matrix (SRTM) with test results and test procedures are within the following

embedded document in Table 19. 

Table 19: Security Test Procedure Workbook 

T2 SRTM 

Worksheet.xlsx

<Embed the applicable system’s Security Risk Traceability Matrix (SRTM), EXAMPLE attached.>
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Appendix C. Infrastructure Scan Results 

The Nessus scanner along with the McAfee ePolicy Orchestrator (EPO) deployed by the SOC was used to

scan SSA servers. Associated Windows Database servers that have the EPO agent deployed within the

< S y s t e m A c r o n y m > boundary were scanned. The other <System Acronym> servers did not have 

any vulnerability scanning tools available, which allowed for scanning of mainframe or storage hardware, 

and therefore were not scanned. 

Infrastructure Scans: Inventory of Items Scanned 

Table 20 provides an inventory of infrastructure items scanned during this assessment. 

Table 20: Inventory of Items Scanned 

T2 Scanned 

Inventory Items.xlsx

<Embed the applicable system’s Inventory of Items Scanned, EXAMPLE attached.>

Infrastructure Scans: Raw Scan Results 

Table 21 has the <System Acronym> raw scan results: 

Table 21: Raw Scan Results 

T2 Raw Scan 

Results.xlsx

<Embed the applicable system’s Raw Scan Results, EXAMPLE attached.>

Infrastructure Scans: False Positive Reports 

Table 22 provides a list of false positive reports collected during infrastructure scans if applicable. 

Table 22: Infrastructure Scans: False Positive Reports 

ID# IP Address Scanner Severity Level Finding False Positive 

Explanation
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Appendix D. Database Scan Results 

Database scan results are included in this appendix. 

Database Scans: Inventory of Databases Scanned 

Table 23 provides an inventory of any databases scanned during this assessment if applicable. 

Table 23: Inventory of Databases Scanned 

IP Address Hostname Software and Version Function Comment

Database Scans: False Positive Reports 

Table 24 provides a list of false positive reports collected during database scans if applicable. 

Table 24: Database Scans: False Positive Reports 

ID# IP Address Scanner Severity Level Finding False Positive 

Explanation
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Appendix E. Web Application Scan Results 

Web application scan results are included in this appendix. 

Web Application Scans: Inventory of Web Applications 

Scanned 

Table 25 provides an inventory of all web applications scanned during this assessment if applicable. 

Table 25: Inventory of Web Applications Scanned 

Login URL IP Address of Login Host Function Comments

Web Application Scans: False Positive Reports 

Table 26 provides a list of false positive reports collected during web application scans if applicable. 

Table 26: Web Application Scans: False Positive Reports 

ID# IP Address Scanner Severity Level Finding False Positive 

Explanation
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Appendix F. Assessment Results 

Assessment results are summarized in Table 27. 

Table 27: Summary of System Security Risks from FISMA Testing 

Risk Level Assessment Test Cases Total

High <# high risks> <% of total risks>

Moderate <# moderate risks> <% of total risks>

Low <# low risks> <% of total risks>

Operationally 

Required

<# operationally required 

high risks>

<% of total risks>

Total <Sum of all H, M, L risks> 100%

 NOTE: Total is the sum of high, moderate, and low risks with operationally required 

risks being represented as a subset of this total. 
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Appendix G. Penetration Test Report 

<Update the text below to reflect actual penetration test results for this assessment. Embed the penetration 

test report as appropriate.> 

Coalfire Federal Services is not authorized as per the Statement of Work (SOW) to perform a formal

Penetration Test for the <System Acronym> Batch and Internet Services subsystems. Therefore, no data

from a penetration test is available for this assessment. 
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Appendix H. Security Assessment Report Signature 

Table 28: SAR Signatures 

Acceptance and Signature

I have read the above Security Assessment Report prepared by the third party assessment organization,

Coalfire Federal Services. I acknowledge the assessment was completed as per the <System 

Acronym> SAP and understand the findings detailed herein.

Security Authorization Manager/

<SAM>:

OIS Division of Compliance and 

Assessments Director:

<DD>
EXHIBIT D
UNCLASSIFIED // FOR OFFICIAL USE ONLY 

UNCLASSIFIED // FOR OFFICIAL USE ONLY 

Social Security Administration (SSA) 

Security Categorization: <Enter Categorization>

Risk Assessment Report (RAR)

FOR 

<System Name> (<Acronym>) 

<DRAFT/FINAL> Version <x.x>

<Month DD, YYYY>

Prepared by

Office of Information Security
Social Security Administration 

<System Name> 

Risk Assessment Report (RAR) 

Version <x.x>

FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY ii

<INSTRUCTIONS: Orange, bracketed text indicates instructions on how a section should be 

completed or sample text, which should be replaced with project specific information or removed. 

Ensure sample text is turned from orange to black where necessary (e.g., headings shall be 

changed to the standard heading color), and all instructions are removed (including this paragraph). 

All black text shall remain unchanged.>
Social Security Administration 

<System Name> 

Risk Assessment Report (RAR) 

Version <x.x>

FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY iii

Document Revision History 

Revision 

History Date Summary of Changes Author

1.0 <Month DD, YYYY> Initial release <name>

<x.x> <Month DD, YYYY> <description> <name>

<x.x> <Month DD, YYYY> <description> <name>
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Table of Contents 

1 RISK ASSESSMENT REPORT (RAR) BACKGROUND ..................................................... 6

2 RAR EXECUTIVE SUMMARY FOR <SYSTEM NAME> ..................................................... 6

3 <SYSTEM NAME> SYSTEM PURPOSE ............................................................................. 6

3.1 System Name/Title/Unique Identifier ........................................................................................... 6

3.2 Responsible Organization ............................................................................................................ 7

3.3 Security Categorization ................................................................................................................ 8

4 RISK ASSESSMENT APPROACH ..................................................................................... 8

4.1 Risk Assessment Purpose ........................................................................................................... 8

4.2 Risk Assessment Objective ......................................................................................................... 8

4.3 Risk Assessment Scope .............................................................................................................. 9

4.4 Limitations .................................................................................................................................... 9

4.5 Risk Assessors ............................................................................................................................ 9

4.6 Results .......................................................................................................................................10

4.7 Recommendation .......................................................................................................................11

5 SUMMARY OF FINDINGS ................................................................................................12

APPENDIX A. REFERENCE DOCUMENTS .........................................................................15
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List of Tables 

Table 1: <SYSTEM ACRONYM> Points of Contact ..................................................................................... 7

Table 2: <System Name> Security Categorization ....................................................................................... 8

Table 3: Assessment Team Points of Contact......................................................................................... 9

Table 4: Overall Risk Level .........................................................................................................................10

Table 5: <SYSTEM ACRONYM> Results Summary ..................................................................................12

Table 6: Acronym List ................................................................................................................................. 14
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1 Risk Assessment Report (RAR) Background 

The Office of Management and Budget (OMB) directive requires the Social Security Administration (SSA) 

to assess and re-authorize its major information technology (IT) systems at least once every three years 

and in the event of a major change, when that change occurs. This information must be reported in the 

annual Federal Information Security Modernization Act (FISMA) report to OMB and Congress during the 

fourth quarter (Q4) of each year. OMB has directed Chief Information Officers (CIO) of Federal agencies to 

follow the guidance found in the National Institute of Standards and Technology (NIST) Special Publication 

(SP) 800-37 Revision 1, Guide for Applying the Risk Management Framework to Federal Information 

Systems, to assess and re-authorize their information systems. This security authorization process contains 

subordinate efforts including performing risk-based reviews of the systems, developing/updating system 

security plans (SSP), and assessing and testing the security controls implemented for SSA’s information 

systems. 

2 RAR Executive Summary for <System Name> 

The Office of Information Security (OIS) contracted with Coalfire Federal Services, a third party assessment 

organization (3PAO), to conduct a system specific risk assessment on <system name> (<ACRONYM>). 

The acting Director of the Division of Compliance and Assessments, and the Security Authorization 

Manager (SAM) of <SYSTEM ACRONYM> approved the controls selected for this risk assessment. Thirtytwo (32) controls were tested over eleven (11) different NIST 800-53 Rev 4 control families. These controls 

were selected out of the <system categorization> baseline due to <SYSTEM ACRONYM> being 

categorized as a <system categorization> system as per the FIPS 199. During the assessment, there were 

<55 manual tests conducted, 62 interviews, and 84 document examinations>. Each of these is a 

requirement of a specific control. At the conclusion of the assessment, two controls were identified as “not 

implemented”. It should be noted that these controls have since been identified as common and should be 

added to the common control list. The controls that were not implemented, identified as PS4 (personnel 

termination), and PS 5 (personnel transfer), requires the SSA Information Security Policy (ISP) to document 

specific exit interview security debrief policies and procedures and the defined time period in which these 

must be carried out. Please refer to Table 5 for specific details. The likelihood of these vulnerabilities being 

exploited combined with the potential system impact is considered an overall LOW risk to the system. It is 

recommended that the <system name> assigned representative from the Security Assessment and 

Authorization Branch (SAAB) work with the System Authorization Manager (SAM) to mitigate these risks. 

Due to the overall identified risk being LOW, it is recommended that this be considered an acceptable risk 

and the system be given an authority to operate (ATO) for the next three years. 

3 <system name> System Purpose 

The <system name> (<ACRONYM>) system, has a <system categorization> Security Categorization. The 

boundaries are designed to aid SSA in the accomplishment of its mission to provide cost-effective and 

reliable services to other Federal agencies, and the public at large. 

<Insert detailed information> 

Coalfire Federal Services’ objective is to provide IT Independent Verification and Validation (IV&V) Support 

Services for <SYSTEM ACRONYM>. 

3.1 System Name/Title/Unique Identifier 

System/Application Name: <system name> (<SYSTEM ACRONYM>)

Unique Identifier : <016-00-SSA/DCS-M-001>
Social Security Administration 

<System Name> 

Risk Assessment Report (RAR) 

Version <x.x>

 UNCLASSIFIED // FOR OFFICIAL USE ONLY 7

3.2 Responsible Organization 

Table 1: <SYSTEM ACRONYM> Points of Contact 

Title II Batch 

POCs.xlsx

Title II Internet 

Applications POCs.xlsx

<Embed the applicable system’s POCs, EXAMPLE attached.>
Social Security Administration 

<System Name> 

Risk Assessment Report (RAR) 

Version <x.x>

 UNCLASSIFIED // FOR OFFICIAL USE ONLY 8

3.3 Security Categorization 

This authorization boundary has been categorized as <system categorization> risk according to FIPS 

199. Refer to Table 5 below for supporting documentation regarding the determination of the 

application’s security categorization. 

Table 2: <System Name> Security Categorization 

Information Type Confidentiality Integrity Availability

Accounting

Mission Area: Financial Management

Explanation: Selected risk values derived from NIST SP-800-

60, and FIPS 199, considering SSA business case.

L M L

Payments

Mission Area: Financial Management

Explanation: Selected risk values derived from NIST SP-800-

60, and FIPS 199, considering SSA business case.

L M L

Reporting & Information

Mission Area: Financial Management

Explanation: Based on the protection requirements for 

confidentiality, integrity and availability, the overall system 

sensitivity is <SYSTEM CATEGORIZATION>. The loss, 

misuse or unauthorized access to Agency data can be 

expected to have a serious adverse effect on SSA operations 

and assets.

L M L

Entitlement Event Information

Mission Area: General Government

Explanation: Selected risk values derived from NIST SP-800-

60, and FIPS 199, considering SSA business case.

M M M

Personal Identity and Authentication

Mission Area: General Government

M M M

Information Sharing

Mission Area: Information and Technology Management

Explanation: Selected risk values derived from NIST SP-800-

60, and FIPS 199, considering SSA business case.

N/A N/A N/A

Overall M M M

4 Risk Assessment Approach 

4.1 Risk Assessment Purpose 

The purpose of this Risk Assessment Report (RAR) is to summarize the residual risk identified during the 

security assessment of <SYSTEM ACRONYM>. Risk is a factor derived from a vulnerability that can be 

exploited and the likelihood that it will be exploited. Please see Appendix A for the NIST 800-60 Volume II 

publication for the definition of risk. 

4.2 Risk Assessment Objective 

The objective of the risk assessment is to identify any controls that are not fully implemented as required 

by FISMA. Controls that are not implemented pose a measureable risk to SSA and that risk must be 

mitigated in a timely manner based on the level or risk the non-implemented control creates. For example, 

a low risk may only require an update to a policy or a POA&M that the system’s SAM must execute. Another 

example is a High risk that must have immediate action taken by the SAM and other stakeholders in order 

to prevent a threat actor(s) from exploiting the discovered risk. 
Social Security Administration 

<System Name> 

Risk Assessment Report (RAR) 

Version <x.x>

 UNCLASSIFIED // FOR OFFICIAL USE ONLY 9

4.3 Risk Assessment Scope 

The previous system specific risk assessment was conducted on <SYSTEM ACRONYM> in <date>. The 

residual risk was identified and submitted to the SSA’s CIO. This submission was in accordance with OMB 

and FISMA guidelines to present the risk level of <SYSTEM ACRONYM> and ask for the ATO <SYSTEM 

ACRONYM> for the next three years. The CIO granted the ATO on <Month DD, YYYY> and allowed 

<SYSTEM ACRONYM> to operate from <Month DD, YYYY> to <Month DD, YYYY>. 

A new risk assessment is required by OMB and FISMA in order to identify the current residual risk and any 

risks associated with controls that are not fully implemented. The assessed controls were selected based 

on the <SYSTEM ACRONYM> Security Assessment Plan (SAP) approved by the OIS Director and the 

<SYSTEM ACRONYM> SAM. 

In addition to the controls selected, SSA uses the Nessus scanner along with the McAfee ePolicy 

Orchestrator (EPO) deployed by the SOC to look for signature based vulnerabilities in accordance with the 

SSA ISP. Associated Windows Database servers that have the EPO agent deployed within the <SYSTEM 

ACRONYM> boundary were scanned. The other <SYSTEM ACRONYM> servers did not have any 

vulnerability scanning tools available that could scan mainframe or storage hardware, and therefore were 

not scanned. 

The risk assessment was performed in accordance with all applicable laws, regulations, rules and orders 

of all governmental agencies and authorities. A complete list of referenced publications and regulations can 

be found in Appendix A. All risks associated with <SYSTEM ACRONYM> that were identified during the 

assessment and the potential impact of those risks are documented in this RAR. 

The RAR complies with the following SSA guidance: 

 SSA ISP

4.4 Limitations 

The <SYSTEM ACRONYM> subsystems, which reside within the National Support Center (NSC), rely on 

the Office of Systems Operations and Hardware Engineering (OSOHE) for hardware, software, and 

maintenance support. Additionally, user access and user profile provisioning for <SYSTEM ACRONYM>

subsystems residing on the mainframe, are provided by CA Top Secret, and managed by the Office of 

Systems Operations and Hardware Engineering (OSOHE), not by <SYSTEM ACRONYM>. Therefore, 

some access controls specific to <SYSTEM ACRONYM> are tested during an enterprise level common 

control assessment, and not during the <SYSTEM ACRONYM> system specific assessment reported 

within this RAR. 

This assessment was limited to the 32 system specific controls as listed in the approved SAP. 

4.5 Risk Assessors 

The participants in this risk assessment included the following Coalfire Federal Services personnel: 

Table 3: Assessment Team Points of Contact 

Name Role Contact Information

<TJ Crews> Program Manager <Tj.crews@ssa.gov>

<Kenneth Free> Lead Assessor (Senior Analyst) <kenneth.free@ssa.gov>

<Gregory Bonham> Junior Assessor <gregory.bonham@ssa.gov>

<Thomas G. Volpe, Sr.> Lead Assessor (Surge Support) <Thomas.G.Volpe@ssa.gov>
Social Security Administration 

<System Name> 

Risk Assessment Report (RAR) 

Version <x.x>

 UNCLASSIFIED // FOR OFFICIAL USE ONLY 10

The following techniques and NIST/FIPS publications were used to gather information relevant to the 

<SYSTEM ACRONYM>: 

 NIST SP 800-60 Volume II Revision 1/ and FIPS 199. The Risk Assessment (RA) Team utilized 

the <SYSTEM ACRONYM> Security Categorization, dated February 16, 2017 to determine 

associated system security categorization for the <SYSTEM ACRONYM>. System security 

categorization determines which recommended set of minimum (baseline) security controls from 

NIST SP 800-53 Revision 4 must be implemented. 

 NIST SP 800-53 Revision 4. The RA Team utilized NIST SP 800-53 Revision 4 to determine the 

recommended set of minimum-security controls. The security controls (management, operational, 

and technical safeguards or countermeasures) were reviewed to ensure they adequately protect 

the confidentiality, integrity, and availability of the <SYSTEM ACRONYM>, and that the selected 

security controls have been implemented, or there is a plan for future implementation. 

 Interviews. Interviews were conducted on-site with the SAM, System Administrator, and Database 

Administrator by the RA Team to collect useful information about the <SYSTEM ACRONYM>. 

Follow-up communications were conducted via email and by telephone to collect additional 

information about the <SYSTEM ACRONYM>. 

 Examination/Document Reviews. The RA Team reviewed documentation from the SSA for 

<SYSTEM ACRONYM>, such as policy and implementation guidance. POA&M, and the prior 

Security Assessment and Authorization (SA&A) Package, including the previous SSP, Risk 

Assessment, and the Security Control Assessment (SCA) Plan were reviewed. 

 Testing of Systems. Testing and Evaluation of security controls for <SYSTEM ACRONYM> was 

based on System Specific and Hybrid security controls defined by the OIS Rev4 SSA Control 

Inheritance Structure Worksheet with a <SYSTEM CATEGORIZATION> Baseline. Using the NIST 

Guidance from NIST SP 800-53A Revision 4, the RA Team tested and evaluated these controls for 

specified conditions that compare actual with expected behavior, the results of which are used to 

support the determination of security control existence, functionality, correctness, completeness, 

and potential for improvement over time. 

4.6 Results 

The overall risk level of the <SYSTEM ACRONYM> was determined to be Low, which is the combination 

of the likelihood of identified threats being able to exploit known system vulnerabilities and the potential the 

impact to <SYSTEM ACRONYM>. 

Low risk indicates that corrective actions are needed and a plan must be developed to incorporate these 

actions within a reasonable period of time. The preliminary review of security measures for the protection 

of the <SYSTEM ACRONYM> identified two low threat-vulnerability pairs (risks) in the overall risk 

assessment as summarized below in Table 2. 

Table 4: Overall Risk Level 

Risk Rating

Control Category

Management Operational Technical Total

Very High 0 0 0 0

High 0 0 0 0

Moderate 0 0 0 0

Low 2 0 0 2

Very Low 0 0 0 0

Total 2 0 0 2
Social Security Administration 

<System Name> 

Risk Assessment Report (RAR) 

Version <x.x>

 UNCLASSIFIED // FOR OFFICIAL USE ONLY 11

4.7 Recommendation 

It is the recommendation from the Office of Information Security that an issuance of an Authority to Operate 

(ATO) for <system name> (<ACRONYM>) be given. This recommendation comes from the assessment 

findings from the 3PAO that conducted a system specific security assessment. The overall security 

categorization of <SYSTEM ACRONYM> is <system categorization> and the findings have an overall risk 

of LOW. 
Social Security Administration 

<System Name> 

Risk Assessment Report (RAR) 

Version <x.x>

 UNCLASSIFIED // FOR OFFICIAL USE ONLY 12

5 Summary of Findings 

Table 5: <SYSTEM ACRONYM> Results Summary

Item 

No.

Finding

(In Order by Control 

Family)

Threat Source Likelihood 

Level

Impact 

Level

Risk 

Level

Recommended 

Corrective 

Action(s)

V-1 PS-4.c.1

PS-4.c.2

Personnel 

Termination

SSA ISP does not

define the security 

debrief topics or policy 

to discuss with 

separating employees. 

In addition, the SSA 

ISP has no policy, 

guidelines for including 

the security debrief 

actions, or SSA specific 

information security 

topics during the exit 

interview as defined in 

PS-4.c.1 and PS-4.c.2.

Insider Threat with 

Intent (e.g., Poorly 

Trained, 

Disgruntled, 

Malicious, 

Negligent, 

Dishonest, or 

Terminated 

Employees)

Insider Threat 

without Intent or 

Knowledge

Computer 

Crime/Hackers

Espionage (e.g., 

Companies, 

Foreign 

Governments, or 

Other Government 

Interests)

Low Low Low This is an agency 

requirement that 

must be reflected in 

the SSA ISP and is 

the responsibility of 

Division of Security 

Customer Service

(DSCS). The 

Security 

Authorization 

Manager (SAM) is 

not responsible for 

updating policy. The 

SSA ISP should be 

updated to include a 

requirement that 

employees sign a 

Non-Disclosure 

Agreement (NDA), 

and have a security 

debrief to discuss 

the importance of 

not disclosing 

knowledge of 

specifics pertaining 

to the SSA 

information system 

environment. The 

ISP section 2.1.1.3 

should be updated 

to reflect this. In 

addition, section 

2.1.1.3 should be 

updated to reflect 

that a security 

debrief must be 

included as part of 

the exit interview. 

Exit interview 

guidance is currently 

located here: 

http://personnel.ba.s

sa.gov/OPE/cpps/exi

tprocedures.html
Social Security Administration 

<System Name> 

Risk Assessment Report (RAR) 

Version <x.x>

 UNCLASSIFIED // FOR OFFICIAL USE ONLY 13

Item 

No.

Finding

(In Order by Control 

Family)

Threat Source Likelihood 

Level

Impact 

Level

Risk 

Level

Recommended 

Corrective 

Action(s)

V-2 PS-5.b.1

PS-5.b.2

Personnel Transfer

SSA ISP does not 

define what security 

actions are to be taken

when an employee is 

transferred or 

reassigned. The SSA 

ISP also does not 

specify the time period 

in which security 

actions that are defined 

in must occur. 

Insider Threat with 

Intent (e.g., Poorly 

Trained, 

Disgruntled, 

Malicious, 

Negligent, 

Dishonest, or 

Terminated 

Employees)

Insider Threat 

without Intent or 

Knowledge

Low Low Low This is an agency 

requirement that 

must be reflected in 

the SSA ISP and is 

the responsibility of 

DSCS. The ISP 

section 2.4 should 

be updated to define 

what security actions 

need to occur, in 

what period of time 

and what personnel 

or role is to be 

identified to be 

notified when an 

employee is 

transferred or 

reassigned.

Authority To Operate (ATO) 

Recommendation 

Acceptance and Signature

As the Security Authorization Manager (SAM) for <system name>, I hereby certify that this Risk 

Assessment Report provides an accurate representation of the system and its subsystems that were 

assessed. I also certify that it is my recommendation based on the findings that the SSA Chief 

Information Officer (CIO) grant an Authority to Operate (ATO) for <system name> for the next three (3) 

years. 

Security Authorization Manager:

<name>

As the Acting Director of the Division of Compliance and Authorization (DCA) in the Office of Information 

Security (OIS), I hereby certify that this Risk Assessment Report provides an accurate representation of 

the system and its subsystems that were assessed. I also certify that it is my recommendation based on 

the findings that the SSA Chief Information Officer (CIO) grant an Authority to Operate (ATO) for <system 

name> for the next three (3) years.

Division of Compliance and 

Assessments Director

Steven Harkness

(Acting)
Social Security Administration 

<System Name> 

Risk Assessment Report (RAR) 

Version <x.x>

 UNCLASSIFIED // FOR OFFICIAL USE ONLY 14

Table 6: Acronym List 

Acronym Definition

AO Authorizing Official

BSM Boundary Scope Memorandum

CET Customer Engagement Tool

CICS Customer Information Control System

CIO Chief Information Officer

CSO Component Security Officer

DCA Division of Compliance and Authorization

DCS Deputy Commissioner for Systems

EPO McAfee ePolicy Orchestrator

FIPS Federal Information Processing Standard 

FISMA Federal Information Security Modernization Act

FOUO For Official Use Only

ISA Interconnection Security Agreement

ISP Information Security Policy

IT Information Technology

IV&V Independent Verification and Validation

L2TP Layer 2 Tunneling Protocol

LAN Local Area Network

LIS Low Income Subsidy

MKS Mortise Kern Systems

MOA Memorandum of Agreement

MOU Memorandum of Understanding

NDA Non-disclosure Agreement

NSC National Support Center

NIST National Institute of Standards and Technology

OIS Office of Information Security

OMB Office of Management and Budget

OSOHE Office of Systems Operations and Hardware Engineering

OTSO Office of Telecommunications and System Operations

PII Personally Identifiable Information

POA&M Plan of Action and Milestones

PSC Program Service Centers

RA Risk Assessment or Risk Assessor
Social Security Administration 

<System Name> 

Risk Assessment Report (RAR) 

Version <x.x>

 UNCLASSIFIED // FOR OFFICIAL USE ONLY 15

Acronym Definition

RAR Risk Assessment Report

RSDI Retirement, Survivor, or Disability Insurance

SA&A Security Assessment and Authorization

SAM Security Authorization Manager

SAP System Assessment Plan

SBU Sensitive But Unclassified

SCA Security Control Assessment

SO System Owner

SP Special Publication

SSA Social Security Administration

SSP System Security Plan

VPN Virtual Private Network

3PAO Third Party assessment Organization

APPENDIX A. REFERENCE DOCUMENTS

The following documents were reviewed during the risk assessment process of the SSA’s security 

controls: 

 Federal Information Processing Standard (FIPS) 199

 NIST Special Publication 800-30 Rev. 1, “Guide for Conducting Risk Assessments”

 Office of Management and Budget (OMB) Circular A-130.

 NIST Special Publication 800-39

 NIST Special Publication 800-60 Revision 1, Volumes 1&2

 NIST Special Publication 800-53 Revision 4

 SSA Information Security Policy (ISP)
EXHIBIT E
UNCLASSIFIED // FOR OFFICIAL USE ONLY 

UNCLASSIFIED // FOR OFFICIAL USE ONLY 

TEMPLATE VERSION (V2.2 FY17) 

Social Security Administration (SSA) 

Security Categorization: <Enter Categorization>

 NOTE: The Security Categorization for the system may not be available at the time of 

the development of this document if the system is a newly developed system or has 

undergone a major change which has augmented the data types processed by the 

system. Additional information on completing the security categorization of the 

information system can be found on the DSPP website at: 

http://sharepoint.ba.ssa.gov/DCS/OIS/DSPP/Veris%20TO14%20IVV%20and%20OA/

Forms/AllItems.aspx?RootFolder=%2fDCS%2fOIS%2fDSPP%2fVeris%20TO14%20I

VV%20and%20OA%2fIVV%2fTEMPLATES%2fOIS%20TEMPLATES%20FY16&Fol

derCTID=0x0120003BC3DC1169B0CE47BB662BC248F5B5EE. REMOVE THIS 

NOTE BEFORE PUBLISHING. 

<Document Name> 

FOR 

<Externally Hosted Information System Name>

<(Acronym)>

<DRAFT/FINAL> Version <X.X> 

<Month DD, YYYY> 

Prepared by

[COMPANY LOGO] 

[COMPANY STREET ADDRESS] 

[COMPANY CITY, STATE ZIP]
Social Security Administration 

<System Name><System Acronym> 

<Document Name> 

Version <X.X>

TMP V2.2 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY ii

Document Revision History 

Revision 

Number Revision Date Page Number Revision Summary Name of Reviewer

V[X.X] MM/DD/YYYY All/Page 

No. [E.g. Initial Draft, Annual Review, etc.]

[Company/Agency 

Name: Contact 

Name]
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V1.2 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY iii 

PREFACE

To carry out its wide-ranging responsibilities, the Social Security Administration (SSA), and its employees 

and managers have access to diverse and complex automated information systems, which includes, file 

servers, local and wide area networks (LANs/WANs) running on various platforms, and 

telecommunications systems. The components and offices within the SSA depend on the confidentiality, 

integrity, and availability (as defined by the Federal Information Processing Standard (FIPS) 199) of these 

systems and their data in order to accomplish day-to-day operations. 

In accordance with Office of Management and Budget (OMB) Circular A-130, Appendix III, all federal 

systems have value and require some level of protection. The generic term “system” is used to mean 

either a general support system or a major application. (See NIST Special Publication 800-18, Guide for 

Developing Security Plans for Federal Information Systems for additional information). 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V1.2 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY iv

EXECUTIVE SUMMARY

The SSA relies on its information technology (IT) systems, including the [Enter SYSTEM NAME 

(Acronym)], to accomplish its undertaking of providing cost-effective and reliable services to the SSA, 

other Federal agencies, and the public at large. Since this externally hosted information system is part of 

an SSA security authorization boundary, it is subject to meet some or all of the SSA specific security 

requirements depending upon the information it processes and the services it provides for the SSA. 

[Provide an EXECUTIVE SUMMARY and overview of the information system. This summary should 

describe what the information system is, what its importance is to SSA, who is in the user audience, and 

any additional subsystems that is encompassed in the system.] 

The purpose of this system security plan is to provide an overview of the security requirements of the 

[ENTER SYSTEM NAME HERE] system and describe the controls in place or planned for meeting those 

requirements. The system security plan also delineates responsibilities and expected behavior of all 

individuals who access the system. 

The SSP documents the structured process of planning adequate, cost-effective security protection for a 

system. It shall reflect input from various managers/stakeholders with responsibilities concerning the 

system from the hosting company and from the SSA component for which the system provides services. 

 [Note: This SSP template shall be used to document an external hosted Information 

Systems that “IS” associated with one of the existing SSA Security Authorization 

Boundaries. 

As part of the development of this SSP document, the external system ISO or designee along with the 

SSA SAM and the Office of Information Security (OIS) will need to follow the instructions to determine 

which new application/system/sub-system should be included or associated with SSA. See section 1.1 

below for more details related to this process.]  DELETE THESE INSTRUCTIONS UPON 

COMPLETION 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V1.2 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY v 

SYSTEM SECURITY PLAN AGREEMENT SUMMARY

This SSP documents a formal agreement among the organizational officials approving the security 

controls designed to meet the security requirements for the [SYSTEM NAME]. These officials are the 

SSA System Owner (SO), (External Contractor) Information System Security Officer (ISSO), SSA 

Security Authorization Manager (SAM) and the SSA Authorizing Official (AO). 

Each organizational official has signed this agreement summary for the reasons identified below and has 

concurred with the security category of this Controlled Unclassified Information (CUI) system to be 

[LOW/MODERATE]. See Executive Order 13556 for more information on CUI. 

 [Check the box below that is applicable  DELETE] 

Initiation of the System Security Plan (including FIPS 199 security categorization)1

Annual Update of the System Security Plan (no significant changes)

Acceptance and Signature

As the Designated Representative(s) for <System Name>, I hereby certify that the <System 

Acronym> System Security Plan described in this document provides an accurate representation 

of the <System Acronym> and its subsystems.

SSA Security Authorization Manager

[ENTER NAME OF SAM  DELETE

<Insert digital signature>

SSA DSP Director

[ENTER NAME OF DSP DIRECTOR] 

DELETE

<Insert digital signature>

 

1

 When there are no significant changes, the System Owner, Information System Security Officer and SSA Security Authorization Manager must sign 

the agreement summary for an annual update. The Authorizing Official is not required to sign if there are no significant changes affecting the 

security posture of the system requiring reauthorization. Reauthorization is addressed via a formal memorandum approving the security plan and 

authorizing the system to operate for a specified period of time.
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V1.2 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY vi

Table of Contents 

1 INFORMATION SYSTEM IDENTIFICATION ...................................................................... 1

1.1 DETERMINATION OF SYSTEM .......................................................................................................... 1

1.2 RESPONSIBLE ORGANIZATION......................................................................................................... 1

1.3 INFORMATION SYSTEM CATEGORIZATION ........................................................................................ 1

1.4 GENERAL DESCRIPTION OF INFORMATION SENSITIVITY .................................................................... 2

1.5 IMPACT LEVEL FOR INFORMATION TYPES......................................................................................... 2

1.6 SYSTEM POINTS OF CONTACT ........................................................................................................ 3

1.7 ASSIGNMENT OF SECURITY RESPONSIBILITY ................................................................................... 4

1.8 SYSTEM OPERATIONAL STATUS...................................................................................................... 4

1.9 INFORMATION SYSTEM TYPE........................................................................................................... 4

1.10 SECURITY STATUS ......................................................................................................................... 5

1.11 GENERAL DESCRIPTION AND PURPOSE ........................................................................................... 5

1.12 DATA TYPES .................................................................................................................................. 5

1.13 INFORMATION SYSTEM BOUNDARY.................................................................................................. 6

1.14 SYSTEM ARCHITECTURE/ENVIRONMENT.......................................................................................... 6

1.15 SECURITY AUTHORIZATION BOUNDARY ........................................................................................... 6

1.16 SYSTEM INVENTORY....................................................................................................................... 6

1.17 SYSTEM INTERCONNECTIONS.......................................................................................................... 7

2 [SYSTEM ACRONYM] NIST SP 800-53 - REV 4 MINIMUM SECURITY CONTROLS ....... 8

2.1 SECURITY CONTROLS .................................................................................................................... 8

2.1.1 Access Control (AC) ................................................................................................................ 8

2.1.1.1 AC-1 Access Control Policy and Procedures .......................................................................... 8

2.1.1.2 AC-2 Account Management .................................................................................................... 9

2.1.1.3 AC-3 Access Enforcement ....................................................................................................11

2.1.1.4 AC-4 Information Flow Enforcement .....................................................................................12

2.1.1.5 AC-5 Separation of Duties .....................................................................................................13

2.1.1.6 AC-6 Least Privilege ..............................................................................................................13

2.1.1.7 AC-7 Unsuccessful Logon Attempts .....................................................................................16

2.1.1.8 AC-8 System Use Notification ...............................................................................................16

2.1.1.9 AC-11 Session Lock ..............................................................................................................17

2.1.1.10 AC-12 Session Termination ..................................................................................................18

2.1.1.11 AC-14 Permitted Actions without Identification or Authentication .........................................19

2.1.1.12 AC-17 Remote Access ..........................................................................................................20

2.1.1.13 AC-18 Wireless Access .........................................................................................................22

2.1.1.14 AC-19 Access Control for Mobile Devices ............................................................................23

2.1.1.15 AC-20 Use of External Information Systems .........................................................................24

2.1.1.16 AC-21 Information Sharing ....................................................................................................26

2.1.1.17 AC-22 Publicly Accessible Content .......................................................................................26

2.1.2 Awareness and Training (AT) ................................................................................................27

2.1.2.1 AT-1 Security Awareness and Training Policy and Procedures ...........................................27

2.1.2.2 AT-2 Security Awareness Training ........................................................................................28

2.1.2.3 AT-3 Role-Based Security Training .......................................................................................29

2.1.2.4 AT-4 Security Training Records ............................................................................................30

2.1.3 Audit and Accountability (AU) ................................................................................................30
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V1.2 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY vii 

2.1.3.1 AU-1 Audit and Accountability Policy and Procedures..........................................................30

2.1.3.2 AU-2 Audit Events .................................................................................................................31

2.1.3.3 AU-3 Content of Audit Records .............................................................................................32

2.1.3.4 AU-4 Audit Storage ...............................................................................................................33

2.1.3.5 AU-5 Response to Audit Processing Failures .......................................................................34

2.1.3.6 AU-6 Audit Review, Analysis, and Reporting ........................................................................34

2.1.3.7 AU-7 Audit Reduction and Report Generation ......................................................................36

2.1.3.8 AU-8 Time Stamps ................................................................................................................37

2.1.3.9 AU-9 Protection of Audit Information .....................................................................................38

2.1.3.10 AU-11 Audit Record Retention ..............................................................................................39

2.1.3.11 AU-12 Audit Generation ........................................................................................................40

2.1.4 Security Assessment and Authorization (CA) .......................................................................40

2.1.4.1 CA-1 Security Assessment and Authorization Policies and Procedures ..............................41

2.1.4.2 CA-2 Security Assessments ..................................................................................................41

2.1.4.3 CA-3 System Interconnections ..............................................................................................43

2.1.4.4 CA-5 Plan of Action and Milestones ......................................................................................44

2.1.4.5 CA-6 Security Authorization ..................................................................................................44

2.1.4.6 CA-7 Continuous Monitoring ................................................................................................. 45

2.1.4.7 CA-9 Internal System Connections .......................................................................................46

2.1.5 Configuration Management (CM) ..........................................................................................47

2.1.5.1 CM-1 Configuration Management Policy and Procedures ....................................................47

2.1.5.2 CM-2 Baseline Configuration ................................................................................................48

2.1.5.3 CM-3 Configuration Change Control .....................................................................................50

2.1.5.4 CM-4 Security Impact Analysis .............................................................................................51

2.1.5.5 CM-5 Access Restrictions for Change ..................................................................................52

2.1.5.6 CM-6 Configuration Settings ................................................................................................. 52

2.1.5.7 CM-7 Least Functionality .......................................................................................................53

2.1.5.8 CM-8 Information System Component Inventory ..................................................................55

2.1.5.9 CM-9 Configuration Management Plan .................................................................................57

2.1.5.10 CM-10 Software Usage Restrictions .....................................................................................58

2.1.5.11 CM-11 User-Installed Software .............................................................................................58

2.1.6 Contingency Planning (CP) ...................................................................................................59

2.1.6.1 CP-1 Contingency Planning Policy and Procedures .............................................................59

2.1.6.2 CP-2 Contingency Plan .........................................................................................................60

2.1.6.3 CP-3 Contingency Training ...................................................................................................62

2.1.6.4 CP-4 Contingency Plan Testing ............................................................................................63

2.1.6.5 CP-6 Alternate Storage Site ..................................................................................................64

2.1.6.6 CP-7 Alternate Processing Site .............................................................................................65

2.1.6.7 CP-8 Telecommunications Services .....................................................................................67

2.1.6.8 CP-9 Information System Backup .........................................................................................69

2.1.6.9 CP-10 Information System Recovery and Reconstitution .....................................................70

2.1.7 Identification and Authentication (IA) ....................................................................................71

2.1.7.1 IA-1 Identification and Authentication Policy and Procedures ..............................................71

2.1.7.2 IA-2 Identification and Authentication ....................................................................................72

2.1.7.3 IA-3 Device Identification and Authentication ........................................................................75

2.1.7.4 IA-4 Identifier Management ...................................................................................................76

2.1.7.5 IA-5 Authenticator Management ............................................................................................76

2.1.7.6 IA-6 Authenticator Feedback ................................................................................................. 79

2.1.7.7 IA-7 Cryptographic Module Authentication ............................................................................80

2.1.7.8 IA-8 Identification and Authentication (Non-Organizational Users) .......................................80

2.1.8 Incident Response (IR) ..........................................................................................................82

2.1.8.1 IR-1 Incident Response Policy and Procedures ....................................................................83

2.1.8.2 IR-2 Incident Response Training ...........................................................................................83

2.1.8.3 IR-3 Incident Response Testing ............................................................................................84
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2.1.8.4 IR-4 Incident Handling ...........................................................................................................85

2.1.8.5 IR-5 Incident Monitoring ........................................................................................................86

2.1.8.6 IR-6 Incident Reporting .........................................................................................................87

2.1.8.7 IR-7 Incident Response Assistance ......................................................................................88

2.1.8.8 IR-8 Incident Response Plan ................................................................................................. 89

2.1.9 Maintenance (MA) .................................................................................................................89

2.1.9.1 MA-1 System Maintenance Policy and Procedures ..............................................................90

2.1.9.2 MA-2 Controlled Maintenance ...............................................................................................90

2.1.9.3 MA-3 Maintenance Tools ......................................................................................................91

2.1.9.4 MA-4 Nonlocal Maintenance ................................................................................................. 92

2.1.9.5 MA-5 Maintenance Personnel ...............................................................................................93

2.1.9.6 MA-6 Timely Maintenance .....................................................................................................94

2.1.10 Media Protection (MP) ...........................................................................................................95

2.1.10.1 MP-1 Media Protection Policy and Procedures .....................................................................95

2.1.10.2 MP-2 Media Access ..............................................................................................................95

2.1.10.3 MP-3 Media Marking .............................................................................................................96

2.1.10.4 MP-4 Media Storage .............................................................................................................97

2.1.10.5 MP-5 Media Transport ...........................................................................................................97

2.1.10.6 MP-6 Media Sanitization .......................................................................................................98

2.1.10.7 MP-7 Media Use ....................................................................................................................99

2.1.11 Physical and Environmental Protection (PE) ......................................................................100

2.1.11.1 PE-1 Physical and Environmental Protection Policy and Procedures ................................100

2.1.11.2 PE-2 Physical Access Authorizations .................................................................................101

2.1.11.3 PE-3 Physical Access Control .............................................................................................102

2.1.11.4 PE-4 Access Control for Transmission Medium ..................................................................102

2.1.11.5 PE-5 Access Control for Output Devices ............................................................................103

2.1.11.6 PE-6 Monitoring Physical Access........................................................................................104

2.1.11.7 PE-8 Visitor Access Records ..............................................................................................105

2.1.11.8 PE-9 Power Equipment and Cabling ...................................................................................105

2.1.11.9 PE-10 Emergency Shutoff ...................................................................................................106

2.1.11.10 PE-11 Emergency Power ....................................................................................................107

2.1.11.11 PE-12 Emergency Lighting ..................................................................................................107

2.1.11.12 PE-13 Fire Protection ..........................................................................................................108

2.1.11.13 PE-14 Temperature and Humidity Controls ........................................................................109

2.1.11.14 PE-15 Water Damage Protection ........................................................................................110

2.1.11.15 PE-16 Delivery and Removal ..............................................................................................110

2.1.11.16 PE-17 Alternate Work Site ..................................................................................................111

2.1.12 Planning (PL) .......................................................................................................................112

2.1.12.1 PL-1 Security Planning Policy and Procedures ...................................................................112

2.1.12.2 PL-2 System Security Plan ..................................................................................................113

2.1.12.3 PL-4 Rules of Behavior .......................................................................................................114

2.1.12.4 PL-8 Information Security Architecture ...............................................................................115

2.1.13 Personnel Security (PS) ......................................................................................................116

2.1.13.1 PS-1 Personnel Security Policy and Procedures ................................................................116

2.1.13.2 PS-2 Position Risk Designation ...........................................................................................117

2.1.13.3 PS-3 Personnel Screening ..................................................................................................117

2.1.13.4 PS-4 Personnel Termination ...............................................................................................118

2.1.13.5 PS-5 Personnel Transfer .....................................................................................................119

2.1.13.6 PS-6 Access Agreements ...................................................................................................119

2.1.13.7 PS-7 Third-Party Personnel Security ..................................................................................120

2.1.13.8 PS-8 Personnel Sanctions ..................................................................................................121

2.1.14 Risk Assessment (RA) ........................................................................................................121

2.1.14.1 RA-1 Risk Assessment Policy and Procedures ..................................................................122

2.1.14.2 RA-2 Security Categorization ..............................................................................................122
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2.1.14.3 RA-3 Risk Assessment ........................................................................................................123

2.1.14.4 RA-5 Vulnerability Scanning ................................................................................................124

2.1.15 System and Services Acquisition ........................................................................................126

2.1.15.1 SA-1 System and Services Acquisition Policy and Procedures ..........................................126

2.1.15.2 SA-2 Allocation of Resources ..............................................................................................127

2.1.15.3 SA-3 System Development Life Cycle ................................................................................127

2.1.15.4 SA-4 Acquisition Process ....................................................................................................128

2.1.15.5 SA-5 Information System Documentation ...........................................................................130

2.1.15.6 SA-8 Security Engineering Principles .................................................................................131

2.1.15.7 SA-9 External Information System Services .......................................................................132

2.1.15.8 SA-10 Developer Configuration Management ....................................................................133

2.1.15.9 SA-11 Developer Security Testing and Evaluation .............................................................134

2.1.16 System and Communications Protection ............................................................................135

2.1.16.1 SC-1 System and Communications Protection Policy and Procedures ..............................135

2.1.16.2 SC-2 Application Partitioning ...............................................................................................136

2.1.16.3 SC-4 Information in Shared Resources ..............................................................................136

2.1.16.4 SC-5 Denial of Service Protection .......................................................................................137

2.1.16.5 SC-7 Boundary Protection ...................................................................................................137

2.1.16.6 SC-8 Transmission Confidentiality and Integrity ................................................................. 140

2.1.16.7 SC-10 Network Disconnect ................................................................................................. 141

2.1.16.8 SC-12 Cryptographic Key Establishment and Management ...............................................142

2.1.16.9 SC-13 Cryptographic Protection..........................................................................................142

2.1.16.10 SC-15 Collaborative Computing Devices ............................................................................143

2.1.16.11 SC-17 Public Key Infrastructure Certificates .......................................................................144

2.1.16.12 SC-18 Mobile Code .............................................................................................................144

2.1.16.13 SC-19 Voice Over Internet Protocol ....................................................................................145

2.1.16.14 SC-20 Secure Name / Address Resolution Service (Authoritative Source) ........................146

2.1.16.15 SC-21 Secure Name / Address Resolution Service (Recursive or Caching Resolver) ......146

2.1.16.16 SC-22 Architecture and Provisioning for Name / Address Resolution Service ...................147

2.1.16.17 SC-23 Session Authenticity ................................................................................................. 148

2.1.16.18 SC-28 Protection of Information at Rest .............................................................................148

2.1.16.19 SC-39 Process Isolation ......................................................................................................149

2.1.17 System and Information Integrity.........................................................................................149

2.1.17.1 SI-1 System and Information Integrity Policy and Procedures ............................................149

2.1.17.2 SI-2 Flaw Remediation ........................................................................................................150

2.1.17.3 SI-3 Malicious Code Protection ...........................................................................................151

2.1.17.4 SI-4 Information System Monitoring ....................................................................................153

2.1.17.5 SI-5 Security Alerts, Advisories, and Directives ..................................................................155

2.1.17.6 SI-7 Software, Firmware, and Information Integrity .............................................................156

2.1.17.7 SI-8 Spam Protection ..........................................................................................................157

2.1.17.8 SI-10 Information Input Validation .......................................................................................159

2.1.17.9 SI-11 Error Handling ............................................................................................................159

2.1.17.10 SI-12 Information Handling and Retention ..........................................................................160

2.1.17.11 SI-16 Memory Protection .....................................................................................................161

3 APPENDIX LISTING .......................................................................................................162

3.1 REQUIRED APPENDICES .............................................................................................................162

3.2 SYSTEM SPECIFIC APPENDICES..................................................................................................162

3.3 ACRONYM LIST ..........................................................................................................................163

3.4 DEFINITIONS/GLOSSARY.............................................................................................................165

3.5 APPLICABLE LAWS AND REFERENCES .........................................................................................169
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LIST OF FIGURES 

Figure 1: [System Acronym] Architecture Diagram ....................................................................................... 6

Figure 2: [System Acronym] Accreditation Boundary ................................................................................... 6

LIST OF TABLES 

Table 1: System Name/Identifier ................................................................................................................... 1

Table 2: Responsible Organization ............................................................................................................... 1

Table 3: Security Categorization ................................................................................................................... 1

Table 4: Impact Level for Information Types ................................................................................................. 3

Table 5: <System Name> Points of Contact ................................................................................................. 3

Table 6: [System Acronym] (Contractor) Information System Security Officer (ISSO)................................. 4

Table 7: SSA Security Authorization Manager (SAM) ................................................................................. 4

Table 8: Information System Operational Status .......................................................................................... 4

Table 9: Information System Type ................................................................................................................ 5

Table 10: NIST SP 800-60 Vol 2. Information Data Types ........................................................................... 5

Table 11: Inventory: List of Technologies ..................................................................................................... 6

Table 12: [System Acronym] System Interconnections ................................................................................ 7
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1 Information System Identification 

1.1 Determination of System 

Table 1: System Name/Identifier 

System Name/Title: System ID No:

<System name: external information system 

name> ( short name-subsystem short name)

1.2 Responsible Organization 

Table 2: Responsible Organization 

Organization Address

1.3 Information System Categorization 

Security categorizations are to be performed as the first step in the security authorization process as 

required by Federal Information Processing Standard (FIPS) 199 in order to select appropriate system 

security controls to be addressed throughout the rest of the security authorization. FIPS 199 categories 

are derived according to the potential impact on the agency that would occur if its Confidentiality, 

Integrity, or Availability were compromised. FIPS 199 category definitions are as follows: 

 High Impact: The loss of confidentiality, integrity, or availability could be expected to have a 

severe or catastrophic adverse effect on organizational operations, organizational assets, or 

individuals. 

 Moderate Impact: The loss of confidentiality, integrity, or availability could be expected to have 

a serious adverse effect on organizational operations, organizational assets, or individuals. (At 

SSA, the highest security categorization is currently Moderate) 

 Low Impact: The loss of confidentiality, integrity, or availability could be expected to have a 

limited adverse effect on organizational operations, organizational assets, or individuals. 

Based on the system categorization of this externally hosted system the [SYSTEM ACRONYM] system 

has been categorized as a [LOW/MODERATE] system according to FIPS 199. 

 [Enter an “X” in the applicable section]  DELETE 

Table 3: Security Categorization 

Low

Moderate
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1.4 General Description of Information Sensitivity 

Sensitive information is defined by the Computer Security Act (section 552a of Title 5, United States 

Code) as any information, the loss, misuse, or unauthorized access to or modification of which could 

adversely affect the national interest or the conduct of federal programs, or the privacy to which 

individuals are entitled. The National Institute of Standards and Technology (NIST) Special Publication 

800-122 Guide to Protecting the Confidentiality of Personally Identifiable Information (PII) further defines 

the requirements for Personal Identity Information (PII) which SSA follows with regard to protecting its 

sensitive PII. 

FIPS 199 defines security categories for information systems based on potential impact on organizations, 

assets, or individuals should there be a breach of security—that is, a loss of confidentiality, integrity, or 

availability. FIPS 199 security categories play an important part in defining information system security 

boundaries by partitioning the agency's information systems according to the criticality or sensitivity of the 

information and information systems and the importance of those systems in accomplishing the agency's 

mission. This is particularly important when there are various FIPS 199 impact levels contained in one 

information system. The FIPS 199 requirement to secure an information system to the high watermark or 

highest impact level must be applied when grouping minor applications/subsystems with varying FIPS 

199 impact levels into a single general support system or major application unless there is adequate 

boundary protection, e.g., firewalls and encryption, around those subsystems or applications with the 

highest impact level. Additionally, there must be assurance that the shared resources, i.e., networks, 

communications, and physical access within the whole general support system or major application, are 

protected adequately for the highest impact level. Having the ability to isolate the high impact systems will 

not only result in more secure systems, but will also reduce the amount of resources required to secure 

many applications/systems that do not require that level of security. NIST SP 800-53 provides three 

security control baselines, i.e., low, moderate, and high (high is not addressed by this SSP), that are 

associated with the three FIPS 199 impact levels; as the impact level increases, so do the minimum 

assurance requirements. For reporting purposes, i.e., FISMA annual report, when an information system 

has varying FIPS 199 impact levels, that system is categorized at the highest impact level on that 

information system. 

1.5 Impact Level for Information Types 

The following tables identify the information types that are input, stored, processed, and/or output from 

[System Acronym]. The selection of the information types is based on guidance provided by OMB 

Federal Enterprise Architecture Program Management Office Business Reference Model 2.0 

(http://www.whitehouse.gov/omb/e-gov/fea), and the FIPS 199, Standards for Security Categorization of 

Federal Information and Information Systems, and NIST Special Publication (SP) 800-60, Guide for 

Mapping Types of Information and Information Systems to Security Categories. SP 800-60 includes two 

volumes: Volume I is a basic guideline and Volume II contains appendices. Users should review the 

guidelines provided in Volume I, then refer to only the material from the appendices that is applicable. 

NIST SP 800-60 is available for download at http://csrc.nist.gov/publications/. 

The potential impact is LOW if— 

The loss of confidentiality, integrity, or availability could be expected to have a limited adverse 

effect on organizational operations, organizational assets, or individuals. 

A limited adverse effect means that, for example, the loss of confidentiality, integrity, or availability 

might: (i) cause a degradation in mission capability to an extent and duration that the organization 

is able to perform its primary functions, but the effectiveness of the functions is noticeably 

reduced; (ii) result in minor damage to organizational assets; (iii) result in minor financial loss; or 

(iv) result in minor harm to individuals. 

The potential impact is MODERATE if— 
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The loss of confidentiality, integrity, or availability could be expected to have a serious adverse 

effect on organizational operations, organizational assets, or individuals. 

A serious adverse effect means that, for example, the loss of confidentiality, integrity, or 

availability might: (i) cause a significant degradation in mission capability to an extent and 

duration that the organization is able to perform its primary functions, but the effectiveness of the 

functions is significantly reduced; (ii) result in significant damage to organizational assets; (iii) 

result in significant financial loss; or (iv) result in significant harm to individuals that does not 

involve loss of life or serious life threatening injuries. 

The potential impact is HIGH if— 

The loss of confidentiality, integrity, or availability could be expected to have a severe or 

catastrophic adverse effect on organizational operations, organizational assets, or individuals. 

A severe or catastrophic adverse effect means that, for example, the loss of confidentiality, 

integrity, or availability might: (i) cause a severe degradation in or loss of mission capability to an 

extent and duration that the organization is not able to perform one or more of its primary 

functions; (ii) result in major damage to organizational assets; (iii) result in major financial loss; or 

(iv) result in severe or catastrophic harm to individuals involving loss of life or serious life 

threatening injuries. 

 [List the different information types per NIST SP 800-60 and indicate provisional impact level. Add or 

modify information types if necessary]. This information can be copy/pasted from the SSA Parent 

System FIPS199 Security Categorization Review documentation, Section 4.  DELETE THESE 

INSTRUCTIONS UPON COMPLETION 

Table 4: Impact Level for Information Types 

NIST Information 

Type

NIST

SP 800-60, 

Volume II

Reference

NIST Recommended Provisional Impact Levels

System Owner

Selected Impact Levels Comments

Confidentiality Integrity Availability Confidentiality Integrity Availability

EXAMPLE:

Personal 

Identity and 

Authentication 

Information 

Type

C.2.8.9 M M M M M M None

1.6 System Points of Contact 

<Complete the attached spreadsheet with system specific information.> 

Table 5: <System Name> Points of Contact 

SSP-Point of 

Contacts.xlsx
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1.7 Assignment of Security Responsibility 

Table 6: [System Acronym] (Contractor) Information System Security Officer (ISSO) 

Name:

Title:

Agency:

Address:

Telephone:

Email:

Responsibility: Individual with assigned responsibility for maintaining the appropriate operational 

security posture for an information system or program. Information System Security 

Officer (ISSO).

Table 7: SSA Security Authorization Manager (SAM) 

Name:

Title:

Agency:

Address:

Telephone:

Email:

Responsibility: SSA Security Authorization Manager

1.8 System Operational Status 

The [SYSTEM ACRONYM] and its component systems are in the [INITIATION, 

ACQUISITION/DEVELOPMENT, IMPLEMENATION, OPERATIONAL/MAINTENANCE] phase of their 

System Development Life Cycles (SDLC). 

 [Enter an “X” in the applicable section]  DELETE 

Table 8: Information System Operational Status 

Initiation Development Implementation Operational

1.9 Information system Type 

 [Enter an “X” in the applicable section below]  DELETE 
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Table 9: Information System Type 

Subsystem/Application Major Application General Support System

1.10 Security Status 

[SECURTIY AUTHORIZATION ACRONYM/ EXTERNAL INFORMATION SYSTEM ACRONYM] received 

a full Authority to Operate (ATO) on [Enter DATE of ATO]. 

1.11 General Description and Purpose 

 [This section should contain a detailed general description and overall purpose for the information 

system. It should identify the system's purpose, capabilities, users, arrangements for hosting, 

connection and/or interface to SSA, and information data flow; discuss the hardware, software and 

firmware implemented in support of the information system]  DELETE 

1.12 Data Types 

Table 10: NIST SP 800-60 Vol 2. Information Data Types 

NIST 

Information 

Type

NIST SP 800-60, Volume II

Reference Data Type Description

EXAMPLE:

Personal 

Identity 

Information 

Type

C.2.8.9 Personal identity and authentication information includes that 

information necessary to ensure that all persons who are 

potentially entitled to receive any federal benefit are 

enumerated and identified so that Federal agencies can 

have reasonable assurance that they are paying or 

communicating with the right individuals. This information 

include individual citizen’s Social Security Numbers, names, 

dates of birth, places of birth, parents’ names, etc.
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1.13 Information System Boundary 

The [SYSTEM ACRONYM] system architecture, environment and agreement boundary is described 

below. 

1.14 System Architecture/Environment 

[Provide a description of the information system architecture/environment, explaining where and by whom 

it is hosted, whether it is a web-based (or cloud, etc.) application, what Software (SW) it is utilizing, what 

SW sits on the front end, back end, OS, how many users access the system, describe user interfaces, 

and designate whether connectivity to SSA and/or the outside is through VPN or WAN, etc.]  DELETE 

 [INSERT a diagram of the information system architecture, including its connections/interfaces/other 

relationships to SSA].  DELETE 

Figure 1: [System Acronym] Architecture Diagram 

1.15 Security Authorization Boundary 

[Provide information of where the information system is located; where backups and restores are 

conducted, and specifically where databases are housed. Provide an explanation of where the servers 

are located (company facility, datacenter, etc.), personnel, public access or not, how the systems are 

connected, how remote users can connect and how in and outbound internet connections are secured 

and maintained].  DELETE 

 [INSERT a diagram of the information security authorization boundary showing its 

connections/interfaces/other relationships to SSA.] DELETE

Figure 2: [System Acronym] Accreditation Boundary

1.16 System Inventory 

The hardware (HW) and software (SW) components included in the externally hosted, non-SSA [System 

Acronym] boundary are listed in the tables below. <System acronym> consists of multiple technologies. 

Table 11 contains a listing of technologies (hardware, software, technologies and platforms) that reside 

within the <system acronym> authorization boundary. Technology is listed per system and subsystem: 

<Complete the embedded spreadsheet with system specific information.> 

Table 11: Inventory: List of Technologies 
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Table 6_Inventory - 

List of Technologies - SAMPLE.xlsx

 NOTE: Any changes to the scope of the Authorization Boundary after the Boundary 

Scope Meeting and finalization of the BSM may impact the overall IV&V schedule. 

1.17 System Interconnections 

The externally hosted [SYSTEM ACRONYM] requires that written agreements (e.g., Memorandums of 

Understanding (MOUs), Memorandums of Agreement (MOAs), Interconnection Security Agreements 

(ISAs), etc., on the security controls to be enforced on interconnecting systems and must be obtained 

prior to connecting and/or sharing sensitive data/information. Table 18 shows the status of these 

agreements between [SYSTEM ACRONYM] and the external systems that share its information. 

[SYSTEM ACRONYM] [Has /does not have] external communications requiring MOUs or ISAs. 

Table 12: [System Acronym] System Interconnections 

Information 

System

Organization Type 

(GSS/MA)

Agreement

(ISA/MOU/MOA)

Date FIPS 199 

Category

C&A

Status

DAA

N/A N/A N/A N/A N/A N/A N/A N/A
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2 [System Acronym] NIST SP 800-53 - Rev 4 

MINIMUM SECURITY CONTROLS 

The minimum security control baseline for [LOW/MODERATE]-impact systems from NIST SP 800-53 

Revision 4 is documented below. Specifically, this section provides a description of how all the minimumsecurity controls in the baseline are being implemented, planned, and compensated or how they will be 

implemented in the future. The table contains: (1) the NIST SP Publication and revision number (2) the 

security control family and specific control with applicable enhancements; (3) if the security control is a 

common control, hybrid or system specific (4) the implementation statement; how the security control is 

being implemented or how it will be implemented (5) the implementation status to determine whether the 

control is in place, not in place, compensated or not applicable and (6) comments to capture specific 

notes about the control’s implementation. (Note: if not in place, an explanation will need to be provided 

under this section). Implementation statements of controls identified as common will reference the system 

and/or SSP that the control is inherited from.

2.1 Security Controls 

Organizations employ security controls in federal information systems and the environments in which 

those systems operate in accordance with FIPS Publication 199, FIPS Publication 200, and NIST Special 

Publications 800-37 and 800-39. Security categorization of federal information and information systems, 

as required by FIPS Publication 199, is the first step in the risk management process. Next, organizations 

select an appropriate set of security controls for their information systems by satisfying the minimumsecurity requirements set forth in FIPS Publication 200. Appendix D includes three security control 

baselines that are associated with the designated impact levels of information systems as determined 

during the security categorization process. After baseline selection, organizations tailor the baselines by: 

(i) identifying/designating common controls; (ii) applying scoping considerations; (iii) selecting 

compensating controls, if needed; (iv) assigning control parameter values in selection and assignment 

statements; (v) supplementing the baseline controls with additional controls and control enhancements 

from the security control catalog; and (vi) providing additional information for control implementation. 

2.1.1Access Control (AC)

2.1.1.1 AC-1 Access Control Policy and Procedures 

The organization: 

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or 

roles]:

b. An access control policy that addresses purpose, scope, roles, responsibilities, management 

commitment, coordination among organizational entities, and compliance; and 

c. Procedures to facilitate the implementation of the access control policy and associated 

access controls; and 

d. Reviews and updates the current: 

e. Access control policy [Assignment: organization-defined frequency]; and 

f. Access control procedures [Assignment: organization-defined frequency]. 
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NIST SP 800-53 Access Control Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [AC-1]

Implementation Statement: 

AC-1

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.1.2 AC-2 Account Management 

The organization: 

a. Identifies and selects the following types of information system accounts to support 

organizational missions/business functions: [Assignment: organization-defined information 

system account types];

b. Assigns account managers for information system accounts; 

c. Establishes conditions for group and role membership; 

d. Specifies authorized users of the information system, group and role membership, and 

access authorizations (i.e., privileges) and other attributes (as required) for each account; 

e. Requires approvals by [Assignment: organization-defined personnel or roles] for requests to 

create information system accounts; 

f. Creates, enables, modifies, disables, and removes information system accounts in 

accordance with [Assignment: organization-defined procedures or conditions];

g. Monitors the use of, information system accounts; 

h. Notifies account managers: 

1. When accounts are no longer required; 

2. When users are terminated or transferred; and 

3. When individual information system usage or need-to-know changes; 

i. Authorizes access to the information system based on: 

1. A valid access authorization; 

2. Intended system usage; and 

3. Other attributes as required by the organization or associated missions/business 

functions; 

j. Reviews accounts for compliance with account management requirements [Assignment: 

organization-defined frequency]; and

k. Establishes a process for reissuing shared/group account credentials (if deployed) when 

individuals are removed from the group. 
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(1) ACCOUNT MANAGEMENT | AUTOMATED SYSTEM ACCOUNT MANAGEMENT 

The organization employs automated mechanisms to support the management of information 

system accounts. 

(2) ACCOUNT MANAGEMENT | REMOVAL OF TEMPORARY / EMERGENCY ACCOUNTS 

The information system automatically [Selection: removes; disables] temporary and 

emergency accounts after [Assignment: organization-defined time period for each type of 

account].

(3) ACCOUNT MANAGEMENT | DISABLE INACTIVE ACCOUNTS 

The information system automatically disables inactive accounts after [Assignment: 

organization-defined time period].

(4) ACCOUNT MANAGEMENT | AUTOMATED AUDIT ACTIONS 

The information system automatically audits account creation, modification, enabling, 

disabling, and removal actions, and notifies [Assignment: organization-defined personnel or 

roles]. 

NIST SP 800-53 Access Controls Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [AC-2]

Implementation Statement: 

AC-2

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AC-2(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 11

Comments:

Control Enhancement AC-2(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AC-2(3)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AC-2(4)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.1.3 AC-3 Access Enforcement 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 12

The information system enforces approved authorizations for logical access to information and system 

resources in accordance with applicable access control policies. 

NIST SP 800-53 Access Control Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [AC-3]

Implementation Statement: 

AC-3

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.1.4 AC-4 Information Flow Enforcement 

The information system enforces approved authorizations for controlling the flow of information within the 

system and between interconnected systems based on [Assignment: organization-defined information 

flow control policies].

NIST SP 800-53 Access Control Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [AC-4]

Implementation Statement: 

AC-4

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 13

Comments:

2.1.1.5 AC-5 Separation of Duties 

The organization: 

a. Separates [Assignment: organization-defined duties of individuals];

b. Documents separation of duties of individuals; and 

c. Defines information system access authorizations to support separation of duties. 

NIST SP 800-53 Access Control Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [AC-5]

Implementation Statement: 

AC-5

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.1.6 AC-6 Least Privilege 

The organization employs the principle of least privilege, allowing only authorized accesses for users (or 

processes acting on behalf of users) which are necessary to accomplish assigned tasks in accordance 

with organizational missions and business functions. 

Control Enhancements: 

(1) LEAST PRIVILEGE | AUTHORIZE ACCESS TO SECURITY FUNCTIONS 

The organization explicitly authorizes access to [Assignment: organization-defined security functions 

(deployed in hardware, software, and firmware) and security-relevant information]. 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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(2) LEAST PRIVILEGE | NON-PRIVILEGED ACCESS FOR NONSECURITY FUNCTIONS 

The organization requires that users of information system accounts, or roles, with access to 

[Assignment: organization-defined security functions or security-relevant information], use non-privileged 

accounts or roles, when accessing nonsecurity functions. 

(5) LEAST PRIVILEGE | PRIVILEGED ACCOUNTS 

The organization restricts privileged accounts on the information system to [Assignment: organizationdefined personnel or roles]. 

(9) LEAST PRIVILEGE | AUDITING USE OF PRIVILEGED FUNCTIONS 

The information system audits the execution of privileged functions. 

(10) LEAST PRIVILEGE | PROHIBIT NON-PRIVILEGED USERS FROM EXECUTING PRIVILEGED 

FUNCTIONS 

The information system prevents non-privileged users from executing privileged functions to include 

disabling, circumventing, or altering implemented security safeguards/countermeasures. 

NIST SP 800-53 Access Controls Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [AC-6]

Implementation Statement: 

AC-6

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AC-6(1)

Implementation Statement: 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 15

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AC-6(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AC-6(5)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AC-6(9)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 16

Control Enhancement AC-6(10)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.1.7 AC-7 Unsuccessful Logon Attempts 

The information system: 

a. Enforces a limit of [Assignment: organization-defined number] consecutive invalid logon 

attempts by a user during a [Assignment: organization-defined time period]; and 

b. Automatically [Selection: locks the account/node for an [Assignment: organization-defined 

time period]; locks the account/node until released by an administrator; delays next logon 

prompt according to [Assignment: organization-defined delay algorithm]] when the maximum 

number of unsuccessful attempts is exceeded. 

NIST SP 800-53 Access Control Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [AC-7]

Implementation Statement: 

AC-7

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.1.8 AC-8 System Use Notification 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 17

The information system: 

a. Displays to users [Assignment: organization-defined system use notification message or 

banner] before granting access to the system that provides privacy and security notices 

consistent with applicable federal laws, Executive Orders, directives, policies, regulations, 

standards, and guidance and states that: 

1. Users are accessing a U.S. Government information system; 

2. Information system usage may be monitored, recorded, and subject to audit; 

3. Unauthorized use of the information system is prohibited and subject to criminal and civil 

penalties; and 

4. Use of the information system indicates consent to monitoring and recording; 

b. Retains the notification message or banner on the screen until users acknowledge the usage 

conditions and take explicit actions to log on to or further access the information system; and 

c. For publicly accessible systems: 

1. Displays system use information [Assignment: organization-defined conditions], before 

granting further access; 

2. Displays references, if any, to monitoring, recording, or auditing that are consistent with 

privacy accommodations for such systems that generally prohibit those activities; and 

3. Includes a description of the authorized uses of the system. 

NIST SP 800-53 Access Control Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [AC-8]

Implementation Statement: 

AC-8

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.1.9 AC-11 Session Lock 

The information system: 

a. Prevents further access to the system by initiating a session lock after [Assignment: 

organization-defined time period] of inactivity or upon receiving a request from a user; and 

b. Retains the session lock until the user reestablishes access using established identification 

and authentication procedures. 

Control Enhancements: 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 18

(1) SESSION LOCK | PATTERN-HIDING DISPLAYS 

The information system conceals, via the session lock, information previously visible on the display with a 

publicly viewable image. 

NIST SP 800-53 Access Control Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [AC-11]

Implementation Statement: 

AC-11

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Implementation Statement: 

AC-11(1)

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.1.10 AC-12 Session Termination 

The information system automatically terminates a user session after [Assignment: organization-defined 

conditions or trigger events requiring session disconnect].
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 19

NIST SP 800-53 Access Control Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [AC-12]

Implementation Statement: 

AC-12

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.1.11 AC-14 Permitted Actions without Identification or Authentication 

The organization: 

a. Identifies [Assignment: organization-defined user actions] that can be performed on the 

information system without identification or authentication consistent with organizational 

missions/business functions; and 

b. Documents and provides supporting rationale in the security plan for the information system, 

user actions not requiring identification or authentication. 

NIST SP 800-53 Access Control Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [AC-14]

Implementation Statement: 

AC-14

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 20

Comments:

2.1.1.12 AC-17 Remote Access 

The organization: 

a. Establishes and documents usage restrictions, configuration/connection requirements, and 

implementation guidance for each type of remote access allowed; and 

b. Authorizes remote access to the information system prior to allowing such connections. 

Control Enhancements: 

(1) REMOTE ACCESS | AUTOMATED MONITORING / CONTROL 

The information system monitors and controls remote access methods. 

(2) REMOTE ACCESS | PROTECTION OF CONFIDENTIALITY / INTEGRITY USING ENCRYPTION 

The information system implements cryptographic mechanisms to protect the confidentiality and integrity 

of remote access sessions. 

 

(3) REMOTE ACCESS | MANAGED ACCESS CONTROL POINTS 

The information system routes all remote accesses through [Assignment: organization-defined number] 

managed network access control points. 

(4) REMOTE ACCESS | PRIVILEGED COMMANDS / ACCESS 

The organization: 

(a) Authorizes the execution of privileged commands and access to security-relevant 

information via remote access only for [Assignment: organization-defined needs]; and 

(b) Documents the rationale for such access in the security plan for the information system. 

NIST SP 800-53 Access Control Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [AC-17]
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 21

Implementation Statement: 

AC-17

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AC-17(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AC-17(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AC-17(3)

Implementation Statement: 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 22

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AC-17(4)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.1.13 AC-18 Wireless Access 

The organization: 

a. Establishes usage restrictions, configuration/connection requirements, and implementation 

guidance for wireless access; and 

b. Authorizes wireless access to the information system prior to allowing such connections. 

Control Enhancements: 

(1) WIRELESS ACCESS | AUTHENTICATION AND ENCRYPTION 

The information system protects wireless access to the system using authentication of [Selection (one or 

more): users; devices] and encryption. 

NIST SP 800-53 Access Control Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [AC-18]

Implementation Statement: 

AC-18
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 23

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AC-18(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.1.14 AC-19 Access Control for Mobile Devices 

The organization: 

a. Establishes usage restrictions, configuration requirements, connection requirements, and 

implementation guidance for organization-controlled mobile devices; and 

b. Authorizes the connection of mobile devices to organizational information systems. 

(5) ACCESS CONTROL FOR MOBILE DEVICES | FULL DEVICE / CONTAINER-BASED 

ENCRYPTION 

The organization employs [Selection: full-device encryption; container encryption] to protect the 

confidentiality and integrity of information on [Assignment: organization-defined mobile devices]. 

NIST SP 800-53 Access Control Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [AC-19]

Implementation Statement: 

AC-19
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 24

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AC-19(5)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.1.15 AC-20 Use of External Information Systems 

The organization establishes terms and conditions, consistent with any trust relationships established with 

other organizations owning, operating, and/or maintaining external information systems, allowing 

authorized individuals to: 

a. Access the information system from external information systems; and 

b. Process, store, or transmit organization-controlled information using external information 

systems. 

Control Enhancements: 

(1) USE OF EXTERNAL INFORMATION SYSTEMS | LIMITS ON AUTHORIZED USE 

The organization permits authorized individuals to use an external information system to access the 

information system or to process, store, or transmit organization-controlled information only when the 

organization: 

(a) Verifies the implementation of required security controls on the external system as 

specified in the organization’s information security policy and security plan; or 

(b) Retains approved information system connection or processing agreements with the 

organizational entity hosting the external information system. 

(2) USE OF EXTERNAL INFORMATION SYSTEMS | PORTABLE STORAGE DEVICES 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 25

The organization [Selection: restricts; prohibits] the use of organization-controlled portable storage 

devices by authorized individuals on external information systems. 

NIST SP 800-53 Access Control Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [AC-20]

Implementation Statement: 

AC-20

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AC-20(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AC-20(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 26

Comments:

2.1.1.16 AC-21 Information Sharing 

The organization: 

a. Facilitates information sharing by enabling authorized users to determine whether access 

authorizations assigned to the sharing partner match the access restrictions on the 

information for [Assignment: organization-defined information sharing circumstances where 

user discretion is required]; and 

b. Employs [Assignment: organization-defined automated mechanisms or manual processes] to 

assist users in making information sharing/collaboration decisions. 

NIST SP 800-53 Access Control Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [AC-21]

Implementation Statement: 

AC-21

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.1.17 AC-22 Publicly Accessible Content 

The organization: 

a. Designates individuals authorized to post information onto a publicly accessible information 

system; 

b. Trains authorized individuals to ensure that publicly accessible information does not contain 

nonpublic information; 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 27

c. Reviews the proposed content of information prior to posting onto the publicly accessible 

information system to ensure that nonpublic information is not included; and 

d. Reviews the content on the publicly accessible information system for nonpublic information 

[Assignment: organization-defined frequency] and removes such information, if discovered. 

NIST SP 800-53 Access Control Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [AC-22]

Implementation Statement: 

AC-22

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.2 Awareness and Training (AT) 

2.1.2.1 AT-1 Security Awareness and Training Policy and Procedures 

The organization: 

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or 

roles]:

1. A security awareness and training policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, 

and compliance; and 

2. Procedures to facilitate the implementation of the security awareness and training policy 

and associated security awareness and training controls; and 

b. Reviews and updates the current: 

1. Security awareness and training policy [Assignment: organization-defined frequency]; 

and

2. Security awareness and training procedures [Assignment: organization-defined 

frequency].

NIST SP 800-53 Awareness and 

Training

Common (Fully Inherited Control)
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 28

Revision 4 [AT-1]

Hybrid (Partially Inherited Control)

System Specific Control

Implementation Statement: 

AT-1

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.2.2 AT-2 Security Awareness Training 

The organization provides basic security awareness training to information system users (including 

managers, senior executives, and contractors): 

a. As part of initial training for new users; 

b. When required by information system changes; and 

c. [Assignment: organization-defined frequency] thereafter. 

Control Enhancements: 

(2) SECURITY AWARENESS | INSIDER THREAT 

The organization includes security awareness training on recognizing and reporting potential indicators of 

insider threat. 

NIST SP 800-53 Awareness and 

Training

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [AT-2]

Implementation Statement: 

AT-2
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 29

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AT-2(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.2.3 AT-3 Role-Based Security Training 

The organization provides role-based security training to personnel with assigned security roles and 

responsibilities: 

a. Before authorizing access to the information system or performing assigned duties; 

b. When required by information system changes; and 

c. [Assignment: organization-defined frequency] thereafter. 

NIST SP 800-53 Awareness and 

Training

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [AT-3]

Implementation Statement: 

AT-3

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 30

Comments:

2.1.2.4 AT-4 Security Training Records 

The organization: 

a. Documents and monitors individual information system security training activities including 

basic security awareness training and specific information system security training; and 

b. Retains individual training records for [Assignment: organization-defined time period].

NIST SP 800-53 Awareness and 

Training

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [AT-4]

Implementation Statement: 

AT-4

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.3 Audit and Accountability (AU) 

2.1.3.1 AU-1 Audit and Accountability Policy and Procedures 

The organization: 

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or 

roles]:

1. An audit and accountability policy that addresses purpose, scope, roles, responsibilities, 

management commitment, coordination among organizational entities, and compliance; 

and
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 31

2. Procedures to facilitate the implementation of the audit and accountability policy and 

associated audit and accountability controls; and 

b. Reviews and updates the current: 

1. Audit and accountability policy [Assignment: organization-defined frequency]; and 

2. Audit and accountability procedures [Assignment: organization-defined frequency].

NIST SP 800-53 Audit and 

Accountability

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [AU-1]

Implementation Statement: 

AU-1

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.3.2 AU-2 Audit Events 

The organization: 

a. Determines that the information system is capable of auditing the following events: 

[Assignment: organization-defined auditable events];

b. Coordinates the security audit function with other organizational entities requiring auditrelated information to enhance mutual support and to help guide the selection of auditable 

events; 

c. Provides a rationale for why the auditable events are deemed to be adequate to support 

after-the-fact investigations of security incidents; and 

d. Determines that the following events are to be audited within the information system: 

[Assignment: organization-defined audited events (the subset of the auditable events defined 

in AU-2 a.) along with the frequency of (or situation requiring) auditing for each identified 

event].

Control Enhancements: 

(3) AUDIT EVENTS | REVIEWS AND UPDATES 

The organization reviews and updates the audited events [Assignment: organization-defined frequency]. 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 32

NIST SP 800-53 Audit and 

Accountability

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [AU-2]

Implementation Statement: 

AU-2

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AU-2(3)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.3.3 AU-3 Content of Audit Records 

The information system generates audit records containing information that establishes what type of 

event occurred, when the event occurred, where the event occurred, the source of the event, the outcome 

of the event, and the identity of any individuals or subjects associated with the event. 

Control Enhancements: 

(1) CONTENT OF AUDIT RECORDS | ADDITIONAL AUDIT INFORMATION 

The information system generates audit records containing the following additional information: 

[Assignment: organization-defined additional, more detailed information]. 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 33

NIST SP 800-53 Audit and 

Accountability

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [AU-3]

Implementation Statement: 

AU-3

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AU-3(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.3.4 AU-4 Audit Storage 

The organization allocates audit record storage capacity in accordance with [Assignment: organizationdefined audit record storage requirements].

NIST SP 800-53 Audit and 

Accountability

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [AU-4]
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<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 34

Implementation Statement: 

AU-4

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.3.5 AU-5 Response to Audit Processing Failures 

The information system: 

a. Alerts [Assignment: organization-defined personnel or roles] in the event of an audit 

processing failure; and 

b. Takes the following additional actions: [Assignment: organization-defined actions to be taken 

(e.g., shut down information system, overwrite oldest audit records, stop generating audit 

records)].

NIST SP 800-53 Audit and 

Accountability

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [AU-5]

Implementation Statement: 

AU-5

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.3.6 AU-6 Audit Review, Analysis, and Reporting 
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The organization: 

a. Reviews and analyzes information system audit records [Assignment: organization-defined 

frequency] for indications of [Assignment: organization-defined inappropriate or unusual 

activity]; and 

b. Reports findings to [Assignment: organization-defined personnel or roles].

Control Enhancements: 

(1) AUDIT REVIEW, ANALYSIS, AND REPORTING | PROCESS INTEGRATION 

The organization employs automated mechanisms to integrate audit review, analysis, and reporting 

processes to support organizational processes for investigation and response to suspicious activities. 

(3) AUDIT REVIEW, ANALYSIS, AND REPORTING | CORRELATE AUDIT REPOSITORIES 

The organization analyzes and correlates audit records across different repositories to gain organizationwide situational awareness. 

NIST SP 800-53 Audit and 

Accountability

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [AU-6]

Implementation Statement: 

AU-6

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AU-6(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 36

Scoped

Comments:

Control Enhancement AU-6(3)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.3.7 AU-7 Audit Reduction and Report Generation 

The information system provides an audit reduction and report generation capability that: 

a. Supports on-demand audit review, analysis, and reporting requirements and after-the-fact 

investigations of security incidents; and

b. Does not alter the original content or time ordering of audit records. 

Control Enhancements: 

(1) AUDIT REDUCTION AND REPORT GENERATION | AUTOMATIC PROCESSING 

The information system provides the capability to process audit records for events of interest based on 

[Assignment: organization-defined audit fields within audit records]. 

NIST SP 800-53 Audit and 

Accountability

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [AU-7]

Implementation Statement: Does not apply to Low systems according to NIST SP 800-53 Rev 4.

AU-7
Social Security Administration 

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<Document Name> 

Version <X.X> 

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Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Implementation Statement: 

AU-7(1)

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.3.8 AU-8 Time Stamps 

The information system: 

a. Uses internal system clocks to generate time stamps for audit records; and 

b. Records time stamps for audit records that can be mapped to Coordinated Universal Time 

(UTC) or Greenwich Mean Time (GMT) and meets [Assignment: organization-defined 

granularity of time measurement].

Control Enhancements: 

(1) TIME STAMPS | SYNCHRONIZATION WITH AUTHORITATIVE TIME SOURCE 

The information system: 

(a) Compares the internal information system clocks [Assignment: organization-defined 

frequency] with [Assignment: organization-defined authoritative time source]; and 

(b) Synchronizes the internal system clocks to the authoritative time source when the time difference 

is greater than [Assignment: organization-defined time period]. 

NIST SP 800-53 Audit and 

Accountability

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

Revision 4 [AU-8]
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 38

System Specific Control

Implementation Statement: 

AU-8

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AU-8(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.3.9 AU-9 Protection of Audit Information 

The information system protects audit information and audit tools from unauthorized access, modification, 

and deletion. 

Control Enhancements: 

(4) PROTECTION OF AUDIT INFORMATION | ACCESS BY SUBSET OF PRIVILEGED USERS 

The organization authorizes access to management of audit functionality to only [Assignment: 

organization-defined subset of privileged users]. 

NIST SP 800-53 Audit and 

Accountability

Common (Fully Inherited Control)
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 39

Revision 4 [AU-9]

Hybrid (Partially Inherited Control)

System Specific Control

Implementation Statement: 

AU-9

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement AU-9(4)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.3.10 AU-11 Audit Record Retention 

The organization retains audit records for [Assignment: organization-defined time period consistent with 

records retention policy] to provide support for after-the-fact investigations of security incidents and to 

meet regulatory and organizational information retention requirements. 

NIST SP 800-53 Audit and 

Accountability

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [AU-11]
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 40

Implementation Statement: 

AU-11

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.3.11 AU-12 Audit Generation 

The information system: 

a. Provides audit record generation capability for the auditable events defined in AU-2 a. at 

[Assignment: organization-defined information system components];

b. Allows [Assignment: organization-defined personnel or roles] to select which auditable events 

are to be audited by specific components of the information system; and 

c. Generates audit records for the events defined in AU-2 d. with the content defined in AU-3.

NIST SP 800-53 Audit and 

Accountability

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [AU-12]

Implementation Statement: 

AU-12

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.4 Security Assessment and Authorization (CA) 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 41

2.1.4.1 CA-1 Security Assessment and Authorization Policies and Procedures 

The organization: 

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or 

roles]:

1. A security assessment and authorization policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, 

and compliance; and 

2. Procedures to facilitate the implementation of the security assessment and authorization 

policy and associated security assessment and authorization controls; and 

b. Reviews and updates the current: 

1. Security assessment and authorization policy [Assignment: organization-defined 

frequency]; and 

2. Security assessment and authorization procedures [Assignment: organization-defined 

frequency].

NIST SP 800-53 Security Assessment 

and Authorization

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [CA-1]

Implementation Statement: 

CA-1

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.4.2 CA-2 Security Assessments 

The organization: 

a. Develops a security assessment plan that describes the scope of the assessment including: 

1. Security controls and control enhancements under assessment; 

2. Assessment procedures to be used to determine security control effectiveness; and 

3. Assessment environment, assessment team, and assessment roles and responsibilities; 

b. Assesses the security controls in the information system and its environment of operation 

[Assignment: organization-defined frequency] to determine the extent to which the controls 
Social Security Administration 

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are implemented correctly, operating as intended, and producing the desired outcome with 

respect to meeting established security requirements; 

c. Produces a security assessment report that documents the results of the assessment; and 

d. Provides the results of the security control assessment to [Assignment: organization-defined 

individuals or roles].

Control Enhancements: 

(1) SECURITY ASSESSMENTS | INDEPENDENT ASSESSORS 

The organization employs assessors or assessment teams with [Assignment: organization-defined level 

of independence] to conduct security control assessments. 

NIST SP 800-53 Security Assessment 

and Authorization

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [CA-2]

Implementation Statement: 

CA-2

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CA-2(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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2.1.4.3 CA-3 System Interconnections 

The organization: 

a. Authorizes connections from the information system to other information systems through the 

use of Interconnection Security Agreements; 

b. Documents, for each interconnection, the interface characteristics, security requirements, and 

the nature of the information communicated; and 

c. Reviews and updates Interconnection Security Agreements [Assignment: organizationdefined frequency].

Control Enhancements: 

(5) SYSTEM INTERCONNECTIONS | RESTRICTIONS ON EXTERNAL SYSTEM CONNECTIONS 

The organization employs [Selection: allow-all, deny-by-exception; deny-all, permit-by-exception] policy 

for allowing [Assignment: organization-defined information systems] to connect to external information 

systems. 

NIST SP 800-53 Security Assessment 

and Authorization

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [CA-3]

Implementation Statement: 

CA-3

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CA-3(5)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 
Social Security Administration 

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<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 44

Scoped

Comments:

2.1.4.4 CA-5 Plan of Action and Milestones 

The organization: 

a. Develops a plan of action and milestones for the information system to document the 

organization’s planned remedial actions to correct weaknesses or deficiencies noted during 

the assessment of the security controls and to reduce or eliminate known vulnerabilities in 

the system; and 

b. Updates existing plan of action and milestones [Assignment: organization-defined frequency] 

based on the findings from security controls assessments, security impact analyses, and 

continuous monitoring activities. 

NIST SP 800-53 Security Assessment 

and Authorization

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [CA-5]

Implementation Statement: 

CA-5

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.4.5 CA-6 Security Authorization 

The organization: 

a. Assigns a senior-level executive or manager as the authorizing official for the information 

system; 

b. Ensures that the authorizing official authorizes the information system for processing before 

commencing operations; and 

c. Updates the security authorization [Assignment: organization-defined frequency].
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 45

NIST SP 800-53 Security Assessment 

and Authorization

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [CA-6]

Implementation Statement: 

CA-6

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.4.6 CA-7 Continuous Monitoring 

The organization develops a continuous monitoring strategy and implements a continuous monitoring 

program that includes: 

a. Establishment of [Assignment: organization-defined metrics] to be monitored; 

b. Establishment of [Assignment: organization-defined frequencies] for monitoring and 

[Assignment: organization-defined frequencies] for assessments supporting such monitoring; 

c. Ongoing security control assessments in accordance with the organizational continuous 

monitoring strategy; 

d. Ongoing security status monitoring of organization-defined metrics in accordance with the 

organizational continuous monitoring strategy; 

e. Correlation and analysis of security-related information generated by assessments and 

monitoring; 

f. Response actions to address results of the analysis of security-related information; and 

g. Reporting the security status of organization and the information system to [Assignment: 

organization-defined personnel or roles] [Assignment: organization-defined frequency].

Control Enhancements: 

(1) CONTINUOUS MONITORING | INDEPENDENT ASSESSMENT 

The organization employs assessors or assessment teams with [Assignment: organization-defined level 

of independence] to monitor the security controls in the information system on an ongoing basis. 

NIST SP 800-53 Security Assessment 

and Authorization

Common (Fully Inherited Control)
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 46

Revision 4 [CA-7]

Hybrid (Partially Inherited Control)

System Specific Control

Implementation Statement: 

CA-7

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CA-7(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.4.7 CA-9 Internal System Connections 

The organization: 

a. Authorizes internal connections of [Assignment: organization-defined information system 

components or classes of components] to the information system; and 

b. Documents, for each internal connection, the interface characteristics, security requirements, 

and the nature of the information communicated. 

NIST SP 800-53 Security Assessment 

and Authorization

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [CA-9]
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 47

Implementation Statement: 

CA-9

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.5 Configuration Management (CM) 

2.1.5.1 CM-1 Configuration Management Policy and Procedures 

The organization: 

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or 

roles]:

1. A configuration management policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, 

and compliance; and 

2. Procedures to facilitate the implementation of the configuration management policy and 

associated configuration management controls; and 

b. Reviews and updates the current: 

1. Configuration management policy [Assignment: organization-defined frequency]; and 

2. Configuration management procedures [Assignment: organization-defined frequency].

NIST SP 800-53 Configuration 

Management

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [CM-1]

Implementation Statement: 

CM-1

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 48

Comments:

2.1.5.2 CM-2 Baseline Configuration 

The organization develops, documents, and maintains under configuration control, a current baseline 

configuration of the information system. 

Control Enhancements: 

(1) BASELINE CONFIGURATION | REVIEWS AND UPDATES 

The organization reviews and updates the baseline configuration of the information system: 

(a) [Assignment: organization-defined frequency]; 

(b) When required due to [Assignment organization-defined circumstances]; and 

(c) As an integral part of information system component installations and upgrades. 

(3) BASELINE CONFIGURATION | RETENTION OF PREVIOUS CONFIGURATIONS 

The organization retains [Assignment: organization-defined previous versions of baseline configurations 

of the information system] to support rollback. 

(7) BASELINE CONFIGURATION | CONFIGURE SYSTEMS, COMPONENTS, OR DEVICES FOR 

HIGH-RISK AREAS 

The organization: 

(a) Issues [Assignment: organization-defined information systems, system components, or 

devices] with [Assignment: organization-defined configurations] to individuals traveling to 

locations that the organization deems to be of significant risk; and 

(b) Applies [Assignment: organization-defined security safeguards] to the devices when the 

individuals return. 

NIST SP 800-53 Configuration 

Management

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [CM-2]
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Implementation Statement: 

CM-2

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CM-2(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CM-2(3)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CM-2(7)

Implementation Statement: 
Social Security Administration 

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<Document Name> 

Version <X.X> 

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Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.5.3 CM-3 Configuration Change Control 

The organization: 

a. Determines the types of changes to the information system that are configuration-controlled; 

b. Reviews proposed configuration-controlled changes to the information system and approves 

or disapproves such changes with explicit consideration for security impact analyses; 

c. Documents configuration change decisions associated with the information system; 

d. Implements approved configuration-controlled changes to the information system; 

e. Retains records of configuration-controlled changes to the information system for 

[Assignment: organization-defined time period];

f. Audits and reviews activities associated with configuration-controlled changes to the 

information system; and 

g. Coordinates and provides oversight for configuration change control activities through 

[Assignment: organization-defined configuration change control element (e.g., committee, 

board] that convenes [Selection (one or more): [Assignment: organization-defined frequency]; 

[Assignment: organization-defined configuration change conditions]]. 

Control Enhancements: 

(2) CONFIGURATION CHANGE CONTROL | TEST / VALIDATE / DOCUMENT CHANGES 

The organization tests, validates, and documents changes to the information system before implementing 

the changes on the operational system. 

NIST SP 800-53 Configuration 

Management

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [CM-3]

Implementation Statement: Does not apply to Low systems according to NIST SP 800-53 Rev 4.

CM-3

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 
Social Security Administration 

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<Document Name> 

Version <X.X> 

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Scoped

Comments:

Control Enhancement CM-3(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.5.4 CM-4 Security Impact Analysis 

The organization analyzes changes to the information system to determine potential security impacts 

prior to change implementation. 

NIST SP 800-53 Configuration 

Management

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [CM-4]

Implementation Statement: 

CM-4

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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2.1.5.5 CM-5 Access Restrictions for Change 

The organization defines documents, approves, and enforces physical and logical access restrictions 

associated with changes to the information system. 

NIST SP 800-53 Configuration 

Management

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [CM-5]

Implementation Statement: 

CM-5

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.5.6 CM-6 Configuration Settings 

The organization: 

a. Establishes and documents configuration settings for information technology products 

employed within the information system using [Assignment: organization-defined security 

configuration checklists] that reflect the most restrictive mode consistent with operational 

requirements; 

b. Implements the configuration settings; 

c. Identifies, documents, and approves any deviations from established configuration settings 

for [Assignment: organization-defined information system components] based on 

[Assignment: organization-defined operational requirements]; and 

d. Monitors and controls changes to the configuration settings in accordance with organizational 

policies and procedures. 

NIST SP 800-53 Configuration 

Management

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [CM-6]
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<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 53

Implementation Statement: 

CM-6

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.5.7 CM-7 Least Functionality 

The organization: 

a. Configures the information system to provide only essential capabilities; and 

b. Prohibits or restricts the use of the following functions, ports, protocols, and/or services: 

[Assignment: organization-defined prohibited or restricted functions, ports, protocols, 

and/or services].

Control Enhancements: 

(1) LEAST FUNCTIONALITY | PERIODIC REVIEW 

The organization: 

(a) Reviews the information system [Assignment: organization-defined frequency] to identify 

unnecessary and/or nonsecure functions, ports, protocols, and services; and 

(b) Disables [Assignment: organization-defined functions, ports, protocols, and services 

within the information system deemed to be unnecessary and/or nonsecure]. 

(2) LEAST FUNCTIONALITY | PREVENT PROGRAM EXECUTION 

The information system prevents program execution in accordance with [Selection (one or more): 

[Assignment: organization-defined policies regarding software program usage and restrictions]; rules 

authorizing the terms and conditions of software program usage]. 

(4) LEAST FUNCTIONALITY | UNAUTHORIZED SOFTWARE / BLACKLISTING 

The organization: 

(a) Identifies [Assignment: organization-defined software programs not authorized to execute 

on the information system]; 
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TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 54

(b) Employs an allow-all, deny-by-exception policy to prohibit the execution of unauthorized 

software programs on the information system; and 

(c) Reviews and updates the list of unauthorized software programs [Assignment: organizationdefined frequency]. 

NIST SP 800-53 Configuration 

Management

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [CM-7]

Implementation Statement: 

CM-7

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CM-7(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CM-7(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Comments:

Control Enhancement CM-7(4)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.5.8 CM-8 Information System Component Inventory 

The organization: 

a. Develops and documents an inventory of information system components that: 

1. Accurately reflects the current information system; 

2. Includes all components within the authorization boundary of the information system; 

3. Is at the level of granularity deemed necessary for tracking and reporting; and 

4. Includes [Assignment: organization-defined information deemed necessary to achieve 

effective information system component accountability]; and

b. Reviews and updates the information system component inventory [Assignment: 

organization-defined frequency].

Control Enhancements: 

(1) INFORMATION SYSTEM COMPONENT INVENTORY | UPDATES DURING INSTALLATIONS / 

REMOVALS 

The organization updates the inventory of information system components as an integral part of 

component installations, removals, and information system updates. 

(3) INFORMATION SYSTEM COMPONENT INVENTORY | AUTOMATED UNAUTHORIZED 

COMPONENT DETECTION 

The organization: 

(a) Employs automated mechanisms [Assignment: organization-defined frequency] to detect 

the presence of unauthorized hardware, software, and firmware components within the 

information system; and 
Social Security Administration 

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(b) Takes the following actions when unauthorized components are detected: [Selection (one 

or more): disables network access by such components; isolates the components; notifies 

[Assignment: organization-defined personnel or roles]]. 

(5) INFORMATION SYSTEM COMPONENT INVENTORY | NO DUPLICATE ACCOUNTING OF 

COMPONENTS 

The organization verifies that all components within the authorization boundary of the information system 

are not duplicated in other information system inventories. 

NIST SP 800-53 Configuration 

Management

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [CM-8]

Implementation Statement: 

CM-8

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CM-8(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CM-8(3)

Implementation Statement: 
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Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CM-8(5)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.5.9 CM-9 Configuration Management Plan 

The organization develops, documents, and implements a configuration management plan for the 

information system that: 

a. Addresses roles, responsibilities, and configuration management processes and procedures; 

b. Establishes a process for identifying configuration items throughout the system development 

life cycle and for managing the configuration of the configuration items; 

c. Defines the configuration items for the information system and places the configuration items 

under configuration management; and 

d. Protects the configuration management plan from unauthorized disclosure and modification. 

NIST SP 800-53 Configuration 

Management

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [CM-9]

Implementation Statement: 

CM-9

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 
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Scoped

Comments:

2.1.5.10 CM-10 Software Usage Restrictions 

The organization: 

a. Uses software and associated documentation in accordance with contract agreements and 

copyright laws; 

b. Tracks the use of software and associated documentation protected by quantity licenses to 

control copying and distribution; and 

c. Controls and documents the use of peer-to-peer file sharing technology to ensure that this 

capability is not used for the unauthorized distribution, display, performance, or reproduction 

of copyrighted work. 

NIST SP 800-53 Configuration 

Management

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [CM-10]

Implementation Statement: 

CM-10

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.5.11 CM-11 User-Installed Software 

The organization: 

a. Establishes [Assignment: organization-defined policies] governing the installation of 

software by users; 

b. Enforces software installation policies through [Assignment: organization-defined 

methods]; and 
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c. Monitors policy compliance at [Assignment: organization-defined frequency].

NIST SP 800-53 Configuration 

Management

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [CM-11]

Implementation Statement: 

CM-11

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.6 Contingency Planning (CP) 

2.1.6.1 CP-1 Contingency Planning Policy and Procedures 

The organization: 

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or 

roles]:

1. A contingency planning policy that addresses purpose, scope, roles, responsibilities, 

management commitment, coordination among organizational entities, and compliance; 

and

2. Procedures to facilitate the implementation of the contingency planning policy and 

associated contingency planning controls; and 

b. Reviews and updates the current: 

1. Contingency planning policy [Assignment: organization-defined frequency]; and 

2. Contingency planning procedures [Assignment: organization-defined frequency].

NIST SP 800-53 Contingency Planning Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [CP-1]
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Implementation Statement: 

CP-1

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.6.2 CP-2 Contingency Plan 

The organization: 

a. Develops a contingency plan for the information system that: 

1. Identifies essential missions and business functions and associated contingency 

requirements; 

2. Provides recovery objectives, restoration priorities, and metrics; 

3. Addresses contingency roles, responsibilities, assigned individuals with contact 

information; 

4. Addresses maintaining essential missions and business functions despite an information 

system disruption, compromise, or failure; 

5. Addresses eventual, full information system restoration without deterioration of the 

security safeguards originally planned and implemented; and 

6. Is reviewed and approved by [Assignment: organization-defined personnel or roles];

b. Distributes copies of the contingency plan to [Assignment: organization-defined key 

contingency personnel (identified by name and/or by role) and organizational elements];

c. Coordinates contingency planning activities with incident handling activities; 

d. Reviews the contingency plan for the information system [Assignment: organization-defined 

frequency];

e. Updates the contingency plan to address changes to the organization, information system, or 

environment of operation and problems encountered during contingency plan 

implementation, execution, or testing; 

f. Communicates contingency plan changes to [Assignment: organization-defined key 

contingency personnel (identified by name and/or by role) and organizational elements]; and 

g. Protects the contingency plan from unauthorized disclosure and modification. 

Control Enhancements: 

(1) CONTINGENCY PLAN | COORDINATE WITH RELATED PLANS 

The organization coordinates contingency plan development with organizational elements responsible for 

related plans. 
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(3) CONTINGENCY PLAN | RESUME ESSENTIAL MISSIONS / BUSINESS FUNCTIONS 

The organization plans for the resumption of essential missions and business functions within 

[Assignment: organization-defined time period] of contingency plan activation. 

(8) CONTINGENCY PLAN | IDENTIFY CRITICAL ASSETS 

The organization identifies critical information system assets supporting essential missions and business 

functions. 

NIST SP 800-53 Contingency Planning Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [CP-2]

Implementation Statement: 

CP-2

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CP-2(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CP-2(3)

Implementation Statement: 
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Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CP-2(8)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.6.3 CP-3 Contingency Training 

The organization provides contingency training to information system users consistent with assigned roles 

and responsibilities: 

a. Within [Assignment: organization-defined time period] of assuming a contingency role or 

responsibility; 

b. When required by information system changes; and 

c. [Assignment: organization-defined frequency] thereafter. 

NIST SP 800-53 Contingency Planning Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [CP-3]

Implementation Statement: 

CP-3

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped
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Comments:

2.1.6.4 CP-4 Contingency Plan Testing 

The organization: 

a. Tests the contingency plan for the information system [Assignment: organization-defined 

frequency] using [Assignment: organization-defined tests] to determine the effectiveness of 

the plan and the organizational readiness to execute the plan; 

b. Reviews the contingency plan test results; and 

c. Initiates corrective actions, if needed. 

Control Enhancements: 

(1) CONTINGENCY PLAN TESTING | COORDINATE WITH RELATED PLANS 

The organization coordinates contingency plan testing with organizational elements responsible for 

related plans. 

NIST SP 800-53 Contingency Planning Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [CP-4]

Implementation Statement: 

CP-4

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CP-4(1)

Implementation Statement: 
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Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.6.5 CP-6 Alternate Storage Site 

The organization: 

a. Establishes an alternate storage site including necessary agreements to permit the storage 

and retrieval of information system backup information; and 

b. Ensures that the alternate storage site provides information security safeguards equivalent to 

that of the primary site. 

Control Enhancements: 

(1) ALTERNATE STORAGE SITE | SEPARATION FROM PRIMARY SITE 

The organization identifies an alternate storage site that is separated from the primary storage site to 

reduce susceptibility to the same threats. 

. 

(3) ALTERNATE STORAGE SITE | ACCESSIBILITY 

The organization identifies potential accessibility problems to the alternate storage site in the event of an 

area-wide disruption or disaster and outlines explicit mitigation actions. 

NIST SP 800-53 Contingency Planning Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [CP-6]

Implementation Statement: 

CP-6

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped
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Comments:

Control Enhancement CP-6(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CP-6(3)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.6.6 CP-7 Alternate Processing Site 

The organization: 

a. Establishes an alternate processing site including necessary agreements to permit the 

transfer and resumption of [Assignment: organization-defined information system operations] 

for essential missions/business functions within [Assignment: organization-defined time 

period consistent with recovery time and recovery point objectives] when the primary 

processing capabilities are unavailable; 

b. Ensures that equipment and supplies required to transfer and resume operations are 

available at the alternate processing site or contracts are in place to support delivery to the 

site within the organization-defined time period for transfer/resumption; and 

c. Ensures that the alternate processing site provides information security safeguards 

equivalent to that of the primary site. 
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Control Enhancements: 

(1) ALTERNATE PROCESSING SITE | SEPARATION FROM PRIMARY SITE 

The organization identifies an alternate processing site that is separated from the primary processing site 

to reduce susceptibility to the same threats. 

(2) ALTERNATE PROCESSING SITE | ACCESSIBILITY 

The organization identifies potential accessibility problems to the alternate processing site in the event of 

an area-wide disruption or disaster and outlines explicit mitigation actions. 

(3) ALTERNATE PROCESSING SITE | PRIORITY OF SERVICE 

The organization develops alternate processing site agreements that contain priority-of-service provisions 

in accordance with organizational availability requirements (including recovery time objectives). 

NIST SP 800-53 Contingency Planning Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [CP-7]

Implementation Statement: 

CP-7

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CP-7(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped
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Comments:

Control Enhancement CP-7(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CP-7(3)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.6.7 CP-8 Telecommunications Services 

The organization establishes alternate telecommunications services including necessary agreements to 

permit the resumption of [Assignment: organization-defined information system operations] for essential 

missions and business functions within [Assignment: organization-defined time period] when the primary 

telecommunications capabilities are unavailable at either the primary or alternate processing or storage 

sites. 

Control Enhancements: 

(1) TELECOMMUNICATIONS SERVICES | PRIORITY OF SERVICE PROVISIONS 

The organization: 
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(a) Develops primary and alternate telecommunications service agreements that contain priorityof-service provisions in accordance with organizational availability requirements (including 

recovery time objectives); and 

(b) Requests Telecommunications Service Priority for all telecommunications services used for 

national security emergency preparedness in the event that the primary and/or alternate 

telecommunications services are provided by a common carrier. 

(2) TELECOMMUNICATIONS SERVICES | SINGLE POINTS OF FAILURE 

The organization obtains alternate telecommunications services to reduce the likelihood of sharing a 

single point of failure with primary telecommunications services. 

NIST SP 800-53 Contingency Planning Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [CP-8]

Implementation Statement: 

CP-8

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Implementation Statement: 

CP-8(1)

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
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Implementation Statement: 

CP-8(2)

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.6.8 CP-9 Information System Backup 

The organization: 

a. Conducts backups of user-level information contained in the information system [Assignment: 

organization-defined frequency consistent with recovery time and recovery point objectives];

b. Conducts backups of system-level information contained in the information system 

[Assignment: organization-defined frequency consistent with recovery time and recovery 

point objectives];

c. Conducts backups of information system documentation including security-related 

documentation [Assignment: organization-defined frequency consistent with recovery time 

and recovery point objectives]; and 

d. Protects the confidentiality, integrity, and availability of backup information at storage 

locations. 

Control Enhancements: 

(1) INFORMATION SYSTEM BACKUP | TESTING FOR RELIABILITY / INTEGRITY 

The organization tests backup information [Assignment: organization-defined frequency] to verify media 

reliability and information integrity. 

NIST SP 800-53 Contingency Planning Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [CP-9]
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Implementation Statement: 

CP-9

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement CP-9(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.6.9 CP-10 Information System Recovery and Reconstitution 

The organization provides for the recovery and reconstitution of the information system to a known state 

after a disruption, compromise, or failure. 

Control Enhancements: 

(2) INFORMATION SYSTEM RECOVERY AND RECONSTITUTION | TRANSACTION RECOVERY 

The information system implements transaction recovery for systems that are transaction-based. 

NIST SP 800-53 Contingency Planning Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [CP-10]
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Implementation Statement: 

CP-10

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Implementation Statement: 

CP-10(2)

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.7 Identification and Authentication (IA) 

2.1.7.1 IA-1 Identification and Authentication Policy and Procedures 

The organization: 

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or 

roles]:

1. An identification and authentication policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, 

and compliance; and 

2. Procedures to facilitate the implementation of the identification and authentication policy 

and associated identification and authentication controls; and 

b. Reviews and updates the current: 

1. Identification and authentication policy [Assignment: organization-defined frequency]; and

2. Identification and authentication procedures [Assignment: organization-defined 

frequency].
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NIST SP 800-53 Identification and 

Authentication

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [IA-1]

Implementation Statement: 

IA-1

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.7.2 IA-2 Identification and Authentication 

The information system uniquely identifies and authenticates organizational users (or processes acting on 

behalf of organizational users). 

Control Enhancements: 

(1) IDENTIFICATION AND AUTHENTICATION | NETWORK ACCESS TO PRIVILEGED ACCOUNTS 

The information system implements multifactor authentication for network access to privileged accounts. 

(2) IDENTIFICATION AND AUTHENTICATION | NETWORK ACCESS TO NON-PRIVILEGED 

ACCOUNTS 

The information system implements multifactor authentication for network access to non-privileged 

accounts. 

(3) IDENTIFICATION AND AUTHENTICATION | LOCAL ACCESS TO PRIVILEGED ACCOUNTS 

The information system implements multifactor authentication for local access to privileged accounts. 

(8) IDENTIFICATION AND AUTHENTICATION | NETWORK ACCESS TO PRIVILEGED ACCOUNTS - 

REPLAY RESISTANT 

The information system implements replay-resistant authentication mechanisms for network access to 

privileged accounts. 
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(11) IDENTIFICATION AND AUTHENTICATION | REMOTE ACCESS - SEPARATE DEVICE 

The information system implements multifactor authentication for remote access to privileged and nonprivileged accounts such that one of the factors is provided by a device separate from the system gaining 

access and the device meets [Assignment: organization-defined strength of mechanism requirements]. 

(12) IDENTIFICATION AND AUTHENTICATION | ACCEPTANCE OF PIV CREDENTIALS 

The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials. 

NIST SP 800-53 Identification and 

Authentication

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [IA-2]

Implementation Statement: 

IA-2

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement IA-2(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement IA-2(2)

Implementation Statement: 
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Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement IA-2(3)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement IA-2(8)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement IA-2(11)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped
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Comments:

Control Enhancement IA-2(12)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.7.3 IA-3 Device Identification and Authentication 

The information system uniquely identifies and authenticates [Assignment: organization-defined specific 

and/or types of devices] before establishing a [Selection (one or more): local; remote; network] 

connection. 

NIST SP 800-53 Identification and 

Authentication

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [IA-3]

Implementation Statement: 

IA-3

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
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2.1.7.4 IA-4 Identifier Management 

The organization manages information system identifiers by: 

a. Receiving authorization from [Assignment: organization-defined personnel or roles] to assign 

an individual, group, role, or device identifier; 

b. Selecting an identifier that identifies an individual, group, role, or device; 

c. Assigning the identifier to the intended individual, group, role, or device; 

d. Preventing reuse of identifiers for [Assignment: organization-defined time period]; and 

e. Disabling the identifier after [Assignment: organization-defined time period of inactivity].

NIST SP 800-53 Identification and 

Authentication

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [IA-4]

Implementation Statement: 

IA-4

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.7.5 IA-5 Authenticator Management 

The organization manages information system authenticators by: 

a. Verifying, as part of the initial authenticator distribution, the identity of the individual, group, 

role, or device receiving the authenticator; 

b. Establishing initial authenticator content for authenticators defined by the organization; 

c. Ensuring that authenticators have sufficient strength of mechanism for their intended use; 

d. Establishing and implementing administrative procedures for initial authenticator distribution, 

for lost/compromised or damaged authenticators, and for revoking authenticators; 

e. Changing default content of authenticators prior to information system installation; 

f. Establishing minimum and maximum lifetime restrictions and reuse conditions for 

authenticators; 

g. Changing/refreshing authenticators [Assignment: organization-defined time period by 

authenticator type];

h. Protecting authenticator content from unauthorized disclosure and modification; 

i. Requiring individuals to take, and having devices implement, specific security safeguards to 

protect authenticators; and 
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j. Changing authenticators for group/role accounts when membership to those accounts 

changes. 

Control Enhancements: 

 

(1) AUTHENTICATOR MANAGEMENT | PASSWORD-BASED AUTHENTICATION 

The information system, for password-based authentication: 

a. Enforces minimum password complexity of [Assignment: organization-defined requirements 

for case sensitivity, number of characters, mix of upper-case letters, lower-case letters, 

numbers, and special characters, including minimum requirements for each type];

b. Enforces at least the following number of changed characters when new passwords are 

created: [Assignment: organization-defined number];

c. Stores and transmits only encrypted representations of passwords; 

d. Enforces password minimum and maximum lifetime restrictions of [Assignment: organizationdefined numbers for lifetime minimum, lifetime maximum];

e. Prohibits password reuse for [Assignment: organization-defined number] generations; and 

f. Allows the use of a temporary password for system logons with an immediate change to a 

permanent password. 

(2) AUTHENTICATOR MANAGEMENT | PKI-BASED AUTHENTICATION 

The information system, for PKI-based authentication: 

a. Validates certifications by constructing and verifying a certification path to an accepted trust 

anchor including checking certificate status information; 

b. Enforces authorized access to the corresponding private key; 

c. Maps the authenticated identity to the account of the individual or group; and 

d. Implements a local cache of revocation data to support path discovery and validation in case 

of inability to access revocation information via the network.

(3) AUTHENTICATOR MANAGEMENT | IN-PERSON OR TRUSTED THIRD-PARTY REGISTRATION 

The organization requires that the registration process to receive [Assignment: organization-defined types 

of and/or specific authenticators] be conducted [Selection: in person; by a trusted third party] before 

[Assignment: organization-defined registration authority] with authorization by [Assignment: organizationdefined personnel or roles]. 

(11) AUTHENTICATOR MANAGEMENT | HARDWARE TOKEN-BASED AUTHENTICATION 

The information system, for hardware token-based authentication, employs mechanisms that satisfy 

[Assignment: organization-defined token quality requirements]. 

NIST SP 800-53 Identification and 

Authentication

Common (Fully Inherited Control)
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Revision 4 [IA-5]

Hybrid (Partially Inherited Control)

System Specific Control

Implementation Statement: 

IA-5

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement IA-5(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement IA-5(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Control Enhancement IA-5(3)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement IA-5(11)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.7.6 IA-6 Authenticator Feedback 

The information system obscures feedback of authentication information during the authentication 

process to protect the information from possible exploitation/use by unauthorized individuals. 

NIST SP 800-53 Identification and 

Authentication

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [IA-6]

Implementation Statement: 

IA-6

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Scoped

Comments:

2.1.7.7 IA-7 Cryptographic Module Authentication 

The information system implements mechanisms for authentication to a cryptographic module that meet 

the requirements of applicable federal laws, Executive Orders, directives, policies, regulations, standards, 

and guidance for such authentication. 

NIST SP 800-53 Identification and 

Authentication

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [IA-7]

Implementation Statement: 

IA-7

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.7.8 IA-8 Identification and Authentication (Non-Organizational Users) 

The information system uniquely identifies and authenticates non-organizational users (or processes 

acting on behalf of non-organizational users). 

Control Enhancements: 

(1) IDENTIFICATION AND AUTHENTICATION | ACCEPTANCE OF PIV CREDENTIALS FROM 

OTHER AGENCIES 
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The information system accepts and electronically verifies Personal Identity Verification (PIV) credentials 

from other federal agencies. 

(2) IDENTIFICATION AND AUTHENTICATION | ACCEPTANCE OF THIRD-PARTY 

CREDENTIALS 

The information system accepts only FICAM-approved third-party credentials. 

(3) IDENTIFICATION AND AUTHENTICATION | USE OF FICAM-APPROVED PRODUCTS 

The organization employs only FICAM-approved information system components in [Assignment: 

organization-defined information systems] to accept third-party credentials. 

(4) IDENTIFICATION AND AUTHENTICATION | USE OF FICAM-ISSUED PROFILES 

The information system conforms to FICAM-issued profiles. 

NIST SP 800-53 Identification and 

Authentication

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [IA-8]

Implementation Statement: 

IA-8

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement IA-8(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Comments:

Control Enhancement IA-8(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement IA-8(3)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement IA-8(4)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.8 Incident Response (IR) 
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<Document Name> 

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2.1.8.1 IR-1 Incident Response Policy and Procedures 

The organization: 

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or 

roles]:

1. An incident response policy that addresses purpose, scope, roles, responsibilities, 

management commitment, coordination among organizational entities, and compliance; 

and

2. Procedures to facilitate the implementation of the incident response policy and 

associated incident response controls; and 

b. Reviews and updates the current: 

1. Incident response policy [Assignment: organization-defined frequency]; and

2. Incident response procedures [Assignment: organization-defined frequency].

NIST SP 800-53 Incident Response Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [IR-1]

Implementation Statement: 

IR-1

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.8.2 IR-2 Incident Response Training 

The organization provides incident response training to information system users consistent with 

assigned roles and responsibilities: 

a. Within [Assignment: organization-defined time period] of assuming an incident response role 

or responsibility; 

b. When required by information system changes; and 

c. [Assignment: organization-defined frequency] thereafter. 

NIST SP 800-53 Incident Response Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [IR-2]
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Implementation Statement: 

IR-2

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.8.3 IR-3 Incident Response Testing 

The organization tests the incident response capability for the information system [Assignment: 

organization-defined frequency] using [Assignment: organization-defined tests] to determine the incident 

response effectiveness and documents the results. 

Control Enhancements: 

(2) INCIDENT RESPONSE TESTING | COORDINATION WITH RELATED PLANS 

The organization coordinates incident response testing with organizational elements responsible for 

related plans. 

NIST SP 800-53 Incident Response Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [IR-3]

Implementation Statement: Does not apply to Low systems according to NIST SP 800-53 Rev 4.

IR-3

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Comments:

Control Enhancement IR-3(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.8.4 IR-4 Incident Handling 

The organization: 

a. Implements an incident handling capability for security incidents that includes preparation, 

detection and analysis, containment, eradication, and recovery; 

b. Coordinates incident handling activities with contingency planning activities; and 

c. Incorporates lessons learned from ongoing incident handling activities into incident response 

procedures, training, and testing/exercises, and implements the resulting changes 

accordingly. 

Control Enhancements: 

(1) INCIDENT HANDLING | AUTOMATED INCIDENT HANDLING PROCESSES 

The organization employs automated mechanisms to support the incident handling process. 

NIST SP 800-53 Incident Response Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [IR-4]

Implementation Statement: 

IR-4

Implementation Status: Status (check all that apply): 
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement IR-4(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.8.5 IR-5 Incident Monitoring 

The organization tracks and documents information system security incidents. 

NIST SP 800-53 Incident Response Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [IR-5]

Implementation Statement: 

IR-5

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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2.1.8.6 IR-6 Incident Reporting 

The organization: 

a. Requires personnel to report suspected security incidents to the organizational incident 

response capability within [Assignment: organization-defined time period]; and 

b. Reports security incident information to [Assignment: organization-defined authorities].

Control Enhancements: 

(1) INCIDENT REPORTING | AUTOMATED REPORTING 

The organization employs automated mechanisms to assist in the reporting of security incidents. 

NIST SP 800-53 Incident Response Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [IR-6]

Implementation Statement: 

IR-6

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement IR-6(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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2.1.8.7 IR-7 Incident Response Assistance 

The organization provides an incident response support resource, integral to the organizational incident 

response capability that offers advice and assistance to users of the information system for the handling 

and reporting of security incidents. 

Control Enhancements: 

(1) INCIDENT RESPONSE ASSISTANCE | AUTOMATION SUPPORT FOR AVAILABILITY OF 

INFORMATION / SUPPORT 

The organization employs automated mechanisms to increase the availability of incident response-related 

information and support. 

NIST SP 800-53 Incident Response Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [IR-7]

Implementation Statement: 

IR-7

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement IR-7(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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2.1.8.8 IR-8 Incident Response Plan 

The organization: 

a. Develops an incident response plan that: 

1. Provides the organization with a roadmap for implementing its incident response 

capability; 

2. Describes the structure and organization of the incident response capability; 

3. Provides a high-level approach for how the incident response capability fits into the 

overall organization; 

4. Meets the unique requirements of the organization, which relate to mission, size, 

structure, and functions; 

5. Defines reportable incidents; 

6. Provides metrics for measuring the incident response capability within the 

organization; 

7. Defines the resources and management support needed to effectively maintain and 

mature an incident response capability; and 

8. Is reviewed and approved by [Assignment: organization-defined personnel or roles];

b. Distributes copies of the incident response plan to [Assignment: organization-defined incident 

response personnel (identified by name and/or by role) and organizational elements];

c. Reviews the incident response plan [Assignment: organization-defined frequency];

d. Updates the incident response plan to address system/organizational changes or problems 

encountered during plan implementation, execution, or testing; 

e. Communicates incident response plan changes to [Assignment: organization-defined incident 

response personnel (identified by name and/or by role) and organizational elements]; and

f. Protects the incident response plan from unauthorized disclosure and modification. 

NIST SP 800-53 Incident Response Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [IR-8]

Implementation Statement: 

IR-8

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.9 Maintenance (MA) 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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2.1.9.1 MA-1 System Maintenance Policy and Procedures 

The organization: 

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or 

roles]:

1. A system maintenance policy that addresses purpose, scope, roles, responsibilities, 

management commitment, coordination among organizational entities, and compliance; 

and

2. Procedures to facilitate the implementation of the system maintenance policy and 

associated system maintenance controls; and 

b. Reviews and updates the current: 

1. System maintenance policy [Assignment: organization-defined frequency]; and 

2. System maintenance procedures [Assignment: organization-defined frequency].

NIST SP 800-53 Maintenance Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [MA-1]

Implementation Statement: 

MA-1

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.9.2 MA-2 Controlled Maintenance 

The organization: 

a. Schedules, performs, documents, and reviews records of maintenance and repairs on 

information system components in accordance with manufacturer or vendor specifications 

and/or organizational requirements; 

b. Approves and monitors all maintenance activities, whether performed on site or remotely and 

whether the equipment is serviced on site or removed to another location; 

c. Requires that [Assignment: organization-defined personnel or roles] explicitly approve the 

removal of the information system or system components from organizational facilities for offsite maintenance or repairs; 
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d. Sanitizes equipment to remove all information from associated media prior to removal from 

organizational facilities for off-site maintenance or repairs; 

e. Checks all potentially impacted security controls to verify that the controls are still functioning 

properly following maintenance or repair actions; and 

f. Includes [Assignment: organization-defined maintenance-related information] in 

organizational maintenance records. 

NIST SP 800-53 Maintenance Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [MA-2]

Implementation Statement: 

MA-2

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.9.3 MA-3 Maintenance Tools 

The organization approves, controls, and monitors information system maintenance tools. 

Control Enhancements: 

(1) MAINTENANCE TOOLS | INSPECT TOOLS 

The organization inspects the maintenance tools carried into a facility by maintenance personnel for 

improper or unauthorized modifications. 

(2) MAINTENANCE TOOLS | INSPECT MEDIA 

The organization checks media containing diagnostic and test programs for malicious code before the 

media are used in the information system. 

NIST SP 800-53 Maintenance Common (Fully Inherited Control)

Revision 4 Hybrid (Partially Inherited Control) [MA-3]
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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System Specific Control

Implementation Statement: 

MA-3

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement MA-3(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.9.4 MA-4 Nonlocal Maintenance 

The organization: 

a. Approves and monitors nonlocal maintenance and diagnostic activities; 

b. Allows the use of nonlocal maintenance and diagnostic tools only as consistent with 

organizational policy and documented in the security plan for the information system; 

Employs strong authenticators in the establishment of nonlocal maintenance and diagnostic sessions; 

Maintains records for nonlocal maintenance and diagnostic activities; and terminates session and network 

connections when nonlocal maintenance is completed. 

Control Enhancements: 

(2) NONLOCAL MAINTENANCE | DOCUMENT NONLOCAL MAINTENANCE 
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The organization documents in the security plan for the information system, the policies and procedures 

for the establishment and use of nonlocal maintenance and diagnostic connections. 

NIST SP 800-53 Maintenance Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [MA-4]

Implementation Statement: 

MA-4

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement MA-4(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.9.5 MA-5 Maintenance Personnel 

The organization: 

a. Establishes a process for maintenance personnel authorization and maintains a list of 

authorized maintenance organizations or personnel; 

b. Ensures that non-escorted personnel performing maintenance on the information system 

have required access authorizations; and 

c. Designates organizational personnel with required access authorizations and technical 

competence to supervise the maintenance activities of personnel who do not possess the 

required access authorizations. 
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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NIST SP 800-53 Maintenance Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [MA-5]

Implementation Statement: 

MA-5

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.9.6 MA-6 Timely Maintenance 

The organization obtains maintenance support and/or spare parts for [Assignment: organization-defined 

information system components] within [Assignment: organization-defined time period] of failure. 

NIST SP 800-53 Maintenance Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [MA-6]

Implementation Statement: 

MA-6

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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2.1.10 Media Protection (MP) 

2.1.10.1 MP-1 Media Protection Policy and Procedures 

The organization: 

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or 

roles]:

1. A media protection policy that addresses purpose, scope, roles, responsibilities, 

management commitment, coordination among organizational entities, and compliance; 

and

2. Procedures to facilitate the implementation of the media protection policy and associated 

media protection controls; and 

b. Reviews and updates the current: 

1. Media protection policy [Assignment: organization-defined frequency]; and 

2. Media protection procedures [Assignment: organization-defined frequency].

NIST SP 800-53 Media Protection Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [MP-1]

Implementation Statement: 

MP-1

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.10.2 MP-2 Media Access 

The organization restricts access to [Assignment: organization-defined types of digital and/or non-digital 

media] to [Assignment: organization-defined personnel or roles 

NIST SP 800-53 Media Protection Common (Fully Inherited Control)

Revision 4 Hybrid (Partially Inherited Control) [MP-2]
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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System Specific Control

Implementation Statement: 

MP-2

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.10.3 MP-3 Media Marking 

The organization: 

a. Marks information system media indicating the distribution limitations, handling caveats, and 

applicable security markings (if any) of the information; and 

b. Exempts [Assignment: organization-defined types of information system media] from marking 

as long as the media remain within [Assignment: organization-defined controlled areas]. 

NIST SP 800-53 Media Protection Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [MP-3]

Implementation Statement: 

MP-3

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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2.1.10.4 MP-4 Media Storage 

The organization: 

a. Physically controls and securely stores [Assignment: organization-defined types of digital 

and/or non-digital media] within [Assignment: organization-defined controlled areas]; and

b. Protects information system media until the media are destroyed or sanitized using approved 

equipment, techniques, and procedures. 

NIST SP 800-53 Media Protection Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [MP-4]

Implementation Statement: 

MP-4

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.10.5 MP-5 Media Transport 

The organization: 

a. Protects and controls [Assignment: organization-defined types of information system media] 

during transport outside of controlled areas using [Assignment: organization-defined security 

safeguards];

b. Maintains accountability for information system media during transport outside of controlled 

areas; 

c. Documents activities associated with the transport of information system media; and 

d. Restricts the activities associated with the transport of information system media to 

authorized personnel. 

Control Enhancements: 

(4) MEDIA TRANSPORT | CRYPTOGRAPHIC PROTECTION 

The information system implements cryptographic mechanisms to protect the confidentiality and integrity 

of information stored on digital media during transport outside of controlled areas. 
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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NIST SP 800-53 Media Protection Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [MP-5]

Implementation Statement: 

MP-5

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement MA-5(4)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.10.6 MP-6 Media Sanitization 

The organization: 

a. Sanitizes [Assignment: organization-defined information system media] prior to disposal, 

release out of organizational control, or release for reuse using [Assignment: organizationdefined sanitization techniques and procedures] in accordance with applicable federal and 

organizational standards and policies; and 

b. Employs sanitization mechanisms with the strength and integrity commensurate with the 

security category or classification of the information. 

NIST SP 800-53 Media Protection Common (Fully Inherited Control)
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Revision 4 [MP-6]

Hybrid (Partially Inherited Control)

System Specific Control

Implementation Statement: 

MP-6

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.10.7 MP-7 Media Use 

The organization [Selection: restricts; prohibits] the use of [Assignment: organization-defined types of 

information system media] on [Assignment: organization-defined information systems or system 

components] using [Assignment: organization-defined security safeguards].

Control Enhancements: 

(1) MEDIA USE | PROHIBIT USE WITHOUT OWNER 

The organization prohibits the use of portable storage devices in organizational information systems when 

such devices have no identifiable owner. 

NIST SP 800-53 Media Protection Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [MP-7]

Implementation Statement: 

MP-7

Implementation Status: Status (check all that apply): 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

MP-7(1) Control Enhancement 

Implementation Statement:

Implementation Status: Status (check all that apply

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.11 Physical and Environmental Protection (PE) 

2.1.11.1 PE-1 Physical and Environmental Protection Policy and Procedures 

The organization: 

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or 

roles]:

1. A physical and environmental protection policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, 

and compliance; and 

2. Procedures to facilitate the implementation of the physical and environmental protection 

policy and associated physical and environmental protection controls; and 

b. Reviews and updates the current: 

1. Physical and environmental protection policy [Assignment: organization-defined 

frequency]; and 

2. Physical and environmental protection procedures [Assignment: organization-defined 

frequency].

NIST SP 800-53

Physical and 

Environmental 

Protection

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

Revision 4 System Specific Control [PE-1]
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Implementation Statement: 

PE-1

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.11.2 PE-2 Physical Access Authorizations 

The organization: 

a. Develops, approves, and maintains a list of individuals with authorized access to the facility 

where the information system resides; 

b. Issues authorization credentials for facility access; 

c. Reviews the access list detailing authorized facility access by individuals [Assignment: 

organization-defined frequency]; and

d. Removes individuals from the facility access list when access is no longer required. 

NIST SP 800-53

Physical and 

Environmental 

Protection

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

Revision 4 System Specific Control [PE-2]

Implementation Statement: 

PE-2

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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2.1.11.3 PE-3 Physical Access Control 

The organization: 

a. Enforces physical access authorizations at [Assignment: organization-defined entry/exit 

points to the facility where the information system resides] by; 

1. Verifying individual access authorizations before granting access to the facility; and 

2. Controlling ingress/egress to the facility using [Selection (one or more): [Assignment: 

organization-defined physical access control systems/devices]; guards];

b. Maintains physical access audit logs for [Assignment: organization-defined entry/exit points];

c. Provides [Assignment: organization-defined security safeguards] to control access to areas 

within the facility officially designated as publicly accessible; 

d. Escorts visitors and monitors visitor activity [Assignment: organization-defined circumstances 

requiring visitor escorts and monitoring];

e. Secures keys, combinations, and other physical access devices; 

f. Inventories [Assignment: organization-defined physical access devices] every [Assignment: 

organization-defined frequency]; and

g. Changes combinations and keys [Assignment: organization-defined frequency] and/or when 

keys are lost, combinations are compromised, or individuals are transferred or terminated. 

NIST SP 800-53

Physical and 

Environmental 

Protection

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

Revision 4 System Specific Control [PE-3]

Implementation Statement: 

PE-3

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.11.4 PE-4 Access Control for Transmission Medium 

The organization controls physical access to [Assignment: organization-defined information system 

distribution and transmission lines] within organizational facilities using [Assignment: organization-defined 

security safeguards].
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<Document Name> 

Version <X.X> 

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NIST SP 800-53

Physical and 

Environmental 

Protection

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

Revision 4 System Specific Control [PE-4]

Implementation Statement: 

PE-4

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.11.5 PE-5 Access Control for Output Devices 

The organization controls physical access to information system output devices to prevent unauthorized 

individuals from obtaining the output. 

NIST SP 800-53

Physical and 

Environmental 

Protection

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

Revision 4 System Specific Control [PE-5]

Implementation Statement: 

PE-5

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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2.1.11.6 PE-6 Monitoring Physical Access 

The organization: 

a. Monitors physical access to the facility where the information system resides to detect and 

respond to physical security incidents; 

b. Reviews physical access logs [Assignment: organization-defined frequency] and upon 

occurrence of [Assignment: organization-defined events or potential indications of events]; 

and

c. Coordinates results of reviews and investigations with the organizational incident response 

capability. 

Control Enhancements: 

(1) MONITORING PHYSICAL ACCESS | INTRUSION ALARMS / SURVEILLANCE EQUIPMENT 

The organization monitors physical intrusion alarms and surveillance equipment. 

NIST SP 800-53

Physical and 

Environmental 

Protection

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

Revision 4 System Specific Control [PE-6]

Implementation Statement: 

PE-6

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement PE-6(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.11.7 PE-8 Visitor Access Records 

The organization: 

a. Maintains visitor access records to the facility where the information system resides for 

[Assignment: organization-defined time period]; and 

b. Reviews visitor access records [Assignment: organization-defined frequency].

NIST SP 800-53

Physical and 

Environmental 

Protection

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

Revision 4 System Specific Control [PE-8]

Implementation Statement: 

PE-8

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.11.8 PE-9 Power Equipment and Cabling 

The organization protects power equipment and power cabling for the information system from damage 

and destruction. 

NIST SP 800-53

Physical and 

Environmental 

Protection

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

Revision 4 System Specific Control [PE-9]
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Implementation Statement: 

PE-9

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.11.9 PE-10 Emergency Shutoff 

The organization: 

a. Provides the capability of shutting off power to the information system or individual system 

components in emergency situations; 

b. Places emergency shutoff switches or devices in [Assignment: organization-defined location 

by information system or system component] to facilitate safe and easy access for personnel; 

and

c. Protects emergency power shutoff capability from unauthorized activation. 

NIST SP 800-53

Physical and 

Environmental 

Protection

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

Revision 4 System Specific Control [PE-10]

Implementation Statement: 

PE-10

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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2.1.11.10 PE-11 Emergency Power 

The organization provides a short-term uninterruptible power supply to facilitate [Selection (one or more): 

an orderly shutdown of the information system; transition of the information system to long-term alternate 

power] in the event of a primary power source loss. 

NIST SP 800-53

Physical and 

Environmental 

Protection

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

Revision 4 System Specific Control [PE-11]

Implementation Statement: 

PE-11

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.11.11 PE-12 Emergency Lighting 

The organization employs and maintains automatic emergency lighting for the information system that 

activates in the event of a power outage or disruption and that covers emergency exits and evacuation 

routes within the facility. 

NIST SP 800-53

Physical and 

Environmental 

Protection

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

Revision 4 System Specific Control [PE-12]
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Implementation Statement: 

PE-12

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.11.12 PE-13 Fire Protection 

The organization employs and maintains fire suppression and detection devices/systems for the 

information system that are supported by an independent energy source. 

Control Enhancements: 

(3) FIRE PROTECTION | AUTOMATIC FIRE SUPPRESSION 

The organization employs an automatic fire suppression capability for the information system when the 

facility is not staffed on a continuous basis. 

NIST SP 800-53

Physical and 

Environmental 

Protection

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

Revision 4 System Specific Control [PE-13]

Implementation Statement: 

PE-13

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Comments:

Control Enhancement PE-13(3)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.11.13 PE-14 Temperature and Humidity Controls 

The organization: 

a. Maintains temperature and humidity levels within the facility where the information system 

resides at [Assignment: organization-defined acceptable levels]; and 

b. Monitors temperature and humidity levels [Assignment: organization-defined frequency].

NIST SP 800-53

Physical and 

Environmental 

Protection

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

Revision 4 System Specific Control [PE-14]

Implementation Statement: 

PE-14

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Comments:

2.1.11.14 PE-15 Water Damage Protection 

The organization protects the information system from damage resulting from water leakage by providing 

master shutoff or isolation valves that are accessible, working properly, and known to key personnel. 

NIST SP 800-53

Physical and 

Environmental 

Protection

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

Revision 4 System Specific Control [PE-15]

Implementation Statement: 

PE-15

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.11.15 PE-16 Delivery and Removal 

The organization authorizes, monitors, and controls [Assignment: organization-defined types of 

information system components] entering and exiting the facility and maintains records of those items. 

NIST SP 800-53 Physical and 

Environmental 

Common (Fully Inherited Control)
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Protection Hybrid (Partially Inherited Control)

Revision 4 System Specific Control [PE-16]

Implementation Statement: 

PE-16

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.11.16 PE-17 Alternate Work Site 

The organization: 

a. Employs [Assignment: organization-defined security controls] at alternate work sites; 

b. Assesses as feasible, the effectiveness of security controls at alternate work sites; and 

c. Provides a means for employees to communicate with information security personnel in case 

of security incidents or problems. 

NIST SP 800-53

Physical and 

Environmental 

Protection

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

Revision 4 System Specific Control [PE-17]

Implementation Statement: 

PE-17

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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2.1.12 Planning (PL) 

2.1.12.1 PL-1 Security Planning Policy and Procedures 

The organization: 

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or 

roles]:

1. A security planning policy that addresses purpose, scope, roles, responsibilities, 

management commitment, coordination among organizational entities, and compliance; 

and

2. Procedures to facilitate the implementation of the security planning policy and associated 

security planning controls; and 

b. Reviews and updates the current: 

1. Security planning policy [Assignment: organization-defined frequency]; and 

2. Security planning procedures [Assignment: organization-defined frequency].

NIST SP 800-53 Planning Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [PL-1]

Implementation Statement: 

PL-1

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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2.1.12.2 PL-2 System Security Plan 

The organization: 

a. Develops a security plan for the information system that: 

1. Is consistent with the organization’s enterprise architecture; 

2. Explicitly defines the authorization boundary for the system; 

3. Describes the operational context of the information system in terms of missions and 

business processes; 

4. Provides the security categorization of the information system including supporting 

rationale; 

5. Describes the operational environment for the information system and relationships with 

or connections to other information systems; 

6. Provides an overview of the security requirements for the system; 

7. Identifies any relevant overlays, if applicable; 

8. Describes the security controls in place or planned for meeting those requirements 

including a rationale for the tailoring and supplementation decisions; and 

9. Is reviewed and approved by the authorizing official or designated representative prior to 

plan implementation; 

b. Distributes copies of the security plan and communicates subsequent changes to the plan to 

[Assignment: organization-defined personnel or roles];

c. Reviews the security plan for the information system [Assignment: organization-defined 

frequency]; 

d. Updates the plan to address changes to the information system/environment of operation or 

problems identified during plan implementation or security control assessments; and 

e. Protects the security plan from unauthorized disclosure and modification. 

Control Enhancements: 

(1) SYSTEM SECURITY PLAN | PLAN / COORDINATE WITH OTHER ORGANIZATIONAL ENTITIES 

The organization plans and coordinates security-related activities affecting the information system with 

[Assignment: organization-defined individuals or groups] before conducting such activities in order to 

reduce the impact on other organizational entities. 

NIST SP 800-53 Planning Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [PL-2]

Implementation Statement: 

PL-2

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Scoped

Comments:

Control Enhancement PL-2(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.12.3 PL-4 Rules of Behavior 

The organization: 

a. Establishes and makes readily available to individuals requiring access to the information 

system, the rules that describe their responsibilities and expected behavior with regard to 

information and information system usage; 

b. Receives a signed acknowledgment from such individuals, indicating that they have read, 

understand, and agree to abide by the rules of behavior, before authorizing access to 

information and the information system; 

c. Reviews and updates the rules of behavior [Assignment: organization-defined frequency]; 

and

d. Requires individuals who have signed a previous version of the rules of behavior to read and 

resign when the rules of behavior are revised/updated. 

Control Enhancements: 

(1) RULES OF BEHAVIOR | SOCIAL MEDIA AND NETWORKING RESTRICTIONS 

The organization includes in the rules of behavior, explicit restrictions on the use of social 

media/networking sites and posting organizational information on public websites. 

NIST SP 800-53 Planning Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [PL-4]
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<Document Name> 

Version <X.X> 

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Implementation Statement: 

PL-4

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement PL-4(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.12.4 PL-8 Information Security Architecture 

The organization: 

a. Develops an information security architecture for the information system that: 

1. Describes the overall philosophy, requirements, and approach to be taken with regard to 

protecting the confidentiality, integrity, and availability of organizational information; 

2. Describes how the information security architecture is integrated into and supports the 

enterprise architecture; and 

3. Describes any information security assumptions about, and dependencies on, external 

services; 

b. Reviews and updates the information security architecture [Assignment: organization-defined 

frequency] to reflect updates in the enterprise architecture; and 

c. Ensures that planned information security architecture changes are reflected in the security 

plan, the security Concept of Operations (CONOPS), and organizational 

procurements/acquisitions. 

NIST SP 800-53 Planning Common (Fully Inherited Control)
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Revision 4 [PL-8]

Hybrid (Partially Inherited Control)

System Specific Control

Implementation Statement: Does not apply to Low systems according to NIST SP 800-53 Rev 4.

PL-8

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.13 Personnel Security (PS) 

2.1.13.1 PS-1 Personnel Security Policy and Procedures 

The organization: 

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or 

roles]:

1. A personnel security policy that addresses purpose, scope, roles, responsibilities, 

management commitment, coordination among organizational entities, and compliance; 

and

2. Procedures to facilitate the implementation of the personnel security policy and 

associated personnel security controls; and 

b. Reviews and updates the current: 

1. Personnel security policy [Assignment: organization-defined frequency]; and 

2. Personnel security procedures [Assignment: organization-defined frequency].

NIST SP 800-53 Personnel Security Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [PS-1]

Implementation Statement: 

PS-1
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.13.2 PS-2 Position Risk Designation 

The organization: 

a. Assigns a risk designation to all organizational positions; 

b. Establishes screening criteria for individuals filling those positions; and 

c. Reviews and updates position risk designations [Assignment: organization-defined 

frequency].

NIST SP 800-53 Personnel Security Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [PS-2]

Implementation Statement: 

PS-2

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.13.3 PS-3 Personnel Screening 

The organization: 

a. Screens individuals prior to authorizing access to the information system; and 

b. Rescreens individuals according to [Assignment: organization-defined conditions requiring 

rescreening and, where rescreening is so indicated, the frequency of such rescreening].
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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NIST SP 800-53 Personnel Security Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [PS-3]

Implementation Statement: 

PS-3

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.13.4 PS-4 Personnel Termination 

The organization, upon termination of individual employment: 

a. Disables information system access within [Assignment: organization-defined time period];

b. Terminates/revokes any authenticators/credentials associated with the individual; 

c. Conducts exit interviews that include a discussion of [Assignment: organization-defined 

information security topics];

d. Retrieves all security-related organizational information system-related property; 

e. Retains access to organizational information and information systems formerly controlled by 

terminated individual; and 

f. Notifies [Assignment: organization-defined personnel or roles] within [Assignment: 

organization-defined time period].

NIST SP 800-53 Personnel Security Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [PS-4]

Implementation Statement: 

PS-4

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Scoped

Comments:

2.1.13.5 PS-5 Personnel Transfer 

The organization: 

a. Reviews and confirms ongoing operational need for current logical and physical access 

authorizations to information systems/facilities when individuals are reassigned or transferred 

to other positions within the organization; 

b. Initiates [Assignment: organization-defined transfer or reassignment actions] within 

[Assignment: organization-defined time period following the formal transfer action];

c. Modifies access authorization as needed to correspond with any changes in operational need 

due to reassignment or transfer; and 

d. Notifies [Assignment: organization-defined personnel or roles] within [Assignment: 

organization-defined time period].

NIST SP 800-53 Personnel Security Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [PS-5]

Implementation Statement: 

PS-5

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.13.6 PS-6 Access Agreements 

The organization: 

a. Develops and documents access agreements for organizational information systems; 
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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b. Reviews and updates the access agreements [Assignment: organization-defined frequency]; 

and

c. Ensures that individuals requiring access to organizational information and information 

systems: 

1. Sign appropriate access agreements prior to being granted access; and 

2. Re-sign access agreements to maintain access to organizational information systems 

when access agreements have been updated or [Assignment: organization-defined 

frequency].

NIST SP 800-53 Personnel Security Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [PS-6]

Implementation Statement: 

PS-6

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.13.7 PS-7 Third-Party Personnel Security 

The organization: 

a. Establishes personnel security requirements including security roles and responsibilities for 

third-party providers; 

b. Requires third-party providers to comply with personnel security policies and procedures 

established by the organization; 

c. Documents personnel security requirements; 

d. Requires third-party providers to notify [Assignment: organization-defined personnel or roles] 

of any personnel transfers or terminations of third-party personnel who possess 

organizational credentials and/or badges, or who have information system privileges within 

[Assignment: organization-defined time period]; and 

e. Monitors provider compliance. 

NIST SP 800-53 Personnel Security Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [PS-7]
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Implementation Statement: 

PS-7

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.13.8 PS-8 Personnel Sanctions 

The organization: 

a. Employs a formal sanctions process for individuals failing to comply with established information 

security policies and procedures; and 

b. Notifies [Assignment: organization-defined personnel or roles] within [Assignment: organizationdefined time period] when a formal employee sanctions process is initiated, identifying the 

individual sanctioned and the reason for the sanction. 

NIST SP 800-53 Personnel Security Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [PS-8]

Implementation Statement: 

PS-8

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.14 Risk Assessment (RA)
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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2.1.14.1 RA-1 Risk Assessment Policy and Procedures 

The organization: 

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or 

roles]:

1. A risk assessment policy that addresses purpose, scope, roles, responsibilities, 

management commitment, coordination among organizational entities, and compliance; 

and

2. Procedures to facilitate the implementation of the risk assessment policy and associated 

risk assessment controls; and 

b. Reviews and updates the current: 

1. Risk assessment policy [Assignment: organization-defined frequency]; and 

2. Risk assessment procedures [Assignment: organization-defined frequency].

NIST SP 800-53 Risk Assessment Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [RA-1]

Implementation Statement: 

RA-1

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.14.2 RA-2 Security Categorization 

The organization: 

a. Categorizes information and the information system in accordance with applicable federal 

laws, Executive Orders, directives, policies, regulations, standards, and guidance; 

b. Documents the security categorization results (including supporting rationale) in the security 

plan for the information system; and 

c. Ensures that the security categorization decision is reviewed and approved by the authorizing 

official or authorizing official designated representative. 

NIST SP 800-53 Risk Assessment Common (Fully Inherited Control)
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Revision 4 [RA-2]

Hybrid (Partially Inherited Control)

System Specific Control

Implementation Statement: 

RA-2

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.14.3 RA-3 Risk Assessment 

The organization: 

a. Conducts an assessment of risk, including the likelihood and magnitude of harm, from the 

unauthorized access, use, disclosure, disruption, modification, or destruction of the 

information system and the information it processes, stores, or transmits; 

b. Documents risk assessment results in [Selection: security plan; risk assessment report;

[Assignment: organization-defined document]];

c. Reviews risk assessment results [Assignment: organization-defined frequency];

d. Disseminates risk assessment results to [Assignment: organization-defined personnel or 

roles]; and 

e. Updates the risk assessment [Assignment: organization-defined frequency] or whenever 

there are significant changes to the information system or environment of operation (including 

the identification of new threats and vulnerabilities), or other conditions that may impact the 

security state of the system. 

NIST SP 800-53 Risk Assessment Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [RA-3]

Implementation Statement: 

RA-3

Implementation Status: Status (check all that apply): 
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.14.4 RA-5 Vulnerability Scanning 

The organization: 

a. Scans for vulnerabilities in the information system and hosted applications [Assignment: 

organization-defined frequency and/or randomly in accordance with organization-defined 

process] and when new vulnerabilities potentially affecting the system/applications are 

identified and reported; 

b. Employs vulnerability scanning tools and techniques that facilitate interoperability among 

tools and automate parts of the vulnerability management process by using standards for: 

1. Enumerating platforms, software flaws, and improper configurations; 

2. Formatting checklists and test procedures; and 

3. Measuring vulnerability impact; 

c. Analyzes vulnerability scan reports and results from security control assessments; 

d. Remediates legitimate vulnerabilities [Assignment: organization-defined response times] in 

accordance with an organizational assessment of risk; and 

e. Shares information obtained from the vulnerability scanning process and security control 

assessments with [Assignment: organization-defined personnel or roles] to help eliminate 

similar vulnerabilities in other information systems (i.e., systemic weaknesses or 

deficiencies). 

Control Enhancements: 

(1) VULNERABILITY SCANNING | UPDATE TOOL CAPABILITY 

The organization employs vulnerability scanning tools that include the capability to readily update the 

information system vulnerabilities to be scanned. 

(2) VULNERABILITY SCANNING | UPDATE BY FREQUENCY / PRIOR TO NEW SCAN / WHEN 

IDENTIFIED 

The organization updates the information system vulnerabilities scanned [Selection (one or more): 

[Assignment: organization-defined frequency]; prior to a new scan; when new vulnerabilities are identified 

and reported]. 

(5) VULNERABILITY SCANNING | PRIVILEGED ACCESS 

The information system implements privileged access authorization to [Assignment: organizationidentified information system components] for selected [Assignment: organization-defined vulnerability 

scanning activities]. 
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NIST SP 800-53 Personnel Security Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control

Revision 4 [RA-5]

Implementation Statement: 

RA-5

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement RA-5(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement RA-5(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
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Control Enhancement RA-5(5)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.15 System and Services Acquisition 

2.1.15.1 SA-1 System and Services Acquisition Policy and Procedures 

The organization: 

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or 

roles]:

1. A system and services acquisition policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, 

and compliance; and 

2. Procedures to facilitate the implementation of the system and services acquisition policy 

and associated system and services acquisition controls; and 

b. Reviews and updates the current: 

1. System and services acquisition policy [Assignment: organization-defined frequency]; 

and

2. System and services acquisition procedures [Assignment: organization-defined 

frequency].

NIST SP 800-53 System and Services 

Acquisition

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SA-1]

Implementation Statement: 

SA-1

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 
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Scoped

Comments:

2.1.15.2 SA-2 Allocation of Resources 

The organization: 

a. Determines information security requirements for the information system or information 

system service in mission/business process planning; 

b. Determines, documents, and allocates the resources required to protect the information 

system or information system service as part of its capital planning and investment control 

process; and 

c. Establishes a discrete line item for information security in organizational programming and 

budgeting documentation. 

NIST SP 800-53 System and Services 

Acquisition

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SA-2]

Implementation Statement: 

SA-2

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.15.3 SA-3 System Development Life Cycle 

The organization: 

a. Manages the information system using [Assignment: organization-defined system 

development life cycle] that incorporates information security considerations; 

b. Defines and documents information security roles and responsibilities throughout the system 

development life cycle; 
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c. Identifies individuals having information security roles and responsibilities; and 

d. Integrates the organizational information security risk management process into system 

development life cycle activities. 

NIST SP 800-53 System and Services 

Acquisition

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SA-3]

Implementation Statement: 

SA-3

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.15.4 SA-4 Acquisition Process 

The organization includes the following requirements, descriptions, and criteria, explicitly or by reference, 

in the acquisition contract for the information system, system component, or information system service in 

accordance with applicable federal laws, Executive Orders, directives, policies, regulations, standards, 

guidelines, and organizational mission/business needs: 

a. Security functional requirements; 

b. Security strength requirements; 

c. Security assurance requirements; 

d. Security-related documentation requirements; 

e. Requirements for protecting security-related documentation; 

f. Description of the information system development environment and environment in which 

the system is intended to operate; and 

g. Acceptance criteria. 

Control Enhancements: 

(1) ACQUISITION PROCESS | FUNCTIONAL PROPERTIES OF SECURITY CONTROLS 

The organization requires the developer of the information system, system component, or information 

system service to provide a description of the functional properties of the security controls to be 

employed. 
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(2) ACQUISITION PROCESS | DESIGN / IMPLEMENTATION INFORMATION FOR SECURITY 

CONTROLS 

The organization requires the developer of the information system, system component, or information 

system service to provide design and implementation information for the security controls to be employed 

that includes: [Selection (one or more): security-relevant external system interfaces; high-level design; 

low-level design; source code or hardware schematics; [Assignment: organization-defined 

design/implementation information]] at [Assignment: organization-defined level of detail]. 

(9) ACQUISITION PROCESS | FUNCTIONS / PORTS / PROTOCOLS / SERVICES IN USE 

The organization requires the developer of the information system, system component, or information 

system service to identify early in the system development life cycle, the functions, ports, protocols, and 

services intended for organizational use. 

(10) ACQUISITION PROCESS | USE OF APPROVED PIV PRODUCTS 

The organization employs only information technology products on the FIPS 201-approved products list 

for Personal Identity Verification (PIV) capability implemented within organizational information systems. 

NIST SP 800-53 System and Services 

Acquisition

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SA-4]

Implementation Statement: 

SA-4

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement SA-4(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 
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Scoped

Comments:

Control Enhancement SA-4(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement SA-4(9)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement SA-4(10)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.15.5 SA-5 Information System Documentation 
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The organization: 

a. Obtains administrator documentation for the information system, system component, or 

information system service that describes: 

1. Secure configuration, installation, and operation of the system, component, or service; 

2. Effective use and maintenance of security functions/mechanisms; and 

3. Known vulnerabilities regarding configuration and use of administrative (i.e., privileged) 

functions; 

b. Obtains user documentation for the information system, system component, or information 

system service that describes: 

1. User-accessible security functions/mechanisms and how to effectively use those security 

functions/mechanisms; 

2. Methods for user interaction, which enables individuals to use the system, component, or 

service in a more secure manner; and 

3. User responsibilities in maintaining the security of the system, component, or service; 

c. Documents attempts to obtain information system, system component, or information system 

service documentation when such documentation is either unavailable or nonexistent and 

[Assignment: organization-defined actions] in response; 

d. Protects documentation as required, in accordance with the risk management strategy; and 

e. Distributes documentation to [Assignment: organization-defined personnel or roles].

NIST SP 800-53 System and Services 

Acquisition

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SA-5]

Implementation Statement: 

SA-5

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.15.6 SA-8 Security Engineering Principles 

The organization applies information system security engineering principles in the specification, design, 

development, implementation, and modification of the information system. 
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NIST SP 800-53 System and Services 

Acquisition

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SA-8]

Implementation Statement: Does not apply to Low systems according to NIST SP 800-53 Rev 4.

SA-8

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.15.7 SA-9 External Information System Services 

The organization: 

a. Requires that providers of external information system services comply with organizational 

information security requirements and employ [Assignment: organization-defined security 

controls] in accordance with applicable federal laws, Executive Orders, directives, policies, 

regulations, standards, and guidance; 

b. Defines and documents government oversight and user roles and responsibilities with regard 

to external information system services; and 

c. Employs [Assignment: organization-defined processes, methods, and techniques] to monitor 

security control compliance by external service providers on an ongoing basis. 

Control Enhancements: 

(2) EXTERNAL INFORMATION SYSTEMS | IDENTIFICATION OF FUNCTIONS / PORTS / 

PROTOCOLS / SERVICES 

The organization requires providers of [Assignment: organization-defined external information system 

services] to identify the functions, ports, protocols, and other services required for the use of such 

services. 

NIST SP 800-53 System and Services 

Acquisition

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

Revision 4 [SA-9]
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System Specific Control

Implementation Statement: 

SA-9

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement SA-9(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.15.8 SA-10 Developer Configuration Management 

The organization requires the developer of the information system, system component, or information 

system service to:

a. Perform configuration management during system, component, or service [Selection (one or 

more): design; development; implementation; operation];

b. Document, manage, and control the integrity of changes to [Assignment: organization-defined 

configuration items under configuration management];

c. Implement only organization-approved changes to the system, component, or service; 

d. Document approved changes to the system, component, or service and the potential security 

impacts of such changes; and 

e. Track security flaws and flaw resolution within the system, component, or service and report 

findings to [Assignment: organization-defined personnel].

NIST SP 800-53 System and Services 

Acquisition

Common (Fully Inherited Control)
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Revision 4 [SA-10]

Hybrid (Partially Inherited Control)

System Specific Control

Implementation Statement: Does not apply to Low systems according to NIST SP 800-53 Rev 4.

SA-10

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.15.9 SA-11 Developer Security Testing and Evaluation 

The organization requires the developer of the information system, system component, or information 

system service to: 

a. Create and implement a security assessment plan; 

b. Perform [Selection (one or more): unit; integration; system; regression] testing/evaluation at 

[Assignment: organization-defined depth and coverage];

c. Produce evidence of the execution of the security assessment plan and the results of the 

security testing/evaluation; 

d. Implement a verifiable flaw remediation process; and 

e. Correct flaws identified during security testing/evaluation. 

NIST SP 800-53 System and Services 

Acquisition

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SA-11]

Implementation Statement: Does not apply to Low systems according to NIST SP 800-53 Rev 4.

SA-11

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped
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Comments:

2.1.16 System and Communications Protection 

2.1.16.1 SC-1 System and Communications Protection Policy and Procedures 

The organization: 

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or 

roles]:

1. A system and communications protection policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, 

and compliance; and 

2. Procedures to facilitate the implementation of the system and communications protection 

policy and associated system and communications protection controls; and 

b. Reviews and updates the current: 

1. System and communications protection policy [Assignment: organization-defined 

frequency]; and 

2. System and communications protection procedures [Assignment: organization-defined 

frequency].

NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-1]

Implementation Statement: 

SC-1

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
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2.1.16.2 SC-2 Application Partitioning 

The information system separates user functionality (including user interface services) from information 

system management functionality. 

NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-2]

Implementation Statement: Does not apply to Low systems according to NIST SP 800-53 Rev 4.

SC-2

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.16.3 SC-4 Information in Shared Resources 

The information system prevents unauthorized and unintended information transfer via shared system 

resources. 

NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-3]

Implementation Statement: 

SC-4

Implementation Status: Status (check all that apply): 
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Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.16.4 SC-5 Denial of Service Protection 

The information system protects against or limits the effects of the following types of denial of service 

attacks: [Assignment: organization-defined types of denial of service attacks or reference to source for 

such information] by employing [Assignment: organization-defined security safeguards].

NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-5]

Implementation Statement: 

SC-5

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.16.5 SC-7 Boundary Protection 

The information system: 

a. Monitors and controls communications at the external boundary of the system and at key 

internal boundaries within the system; 

b. Implements subnetworks for publicly accessible system components that are [Selection: 

physically; logically] separated from internal organizational networks; and 
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c. Connects to external networks or information systems only through managed interfaces 

consisting of boundary protection devices arranged in accordance with organizational 

security architecture. 

Control Enhancements: 

(3) BOUNDARY PROTECTION | ACCESS POINTS 

The organization limits the number of external network connections to the information system. 

Supplemental Guidance: Limiting the number of external network connections facilitates more 

comprehensive monitoring of inbound and outbound communications traffic. The Trusted Internet 

Connection (TIC) initiative is an example of limiting the number of external network connections. 

(4) BOUNDARY PROTECTION | EXTERNAL TELECOMMUNICATIONS SERVICES 

The organization: 

(a) Implements a managed interface for each external telecommunication service; 

(b) Establishes a traffic flow policy for each managed interface; 

(c) Protects the confidentiality and integrity of the information being transmitted across each 

interface; 

(d) Documents each exception to the traffic flow policy with a supporting mission/business 

need and duration of that need; and 

(e) Reviews exceptions to the traffic flow policy [Assignment: organization-defined frequency] 

and removes exceptions that are no longer supported by an explicit mission/business 

need. 

(5) BOUNDARY PROTECTION | DENY BY DEFAULT / ALLOW BY EXCEPTION 

The information system at managed interfaces denies network communications traffic by default and 

allows network communications traffic by exception (i.e., deny all, permit by exception). 

(7) BOUNDARY PROTECTION | PREVENT SPLIT TUNNELING FOR REMOTE DEVICES 

The information system, in conjunction with a remote device, prevents the device from simultaneously 

establishing non-remote connections with the system and communicating via some other connection to 

resources in external networks. 

NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-7]
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Implementation Statement: 

SC-7

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement SC-7(3)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement SC-7(4)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement SC-7(5)

Implementation Statement: 
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Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement SC-7(7)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.16.6 SC-8 Transmission Confidentiality and Integrity 

The information system protects the [Selection (one or more): confidentiality; integrity] of transmitted 

information. 

Control Enhancements: 

(1) TRANSMISSION CONFIDENTIALITY AND INTEGRITY | CRYPTOGRAPHIC OR ALTERNATE 

PHYSICAL PROTECTION 

The information system implements cryptographic mechanisms to [Selection (one or more): prevent 

unauthorized disclosure of information; detect changes to information] during transmission unless 

otherwise protected by [Assignment: organization-defined alternative physical safeguards]. 

NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-8]
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Implementation Statement: 

SC-8

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement SC-8(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.16.7 SC-10 Network Disconnect 

The information system terminates the network connection associated with a communications session at 

the end of the session or after [Assignment: organization-defined time period] of inactivity.

NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-10]

Implementation Statement: 

SC-10
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Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.16.8 SC-12 Cryptographic Key Establishment and Management 

The organization establishes and manages cryptographic keys for required cryptography employed within 

the information system in accordance with [Assignment: organization-defined requirements for key 

generation, distribution, storage, access, and destruction].

NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-12]

Implementation Statement: 

SC-12

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.16.9 SC-13 Cryptographic Protection 

The information system implements [Assignment: organization-defined cryptographic uses and type of 

cryptography required for each use] in accordance with applicable federal laws, Executive Orders, 

directives, policies, regulations, and standards. 
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NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-13]

Implementation Statement: 

SC-13

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.16.10 SC-15 Collaborative Computing Devices 

The information system: 

a. Prohibits remote activation of collaborative computing devices with the following exceptions: 

[Assignment: organization-defined exceptions where remote activation is to be allowed]; and 

b. Provides an explicit indication of use to users physically present at the devices. 

NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-15]

Implementation Statement: 

SC-15

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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2.1.16.11 SC-17 Public Key Infrastructure Certificates 

The organization issues public key certificates under an [Assignment: organization-defined certificate 

policy] or obtains public key certificates from an approved service provider 

NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-17]

Implementation Statement: 

SC-17

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.16.12 SC-18 Mobile Code 

The organization: 

a. Defines acceptable and inacceptable mobile code and mobile code technologies; 

b. Establishes usage restrictions and implementation guidance for acceptable mobile code and 

mobile code technologies; and 

c. Authorizes, monitors, and controls the use of mobile code within the information system. 

NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)
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Version <X.X> 

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Revision 4 [SC-18]

Hybrid (Partially Inherited Control)

System Specific Control

Implementation Statement: 

SC-18

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.16.13 SC-19 Voice Over Internet Protocol 

The organization: 

a. Establishes usage restrictions and implementation guidance for Voice over Internet Protocol 

(VoIP) technologies based on the potential to cause damage to the information system if 

used maliciously; and 

b. Authorizes, monitors, and controls the use of VoIP within the information system. 

NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-19]

Implementation Statement: 

SC-19

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
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<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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2.1.16.14 SC-20 Secure Name / Address Resolution Service (Authoritative Source) 

The information system: 

a. Provides additional data origin and integrity artifacts along with the authoritative name 

resolution data the system returns in response to external name/address resolution queries; 

and

Provides the means to indicate the security status of child zones and (if the child supports secure 

resolution services) to enable verification of a chain of trust among parent and child domains, when 

operating as part of a distributed, hierarchical namespace. 

NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-20]

Implementation Statement: 

SC-20

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.16.15 SC-21 Secure Name / Address Resolution Service (Recursive or Caching 

Resolver) 

The information system requests and performs data origin authentication and data integrity verification on 

the name/address resolution responses the system receives from authoritative sources. 
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NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-21]

Implementation Statement: 

SC-21

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.16.16 SC-22 Architecture and Provisioning for Name / Address Resolution 

Service 

The information systems that collectively provide name/address resolution service for an organization are 

fault-tolerant and implement internal/external role separation 

NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-22]

Implementation Statement: 

SC-22

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped
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Comments:

2.1.16.17 SC-23 Session Authenticity 

The information system protects the authenticity of communications sessions. 

NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-23]

Implementation Statement: 

SC-23

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.16.18 SC-28 Protection of Information at Rest 

The information system protects the [Selection (one or more): confidentiality; integrity] of [Assignment: 

organization-defined information at rest].

NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-28]
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Implementation Statement: 

SC-28

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.16.19 SC-39 Process Isolation 

The information system maintains a separate execution domain for each executing process.

NIST SP 800-53 System and 

Communications

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SC-39]

Implementation Statement: 

SC-39

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.17 System and Information Integrity 

2.1.17.1 SI-1 System and Information Integrity Policy and Procedures 
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The organization: 

a. Develops, documents, and disseminates to [Assignment: organization-defined personnel or 

roles]:

1. A system and information integrity policy that addresses purpose, scope, roles, 

responsibilities, management commitment, coordination among organizational entities, 

and compliance; and 

2. Procedures to facilitate the implementation of the system and information integrity policy 

and associated system and information integrity controls; and 

b. Reviews and updates the current: 

1. System and information integrity policy [Assignment: organization-defined frequency]; 

and

2. System and information integrity procedures [Assignment: organization-defined 

frequency].

NIST SP 800-53 System and 

Information Integrity

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SI-1]

Implementation Statement: 

SI-1

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.17.2 SI-2 Flaw Remediation 

The organization: 

a. Identifies, reports, and corrects information system flaws; 

b. Tests software and firmware updates related to flaw remediation for effectiveness and 

potential side effects before installation; 

c. Installs security-relevant software and firmware updates within [Assignment: organizationdefined time period] of the release of the updates; and 

d. Incorporates flaw remediation into the organizational configuration management process. 

Control Enhancements: 
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(2) FLAW REMEDIATION | AUTOMATED FLAW REMEDIATION STATUS 

The organization employs automated mechanisms [Assignment: organization-defined frequency] to 

determine the state of information system components with regard to flaw remediation. 

NIST SP 800-53 System and 

Information Integrity

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SI-2]

Implementation Statement: 

SI-2

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement SI-2(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.17.3 SI-3 Malicious Code Protection 

The organization: 

a. Employs malicious code protection mechanisms at information system entry and exit points 

to detect and eradicate malicious code; 

b. Updates malicious code protection mechanisms whenever new releases are available in 

accordance with organizational configuration management policy and procedures; 
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c. Configures malicious code protection mechanisms to: 

1. Perform periodic scans of the information system [Assignment: organization-defined 

frequency] and real-time scans of files from external sources at [Selection (one or more); 

endpoint; network entry/exit points] as the files are downloaded, opened, or executed in 

accordance with organizational security policy; and 

2. [Selection (one or more): block malicious code; quarantine malicious code; send alert to 

administrator; [Assignment: organization-defined action]] in response to malicious code 

detection; and 

d. Addresses the receipt of false positives during malicious code detection and eradication and 

the resulting potential impact on the availability of the information system. 

Control Enhancements: 

(1) MALICIOUS CODE PROTECTION | CENTRAL MANAGEMENT 

The organization centrally manages malicious code protection mechanisms. 

(2) MALICIOUS CODE PROTECTION | AUTOMATIC UPDATES 

The information system automatically updates malicious code protection mechanisms. 

NIST SP 800-53 System and 

Information Integrity

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SI-3]

Implementation Statement: 

SI-3

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement SI-3(1)

Implementation Statement: 
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Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement SI-3(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.17.4 SI-4 Information System Monitoring 

The organization: 

a. Monitors the information system to detect: 

1. Attacks and indicators of potential attacks in accordance with [Assignment: 

organization-defined monitoring objectives]; and 

2. Unauthorized local, network, and remote connections; 

b. Identifies unauthorized use of the information system through [Assignment: organizationdefined techniques and methods];

c. Deploys monitoring devices: (i) strategically within the information system to collect 

organization-determined essential information; and (ii) at ad hoc locations within the system 

to track specific types of transactions of interest to the organization; 

d. Protects information obtained from intrusion-monitoring tools from unauthorized access, 

modification, and deletion; 

e. Heightens the level of information system monitoring activity whenever there is an indication 

of increased risk to organizational operations and assets, individuals, other organizations, or 

the Nation based on law enforcement information, intelligence information, or other credible 

sources of information; 

f. Obtains legal opinion with regard to information system monitoring activities in accordance 

with applicable federal laws, Executive Orders, directives, policies, or regulations; and 

g. Provides [Assignment: organization-defined information system monitoring information] to 

[Assignment: organization-defined personnel or roles] [Selection (one or more): as needed;

[Assignment: organization-defined frequency]].

Control Enhancements: 
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(2) INFORMATION SYSTEM MONITORING | AUTOMATED TOOLS FOR REAL-TIME ANALYSIS 

The organization employs automated tools to support near real-time analysis of events. 

(4) INFORMATION SYSTEM MONITORING | INBOUND AND OUTBOUND COMMUNICATIONS 

TRAFFIC 

The information system monitors inbound and outbound communications traffic [Assignment: 

organization-defined frequency] for unusual or unauthorized activities or conditions. 

(5) INFORMATION SYSTEM MONITORING | SYSTEM-GENERATED ALERTS 

The information system alerts [Assignment: organization-defined personnel or roles] when the following 

indications of compromise or potential compromise occur: [Assignment: organization-defined compromise 

indicators]. 

NIST SP 800-53 System and 

Information Integrity

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SI-4]

Implementation Statement: 

SI-4

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement SI-4(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
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Control Enhancement SI-4(4)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement SI-4(5)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.17.5 SI-5 Security Alerts, Advisories, and Directives 

The organization: 

a. Receives information system security alerts, advisories, and directives from [Assignment: 

organization-defined external organizations] on an ongoing basis; 

b. Generates internal security alerts, advisories, and directives as deemed necessary; 

c. Disseminates security alerts, advisories, and directives to: [Selection (one or more):

[Assignment: organization-defined personnel or roles]; [Assignment: organization-defined 

elements within the organization]; [Assignment: organization-defined external organizations]]; 

and

d. Implements security directives in accordance with established time frames, or notifies the 

issuing organization of the degree of noncompliance. 

NIST SP 800-53 System and 

Information Integrity

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SI-5]
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Implementation Statement: 

SI-5

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.17.6 SI-7 Software, Firmware, and Information Integrity 

The organization employs integrity verification tools to detect unauthorized changes to [Assignment: 

organization-defined software, firmware, and information].

Control Enhancements: 

(1) SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | INTEGRITY CHECKS 

The information system performs an integrity check of [Assignment: organization-defined software, 

firmware, and information] [Selection (one or more): at startup; at [Assignment: organization-defined 

transitional states or security-relevant events]; [Assignment: organization-defined frequency]]. 

(7) SOFTWARE, FIRMWARE, AND INFORMATION INTEGRITY | INTEGRATION OF DETECTION 

AND RESPONSE 

The organization incorporates the detection of unauthorized [Assignment: organization-defined securityrelevant changes to the information system] into the organizational incident response capability. 

NIST SP 800-53 System and 

Information Integrity

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SI-7]
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Implementation Statement: Does not apply to Low systems according to NIST SP 800-53 Rev 4.

SI-7

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement SI-7(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement SI-7(7)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.17.7 SI-8 Spam Protection 

The organization: 
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a. Employs spam protection mechanisms at information system entry and exit points to detect 

and take action on unsolicited messages; and 

b. Updates spam protection mechanisms when new releases are available in accordance with 

organizational configuration management policy and procedures. 

Control Enhancements: 

(1) SPAM PROTECTION | CENTRAL MANAGEMENT 

The organization centrally manages spam protection mechanisms. 

(2) SPAM PROTECTION | AUTOMATIC UPDATES 

The information system automatically updates spam protection mechanisms. 

NIST SP 800-53 System and 

Information Integrity

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SI-8]

Implementation Statement: 

SI-8

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

Control Enhancement SI-8(1)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
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Control Enhancement SI-8(2)

Implementation Statement: 

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.17.8 SI-10 Information Input Validation 

The information system checks the validity of [Assignment: organization-defined information inputs].

NIST SP 800-53 System and 

Information Integrity

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SI-10]

Implementation Statement: Does not apply to Low systems according to NIST SP 800-53 Rev 4.

SI-10

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.17.9 SI-11 Error Handling 

The information system: 
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a. Generates error messages that provide information necessary for corrective actions without 

revealing information that could be exploited by adversaries; and 

b. Reveals error messages only to [Assignment: organization-defined personnel or roles].

NIST SP 800-53 System and 

Information Integrity

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SI-11]

Implementation Statement: 

SI-11

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:

2.1.17.10 SI-12 Information Handling and Retention 

The organization handles and retains information within the information system and information output 

from the system in accordance with applicable federal laws, Executive Orders, directives, policies, 

regulations, standards, and operational requirements. 

NIST SP 800-53 System and 

Information Integrity

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SI-12]

Implementation Statement: 

SI-12

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 
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Scoped

Comments:

2.1.17.11 SI-16 Memory Protection 

The information system implements [Assignment: organization-defined security safeguards] to protect its 

memory from unauthorized code execution. 

NIST SP 800-53 System and 

Information Integrity

Common (Fully Inherited Control)

Hybrid (Partially Inherited Control)

System Specific Control Revision 4 [SI-16]

Implementation Statement: Does not apply to Low systems according to NIST SP 800-53 Rev 4.

SI-16

Implementation Status: Status (check all that apply): 

Implemented (In Place) Planned (Not in Place) Compensated Not Applicable 

Scoped

Comments:
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3 APPENDIX LISTING 

3.1 Required Appendices 

APPENDIX DESCRIPTION STATUS

A Acronym List Refer to Appendix 3.2 below

B Definitions Refer to Appendix 3.3 below

C Applicable Laws and References Refer to Appendix 3.4 below

D Agency IT Master Inventory System Security Plan Appendices.doc

E Security Assessment Report Matrix SecurityAssessmentReport.pdf

G System Documentation [ENTER NAME OF SSP]

H System Rules of Behavior System Security Plan Appendices.doc

I Security Awareness and Training 

Plan

System Security Plan Appendices.doc

J Incident Response Plan System Security Plan Appendices.doc

K Configuration Management Plan System Security Plan Appendices.doc

3.2 System Specific Appendices 

APPENDIX DESCRIPTION STATUS

E2 Prior Security Assessment Report 

Matrix

[System Name] SAR Matrix.doc
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3.3 Acronym List 

TERM DEFINITION

AO Authorizing Official

ASSERT Automated Security Self-Evaluation and Remediation Tracking

ATO Authorization to Operate

BSM Boundary Scope Memo

CIO Chief Information Officer

CISO Chief Information Security Officer

CONOPS Concept of Operations

COTS Commercial off the Shelf

CSAM Cyber Security and Asset Management

CSO Component Security Officer

FICAM Federal Identity, Credential, and Access Management

FIPS Federal Information Processing Standard(s)

FISMA Federal Information Security Management Act

GMT Greenwich Mean Time

HW Hardware

ISA Interconnection Security Agreement

ISSH Information System Security Handbook

IT Information Technology

MD Maryland

MOA Memorandum of Agreement

MOU Memorandum of Understanding

NCC National Coordinating Center for Communications

NIST National Institute of Standards and Technology

OIG Office of Inspector General

OIS Office of Information Security

OMB Office of Management and Budget

OS Operating System

PIV Personal Identity Verification

POA&M Plan of Action and Milestones

POC Point of Contact
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TERM DEFINITION

PRIDE Project Resource Guide

PSC Program Support Center

RBD Risk-Based Decision

SAM Security Authorization Manager

SAR Security Assessment Report

SBU Sensitive But Unclassified

SDLC Systems Development Life Cycle

SDLCM Systems Development Life Cycle Methodology

SME Subject Matter Expert

SO System Owner

SP Special Publication

SPM System Project Manager

SRA Security Risk Assessment

SSA Social Security Administration

SSC Secure Standards Council

SSP System Security Plan

SW Software

TIC Trusted Internet Connection

TSL Transport Layer Security

U.S.C. United States Code

UTC Coordinated Universal Time

VoIP Voice Over Internet Protocol

VPN Virtual Private Network

WAN Wide Area Network
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3.4 Definitions/Glossary 

Term Definition

Accreditation The official management decision given by a senior agency official to 

authorize operation of an information system and to explicitly accept the risk 

to agency operations (including mission, functions, image, or reputation), 

agency assets, or individuals, based on the implementation of an agreedupon set of security controls.

Accreditation 

Boundary

All components of an information system to be accredited by an authorizing 

official and excludes separately accredited systems, to which the information 

system is connected.

Accreditation Package The evidence provided to the authorizing official to be used in the security 

accreditation decision process. Evidence includes, but is not limited to: (i) the 

system security plan; (ii) the assessment results from the security 

certification; and (iii) the plan of action and milestones.

Assessment 

Procedure

A set of activities or actions employed by an assessor to determine the extent 

to which a security control is implemented correctly, operating as intended, 

and producing the desired outcome with respect to meeting the security 

requirements for the system.

Automated Information 

System (AIS)

An assembly of computer hardware, software and/or firmware configured to 

collect, create, communicate, compute, disseminate, process, store, and/or 

control data or information.

Certification The comprehensive evaluation of the technical and non-technical security 

features of an AIS and other safeguards, made in support of the accreditation 

process that establishes the extent to which a particular design and 

implementation meet a specified set of security requirements.

Common Security 

Control

Security control that can be applied to one or more agency information 

systems and has the following properties: (i) the development, 

implementation, and assessment of the control can be assigned to a 

responsible official or organizational element (other than the information 

system owner); and (ii) the results from the assessment of the control can be 

used to support the C&A processes of an agency information system where 

that control has been applied.

Confidentiality Preserving authorized restrictions on information access and disclosure, 

including means for protecting personal privacy and proprietary information. 

[44 U.S.C., Sec. 3542]

Configuration Control Process for controlling modifications to hardware, firmware, software, and 

documentation to ensure the information system is protected against 

improper modifications prior to, during, and after system implementation. 

[CNSS Inst. 4009]
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Term Definition

General Support 

System

An interconnected set of information resources under the same direct 

management control that shares common functionality. It normally includes 

hardware, software, information, data, applications, communications, and 

people. [OMB Circular A-130, Appendix III]

Information Owner Official with statutory or operational authority for specified information and 

responsibility for establishing the controls for its generation, collection, 

processing, dissemination, and disposal. [CNSS Inst. 4009]

Information Security The protection of information and information systems from unauthorized 

access, use, disclosure, disruption, modification, or destruction in order to 

provide confidentiality, integrity, and availability. [44 U.S.C., Sec. 3542]

Information Security 

Policy

Aggregate of directives, regulations, rules, and practices that prescribe how 

an organization manages, protects, and distributes information. [CNSS Inst. 

4009]

Information System A discrete set of information resources organized for the collection, 

processing, maintenance, use, sharing, dissemination, or disposition of 

information. [44 U.S.C., Sec. 3502] [OMB Circular A-130, Appendix III]

Information Type A specific category of information (e.g., privacy, medical, proprietary, 

financial, investigative, contractor sensitive, security management), defined 

by an organization or in some instances, by a specific law, Executive Order, 

directive, policy, or regulation. [FIPS 199]

Integrity Guarding against improper information modification or destruction, and 

includes ensuring information non-repudiation and authenticity. [44 U.S.C., 

Sec. 3542]

Major Application An application that requires special attention to security due to the risk and 

magnitude of harm resulting from the loss, misuse, or unauthorized access to 

or modification of the information in the application. [OMB Circular A-130, 

Appendix III]

Management Controls The security controls (i.e., safeguards or countermeasures) for an information 

system that focus on the management of risk and the management of 

information system security. [NIST SP 800-18]

Minor Application An application, other than a major application, that requires attention to 

security due to the risk and magnitude of harm resulting from the loss,

misuse, or unauthorized access to or modification of the information in the 

application. Minor applications are typically included as part of a general 

support system.

Operational Controls The security controls (i.e., safeguards or countermeasures) for an information 

system that primarily are implemented and executed by people (as opposed 

to systems). [NIST SP 800-18]

Plan of Action and 

Milestones

A document that identifies tasks needing to be accomplished. It details 

resources required to accomplish the elements of the plan, any milestones in 

meeting the tasks, and scheduled completion dates for the milestones. [OMB 

Memorandum M-02-09]
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Term Definition

Risk The level of impact on agency operations, (including mission, functions, 

image, or reputation), agency assets, or individuals, resulting from the 

operation of an information system given the potential impact of a threat and 

the likelihood of that threat occurring. [NIST SP 800-30]

Risk Assessment The process of identifying risks to agency operations (including mission, 

functions, image, or reputation), agency assets, or individuals by determining 

the probability of occurrence, the resulting impact, and additional security 

controls that would mitigate this impact. Part of risk management, 

synonymous with risk analysis, and incorporates threat and vulnerability 

analyses. [NIST SP 800-30]

Risk Management The process of managing risks to agency operations (including mission, 

functions, image, or reputation), agency assets, or individuals resulting from 

the operation of an information system. It includes risk assessment; costbenefit analysis; the selection, implementation, and assessment of security 

controls; and the formal authorization to operate the system. The process 

considers effectiveness, efficiency, and constraints due to laws, directives, 

policies, or regulations. [NIST SP 800-30]

Security Category The characterization of information or an information system based on an 

assessment of the potential impact that a loss of confidentiality, integrity, or 

availability of such information or information system would have on 

organizational operations, organizational assets, or individuals. [FIPS 199]

Security Controls 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. 

[FIPS 199]

Subsystem A major subdivision or component of an information system consisting of 

information, information technology, and personnel that performs one or more 

specific functions.

System Security Plan Formal document that provides an overview of the security requirements for 

the information system and describes the security controls in place or planned 

for meeting those requirements. [NIST SP 800-18]

System-specific 

Security Control

A security control for an information system that has not been designated as 

a common security control.

Technical Controls The security controls (i.e., safeguards or countermeasures) for an information 

system that are primarily implemented and executed by the information 

system through mechanisms contained in the hardware, software, or firmware 

components of the system. [NIST SP 800-18]

Threat Any circumstance or event with the potential to adversely impact agency 

operations (including mission, functions, image, or reputation), agency assets, 

or individuals through an information system via unauthorized access, 

destruction, disclosure, modification of information, and/or denial of service. 

[CNSS Inst. 4009, Adapted]
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Term Definition

User Person or process accessing an AIS either by direct connections (e.g., via 

terminals), or indirect connections (e.g., prepare input data or receive output 

that is not reviewed for content or classification by a responsible individual).

Vulnerability Weakness in an information system, system security procedures, internal 

controls, or implementation that could be exploited or triggered by a threat 

source. [CNSS Inst. 4009, Adapted]

Vulnerability 

Assessment

Formal description and evaluation of the vulnerabilities in an information 

system. [CNSS Inst. 4009]
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 169

3.5 Applicable Laws and References 

Applicable Laws or Regulations Affecting the System

Federal Policies/Directives/Guidance

Committee on National Security Systems (CNSS) Instruction 4009, National Information Assurance 

Glossary, June 2006

Committee on National Security Systems (CNSS) Instruction 1253, Security Categorization and Control 

Selection for National Security Systems, October 2009

Freedom of Information Act (FOIA)

Federal Information Security Management Act (FISMA) of 2002

Federal Information Security Modernization Act (FISMA) of 2014

Federal Managers’ Financial Integrity Act (FMFIA)

Federal Information Processing Standards (FIPS) 199, Standards for Security Categorization of 

Federal Information and Information Systems, February 2004

FIPS 200, Minimum Security Requirements for Federal Information and Information Systems, March 

2006

Homeland Security Presidential Directive (HSPD)-7, Critical Infrastructure Identification, Prioritization, 

and Protection

Homeland Security Presidential Directive/HSPD-12, Policy for a Common Identification Standard for 

Federal Employees and Contractors

Homeland Security Presidential Directive/HSPD-20, National Continuity Policy

National Archives & Records Administration (NARA)

National Institute of Standards and Technology (NIST) Special Publications (SP) 800-18, Revision 1, 

Guide for Developing Security Plans for Federal Information Systems, February 2006

NIST SP 800-27, Revision A, Engineering Principles for Information Technology Security (A Baseline 

for Achieving Security), June 2004

NIST SP 800-30, Revision 1, Guide for Conducting Risk Assessments, September 2012

NIST SP 800-34, Revision 1, Contingency Planning Guide for Federal Information Systems, May 2010

NIST SP 800-37, Revision 1, Guide for Applying the Risk Management Framework to Federal 

Information Systems: A Security Life Cycle Approach, February 2010

NIST SP 800-39, Managing Information Security Risk: Organization, Mission, and Information System 

View, March 2011

NIST SP 800-50, Building an Information Technology Security Awareness and Training Program, 

October 2003

NIST SP 800-52, Guidelines for Selecting and Use of Transport Layer Security (TSL) Implementations, 

April 2014

NIST SP 800-53, Revision 4, Security and Privacy Controls for Federal Information Systems and 

Organizations, April 2013

NIST SP 800-53A, Revision 4, Assessing Security and Privacy Controls in Federal Information 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 170

Applicable Laws or Regulations Affecting the System

Systems and Organizations: Building Effective Assessment Plans, December 2014

NIST SP 800-59, Guideline for Identifying an Information System as a National Security System, 

August 2003.

NIST SP 800-60, Revision 1, Guide for Mapping Types of Information and Information Systems to 

Security Categories, August 2008.

NIST SP 800-64, Rev 2, Security Consideration in the Information System Development Life Cycle, 

October 2008

NIST SP 800-70, Revision 3, National Checklist Program for IT Products: Guidelines for Checklist 

Users and Developers, March 2015

NIST SP 800-122, Guide to Protecting the Confidentiality of Personally Identifiable Information (PII), 

April 2010

NIST SP 800-126, Revision 1, The Technical Specification for the Security Content Automation 

Protocol (SCAP): SCAP Version 1.2, February 2011.

Office of Management and Budget (OMB) Circular A-123 Management Accountability and Control, 

1995

OMB Circular A-127 Financial Management Systems, 1993

OMB Circular A-130 Management of Federal Information Resources, 2000

NIST SP 800-144, Guidelines on Security and Privacy in Public Cloud Computing, December 2011

NIST SP 800-145, The NIST Definition of Cloud Computing, September 2011

NIST SP 800-146, Cloud Computing Synopsis and Recommendations, May 2012

OMB Circular M-02-01, Guidance for Preparing and Submitting Security Plans of Action and 

Milestones, October 2001.

Paperwork Reduction Act, May 1995

Privacy Act of 1974, as amended

Social Security Act of 2013

SSA Departmental Guidance

ISSH, Information System Security Handbook - http://eis.ba.ssa.gov/ssasso/issh/tableofcontents.htm

OIS Guidance, http://ois.ssahost.ba.ssa.gov/dspp/fisma/security_assessment_authorization.htm

PRIDE, http://pride.ssahost.ba.ssa.gov/

CSAM, https://csamssa.justapps.doj.gov/CSAM/login.aspx?ReturnUrl=%2fCSAM%2fDefault.aspx

ISAHB, Information Security Authorization Handbook (dated June 2014) 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 171

Appendix A. <Appendix Name>Appendix body 

 NOTE: Automatic section numbering (Heading 1, Heading 2, etc.) should not be 

applied to the appendix body. The numbering will be a continuation of the numbering 

from the body of the document, and will not accurately reflect the appendix location. 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Appendix B. Acronym List 

 Make sure all acronyms within this document are included in the acronym list. Delete 

any that are not used. 

Acronym Definition

AO Authorizing Official

APM Application Portfolio Management

APP Application

BRM Business Reference Model

BSM Boundary Scope Memorandum

CSAM Cybersecurity Assessment and Management

CSO Component Security Officer

DB Database

DBMS Database Management System

DCS Deputy Commissioner for Systems

FIPS Federal Information Processing Standard 

FISMA Federal Information Security Modernization Act

FOUO For Official Use Only

FTP File Transfer Protocol

HW Hardware

ID Identification

IPSEC Internet Protocol Security

ISA Interconnection Security Agreement

IT Information Technology

IV&V Independent Verification and Validation

L2TP Layer 2 Tunneling Protocol

MA Major Application

MOA Memorandum of Agreement

MOU Memorandum of Understanding

NCC National Computer Center

NIST National Institute of Standards and Technology

NMS Network Management System

OIS Office of Information Security

OS Operating System

PDA Personal Digital Assistant
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 173

Acronym Definition

SAM Security Authorization Manager

SBU Sensitive But Unclassified

SCQ Significant Change Questionnaire 

SO System Owner

SP Special Publication

SSA Social Security Administration

SSC Secondary Support Center

SSP System Security Plan

V-HW Virtual Hardware

VPN Virtual Private Network
EXHIBIT F
Transmittal No. 31 General Records Schedule 4.2

April 2020

50

GENERAL RECORDS SCHEDULE 4.2: Information Access and Protection Records 

This schedule covers records created in the course of agencies (1) responding to requests for access to Government information and (2) protecting information 

that is classified or controlled unclassified, or contains personal data that is required by law to be protected. 

Agencies must offer any records created prior to January 1, 1921, to the National Archives and Records Administration (NARA) before applying disposition 

instructions in this schedule.

Item Records Description Disposition Instruction Disposition 

Authority

001 FOIA, Privacy Act, and classified documents administrative records.

Records on managing information access and protection activities. Records include:

• correspondence related to routine implementation of the FOIA and Privacy Act and 

administration of document security classification

• associated subject files

• feeder and statistical reports

Exclusion: This item does not cover records documenting policies and procedures accumulated in

offices having agency-wide responsibilities for FOIA, Privacy Act, and classified documents. These

records must be scheduled by the agency on an agency-specific schedule.

Temporary. Destroy when 3 

years old, but longer retention 

is authorized if needed for 

business use.

DAA-GRS2019-0001-

0001 

010 General information request files.

Requests for information, publications, photographs, and other information involving no 

administrative action, policy decision, or special compilations or research. Also includes 

acknowledgements, replies, and referrals of inquiries to other offices for response.

Temporary. Destroy when 90 

days old, but longer retention is 

authorized if required for 

business use.

DAA-GRS2013-0007-

0001

020 Access and disclosure request files.

Case files created in response to requests for information under the Freedom of Information Act 

(FOIA), Mandatory Declassification Review (MDR) process, Privacy Act (PA), Classification 

Challenge, and similar access programs, and completed by: 

• granting the request in full 

• granting the request in part 

• denying the request for any reason including:

o inability to fulfill request because records do not exist

o inability to fulfill request because request inadequately describes records

Temporary. Destroy 6 years 

after final agency action or 3 

years after final adjudication by 

the courts, whichever is later, 

but longer retention is 

authorized if required for 

business use. 

DAA-GRS2016-0002-

0001 
Transmittal No. 31 General Records Schedule 4.2

April 2020

51

Item Records Description Disposition Instruction Disposition 

Authority

o inability to fulfill request because search or reproduction fees are not paid

• final adjudication on appeal to any of the above original settlements

• final agency action in response to court remand on appeal

Includes:

• requests (either first-party or third-party)

• replies 

• copies of requested records

• administrative appeals

• related supporting documents (such as sanitizing instructions)

Note 1: Record copies of requested records remain covered by their original disposal authority, but 

if disposable sooner than their associated access/disclosure case file, may be retained under this 

item for disposition with that case file.

Note 2: Agencies may wish to retain redacted copies of requested records for business use after 

the rest of the associated request case file is destroyed. 

030 Information 

access and 

protection 

operational

records. 

Records tracking and controlling access to protected information.

Includes:

• records documenting receipt, internal routing, dispatch, or destruction of 

classified and controlled unclassified records 

• tracking databases and other records used to manage overall access program

• requests and authorizations for individuals to have access to classified and 

controlled unclassified records and information

Note: Records documenting individuals’ security clearances are covered under GRS 

5.6, items 180 and 181.

Temporary. Destroy 2 years 

after last form entry, reply, or 

submission; or when associated 

documents are declassified, 

decontrolled, or destroyed; or 

when an individual’s 

authorization expires; 

whichever is appropriate. 

Longer retention is authorized 

if required for business use.

DAA-GRS2019-0001-

0002 

031 Access control records. 

Includes:

• safe and padlock combinations

• names or other personal identifiers of individuals who know combinations

Temporary. Destroy when 

superseded or obsolete, but 

longer retention is authorized if 

required for business use.

DAA-GRS2013-0007-

0020
Transmittal No. 31 General Records Schedule 4.2

April 2020

52

Item Records Description Disposition Instruction Disposition 

Authority

• comparable data used to control access into classified document containers

032 Records relating to classified or controlled unclassified document containers. 

Includes forms placed on safes, cabinets, or vaults that record opening, closing, and 

routine checking of container security, such as SF-701 and SF-702. 

Note: Forms involved in investigations are not covered by this item. They are 

instead retained according to the schedule item for records of the investigation.

Temporary. Destroy 90 days 

after last entry on form, but 

longer retention is authorized if 

required for business use.

DAA-GRS2016-0002-

0003 

040 Records of accounting for and controlling access to records requested under FOIA, PA, and MDR.

Records documenting identity of, and internal routing, control points, and accountability for 

information to which access has been requested. Includes: 

• forms, registers, ledgers, logs, and tracking systems documenting requester identity and contact 

information, request date, and nature or purpose of request

• inventories

• forms accompanying documents to ensure continuing control, showing names of people 

handling the documents, inter-office routing, and comparable data

• agent and researcher files

Temporary. Destroy 5 years 

after date of last entry or final 

action by agency, as 

appropriate, but longer 

retention is authorized if 

required for business use.

DAA-GRS2019-0001-

0003 

050 Privacy Act accounting of disclosure files.

Files maintained under the provisions of 5 U.S.C. §552a(c) for an accurate accounting of the date, 

nature, and purpose of each disclosure of a record to any person or to another agency. Includes: 

• forms with the subject individual's name

• records of the requester's name and address

• explanations of the purpose for the request

• date of disclosure

• proof of subject individual's consent

Temporary. Dispose of in 

accordance with the approved 

disposition instructions for the 

related subject individual's 

records, or 5 years after the 

disclosure for which the 

accountability was made, 

whichever is later.

NC1-64-77-

1 item 27
Transmittal No. 31 General Records Schedule 4.2

April 2020

53

Item Records Description Disposition Instruction Disposition 

Authority

060 Erroneous release records.

Files relating to the inadvertent release of privileged 

information to unauthorized parties, containing 

information the disclosure of which would constitute 

an unwarranted invasion of personal privacy. Includes:

• requests for information

• copies of replies 

• all related supporting documents

May include:

• official copy of records requested or copies

Records filed with the record-keeping 

copy of the erroneously released 

records. 

Temporary. Follow the 

disposition instructions 

approved for the released 

record copy or destroy 6 years 

after the erroneous release, 

whichever is later.

DAA-GRS2015-0002-

0001

061 Records filed separately from the 

record-keeping copy of the released 

records. 

Temporary. Destroy 6 years 

after the erroneous release, 

but longer retention is 

authorized if required for 

business use. 

DAA-GRS2015-0002-

0002

065 Privacy complaint files.

Records of privacy complaints (and responses) agencies receive in these categories: 

• process and procedural (consent, collection, and appropriate notice)

• redress (inquiries seeking resolution of difficulties or concerns about privacy matters not 

specifically outlined in the Privacy Act)

• operational (inquiries regarding Privacy Act matters but not including Privacy Act requests for 

access and/or correction)

• complaints referred to another organization

Temporary. Destroy 3 years 

after resolution or referral, as 

appropriate, but longer 

retention is authorized if 

required for business use.

DAA-GRS2019-0001-

0004 

070 Agency reports to the Congress, Department of Justice, or other entities regarding FOIA, MDR, PA, 

and similar access and disclosure programs.

Note: This item does not apply to summary reports incorporating government-wide statistics. 

These must be scheduled separately by the summarizing agent.

Temporary. Destroy 2 years 

after date of report, but longer 

retention is authorized if 

required for business use. 

DAA-GRS2013-0007-

0006

080 Legal and regulatory compliance reporting records.

Reports prepared in compliance with Federal laws and 

regulations, such as the E-Government Act (Public Law 

107-347), Federal Information Security Modernization 

Act of 2014, and Title V (Confidential Information 

Annual reports by agency CIO, Inspector 

General, or Senior Agency Official for 

Privacy.

Legal citation: OMB M-07-16.

Temporary. Destroy 5 years 

after submission of report, but 

longer retention is authorized if 

required for business use.

DAA-GRS2013-0007-

0022
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April 2020

54

Item Records Description Disposition Instruction Disposition 

Authority

081 Protection and Statistical Efficiency Act), as codified in 

44 U.S.C. §101.

All other agency reports and internal 

reports by individual system owners to 

the Senior Agency Official for Privacy 

(SAOP). 

Temporary. Destroy 2 years 

after submission of report, but 

longer retention is authorized if 

required for business use.

DAA-GRS2013-0007-

0023

090 Privacy Act amendment request files.

Files relating to an individual’s request to amend a record pertaining to that individual under 5 

U.S.C. §552a(d)(2), to the individual’s request for review of an agency’s refusal to amend a record 

under 5 U.S.C. §552a(d)(3), and to any civil action or appeal brought by the individual against the 

refusing agency under 5 U.S.C. §552a(g). Includes: 

• requests to amend and to review refusal to amend

• copies of agency’s replies 

• statement of disagreement 

• agency justification for refusal to amend a record 

• appeals 

• related materials

Temporary. Destroy with the 

records for which amendment 

was requested or 4 years after 

close of case (final 

determination by agency or 

final adjudication, whichever 

applies), whichever is later. 

Longer retention is authorized 

if required for business use.

DAA-GRS2013-0007-

0007

100 Automatic and systematic declassification review program records. 

Files related to the review of permanent records in anticipation of automatic declassification at 25, 

50, or 75 years per Executive Order 13526, and the periodic review of records exempted from 

automatic declassification. Files include program records documenting declassification decisions.

Temporary. Destroy or delete 

30 years after completion of 

review, but longer retention is 

authorized if required for 

business use.

DAA-GRS2013-0007-

0008

110 Fundamental classification guidance review files.

Reports, significant correspondence, drafts, received comments, and related materials responding 

to “fundamental classification guidance review” as required by Executive Order 13526 Section 1.9.

Note: This item does not cover reports and correspondence received at the Information Security 

Oversight Office (ISOO).

Temporary. Destroy 5 years 

after report is submitted to 

ISOO, but longer retention is 

authorized if required for 

business use. 

DAA-GRS2013-0007-

0011

120 Classified information nondisclosure agreements.

Copies of nondisclosure agreements, such as SF 312, 

Classified Information Nondisclosure Agreement, 

Records maintained in the individual’s 

official personnel folder.

Apply the disposition for the 

official personnel folder.
Transmittal No. 31 General Records Schedule 4.2

April 2020

55

Item Records Description Disposition Instruction Disposition 

Authority

121 signed by civilian and military personnel with access to 

information that is classified under standards put forth 

by executive orders governing security classification. 

Records maintained separately from the 

individual’s official personnel folder.

Legal citations: 

ICD 703, Protection of Classified National 

Intelligence; 32 CFR 2001.80(d)(2)(vii).

Temporary. Destroy when 50 

years old.

DAA-GRS2015-0002-

0003

130 Personally identifiable information extracts.

System-generated or hardcopy print-outs generated for business purposes that contain Personally 

Identifiable Information.

Legal citation: OMB M-07-16 (May 22, 2007), Attachment 1, Section C, bullet “Log and Verify.”

Temporary. Destroy when 90 

days old or no longer needed 

pursuant to supervisory 

authorization, whichever is 

appropriate.

DAA-GRS2013-0007-

0012

140 Personally identifiable information extract logs.

Logs that track the use of PII extracts by authorized users, containing some or all of: date and time 

of extract, name and component of information system from which data is extracted, user 

extracting data, data elements involved, business purpose for which the data will be used, length 

of time extracted information will be used. Also includes (if appropriate): justification and 

supervisory authorization for retaining extract longer than 90 days, and anticipated disposition 

date.

Temporary. Destroy when 

business use ceases.

DAA-GRS2013-0007-

0013

150 Privacy Act System of Records Notices (SORNs).

Agency copy of notices about the existence and character of systems of records, documenting 

publication in the Federal Register when the agency establishes or revises the system, per the 

Privacy Act of 1974 [5 U.S.C. 552a(e)(4) and 5 U.S.C. 552a(e)(11)], as amended. Also significant 

material documenting SORN formulation, other than Privacy Impact Assessment records (see item 

161).

Temporary. Destroy 2 years 

after supersession by a revised 

SORN or after system ceases 

operation, but longer retention 

is authorized if required for 

business use.

DAA-GRS2016-0003-

0002

160 Records analyzing Personally Identifiable 

Information (PII). 

Records documenting whether certain privacy 

and data security laws, regulations, and 

agency policies are required; how the agency 

collects, uses, shares, and maintains PII; and 

incorporation of privacy protections into 

Records of Privacy Threshold Analyses (PTAs)

and Initial Privacy Assessments (IPAs). 

Records of research on whether an agency 

should conduct a Privacy Impact Assessment 

(PIA).

Temporary. Destroy 3 years 

after associated PIA is 

published or determination 

that PIA is unnecessary, but 

longer retention is authorized if 

required for business use.

DAA-GRS2016-0003-

0003 
Transmittal No. 31 General Records Schedule 4.2

April 2020

56

Item Records Description Disposition Instruction Disposition 

Authority

161 records systems as required by the EGovernment Act of 2002 (Public Law 107-347, 

section 208), the Privacy Act of 1974 (5 U.S.C. 

552a), and other applicable privacy laws, 

regulations, and agency policies. Includes

significant background material documenting 

formulation of final products. 

Records of Privacy Impact Assessments (PIAs). Temporary. Destroy 3 years 

after a superseding PIA is 

published, after system ceases 

operation, or (if PIA concerns a 

website) after website is no 

longer available to the public, 

as appropriate. Longer 

retention is authorized if 

required for business use.

DAA-GRS2016-0003-

0004

170 Computer matching program notices and agreements.

Agency copy of notices of intent to share data in systems of records with other Federal, state, or 

local government agencies via computer matching programs, and related records documenting 

publication of notice in the Federal Register per the Privacy Act of 1974 [5 U.S.C. 552a(e)(12)], as 

amended. Also agreements between agencies, commonly referred to as Computer Matching 

Agreements, prepared in accordance with Office of Management and Budget Final Guidance. 

Includes documentation of Data Integrity Board (DIB) review and approval of matching programs 

and agreements, and significant background material documenting formulation of notices and 

agreements. 

Temporary. Destroy upon 

supersession by a revised 

notice or agreement, or 2 years

after matching program ceases

operation, but longer retention 

is authorized if required for 

business use.

DAA-GRS2016-0003-

0005 

180 Virtual public access library records.

Records published by an agency on line to fulfill the requirement in 5 U.S.C. 552(a)(2)(A) through 5 

U.S.C. 552(a)(2)(D) and 5 U.S.C. 552(g)(1) through 5 U.S.C. 552(g)(3) that agencies must make those 

records available for public inspection and copying. Includes:

• final concurring and dissenting opinions and orders agencies issue when adjudicating cases

• statements of policy and interpretations the agency adopts but does not publish in the Federal 

Register

• administrative staff manuals and instructions to staff that affect a member of the public

• copies of records requested under the Freedom of Information Act (FOIA) which, because of the 

nature of their subject matter, the agency determines are, or are likely to become, the subject of 

subsequent requests for substantially the same records or which have been requested three or 

more times

• indexes of agency major information systems

Temporary. Destroy when no 

longer needed. 

DAA-GRS2016-0008-

0001
Transmittal No. 31 General Records Schedule 4.2

April 2020

57

Item Records Description Disposition Instruction Disposition 

Authority

• descriptions of agency major information and record locator systems

• handbooks for obtaining various types and categories of agency public information

Exclusion: This item refers only to copies an agency publishes on line for public reference. The 

agency record copy of such material may be of permanent value and the agency must schedule it.

Not media neutral. Applies to electronic records only.

Controlled Unclassified Information (CUI) program records.

Exclusion: Records of the Controlled Unclassified Information Executive Agent office at the National Archives (NARA must schedule these records 

separately).

190 CUI program implementation records. 

Records of overall program management. Includes:

• records documenting the process of planning agency policy and procedure 

• agency submissions to the CUI Executive Agent of authorities (laws, Federal regulations, or 

Government-wide policies containing safeguarding or dissemination controls) the agency 

proposes to include in the CUI Registry to designate unclassified information as CUI

• agency submissions to the CUI Executive Agent of proposed laws, Federal regulations, or 

Government-wide policies that would establish, eliminate, or modify a category of CUI, or 

change information controls applicable to CUI

• correspondence with CUI Executive Agent

Exclusion 1: CUI directives and formal policy documents (agencies must schedule these 

separately). 

Exclusion 2: Records of CUI self-inspections (GRS 5.7, item 020 covers these). 

Exclusion 3: Records of annual program reports to the CUI Executive Agent (GRS 5.7, item 050 

covers these).

Temporary. Destroy when 7 

years old, but longer retention 

is authorized if required for 

business use.

DAA-GRS2019-0001-

0005 

191 CUI information sharing agreements.

Agreements in which agencies agree to share CUI with non-executive branch entities (e.g., state 

and local police) and foreign entities that agree to protect the CUI.

Temporary. Destroy 7 years 

after canceled or superseded, 

but longer retention is 

DAA-GRS2019-0001-

0006 
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58

Item Records Description Disposition Instruction Disposition 

Authority

Exclusion: Contracts involving CUI and contractor access to CUI; GRS 1.1, item 010 covers 

contracts.

authorized if required for 

business use.

192 Records of waivers of CUI requirements.

Description of and rationale for each waiver, documentation of alternate steps the agency takes to 

ensure it sufficiently protects the CUI covered by the waiver, and records of the agency notifying 

authorized recipients and the public of the waiver.

Temporary. Destroy when 

waiver is rescinded, system is 

no longer in use, or all affected

records are destroyed, as 

applicable, but longer retention 

is authorized if required for 

business use.

DAA-GRS2019-0001-

0007 

193 Records of requests for decontrol and challenges to CUI 

designations.

Requests to decontrol CUI or challenging a CUI marking as 

incorrect (either improperly assigned or lacking), responses to 

requests, records of adjudication, and records of dispute 

resolution if adjudication is appealed.

Records filed with the recordkeeping copy of the CUImarked records.Follow the disposition 

instructions approved for the 

records at issue. 

194 Records filed separately from 

the record-keeping copy of the 

CUI-marked records.

Temporary. Destroy 6 years 

after change in CUI status, but 

longer retention is authorized if 

required for business use.

DAA-GRS2019-0001-

0008

195 Records of CUI misuse.

Allegations of CUI misuse, records of internal investigations, communications with and reports of 

findings from the CUI Executive Agent, and records of corrective actions.

Exclusion: If the agency assigns such investigations to its Inspector General (IG), the agency 

schedule for IG records covers the records created in the IG office.

Temporary. Destroy 5 years 

after completing the 

investigation or completing all 

corrective actions, whichever is 

later, but longer retention is 

authorized if required for 

business use.

DAA-GRS2019-0001-

0009
EXHIBIT G
2352.224-2B – Worksheet for Reporting a Loss or a Suspected Loss of Personally 

Identifiable Information (PII) (MAY 2019) 

INSTRUCTIONS 

The purpose of this worksheet is to assist individuals, entities (including contractors), or agencies 

who lose or suspect the loss of Social Security Administration (SSA) PII. (See Note number 1, 

below.) This worksheet should be used as an information-gathering tool to quickly organize and 

report to SSA the needed information about the loss or suspected loss. However, do not include 

PII specific to the loss on this worksheet. 

Employees and individuals should not wait until confirmation of loss occurred before reporting. 

Both confirmed and suspected losses should be timely reported. A delay may undermine the 

agency’s ability to apply preventative and remedial measures to protect the PII or reduce the risk 

of harm to potentially affected individuals. 

All PII losses, suspected or confirmed, should be reported within one (1) hour of discovery using 

the online PII Loss Reporting Tool (see Note number 2, below) or by calling SSA’s National 

Network Service Center (NNSC) at 1-877-697-4889. 

Notes: 

1. PII is information that can be used to distinguish or trace an individual’s identity, either 

along or when combined with other information that is linked or linkable to a specific 

individual (e.g., name, date of birth, Social Security number). 

2. The “PII Loss Reporting Tool” is located on the SSA Intranet and may not be accessible 

to all contractors. 

Basic Information for the Contractor for Reporting PII Loss (Suspected or Confirmed): 

a. Your primary agency contact for reporting PII breach incidents. This is: [Contracting 

Officer: Fill in the name and contact information (phone number(s), address, etc.) of the 

primary agency contact. This should be COR-COTR. For task-order contracts with various 

COR-TMs, write, “Also, contact the Task Manager.”] 

b. The alternates to this primary contact. They are as follows: 

 First Alternate: [Contracting Officer: Fill in the name and contact information (work 

phone number(s), address, etc.) of the First Alternate agency contact. This should be the 

Alternate COR-COTR.] 

 Second Alternate: [Contracting Officer: Fill in the name and contact information (work 

phone number(s), address, etc.) of the Second Alternate agency contact. If none, write “N/A.”] 

c. The contract number: [Contracting Officer: Fill in the contract number when available.] 
d. Agency/Entity/Office (see Item #1 of the worksheet): [Contracting Officer: fill in the office 

name of the program office where the contractor will be working, including the Deputy 

Commissioner-level office. If the answer can vary, e.g., under a task-order contract where there 

are a number of offices, you may write “Various” and instruct the COTR to have each Task 

Manager fill in this information and provide the filled-in copy to the contractor for distribution 

to its employees working under the task order.] 

1. Information about the individual making the report: 

 

Name: 

Position: 

 Agency/Entity/Office: 

Work Email Address: 

Work Phone Number: 

Date of Report to SSA: 

2. Is the individual, who was in possession of the data or to whom the data was 

assigned, different from the person making the report (as listed in #1)? 

Same as person making the report? [ ] Yes [ ] No 

If no, complete the following for the individual who was in possession/assigned the data: 

Name: 

Position: 

 

Agency/Entity/Office: 

 Work Email Address: 

Work Phone Number: 

3. Circumstances of the breach: 

Is the incident a result of robbery or theft? [ ] Yes [ ] No 

Did the incident include equipment? [ ] Yes [ ] No 
Full description of how the incident occurred: 

 

Date/Time of Incident: 

4. Information about the data that was lost/stolen: 

Describe what was lost or stolen: 

 

Did the incident occur while teleworking or performing duties at (or traveling to/from an 

alternative worksite? 

 

 Estimated number of individuals affected: 

What elements of PII did the data contain? 

[ ] Name [ ] Bank Account Information 

[ ] Social Security number [ ] Medical/Health Information

 [ ] Date of Birth [ ] Benefit Payment Information 

 [ ] Place of Birth [ ] Mother’s Maiden Name 

 [ ] Address [ ] Medicare Beneficiary Identifier 

[ ] Other (describe): 

Are you able to identify the individual(s) whose information was compromised? 

[ ] Yes [ ] No 

5. How was the data physically stored, packaged and/or contained? If electronic, check 

the appropriate response below: 

[ ] Laptop [ ] Workstation 

[ ] Hard Drive [ ] CD/DVD
 [ ] USB Drive [ ] Tablet 

 [ ] Server [ ] Cloud 

[ ] Cell Phone/Black Berry Phone Number: 

Hardware Make/Model: Hardware Serial Number: 

 

[ ] Email 

 

[ ] Other (describe): 

Was the device encrypted? [ ] Yes [ ] No 

Was the device password protected? [ ] Yes [ ] No 

Was a VPN SmartCard lost? [ ] Yes [ ] No 

6. Others contacted and reports filed about the breach: (Include Deputy 

Commissioner level, agency level, regional/associate level component names) 

Federal Protective Service Report: [ ] Yes [ ] No 

Local Police Report: [ ] Yes [ ] No 

AIRS Incident Reporting Form: [ ] Yes [ ] No 

SSA-342: [ ] Yes [ ] No 

Other: 

Have other SSA components been contacted? [ ] Yes [ ] No 

If so, please list other contacted SSA components (including the OIG): 

 

Media Interest: [ ] Yes [ ] No 

Congressional Interest: [ ] Yes [ ] No 

Actions Taken: 

 
Other Information: 

(End of clause) 
EXHIBIT H



EXHIBIT I
Updated 5/2016

Federal Investigations Notice

Fair Credit Reporting Act of 1970, as amended 

PLEASE TAKE NOTICE THAT ONE OR MORE CONSUMER CREDIT REPORTS MAY BE 

OBTAINED FOR EMPLOYMENT PURPOSES PURSUANT TO THE FAIR CREDIT 

REPORTING ACT, AS AMENDED, 15 U. S. C., §1681, ET SEQ. SHOULD A DECISION TO 

TAKE ANY ADVERSE ACTION AGAINST YOU BE MADE, BASED EITHER IN WHOLE 

OR IN PART ON THE CONSUMER CREDIT REPORT, THE CONSUMER REPORTING 

AGENCY THAT PROVIDED THE REPORT PLAYED NO ROLE IN THE AGENCY'S 

DECISION TO TAKE SUCH ADVERSE ACTION. 

Information provided by you on this form will be furnished to the consumer reporting agency in 

order to obtain information in connection with an investigation to determine your (1) fitness for 

Federal employment, (2) clearance to perform contractual service for the Federal Government, 

and/or (3) security clearance or access. The information obtained may be redisclosed to other 

Federal agencies for the above purposes and in fulfillment of official responsibilities to the extent 

that such disclosure is permitted by law. 

I hereby authorize the _____________________________ to obtain such report(s) from any 

(Name of Requesting Agency) 

consumer/credit reporting agency for employment purposes. 

________________________________ _______________________ 

 (Print Name) (SSN) 

_________________________________ _______________________ 

 (Signature) (Date)

Your Social Security Number is needed to keep records accurate, because other people may have 

the same name. Executive Order 9397 also asks Federal agencies to use this number to help 

identify individuals in agency records. 
Updated 5/2016

FAIR CREDIT AUTHORIZATION FORM 

A Summary of Your Rights Under the Fair Credit Reporting Act 

The federal Fair Credit Reporting Act (FCRA) promotes the accuracy, fairness, and privacy of 

information in the files of consumer reporting agencies. There are many types of consumer 

reporting agencies, including credit bureaus and specialty agencies (such as agencies that sell 

information about check writing histories, medical records, and rental history records). Here is a 

summary of your major rights under the FCRA. For more information, including information 

about additional rights, go to www.consumerfinance.gov/learnmore or write to: Consumer 

Financial Protection Bureau, 1700 G Street N.W., Washington, DC 20552. 

 You must be told if information in your file has been used against you. Anyone who 

uses a credit report or another type of consumer report to deny your application for credit, 

insurance, or employment – or to take another adverse action against you – must tell you, 

and must give you the name, address, and phone number of the agency that provided the 

information. 

 You have the right to know what is in your file. You may request and obtain all the 

information about you in the files of a consumer reporting agency (your “file 

disclosure”). You will be required to provide proper identification, which may include 

your Social Security number. In many cases, the disclosure will be free. You are entitled 

to a free file disclosure if: 

o a person has taken adverse action against you because of information in your 

credit report; 

o you are the victim of identity theft and place a fraud alert in your file; 

o your file contains inaccurate information as a result of fraud; 

o you are on public assistance; 

o you are unemployed but expect to apply for employment within 60 days. 

In addition, all consumers are entitled to one free disclosure every 12 months upon request from 

each nationwide credit bureau and from nationwide specialty consumer reporting agencies. See 

www.consumerfinance.gov/learnmore for additional information. 

 You have the right to ask for a credit score. Credit scores are numerical summaries of 

your credit-worthiness based on information from credit bureaus. You may request a 

credit score from consumer reporting agencies that create scores or distribute scores used 

in residential real property loans, but you will have to pay for it. In some mortgage 

transactions, you will receive credit score information for free from the mortgage lender. 

 You have the right to dispute incomplete or inaccurate information. If you identify 

information in your file that is incomplete or inaccurate, and report it to the consumer 

reporting agency, the agency must investigate unless your dispute is frivolous. See 

www.consumerfinance.gov/learnmore for an explanation of dispute procedures. 

 Consumer reporting agencies must correct or delete inaccurate, incomplete, or 

unverifiable information. Inaccurate, incomplete, or unverifiable information must be 

removed or corrected, usually within 30 days. However, a consumer reporting agency 

may continue to report information it has verified as accurate. 
Updated 5/2016

 Consumer reporting agencies may not report outdated negative information. In most 

cases, a consumer reporting agency may not report negative information that is more than 

seven years old, or bankruptcies that are more than 10 years old. 

 Access to your file is limited. A consumer reporting agency may provide information 

about you only to people with a valid need -- usually to consider an application with a 

creditor, insurer, employer, landlord, or other business. The FCRA specifies those with a 

valid need for access. 

 You must give your consent for reports to be provided to employers. A consumer 

reporting agency may not give out information about you to your employer, or a potential 

employer, without your written consent given to the employer. Written consent generally 

is not required in the trucking industry. For more information, go to 

www.consumerfinance.gov/learnmore. 

 You many limit “prescreened” offers of credit and insurance you get based on 

information in your credit report. Unsolicited “prescreened” offers for credit and 

insurance must include a toll-free phone number you can call if you choose to remove 

your name and address from the lists these offers are based on. You may opt out with the 

nationwide credit bureaus at 1-888-5-OPTOUT (1-888-567-8688). 

 You may seek damages from violators. If a consumer reporting agency, or, in some 

cases, a user of consumer reports or a furnisher of information to a consumer reporting 

agency violates the FCRA, you may be able to sue in state or federal court. 

 Identity theft victims and active duty military personnel have additional rights. For 

more information, visit www.consumerfinance.gov/learnmore. 

States may enforce the FCRA, and many states have their own consumer reporting laws. In 

some cases, you may have more rights under state law. For more information, contact your 

state or local consumer protection agency or your state Attorney General. For information 

about your federal rights, contact:

TYPE OF BUSINESS: CONTACT:

1.a. Banks, savings associations, and credit 

unions with total assets of over $10 billion and 

their affiliates 

b. Such affiliates that are not banks, savings 

associations, or credit unions also should list, 

in addition to the CFPB: 

a. Consumer Financial Protection Bureau 

1700 G Street, N.W. Washington, DC 20552

b. Federal Trade Commission: Consumer 

Response Center – FCRA

Washington, DC 20580 

(877) 382-4357 

2. To the extent not included in item 1 above: 

a. National banks, federal savings associations, 

and federal branches and federal agencies of 

foreign banks 

b. State member banks, branches and agencies 

of foreign banks (other than federal branches, 

federal agencies, and Insured State Branches of 

a. Office of the Comptroller of the Currency 

Customer Assistance Group 

1301 McKinney Street, Suite 3450 

Houston, TX 77010-9050 

b. Federal Reserve Consumer Help Center 

P.O. Box. 1200 

Minneapolis, MN 55480
Updated 5/2016

Foreign Banks), commercial lending 

companies owned or controlled by foreign 

banks, and organizations operating under 

section 25 or 25A of the Federal Reserve Act 

c. Nonmember Insured Banks, Insured State

Branches of Foreign Banks, and insured state

savings associations

d. Federal Credit Unions

c. FDIC Consumer Response Center

1100 Walnut Street, Box #11

Kansas City, MO 64106

d. National Credit Union Administration

Office of Consumer Protection (OCP)

Division of Consumer Compliance and

Outreach (DCCO)

1775 Duke Street

Alexandria, VA 22314

3. Air carriers Asst. General Counsel for Aviation 

Enforcement & Proceedings 

Aviation Consumer Protection Division 

Department of Transportation 

1200 New Jersey Avenue, S.E. 

Washington, DC 20590 

4. Creditors Subject to the Surface

Transportation Board

Office of Proceedings, Surface Transportation 

Board, Department of Transportation 

395 E Street, S.W. Washington, DC 20423 

5. Creditors Subject to the Packers and

Stockyards Act, 1921

Nearest Packers and Stockyards 

Administration Area Supervisor 

6. Small Business Investment Companies Associate Deputy Administrator for Capital 

Access, United States Small Business 

Administration 

409 Third Street, S.W., 8th Floor 

Washington, DC 20416 

7. Brokers and Dealers Securities and Exchange Commission 

100 F Street, N.E.

Washington, DC 20549 

8. Federal Land Banks, Federal Land Bank

Associations, Federal Intermediate Credit

Banks, and Production Credit Associations

Farm Credit Administration 

1501 Farm Credit Drive 

McLean, VA 22102-5090 

9. Retailers, Finance Companies, and All Other

Creditors Not Listed Above

FTC Regional Office for region in which the 

creditor operates or Federal Trade

Commission: Consumer Response Center –

FCRA 

Washington, DC 20580 (877) 382-4357 

Para información en español, visite www.consumerfinance.gov/learnmore o escribe a la 

Consumer Financial Protection Bureau, 1700 G Street N.W., Washington, DC 20552.
EXHIBIT J
 

 

 

 

 

 

Additional Questions for Public Trust Positions - Branching

INSTRUCTIONS 

This form is a supplement to the Standard Form 85P, Questionnaire for Public Trust Positions, currently in use in NBIB automated systems. Use 

of this form in addition to the e-QIP SF85P equates to the SF85P approved by OMB in October 2017. This is an interim collection method until 

 such time the SF85P is updated in e-QIP.

IDENTIFICATION INFORMATION 

1 - FULL NAME: Enter your name as it appears on your SF 85P, Questionnaire for Public Trust Positions.

Last Name First Name Middle Name Jr., II, etc. 

2 - NBIB CASE NUMBER: If applicable. 

PUBLIC TRUST QUESTIONS 

3 - EDUCATION: Have you received a degree more than seven (7) years ago? If YES, 

provide details in section 3A. 

Yes No 

3A – Education Details 

Dates of Attendance

FROM: 

TO: 

(MM/YY Month and Year)

Choose Type of

Qualification





Degree 

Other 

If other please provide: 

Date Awarded

MONTH:

YEAR: 

Choose the most appropriate

characterization of the school





College/University/Military 

College 

Vocational/Technical/Trade 

School 

 Correspondence/Distance/ 

Extension/Online School 

Name of School

Street Address of School City State Zip code

Use the continuation sheet on the back if you have more than one degree earned more than 7 years ago.

For each Yes response on questions 4 through 30, corresponding branching questions starting 

on page 5 must be completed.

Yes/No Questions Yes No

4 – Have you EVER been issued a passport (or identity card for travel) by a country other 

than the U.S.? 

5 – In the last seven (7) years, have you received a written warning, been officially 

reprimanded, suspended, or disciplined for misconduct in the workplace, such as violation of 

a security policy? 

6 – In the last seven (7) years, have you been subject to court martial or other disciplinary 

procedure under the Uniform Code of Military Justice (UCMJ), such as Article 15, Captain’s 

Mast, Article 135 Court of Inquiry, etc.? (If no prior military service, answer “No”.) 

7 – Have you EVER served as a civilian or military member, in a foreign country’s military, 

intelligence, diplomatic, security forces, militia, other defense force, or government agency? 

8 – Have you EVER been convicted of an offense involving domestic violence or a crime 

of violence (such as battery or assault) against your child, dependent, cohabitant, spouse 

or legally recognized civil union/domestic partner, former spouse or former legally 

recognized civil union/domestic partner, or someone with whom you share a child in 

common? 
9 – Is there currently a domestic violence protective order or restraining order issued against 

you? 

 

 

 

 

 

 

 

 

10 – In the last seven (7) years, have you illegally used any drugs or controlled substances? 

Use of a drug or controlled substance includes injecting, snorting, inhaling, swallowing, 

experimenting with or otherwise consuming any drug or controlled substance. 

11 – In the last seven (7) years, have you been involved in the illegal purchase, 

manufacture, cultivation, trafficking, production, transfer, shipping, receiving, handling or 

sale of any drug or controlled substance? 

12 – In the last seven (7) years, have you illegally used or otherwise been involved with a 

drug or controlled substance while employed as a law enforcement officer, prosecutor, or 

courtroom official; or while in a position directly and immediately affecting the public safety 

other than previously listed? 

13 – In the last seven (7) years, have you intentionally engaged in the misuse of prescription 

drugs, regardless of whether or not the drugs were prescribed for you or someone else? 

Yes/No Questions Yes No 

14 – In the last seven (7) years, have you been ordered, advised, or asked to seek 

counseling or treatment as a result of your illegal use of drugs or controlled substances? 

15 – In the last seven (7) years, have you voluntarily sought counseling or treatment as a 

result of your use of a drug or controlled substance? 

16 – In the last seven (7) years, have you filed a petition under any chapter of the 

bankruptcy code? 

17 – In the last seven (7) years, have you failed to meet financial obligations due to 

gambling? 

18 – In the past seven (7) years, have you failed to file or pay Federal, state or other taxes 

when required by law or ordinance? 

19 – In the past seven (7) years, have you been over 120 days delinquent on any debt? 

(Include financial obligations for which you were the sole debtor, as well as those for which 

you were a cosigner or guarantor.) 

20 – In the last seven (7) years, has your use of alcohol had a negative impact on your work 

performance, your professional relationships, or resulted in intervention by law 

enforcement/public safety personnel? 

21 – In the last seven (7) years, have you illegally or without proper authorization 

accessed or attempted to access any information technology system? 
 

 

 

 

 

 

Yes/No Questions Yes No 

22 – In the last seven (7) years, have you illegally or without authorization, modified, 

destroyed, manipulated, or denied others access to information residing on an information 

technology system or attempted any of the above? (Above refers to the actions listed in this 

question) 

23 – In the last seven (7) years, have you introduced, removed, or used hardware, 

software, or media in connection with any information technology system without 

authorization, when specifically prohibited by rules, procedures, guidelines, or regulations or 

attempted any of the above? (Above refers to the actions listed in this question) 

24 – Are you now or have you EVER been a member of an organization dedicated to 

terrorism, either with an awareness of the organization’s dedication to that end, or with the 

specific intent to further such activities? 

25 – Have you EVER knowingly engaged in any acts of terrorism? 

26 – Have you EVER advocated any acts of terrorism or activities designed to overthrow 

the U.S. Government by force? 

27 – Have you EVER been a member of an organization dedicated to the use of violence 

or force to overthrow the U.S. Government, and which engaged in activities to that end with 

an awareness of the organization’s dedication to that end or with the specific intent to 

further such activities? 

28 – Have you EVER been a member of an organization that advocates or practices 

commission of acts of force or violence to discourage others from exercising their rights 

under the U.S. Constitution or any state of the United States with the specific intent to further 

such action? 

29 – Have you EVER knowingly engaged in activities designed to overthrow the 

U.S. Government by force? 

30 – Have you EVER associated with anyone involved in activities to further terrorism? 

CERTIFICATION 

Certification That My Answers Are True 

My statements on this form, and any attachments to it, are true, complete, and correct to the best of my 

knowledge and belief and are made in good faith. I understand that a knowing and willful false statement on 

this form can be punished by fine or imprisonment or both. (See section 1001 of title 18, United States Code). 

Signature Date 
Question 4

4a. Country in which the passport (or identity card ) was issued

4b. Date the passport (or identity card) was issued

4c. Place the passport (or identity card) was issued (City and Country)

4d. Full Name under which passport (or identity card) was issued 

4e. Passport (or identity card) Number

4f. Passport (or identity card) expiration date

4g. What is the reason for the foreign passport (or identity card)?

4h. Have you ever used this passport (or identity card) for foreign travel? No Yes 

4i. Countries to which you have traveled on this passport (or identity card) and the dates involved with each

4j. Do you have an additional foreign passport (or identity card)?

If yes, please use the continuation sheet on page 20 to provide the information

Question 5

5a. Date of incident (Month/Year)

5b. Reason/details

5c. Location of incident (Street address, City, State, Zip Code or Country)

5d. Final outcome/result

5e. Date of outcome/result (Month/Year)

Country From To

Country From To

Country From To 

Country From To

Country From To

Country From To

5f. Do you have other incidents to report? Yes No

Yes No

Estimated

Estimated

If yes, please use the continuation sheet on page 20 to provide the information
Question 6

6a. Date of the court martial or other disciplinary procedure

(month/year)

6b. Description of the Uniform Code of Military Justice (UCMJ) offense(s) for which you were charged

6c. Name of the disciplinary procedure, such as court martial, Article15, Captains Mast, Article 135 Court of inquiry, etc...

6d. Description of the military court or other authority in which you were charged (title of court 

or convening authority, address, to include city and state or country if overseas)

6e. Description of the final outcome of the disciplinary procedure, such as found guilty, found not 

guilty, fine, reduction of rank, imprisonment, etc.

6f. Do you have other instances of military discipline in the last seven years? Yes No

If yes, please use the continuation sheet on page 20 to provide the information

Question 7

7a. During your foreign service, which organization were you serving under:

Military (Army, Navy, Air Force, Marines, etc. Intelligence Service

Diplomatic Service 

Militia 

Security Forces

Other Defense Forces (Specify)

Other Government Agency (Specify)

If other Government Agency or Defense Forces, please specify

7b. Name of the foreign organization

7c. Period of Service (Estimated)

7d. Name of Country Served 7e. Highest position/rank held 

7f. Division/department/office in which you served 

7g. Describe the circumstances of your association with this organization

7h. Describe reason for leaving this service

7i. Do you have further foreign service? Yes No

If yes, please use the continuation sheet on page 20 to provide the information

Estimated
Question 8

8a. Date of the offense (Month/Year) Estimated

8b. Describe the nature of the offense 

8c. Name of the court 8d. Court location (Street address, City, State, Zip Code or Country

8e. Provide all charges brought against you for this offense, and the outcome of each charged offense (such as 

found guilty, found not guilty, or charge dropped or "nolle pros," etc.). If you were found guilty of or plead guilty to a 

lesser offense, list both the original charge and the lesser offense separately.

8f. Felony/Misdemeanor/Other? 8g. What was the charge

8h. Date of the outcome (Month/Year)

8i. Were you sentenced as a result of these charges? Yes No

1. If yes, describe the sentence

2. Were you sentenced to imprisonment for a term exceeding one year? No

3. Were you incarcerated as a result of that sentence for not less than 1 year? Yes No

4. If the conviction resulted in

imprisonment, provide the dates that

you were incarcerated

From

To

8j. If no to being sentenced, are you currently on trial, awaiting trial, or awaiting sentencing on

criminal charges for this offense? Explain

8k. Do you have any other offenses? 

If yes, please use the continuation sheet on page 20 to provide 

information Question 9

 9a. Date the order was issued Estimated

 9b. Name of the court or agency that issued the order.

9c. Location of court or agency that issued the order (Street address, City, State, Zip Code, Country) 

9d. Do you have any other domestic violence protective orders or restraining 

orders currently issued against you? Yes No

Yes

Yes No

If yes, please use the continuation sheet on page 20 to provide information
 Estimated

Question 10

10a. Type of drug or controlled substance:

Cocaine or crack cocaine (Such as rock, freebase, etc.) 

Stimulants (Such as amphetamines, speed, crystal meth, ecstasy, etc.)

THC (Such as marijuana, weed, pot, hashish, etc.)

Depressants (Such as barbituates, methaqualone, tranquilizers, etc)

Ketamine (Such as special K, jet, etc)

Narcotics (Such as opium, morphine, codeine, heroine, etc.)

Hallucinogenic (Such as LSD, PCP, mushrooms, etc.)

Steroids (Such as the clear, juice, etc.)

Inhalants (Such as toluene, amyl nitrate, etc.)

Other (Provide Explanation)

10b. Estimate month and year of first use Estimated

10c. Estimate month and year of most recent use

10d. Nature of use, frequency and number of times used

10e. Was your use while you were employed as a law enforcement officer, prosecutor, or courtroom

official, or while in a position directly and immediately affecting public safety? Yes No

10f. Was your use while possessing a security clearance? Yes No

10g. Do you intend to use this drug or controlled substance in the future? Yes No

10h. Explain why you intend or do not intend to use this drug or controlled substance in the future.

Yes No

10i. Do you have an additional instance(s) of illegal use of a drug or controlled substance?

If yes, please use the continuation sheet on page 20 to provide information

Question 11

11a. Type of drug or controlled substance:

Cocaine or crack cocaine (Such as rock, freebase, etc.) 

Stimulants (Such as amphetamines, speed, crystal meth, ecstasy, etc.)

THC (Such as marijuana, weed, pot, hashish, etc.)

Depressants (Such as barbituates, methaqualone, tranquilizers, etc)

Ketamine (Such as special K, jet, etc)

Narcotics (Such as opium, morphine, codeine, heroine, etc.)

Hallucinogenic (Such as LSD, PCP, mushrooms, etc.)

Steroids (Such as the clear, juice, etc.)

Inhalants (Such as toluene, amyl nitrate, etc.)

Other (Provide Explanation)

11b. Estimate month and year of first involvement 

11c. Estimate month and year of most recent involvement Estimated

Estimated
11d. Nature of involvement and frequency

11e. Reason for engagement in the activity

11f. Was your involvement while you were employed as a law enforcement officer, prosecutor, or courtroom 

official, or while in a position directly and immediately affecting public safety? Yes No

11g. Was your involvement while possessing a security clearance? Yes No

11h. Do you intend to be involved with this drug or controlled substance in the future? Yes No

11i. Explain why you intend or do not intend to be involved with this drug or controlled substance in the future

11j. Do you have an additional instance(s) of illegal involvement with any drug or controlled substance?

If yes, please use the continuation sheet on page 20 to provide information Yes No

Question 12

12a. Describe the drugs or controlled substances used and your involvement

12b. Dates of involvement From To Estimated

12c. Estimate the number of times you used and/or were involved with this drug or controlled substance

 while employed in this capacity

12d. Do you have an additional instance(s) of illegal use or involvement with a drug or controlled 

substance while employed as a law enforcement officer, prosecutor, or courtroom official; or while in 

a position directly and immediately affecting the public safety? Yes No

If yes, please use the continuation sheet on page 20 to provide information

Question 13

13a. Name of the prescription drug that you misused

13b. Dates of involvement From To Estimated

13c. Reason(s) for and circumstances of the misuse of the prescription drug
13d. Was your involvement while you were employed as a law enforcement officer, prosecutor, or courtroom 

official, or while in a position directly and immediately affecting the public safety?

Yes No

13e. Was your involvement while possessing a security clearance? Yes No

13f. Do you have additional instance(s) of intentionally engaging in the misuse of prescription 

drugs in the last seven (7) years? Yes No

If yes, please use the continuation sheet on page 20 to provide information

Question 14

14a. Have any of the following ordered, advised, or asked you to seek counseling or treatment as a result of

your illegal use of drugs or controlled substances?

An employer, military commander, or employee assistance program

A medical professional

A mental health professional

A court official/judge

14b. If you have not been ordered, advised, or asked to seek counseling or treatment by one of partie

already mentioned, explain

s

14c. Did you take action to receive counseling or treatment? Yes No

1. If no, explain

2. If yes, type of drug or controlled substance for which you were treated:

A. Type of drug or controlled substance for which you were treated:

Cocaine or crack cocaine (Such as rock, freebase, etc.) 

Stimulants (Such as amphetamines, speed, crystal meth, ecstasy, etc.)

THC (Such as marijuana, weed, pot, hashish, etc.)

Depressants (Such as barbituates, methaqualone, tranquilizers, etc)

Ketamine (Such as special K, jet, etc)

Narcotics (Such as opium, morphine, codeine, heroine, etc.)

Hallucinogenic (Such as LSD, PCP, mushrooms, etc.)

Steroids (Such as the clear, juice, etc.)

Inhalants (Such as toluene, amyl nitrate, etc.)

Other (Provide Explanation)

B. Name of the treatment provider (Last name, First Name)

C. Address for the treatment provider (address, City, State, Zip Code, or Country )
D. Phone Number of the treatment provider

E. Dates of Treatment From To Estimated

F. Did you successfully complete the treatment? Yes No

1. If no, explain?

14d. Do you have any other instances of having been ordered, advised, or asked to seek drug or

controlled substance counseling or treatment in the last seven (7) years? Yes No

If yes, please us the continuation sheet on page 20 to provide information

Question 15

15a. Type of drug or controlled substance for which you were treated:

Cocaine or crack cocaine (Such as rock, freebase, etc.) 

Stimulants (Such as amphetamines, speed, crystal meth, ecstasy, etc.)

THC (Such as marijuana, weed, pot, hashish, etc.)

Depressants (Such as barbituates, methaqualone, tranquilizers, etc)

Ketamine (Such as special K, jet, etc)

Narcotics (Such as opium, morphine, codeine, heroine, etc.)

Hallucinogenic (Such as LSD, PCP, mushrooms, etc.)

Steroids (Such as the clear, juice, etc.)

Inhalants (Such as toluene, amyl nitrate, etc.)

Other (Provide Explanation)

15b. Name of the treatment provider (Last name, First name)

15c. Address for the treatment provider (address, City, State, Zip Code, or Country )

15d. Phone Number of the treatment provider

15e. Dates of Treatment From To Estimated 

15f. Did you successfully complete the treatment? Yes No

If no, explain?

15g. Do you have any other instances of ever voluntarily seeking counseling or treatment as a result 

of your use of a drug or controlled substance? Yes No

If yes, please use the continuation sheet on page 20 to provide information

 

 
Question 16

16a. Type of bankrupcy petition: Chapter 7 Chapter 11 Chapter 12 Chapter 13

1. If Chapter 12 or 13, provide: Name of Trustee

2. Address of Trustee (Street address, City, State, Zip Code or Country)

16b. Bankrupcy court docket/account number

16c. Date bankrupcy was filed Estimated

16d. Date of bankrupcy discharge Estimated

16e. Total amount (in U.S. dollars) involved in the bankrupcy Estimated

16f. Name debt is recorded under (Last, First, Middle, Suffix)

16g. Name of court involved

16h. Address of court involved (Street address, City, State, Zip Code or Country)

16i. Were you discharged of all debts claimed in the bankrupcy? Explain

16j. In the past seven (7) years, have you filed any additional petitions under any chapter of the bankrupcy

code? Yes No

If yes, please use the continuation sheet on page 20 to provide information

Question 17

17a. Date range of your financial problems due to gambling From To Estimated

17b. Estimate the amount (in U.S. dollars) of gambling losses incurred

17c. Describe your financial problems due to gambling

17d. If you have taken any action(s) to rectify your financial problems due to gambling, describe 

your actions. If you have not taken any action(s), explain

 
17e. In the last seven (7) years, have you failed to meet other financial obligations due to gambling?

Yes 

If yes, please use the continuation sheet on page 20 to provide information

Question 18

18a. Did you fail to file, pay as required, or both?

To file Pay as required Both

18b. Year you failed to file or pay your federal, state, or other taxes

18c. Reason(s) for your failure to file or pay required taxes

18d. Federal, state or other agency to which you failed to file or pay taxes

18e. Type of taxes you failed to file or pay (such as property, income, sales, etc.)

18f. Amount (in U.S. dollars) of the taxes Estimated

18g. Date satisfied (Estimated), if applcable

18h. Describe any action(s) you have taken to satisfy this debt (such as withholdings, frequency and 

amount of payments, etc.) If you have not taken any action(s), explain

18i. Are there any other instances in the past seven (7) years where you failed to file or pay federal,

state or other taxes when required by law or ordinance? Yes No

If yes, please use the continuation sheet on page 20 to provide information

Question 19

19a. Loan/account number(s) involved

19b. Identify/describe the type of property involved (if any)

19c. Amount (in U.S. dollars) of the financial issue (Estimated)

19d. Reason(s) for the financial issue

19e. Current status of the financial issue

19f. Date the financial issue began

19g. Date the financial issue was resolved, if applicable

 

No
19h. Describe any action(s) you have taken to satisfy this debt (such as withholdings, fequency and 

amount of payments, etc.). If you have not taken any action(s), explain 

19i. Do you have another delinquent debt of 120 days or more in the last seven(7) years?

Yes No

If yes, please use the continuation sheet on page 20 to provide information

Question 20

20a. Month/Year when this negative impact occurred Estimated

20b. Explain the circumstances and the negative impact

20c. Dates of involvement or use From To Estimated

20d. Has the use of alcohol had any other negative impacts on your work performance, your professional 

relationships, or resulted in intervention by law enforcement/public safety personnel?

Yes No

If so, please use the continuation sheet on page 19 to provide information

20e. In the last seven (7) years, have you been ordered, advised, or asked to seek counseling or 

treatment as a result of your use of alcohol? Yes No

1. If yes, did you take action to seek counseling or treatment? Yes No

2. If no action taken, please explain

20f. If yes to taking action to seek counseling or treatment

1. Dates of counseling or treatment From To Estimated

2. Name of the individual counselor or treatment provider

3. Address of the counseling/treatment provider (Street address, City, State, Zip Code or Country)

4. Telephone number (Number/extension)

5. Did you successfully complete the treatment program? Yes No

6. If no, please explain
20g. Do you have additional instances of having been ordered, advised, or asked to seek counseling or 

treatment as a result of your use of alcohol? Yes No

If so, please use the continuation sheet on page 20 to provide information 

20h. In the last seven (7) years, have you voluntarily sought counseling or treatment as a result of your use 

of alcohol? Yes No

1. Dates of counseling or treatment From To Estimated

2. Name of the individual counselor or treatment provider

3. Address of the counseling/treatment provider (Street address, City, State, Zip Code or Country)

4. Telephone number (Number/extension)

5. Did you successfully complete the treatment program? Yes No

6. If no, please explain

20i. Do you have additional instances where you have voluntarily sought counseling or 

treatment resulting from your use of alcohol? Yes No

If yes, please use the continuation sheet on page 20 to provide information

Question 21

21a. Date of the incident (Month/Year) Estimated

21b. Describe the nature of the incident or offense

21c. Location of the incident (Street address and City, State, Zip Code or Country)

21d. Describe the action (administrative, criminal, or other) taken as a result of this incident

21e. Are there any other incidents? Yes No

If yes, please use the continuation sheet on page 20 to provide information

Question 22

22a. Date of the incident (Month/Year) Estimated

22b. Describe the nature of the incident or offense

 
22c. Location of the incident (Street address and City, State, Zip Code or Country)

22d. Describe the action (administrative, criminal, or other) taken as a result of this incident

22e. Are there any other incidents? Yes No

If yes, please use the continuation sheet on page 20 to provide information

Question 23

23a. Date of the incident (Month/Year) Estimated

23b. Describe the nature of the incident or offense

23c. Location of the incident (Street address and City, State, Zip Code or Country)

23d. Describe the action (administrative, criminal, or other) taken as a result of this incident

23e. Are there any other incidents? Yes No

If yes, please use the continuation sheet on page 20 to provide information

Question 24

24a. Full name of the organization

24b. Address/location of the organization (Street address, City, State, Zip Code or Country)

24c. Dates of your involvement with the organization

From To Estimated

24d. All positions held in the organization, if any

24e. All contributions made to the organization, if any

24f. Describe the nature of and reasons for your involvement with the organization

 
24g. Do you have any other instances of being a member of an organization dedicated to 

terrorism, either with an awareness of the organizations dedication to that end, or with 

the specific intent to further such activities? Yes No

If yes, please use the continuation sheet on page 20 to provide information

Question 25

25a. Describe the nature and reasons for the activity

25b. Dates for any such activities From To Estimated

25c. Do you have any other instances of knowingly engaging in acts of terrorism? 

Yes No

If yes, please use the continuation sheet on page 20 to provide information

Question 26

26a. Reason(s) for advocating acts of terrorism

26b. Dates of advocating acts of terrorism From To Estimated

26c. Do you have any other instances of advocating acts of terrorism or activities designed 

to overthrow the U.S. Government by force? Yes No

If yes, please use the continuation sheet on page 20 to provide information

Question 27

27a. Full name of the organization

27b. Address/location of the organization (Street address, City, State, Zip Code or Country)

27c. Dates of your involvement with the organization From To Estimated

27d. All positions held in the organization, if any

27e. All contributions made to the organization, if any

27f. Describe the nature of and reasons for your involvement with the organization
27g. Do you have any other instances of being a member of an organization dedicated to the use 

of violence or force to overthrow the U.S. Government, which engaged in activities to that end

with an awareness of the organizations dedication to that end or with the specific intent to further

such activities? Yes No

If yes, please use the continuation sheet on page 20 to provide information

Question 28

28a. Full name of the organization

28b. Address/location of the organization (Street address, City, State, Zip Code or Country)

28c. Dates of your involvement with the organization 

From To

28d. All positions held in the organization, if any

28e. All contributions made to the organization, if any

28f. Describe the nature of and reasons for your involvement with the organization

28g. Do you have any other instances of being a member of an organization that advocates or 

practices commission of acts of force or violence to discourage others from exercising their 

rights under the U.S. Constitution or any state of the United States with the specific intent to 

further such action? Yes No

If yes, please use the continuation sheet on page 20 to provide information

Question 29

29a. Describe the nature and reasons for the activity

29b. Dates of such activities From To Estimated

29c. Do you have any other instances of having knowingly engaged in activities designed to

overthrow the U.S. government by force? Yes No

If yes, please use the continuation sheet on page 20 to provide information
30a. Have you ever associated with anyone involved in activities to further terrorism? Explain

Question 30
Continuation sheet

For any questions you have additional information for, please refer to the question number, then provide 

all information that was requested in that section. 
EXHIBIT K
Exhibit K

CONTACT INFORMATION

Print Management Branch

LEAD

Social Security Administration

Cheryl Tarver,

Room 1300 Annex Building,

6401 Security Boulevard, 

Baltimore, MD 21235-6401

Phone-(410)965-7253 Fax-(410)965-6400

Cheryl.Tarver@ssa.gov

Technical Advisor

Social Security Administration 

Kenneth Wetzelberger,

Room 1300 Annex Building,

6401 Security Boulevard, 

Baltimore, MD 21235-6401

Phone-(410)966-7109 Fax-(410)965-6400

Kenneth.wetzelberger@ssa.gov

Mail and Postage Policy Team

Social Security Administration 

Attn: Michael (ML) Williams

1300 Annex Bldg.,

6401 Security Boulevard, 

Baltimore, MD 21235-6401

Phone-(410)965-5055 Fax-(410)965-6400

 M.L.Williams@ssa.gov

Help Desk

410-965-2580

GPO

Starr Thompson

202.512.2114

sthopson@gpo.gov
EXHIBIT L
Questionnaire for Public Trust Positions 

Standard Form 85P 

Revised September 1995 OMB No. 3206-0191 

Form approved: 

Follow instructions fully or we cannot process your form. Be sure to sign and date the certification statement on Page 7 and the release on 

Page 8. If you have any questions, call the office that gave you the form. 

Purpose of this Form 

The U.S. Government conducts background investigations and 

reinvestigations to establish that applicants or incumbents either 

employed by the Government or working for the Government under 

contract, are suitable for the job and/or eligible for a public trust or 

sensitive position. Information from this form is used primarily as the 

basis for this investigation. Complete this form only after a conditional 

offer of employment has been made. 

These include documentation of any legal name change, Social Security 

card, and/or birth certificate. 

You may also be asked to bring documents about information you 

provided on the form or other matters requiring specific attention. 

These matters include alien registration, delinquent loans or taxes, 

bankruptcy, judgments, liens, or other financial obligations, agreements 

involving child custody or support, alimony or property settlements, 

Giving us the information we ask for is voluntary. However, we may arrests, convictions, probation, and/or parole.

not be able to complete your investigation, or complete it in a timely 

manner, if you don’t give us each item of information we request. This 

may affect your placement or employment prospects. 

Instructions for Completing this Form 

1. Follow the instructions given to you by the person who gave you the

form and any other clarifying instructions furnished by that person to

assist you in completion of the form. Find out how many copies of the

form you are to turn in. You must sign and date, in black ink, the

original and each copy you submit.

Authority to Request this Information 

The U.S. Government is authorized to ask for this information under 

Executive Orders 10450 and 10577, sections 3301 and 3302 of title 5, 

U.S. Code; and parts 5, 731, 732, and 736 of Title 5, Code of Federal 

Regulations. 2. Type or legibly print your answers in black ink (if your form is not

legible, it will not be accepted). You may also be asked to submit your

Your Social Security number is needed to keep records accurate, form in an approved electronic format.

because other people may have the same name and birth date. Executive 

Order 9397 also asks Federal agencies to use this number to help 

identify individuals in agency records. 

3. All questions on this form must be answered. If no response is

necessary or applicable, indicate this on the form (for example, enter

"None" or "N/A"). If you find that you cannot report an exact date,

approximate or estimate the date to the best of your ability and indicate

this by marking "APPROX." or "EST."

The Investigative Process 

Background investigations are conducted using your responses on this 

form and on your Declaration for Federal Employment (OF 306) to 

develop information to show whether you are reliable, trustworthy, of 

good conduct and character, and loyal to the United States. The 

information that you provide on this form is confirmed during the 

investigation. Your current employer must be contacted as part of the 

investigation, even if you have previously indicated on applications or 

other forms that you do not want this. 

4. Any changes that you make to this form after you sign it must be

initialed and dated by you. Under certain limited circumstances,

agencies may modify the form consistent with your intent.

5. You must use the State codes (abbreviations) listed on the back of

this page when you fill out this form. Do not abbreviate the names of

cities or foreign countries.

In addition to the questions on this form, inquiry also is made about a 

person’s adherence to security requirements, honesty and integrity, 

vulnerability to exploitation or coercion, falsification, misrepresentation, and any other behavior, activities, or associations that 

tend to show the person is not reliable, trustworthy, or loyal. 

6. The 5-digit postal ZIP codes are needed to speed the processing of

your investigation. The office that provided the form will assist you in

completing the ZIP codes. 

7. All telephone numbers must include area codes.

8. All dates provided on this form must be in Month/Day/Year or

Month/Year format. Use numbers (1-12) to indicate months. For

example, June 10, 1978, should be shown as 6/10/78.

Your Personal Interview 

Some investigations will include an interview with you as a normal part 

of the investigative process. This provides you the opportunity to 

update, clarify, and explain information on your form more completely, 

which often helps to complete your investigation faster. It is important 

that the interview be conducted as soon as possible after you are 

contacted. Postponements will delay the processing of your 

investigation, and declining to be interviewed may result in your 

investigation being delayed or canceled. 

9. Whenever "City (Country)" is shown in an address block, also

provide in that block the name of the country when the address is

outside the United States.

10. If you need additional space to list your residences or

employments/self-employments/unemployments or education, you

should use a continuation sheet, SF 86A. If additional space is needed

to answer other items, use a blank piece of paper. Each blank piece of

paper you use must contain your name and Social Security Number

at the top of the page.

You will be asked to bring identification with your picture on it, such as 

a valid State driver’s license, to the interview. There are other 

documents you may be asked to bring to verify your identity as well. 

U.S. Office of Personnel Management 

5 CFR Parts 731, 732, and 736 

NSN 7540-01-317-7372 

85-1602 
Your prospects of placement are better if you answer all questions 

truthfully and completely. You will have adequate opportunity to 

explain any information you give us on the form and to make your

comments part of the record.

Final Determination on Your Eligibility 

Final determination on your eligibility for a public trust or sensitive 

position and your being granted a security clearance is the responsibility 

of the Office of Personnel Management or the Federal agency that 

requested your investigation. You may be provided the opportunity 

personally to explain, refute, or clarify any information before a final 

decision is made. 

Disclosure of Information

The information you give us is for the purpose of investigating you for a 

position; we will protect it from unauthorized disclosure. The 

collection, maintenance, and disclosure of background investigative 

information is governed by the Privacy Act. The agency which 

requested the investigation and the agency which conducted the 

investigation have published notices in the Federal Register describing

the system of records in which your records will be maintained. You

may obtain copies of the relevant notices from the person who gave you

this form. The information on this form, and information we collect

during an investigation may be disclosed without your consent as 

permitted by the Privacy Act (5 USC 552a(b)) and as follows: 

Penalties for Inaccurate or False Statements 

The U.S. Criminal Code (title 18, section 1001) provides that knowingly 

falsifying or concealing a material fact is a felony which may result in 

fines of up to $10,000, and/or 5 years imprisonment, or both. In 

addition, Federal agencies generally fire, do not grant a security 

clearance, or disqualify individuals who have materially and 

deliberately falsified these forms, and this remains a part of the 

permanent record for future placements. Because the position for which 

you are being considered is one of public trust or is sensitive, your 

trustworthiness is a very important consideration in deciding your 

suitability for placement or retention in the position. 

PRIVACY ACT ROUTINE USES 

1. To the Department of Justice when: (a) the agency or any component thereof; or 

(b) any employee of the agency in his or her official capacity; or (c) any employee of 

the agency in his or her individual capacity where the Department of Justice has 

agreed to represent the employee; or (d) the United States Government, is a party to 

litigation or has interest in such litigation, and by careful review, the agency 

determines that the records are both relevant and necessary to the litigation and the 

use of such records by the Department of Justice is therefore deemed by the agency 

to be for a purpose that is compatible with the purpose for which the agency 

collected the records. 

2. To a court or adjudicative body in a proceeding when: (a) the agency or any 

component thereof; or (b) any employee of the agency in his or her official capacity; 

or (c) any employee of the agency in his or her individual capacity where the 

Department of Justice has agreed to represent the employee; or (d) the United 

States Government is a party to litigation or has interest in such litigation, and by 

careful review, the agency determines that the records are both relevant and 

necessary to the litigation and the use of such records is therefore deemed by the 

agency to be for a purpose that is compatible with the purpose for which the agency 

collected the records. 

3. Except as noted in Question 21, when a record on its face, or in conjunction with 

other records, indicates a violation or potential violation of law, whether civil, criminal, 

or regulatory in nature, and whether arising by general statute, particular program 

statute, regulation, rule, or order issued pursuant thereto, the relevant records may 

be disclosed to the appropriate Federal, foreign, State, local, tribal, or other public 

authority responsible for enforcing, investigating or prosecuting such violation or 

charged with enforcing or implementing the statute, rule, regulation, or order. 

4. To any source or potential source from which information is requested in the 

course of an investigation concerning the hiring or retention of an employee or other 

personnel action, or the issuing or retention of a security clearance, contract, grant, 

license, or other benefit, to the extent necessary to identify the individual, inform the 

source of the nature and purpose of the investigation, and to identify the type of 

information requested. 

5. To a Federal, State, local, foreign, tribal, or other public authority the fact that this 

system of records contains information relevant to the retention of an employee, or 

the retention of a security clearance, contract, license, grant, or other benefit. The 

other agency or licensing organization may then make a request supported by 

written consent of the individual for the entire record if it so chooses. No disclosure 

will be made unless the information has been determined to be sufficiently reliable to 

support a referral to another office within the agency or to another Federal agency for 

criminal, civil, administrative, personnel, or regulatory action. 

6. To contractors, grantees, experts, consultants, or volunteers when necessary to 

perform a function or service related to this record for which they have been 

engaged. Such recipients shall be required to comply with the Privacy Act of 1974, 

as amended. 

7. To the news media or the general public, factual information the disclosure of 

which would be in the public interest and which would not constitute an unwarranted 

invasion of personal privacy. 

8. To a Federal, State, or local agency, or other appropriate entities or individuals, or 

through established liaison channels to selected foreign governments, in order to 

enable an intelligence agency to carry out its responsibilities under the National 

Security Act of 1947 as amended, the CIA Act of 1949 as amended, Executive Order 

12333 or any successor order, applicable national security directives, or classified 

implementing procedures approved by the Attorney General and promulgated 

pursuant to such statutes, orders or directives. 

9. To a Member of Congress or to a Congressional staff member in response to an 

inquiry of the Congressional office made at the written request of the constituent 

about whom the record is maintained. 

10. To the National Archives and Records Administration for records management 

inspections conducted under 44 USC 2904 and 2906. 

11. To the Office of Management and Budget when necessary to the review of 

private relief legislation. 

STATE CODES (ABBREVIATIONS) 

Alabama AL 

Alaska AK 

Arizona AZ 

Arkansas AR 

California CA 

Colorado CO 

Connecticut CT 

Delaware DE 

Florida FL 

Georgia GA 

American Samoa AS 

Trust Territory TT 

Hawaii HI 

Idaho ID 

Illinois IL 

Indiana IN 

Iowa IA 

Kansas KS 

Kentucky KY 

Louisiana LA 

Maine ME 

Maryland MD 

District of Columbia DC 

Virgin Islands VI 

Massachusetts MA 

Michigan MI 

Minnesota MN 

Mississippi MS 

Missouri MO 

Montana MT 

Nebraska NE 

Nevada NV 

New Hampshire NH 

New Jersey NJ 

Guam GU 

New Mexico NM 

New York NY 

North Carolina NC 

North Dakota ND 

Ohio OH 

Oklahoma OK 

Oregon OR 

Pennsylvania PA 

Rhode Island RI 

South Carolina SC 

Northern Marianas CM 

South Dakota SD 

Tennessee TN 

Texas TX 

Utah UT 

Vermont VT 

Virginia VA 

Washington WA 

West Virginia WV 

Wisconsin WI 

Wyoming WY 

Puerto Rico PR 

PUBLIC BURDEN INFORMATION 

Public burden reporting for this collection of information is estimated to average 60 minutes per response, including time for reviewing instructions, 

searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send 

comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden to Reports 

and Forms Management Officer, U.S. Office of Personnel Management, 1900 E Street, N.W., Room CHP-500, Washington, D.C. 20415. Do not send 

your completed form to this address. 
Standard Form 85P (EG) Form approved: 

Revised September 1995 QUESTIONNAIRE FOR 

PUBLIC TRUST POSITIONS 

OMB No. 3206-0191 

U.S. Office of Personnel Management NSN 7540-01-317-7372 

5 CFR Parts 731, 732, and 736 85-1602 

OPM 

USE 

ONLY 

Codes Case Number 

Agency Use Only (Complete items A through P using instructions provided by USOPM) 

A Type of 

Investigation 

B Extra 

Coverage 

C Sensitivity/ 

Risk Level 

D Compu/ 

ADP 

E Nature of 

Action Code 

F Date of 

Action 

Month Day Year 

G Geographic 

Location 

H Position 

Code 

I Position 

Title 

J 

SON 

K Location 

of Official 

Personnel 

Folder 

None 

NPRC 

At SON 

Other Address ZIP Code 

L 

SOI 

M Location 

of Security 

Folder 

None 

At SOI 

NPI 

Other Address ZIP Code 

NOPAC-ALC 

Number 

O Accounting Data and/or 

Agency Case Number 

P Requesting Name and Title 

Official 

Signature Telephone Number 

( ) 

Date 

Persons completing this form should begin with the questions below. 

1 FULL 

NAME 

If you have only initials in your name, use them and state (IO). 

If you have no middle name, enter "NMN". 

- If you are a "Jr.," "Sr.," "II," etc., enter this in the 

box after your middle name. 

Last Name First Name Middle Name Jr., II, etc. 

2 DATE OF 

BIRTH 

Month Day Year 

3 PLACE OF BIRTH - Use the two letter code for the State. 

City County State Country (if not in the United States) 

4 SOCIAL SECURITY NUMBER 

5 OTHER NAMES USED 

Name 

#1 

Month/Year 

To 

Month/Year 

Name 

#2 

Month/Year 

To 

Month/Year 

Name 

#3 

Month/Year 

To 

Month/Year 

Name 

#4 

Month/Year 

To 

Month/Year 

6 OTHER 

IDENTIFYING 

INFORMATION 

Height (feet and inches) Weight (pounds) Hair Color Eye Color Sex (Mark one box) 

Female Male 

7 TELEPHONE 

NUMBERS 

Work (include Area Code and extension) 

Day 

Night ( ) 

Home (include Area Code) 

Day 

Night ( )

8 CITIZENSHIP 

a Mark the box at the right that 

reflects your current citizenship 

status, and follow its instructions. 

I am a U.S. citizen or national by birth in the U.S. or U.S. territory/possession. Answer 

items b and d. 

I am a U.S. citizen, but I was NOT born in the U.S. Answer items b, c and d. 

I am not a U.S. citizen. Answer items b and e. 

b Your Mother’s Maiden Name 

c UNITED STATES CITIZENSHIP If you are a U.S. Citizen, but were not born in the U.S., provide information about one or more of the following proofs of your citizenship. 

Naturalization Certificate (Where were you naturalized?) 

Court City State Certificate Number Month/Day/Year Issued 

Citizenship Certificate (Where was the certificate issued?) 

City State Certificate Number Month/Day/Year Issued 

State Department Form 240 - Report of Birth Abroad of a Citizen of the United States 

Give the date the form was 

prepared and give an explanation 

if needed. 

Month/Day/Year Explanation 

U.S. Passport 

This may be either a current or previous U.S. Passport 

Passport Number Month/Day/Year Issued 

d DUAL CITIZENSHIP If you are (or were) a dual citizen of the United States and another country, 

provide the name of that country in the space to the right. 

Country 

e ALIEN If you are an alien, provide the following information: 

Place You 

Entered the 

United States: 

City State Date You Entered U.S. 

Month Day Year 

Alien Registration Number Country(ies) of Citizenship 

Exception to SF85, SF85P, SF85P-S, SF86, and SF86A approved by GSA September, 1995. Page 1 Designed using Perform Pro, WHS/DIOR, Sep 95 
9 WHERE YOU HAVE LIVED 

List the places where you have lived, beginning with the most recent (#1) and working back 7 years. All periods must be accounted for in your list. Be sure to indicate the 

actual physical location of your residence: do not use a post office box as an address, do not list a permanent address when you were actually living at a school address, 

etc. Be sure to specify your location as closely as possible: for example, do not list only your base or ship, list your barracks number or home port. You may omit 

temporary military duty locations under 90 days (list your permanent address instead), and you should use your APO/FPO address if you lived overseas. 

For any address in the last 5 years, list a person who knew you at that address, and who preferably still lives in that area (do not list people for residences completely 

outside this 5-year period, and do not list your spouse, former spouses, or other relatives). Also for addresses in the last 5 years, if the address is "General Delivery," a 

Rural or Star Route, or may be difficult to locate, provide directions for locating the residence on an attached continuation sheet. 

#1 

Month/Year 

To 

Month/Year 

Present 

Street Address Apt. # City (Country) State ZIP Code 

Name of Person Who Knows You Street Address Apt. # City (Country) State ZIP Code Telephone Number 

( ) 

#2 

Month/Year 

To 

Month/Year Street Address Apt. # City (Country) State ZIP Code 

Name of Person Who Knew You Street Address Apt. # City (Country) State ZIP Code Telephone Number 

( ) 

#3 

Month/Year 

To 

Month/Year Street Address Apt. # City (Country) State ZIP Code 

Name of Person Who Knew You Street Address Apt. # City (Country) State ZIP Code Telephone Number 

( ) 

#4 

Month/Year 

To 

Month/Year Street Address Apt. # City (Country) State ZIP Code 

Name of Person Who Knew You Street Address Apt. # City (Country) State ZIP Code Telephone Number 

( ) 

#5 

Month/Year 

To 

Month/Year Street Address Apt. # City (Country) State ZIP Code 

Name of Person Who Knew You Street Address Apt. # City (Country) State ZIP Code Telephone Number 

( ) 

10 WHERE YOU WENT TO SCHOOL 

List the schools you have attended, beyond Junior High School, beginning with the most recent (#1) and working back 7 years. List all College or University degrees 

and the dates they were received. If all of your education occurred more than 7 years ago, list your most recent education beyond high school, no matter when that 

education occurred. 

Use one of the following codes in the "Code" block: 

1 - High School 2 - College/University/Military College 3 - Vocational/Technical/Trade School 

For schools you attended in the past 3 years, list a person who knew you at school (an instructor, student, etc.). Do not list people for education 

completely outside this 3-year period. 

For correspondence schools and extension classes, provide the address where the records are maintained. 

#1 

Month/Year 

To 

Month/Year Code Name of School Degree/Diploma/Other Month/Year Awarded 

Street Address and City (Country) of School State ZIP Code 

Name of Person Who Knew You Street Address Apt. # City (Country) State ZIP Code Telephone Number 

( ) 

#2 

Month/Year 

To 

Month/Year Code Name of School Degree/Diploma/Other Month/Year Awarded 

Street Address and City (Country) of School State ZIP Code 

Name of Person Who Knew You Street Address Apt. # City (Country) State ZIP Code Telephone Number 

( ) 

#3 

Month/Year 

To 

Month/Year Code Name of School Degree/Diploma/Other Month/Year Awarded 

Street Address and City (Country) of School State ZIP Code 

Name of Person Who Knew You Street Address Apt. # City (Country) State ZIP Code Telephone Number 

( ) 

Enter your Social Security Number before going to the next page 

Page 2 
11 YOUR EMPLOYMENT ACTIVITIES 

List your employment activities, beginning with the present (#1) and working back 7 years. You should list all full-time work, part-time work, military service, 

temporary military duty locations over 90 days, self-employment, other paid work, and all periods of unemployment. The entire 7-year period must be accounted for 

without breaks, but you need not list employments before your 16th birthday. 

Code. Use one of the codes listed below to identify the type of employment: 

1 - Active military duty stations 

2 - National Guard/Reserve 

3 - U.S.P.H.S. Commissioned Corps 

4 - Other Federal employment 

5 - State Government (Non-Federal 

employment) 

6 - Self-employment (Include business 

and/or name of person who can verify) 

7 - Unemployment (Include name of 

person who can verify) 

8 - Federal Contractor (List Contractor, 

not Federal agency) 

9 - Other 

Employer/Verifier Name. List the business name of your employer or the name of the person who can verify your self-employment or unemployment in this block. If 

military service is being listed, include your duty location or home port here as well as your branch of service. You should provide separate listings to reflect changes in 

your military duty locations or home ports. 

Previous Periods of Activity. Complete these lines if you worked for an employer on more than one occasion at the same location. After entering the most recent 

period of employment in the initial numbered block, provide previous periods of employment at the same location on the additional lines provided. For example, if you 

worked at XY Plumbing in Denver, CO, during 3 separate periods of time, you would enter dates and information concerning the most recent period of employment first, 

and provide dates, position titles, and supervisors for the two previous periods of employment on the lines below that information. 

#1 

Month/Year 

To 

Month/Year 

Present 

Code Employer/Verifier Name/Military Duty Location Your Position Title/Military Rank 

Employer’s/Verifier’s Street Address City (Country) State ZIP Code Telephone Number 

( ) 

Street Address of Job Location (if different than Employer’s Address) City (Country) State ZIP Code Telephone Number 

( ) 

Supervisor’s Name & Street Address (if different than Job Location) City (Country) State ZIP Code Telephone Number 

( ) 

PREVIOUS 

PERIODS 

OF 

ACTIVITY 

(Block #1) 

Month/Year 

To 

Month/Year Position Title Supervisor 

Month/Year 

To 

Month/Year Position Title Supervisor 

Month/Year 

To 

Month/Year Position Title Supervisor 

#2 

Month/Year 

To 

Month/Year Code Employer/Verifier Name/Military Duty Location Your Position Title/Military Rank 

Employer’s/Verifier’s Street Address City (Country) State ZIP Code Telephone Number 

( ) 

Street Address of Job Location (if different than Employer’s Address) City (Country) State ZIP Code Telephone Number 

( ) 

Supervisor’s Name & Street Address (if different than Job Location) City (Country) State ZIP Code Telephone Number 

( ) 

PREVIOUS 

PERIODS 

OF 

ACTIVITY 

(Block #2) 

Month/Year 

To 

Month/Year Position Title Supervisor 

Month/Year 

To 

Month/Year Position Title Supervisor 

Month/Year 

To 

Month/Year Position Title Supervisor 

#3 

Month/Year 

To 

Month/Year Code Employer/Verifier Name/Military Duty Location Your Position Title/Military Rank 

Employer’s/Verifier’s Street Address City (Country) State ZIP Code Telephone Number 

( ) 

Street Address of Job Location (if different than Employer’s Address) City (Country) State ZIP Code Telephone Number 

( ) 

Supervisor’s Name & Street Address (if different than Job Location) City (Country) State ZIP Code Telephone Number 

( ) 

PREVIOUS 

PERIODS 

OF 

ACTIVITY 

(Block #3) 

Month/Year 

To 

Month/Year Position Title Supervisor 

Month/Year 

To 

Month/Year Position Title Supervisor 

Month/Year 

To 

Month/Year Position Title Supervisor 

Enter your Social Security Number before going to the next page 

Page 3 
YOUR EMPLOYMENT ACTIVITIES (CONTINUED) 

#4 

Month/Year 

To 

Month/Year Code Employer/Verifier Name/Military Duty Location Your Position Title/Military Rank 

Employer’s/Verifier’s Street Address City (Country) State ZIP Code Telephone Number 

( ) 

Street Address of Job Location (if different than Employer’s Address) City (Country) State ZIP Code Telephone Number 

( ) 

Supervisor’s Name & Street Address (if different than Job Location) City (Country) State ZIP Code Telephone Number 

( ) 

PREVIOUS 

PERIODS 

OF 

ACTIVITY 

(Block #4) 

Month/Year 

To 

Month/Year Position Title Supervisor 

Month/Year 

To 

Month/Year Position Title Supervisor 

Month/Year 

To 

Month/Year Position Title Supervisor 

#5 

Month/Year 

To 

Month/Year Code Employer/Verifier Name/Military Duty Location Your Position Title/Military Rank 

Employer’s/Verifier’s Street Address City (Country) State ZIP Code Telephone Number 

( ) 

Street Address of Job Location (if different than Employer’s Address) City (Country) State ZIP Code Telephone Number 

( ) 

Supervisor’s Name & Street Address (if different than Job Location) City (Country) State ZIP Code Telephone Number 

( ) 

PREVIOUS 

PERIODS 

OF 

ACTIVITY 

(Block #5) 

Month/Year 

To 

Month/Year Position Title Supervisor 

Month/Year 

To 

Month/Year Position Title Supervisor 

Month/Year 

To 

Month/Year Position Title Supervisor 

#6 

Month/Year 

To 

Month/Year Code Employer/Verifier Name/Military Duty Location Your Position Title/Military Rank 

Employer’s/Verifier’s Street Address City (Country) State ZIP Code Telephone Number 

( ) 

Street Address of Job Location (if different than Employer’s Address) City (Country) State ZIP Code Telephone Number 

( ) 

Supervisor’s Name & Street Address (if different than Job Location) City (Country) State ZIP Code Telephone Number 

( ) 

PREVIOUS 

PERIODS 

OF 

ACTIVITY 

(Block #6) 

Month/Year 

To 

Month/Year Position Title Supervisor 

Month/Year 

To 

Month/Year Position Title Supervisor 

Month/Year 

To 

Month/Year Position Title Supervisor 

12 YOUR EMPLOYMENT RECORD 

Has any of the following happened to you in the last 7 years? If "Yes," begin with the most recent occurrence and go backward, providing date 

fired, quit, or left, and other information requested. 

Yes No 

Use the following codes and explain the reason your employment was ended: 

1 - Fired from a job 

2 - Quit a job after being told 

you’d be fired 

3 - Left a job by mutual agreement following allegations of misconduct 

4 - Left a job by mutual agreement following allegations of 

unsatisfactory performance 

5 - Left a job for other reasons 

under unfavorable circumstances 

Month/Year Code Specify Reason Employer’s Name and Address (Include city/Country if outside U.S.) State ZIP Code 

Enter your Social Security Number before going to the next page 

Page 4 
13 PEOPLE WHO KNOW YOU WELL 

List three people who know you well and live in the United States. They should be good friends, peers, colleagues, college roommates, etc., whose combined 

association with you covers as well as possible the last 7 years. Do not list your spouse, former spouses, or other relatives, and try not to list anyone who is listed 

elsewhere on this form. 

Name 

#1 

Dates Known 

Month/Year 

To 

Month/Year 

Telephone Number 

Day 

Night ( ) 

Home or Work Address City (Country) State ZIP Code 

Name 

#2 

Dates Known 

Month/Year 

To 

Month/Year 

Telephone Number 

Day 

Night ( ) 

Home or Work Address City (Country) State ZIP Code 

Name 

#3 

Dates Known 

Month/Year 

To 

Month/Year 

Telephone Number 

Day 

Night ( ) 

Home or Work Address City (Country) State ZIP Code 

14 YOUR MARITAL STATUS 

Mark one of the following boxes to show your current marital status: 

1 - Never married (go to question 15) 

2 - Married 

3 - Separated 

4 - Legally Separated 

5 - Divorced 

6 - Widowed 

Current Spouse Complete the following about your current spouse. 

Full Name Date of Birth (Mo./Day/Yr.) Place of Birth (Include country if outside the U.S.) Social Security Number 

Other Names Used (Specify maiden name, names by other marriages, etc., and show dates used for each name) 

Country of Citizenship Date Married (Mo./Day/Yr.) Place Married (Include country if outside the U.S.) State 

If Separated, Date of Separation (Mo./Day/Yr.) If Legally Separated, Where is the Record Located? City (Country) State 

Address of Current Spouse (Street, city, and country if outside the U.S.) State ZIP Code 

15 YOUR RELATIVES 

Give the full name, correct code, and other requested information for each of your relatives, living or dead, specified below. 

1 - Mother (first) 

2 - Father (second) 

3 - Stepmother 

4 - Stepfather 

5 - Foster Parent 

6 - Child (adopted also) 

7 - Stepchild 

Full Name (If deceased, check box on the 

left before entering name) Code Date of Birth 

Month/Day/Year Country of Birth Country(ies) of Citizenship 

Current Street Address and City (country) of 

Living Relatives State 

1 

2 

Enter your Social Security Number before going to the next page 

Page 5 
16 YOUR MILITARY HISTORY 

a Have you served in the United States military? 

Yes No 

b Have you served in the United States Merchant Marine? 

List all of your military service below, including service in Reserve, National Guard, and U.S. Merchant Marine. Start with the most recent period of service (#1) and work 

backward. If you had a break in service, each separate period should be listed. 

Code. Use one of the codes listed below to identify your branch of service: 

1 - Air Force 2 - Army 3 - Navy 4 - Marine Corps 5 - Coast Guard 6 - Merchant Marine 7 - National Guard 

O/E. Mark "O" block for Officer or "E" block for Enlisted. 

Status. "X" the appropriate block for the status of your service during the time that you served. If your service was in the National Guard, do not use 

an "X": use the two-letter code for the state to mark the block. 

Country. If your service was with other than the U.S. Armed Forces, identify the country for which you served. 

Month/Year Month/Year Code Service/Certificate No. O E Status 

Active 

Reserve 

Active Inactive 

Reserve National 

Guard 

(State) 

Country 

To 

To 

17 YOUR SELECTIVE SERVICE RECORD 

a Are you a male born after December 31, 1959? If "No," go to 18. If "Yes," go to b. 

Yes No 

b Have you registered with the Selective Service System? If "Yes," provide your registration number. If "No," show the reason for your legal 

exemption below. 

Registration Number Legal Exemption Explanation 

18 YOUR INVESTIGATIONS RECORD 

a Has the United States Government ever investigated your background and/or granted you a security clearance? If "Yes," use the codes that 

follow to provide the requested information below. If "Yes," but you can’t recall the investigating agency and/or the security clearance 

received, enter "Other" agency code or clearance code, as appropriate, and "Don’t know" or "Don’t recall" under the "Other Agency" 

heading, below. If your response is "No," or you don’t know or can’t recall if you were investigated and cleared, check the "No" box. 

Yes No 

Codes for Investigating Agency 

1 - Defense Department 

2 - State Department 

3 - Office of Personnel Management 

4 - FBI 

5 - Treasury Department 

6 - Other (Specify) 

Codes for Security Clearance Received 

0 - Not Required 

1 - Confidential 

2 - Secret 

3 - Top Secret 

4 - Sensitive Compartmented Information 

5 - Q 

6 - L 

7 - Other 

Month/Year Agency 

Code Other Agency Clearance Code Month/Year Agency Code Other Agency Clearance Code 

b To your knowledge, have you ever had a clearance or access authorization denied, suspended, or revoked, or have you ever been debarred 

from government employment? If "Yes," give date of action and agency. Note: An administrative downgrade or termination of a security 

clearance is not a revocation. 

Yes No 

Month/Year Department or Agency Taking Action Month/Year Department or Agency Taking Action 

19 FOREIGN COUNTRIES YOU HAVE VISITED 

List foreign countries you have visited, except on travel under official Government orders, beginning with the most current (#1) and working back 7 years. (Travel as a 

dependent or contractor must be listed.) 

Use one of these codes to indicate the purpose of your visit: 1 - Business 2 - Pleasure 3 - Education 4 - Other 

Include short trips to Canada or Mexico. If you have lived near a border and have made short (one day or less) trips to the neighboring country, you do 

not need to list each trip. Instead, provide the time period, the code, the country, and a note ("Many Short Trips"). 

Do not repeat travel covered in items 9, 10, or 11. 

Month/Year Month/Year Code Country 

#1 To 

#2 To

#3 To

#4 To

Month/Year Month/Year Code Country 

#5 To 

#6 To

#7 To

#8 To

Enter your Social Security Number before going to the next page 

Page 6 
20 YOUR POLICE RECORD (Do not include anything that happened before your 16th birthday.) 

In the last 7 years, have you been arrested for, charged with, or convicted of any offense(s)? (Leave out traffic fines of less than $150.) 

Yes No 

If you answered "Yes," explain your answer(s) in the space provided. 

Month/Year Offense Action Taken Law Enforcement Authority or Court (City and county/country if outside the U.S.) State ZIP Code 

21 ILLEGAL DRUGS 

The following questions pertain to the illegal use of drugs or drug activity. You are required to answer the questions fully and truthfully, and your 

failure to do so could be grounds for an adverse employment decision or action against you, but neither your truthful responses nor information 

derived from your responses will be used as evidence against you in any subsequent criminal proceeding. 

a In the last year, have you illegally used any controlled substance, for example, marijuana, cocaine, crack cocaine, hashish, narcotics (opium, 

morphine, codeine, heroin, etc.), amphetamines, depressants (barbiturates, methaqualone, tranquilizers, etc.), hallucinogenics (LSD, PCP, etc.), or 

prescription drugs? 

Yes No 

b In the last 7 years, have you been involved in the illegal purchase, manufacture, trafficking, production, transfer, shipping, receiving, or sale of any 

narcotic, depressant, stimulant, hallucinogen, or cannabis, for your own intended profit or that of another? 

If you answered "Yes" to "a" above, provide information relating to the types of substance(s), the nature of the activity, and any other details relating 

to your involvement with illegal drugs. Include any treatment or counseling received. 

Month/Year Month/Year Controlled Substance/Prescription Drug Used Number of Times Used 

To 

To 

To 

22 YOUR FINANCIAL RECORD 

a In the last 7 years, have you, or a company over which you exercised some control, filed for bankruptcy, been declared bankrupt, been subject to a 

tax lien, or had legal judgment rendered against you for a debt? If you answered "Yes," provide date of initial action and other information requested 

below. 

Yes No 

Month/Year Type of Action Name Action Occurred Under Name/Address of Court or Agency Handling Case State ZIP Code 

b Are you now over 180 days delinquent on any loan or financial obligation? Include loans or obligations funded or guaranteed by the Federal 

Government. 

Yes No 

If you answered "Yes," provide the information requested below: 

Month/Year Type of Loan or Obligation 

and Account # Name/Address of Creditor or Obligee State ZIP Code 

After completing this form and any attachments, you should review your answers to all questions to make sure the form is complete and accurate, and then sign and date the 

following certification and sign and date the release on Page 8. 

Certification That My Answers Are True 

My statements on this form, and any attachments to it, are true, complete, and correct to the best of my knowledge and belief and are 

made in good faith. I understand that a knowing and willful false statement on this form can be punished by fine or imprisonment or 

both. (See section 1001 of title 18, United States Code). 

Signature (Sign in ink) Date 

Enter your Social Security Number before going to the next page 

Page 7 
Standard Form 85P 

Revised September 1995 OMB No. 3206-0191 

Form approved: 

U.S. Office of Personnel Management 

5 CFR Parts 731, 732, and 736 

NSN 7540-01-317-7372 

85-1602 

UNITED STATES OF AMERICA 

AUTHORIZATION FOR RELEASE OF INFORMATION 

Carefully read this authorization to release information about you, then sign and date it in ink. 

I Authorize any investigator, special agent, or other duly accredited representative of the authorized Federal agency conducting my 

background investigation, to obtain any information relating to my activities from individuals, schools, residential management 

agents, employers, criminal justice agencies, credit bureaus, consumer reporting agencies, collection agencies, retail business 

establishments, or other sources of information. This information may include, but is not limited to, my academic, residential, 

achievement, performance, attendance, disciplinary, employment history, criminal history record information, and financial and 

credit information. I authorize the Federal agency conducting my investigation to disclose the record of my background 

investigation to the requesting agency for the purpose of making a determination of suitability or eligibility for a security clearance. 

I Understand that, for financial or lending institutions, medical institutions, hospitals, health care professionals, and other sources of 

information, a separate specific release will be needed, and I may be contacted for such a release at a later date. Where a separate 

release is requested for information relating to mental health treatment or counseling, the release will contain a list of the specific 

questions, relevant to the job description, which the doctor or therapist will be asked. 

I Further Authorize any investigator, special agent, or other duly accredited representative of the U.S. Office of Personnel 

Management, the Federal Bureau of Investigation, the Department of Defense, the Defense Investigative Service, and any other 

authorized Federal agency, to request criminal record information about me from criminal justice agencies for the purpose of 

determining my eligibility for assignment to, or retention in a sensitive National Security position, in accordance with 5 U.S.C. 9101. 

I understand that I may request a copy of such records as may be available to me under the law. 

I Authorize custodians of records and other sources of information pertaining to me to release such information upon request of the 

investigator, special agent, or other duly accredited representative of any Federal agency authorized above regardless of any previous 

agreement to the contrary. 

I Understand that the information released by records custodians and sources of information is for official use by the Federal 

Government only for the purposes provided in this Standard Form 85P, and that it may be redisclosed by the Government only as 

authorized by law. 

Copies of this authorization that show my signature are as valid as the original release signed by me. This authorization is valid for 

five (5) years from the date signed or upon the termination of my affiliation with the Federal Government, whichever is sooner. 

Signature (Sign in ink) Full Name (Type or Print Legibly) Date Signed 

Other Names Used Social Security Number 

Current Address (Street, City) State ZIP Code Home Telephone Number 

(Include Area Code) 

( ) 

Page 8 
Standard Form 85P 

Revised September 1995 OMB No. 3206-0191 

Form approved: 

U.S. Office of Personnel Management 

5 CFR Parts 731, 732, and 736 

NSN 7540-01-317-7372 

85-1602 

UNITED STATES OF AMERICA 

AUTHORIZATION FOR RELEASE OF MEDICAL INFORMATION 

Carefully read this authorization to release information about you, then sign and date it in black ink. 

Instructions for Completing this Release 

This is a release for the investigator to ask your health practitioner(s) the three questions below concerning your mental health 

consultations. Your signature will allow the practitioner(s) to answer only these questions. 

I am seeking assignment to or retention in a position of public trust with the Federal Government as a(n) 

(Investigator instructed to write in position title.) 

As part of the investigative process, I hereby authorize the investigator, special agent, or duly accredited representative of the 

authorized Federal agency conducting my background investigation, to obtain the following information relating to my mental health 

consultations: 

Does the person under investigation have a condition or treatment that could impair his/her judgment or reliability? 

If so, please describe the nature of the condition and the extent and duration of the impairment or treatment. 

What is the prognosis? 

I understand that the information released pursuant to this release is for use by the Federal Government only for purposes provided in 

the Standard Form 85P and that it may be redisclosed by the Government only as authorized by law. 

Copies of this authorization that show my signature are as valid as the original release signed by me. This authorization is valid for 1 

year from the date signed or upon termination of my affiliation with the Federal Government, whichever is sooner. 

Signature (Sign in ink) Full Name (Type or Print Legibly) Date Signed 

Other Names Used Social Security Number 

Current Address (Street, City) State ZIP Code Home Telephone Number 

(Include Area Code) 

( ) 
EXHIBIT M
EXHIBIT M - Fingerprint Card 
EXHIBIT N
CONTRACTOR PERSONNEL ROLLOVER REQUEST FORM 

Social Security Administration (SSA) Center for Suitability and Personnel Security (CSPS)

March 2018

Submit this document to your designated contracting officer’s representative-contracting officer’s technical 

representative (COR-COTR) via secure email. The COR-COTR must ensure the information is complete and 

accurate (all fields are required) and then submit to ^DCHR OPE Suitability. 

Only use this form when contractor personnel already working on an SSA contract need to move to another SSA 

contract. The information on this form must be typed, complete, and accurate. Failure to do so may result in a 

delay in receiving a suitability letter. The company point of contact (CPOC) and COR-COTR will receive suitability 

letters from the Center for Suitability and Personnel Security (CSPS) once the rollover is complete. 

FULL NAME

SOCIAL 

SECURITY 

NUMBER

DATE OF BIRTH FROM TO ACTIVE ON BOTH 

CONTRACTS?

 LAST FIRST MIDDLE 000-00-0000 MM/DD/YYYY CONTRACT NUMBER CONTRACT NUMBER YES NO

CPOC INFORMATION:

NAME: ______________________________________ EMAIL ADDRESS: _________________________________

PHONE: _____________________________________ DATE OF SUBMISSION:_____________________________

COR-COTR INFORMATION:

NAME: ______________________________________ EMAIL ADDRESS: _________________________________

PHONE: _____________________________________
EXHIBIT O
Security Awareness 

Contractor / Affiliate Personnel Security Certification 

Purpose This form is to be signed by contractor or affiliate : personnel to certify that they have received and understand 

SSA's Security Awareness Training requirements detailed below.

Background: I understand that SSA maintains a variety of sensitive information about the agency's operations and 

programs (hereinafter "SSA information"), which may be information pertaining to program (e.g., information about SSA's 

clients) or non-program (e.g., administrative and personnel records) matters. I understand that SSA may authorize me to 

have access to SSA information and that my access to and use of SSA information must be in accordance with the 

provisions of the contract under which I am performing work for SSA and/or the terms of any other written agreement that 

authorizes me to access SSA information.

I have read, understand, and agree that:

1. I will not inspect, access, or attempt to access any SSA information that SSA has not expressly authorized me

 to access.

2. I will not release or disclose any SSA information to any unauthorized person, agency, or entity. I understand

 that unauthorized disclosure of SSA information may lead to civil penalties and/or criminal prosecution under

 Federal law (i.e., The Privacy Act of 1974, 5 U.S.C. 552a; SSA's regulations at 20 C.F R. Part 401; The Social

 Security Act, 42 U.S.C. 1306(a); and 5 U.S.C. Section 552(i)). I further understand that additional privacy and

 disclosure protections may apply to certain types of SSA information, including Federal Tax Information (i.e.,

 earnings information), which may be subject to additional penalties under sections 6103, 7213, 7213A, and 7431 

 of the Internal Revenue Service (IRS) Code (Title 26 of the United States Code). 

3. I will follow all access, retention, and/or destruction requirements in the contract and/or agreement under which I

 am authorized to access SSA information. I understand that such requirements may require me to cease access

 to, return, or destroy SSA information upon completion of my work for SSA or termination of my contract or

 agreement that authorized my access to SSA information.

4. I will not take SSA information off-site, unless expressly authorized to do so by contract or other written 

 authorization from SSA. If SSA authorizes me to take SSA information off-site, I agree to safeguard all SSA

 information in accordance with agency policy and standards so that no unauthorized person, agency, or entity can

 access SSA's information.

5. I will keep confidential any third-party proprietary information that may be entrusted to me as part of the contract,

 including safeguarding such information from unauthorized access and not disclosing or releasing such

 information unless expressly authorized to do so.

6. I will follow all SSA terms, conditions, and policies in the contract under which I am performing work for SSA

 and/or the terms of any other written agreement that authorizes me to access SSA information, including but not

 limited to those governing confidential information or personally identifiable information.

7. I will follow all SSA Standards of Conduct, and Rules of Behavior for Users and Managers of SSA's Automated

 Information Resources.

8. I understand that the contract and/or agreement terms take precedent over this document.

9. I understand that any questions I may have concerning authorization(s) should be directed to the Contracting

 Officer designated in my company's contract.

Contractor Employee Name (Print/Type) Date (MM/DD/YYYY)

Contractor Employee Signature (Sign)

Contract Number Company Name (Print/Type)

Company Point Of Contact (Print/Type) Company Point of Contact Phone Number

Form SSA-222 (10-2016)

Discontinue Previous Editions

Social Security Administration Page 1 of 2
Privacy Act

42 U.S.C. § 904(a); 20 C.F.R. § 401.90; 44 U.S.C. §§ 3541-3549; 41 C.F.R. Chapter 101;

5 U.S.C. § 552a(e)(9)-(10); and Executive Order 13488 allow us to collect the information on this form. We will 

use the information to authorize you to have access to Social Security Administration (SSA) information. The 

Privacy Act (5 U.S.C. & 552a(b)) permits us to disclose the information you provide on this form in accordance 

with approved routine uses. Providing us your information is voluntary. However, not providing the information 

could prevent us from authorizing you access to SSA information. Additional information regarding this form, 

routine uses of information, and other Social Security programs, is available on our Internet website,

www.socialsecurity.gov, or at your local Social Security office. 

Form SSA-222 (10-2016) Page 2 of 2
EXHIBIT P
EXHIBIT P

SYSTEM PLAN 

TYPE OF PROPOSED MAINFRAME PLATFORM_____________________________ 

TYPE OF PERSONAL COMPUTER_________________________________________ 

MEDIA TO BE USED FOR RECEIPT OF FILE TRANSMISSION_________________ 

FILE STORAGE MEDIUM_________________________________________________ 

MANAGED FILE TRANSFER PLATFORM SERVER INSTALLED?______________ 

AMOUNT OF AVAILABLE FILE STORAGE SPACE___________________________ 

TYPE OF PRINT STREAM MAIL RUN CONTROL SYSTEM____________________ 

TYPE OF NETWORK PLATFORM (i.e., NOVELL/NT/UNIX)____________________ 
EXHIBIT Q
Page 91 of 98 

Page 1 of 7 

3PAO-Obligatinos-and-Performance-Guide 

v1.0 
Medicare Acknowledgement, Subsidy Determination, and IRMAA Non-BRI Notices Page 92 of 98 

584-S (09/18) EXHIBIT Q Page 2 of 7 

3PAO-Obligatinos-and-Performance-Guide v1.0 
Medicare Acknowledgement, Subsidy Determination, and IRMAA Non-BRI Notices Page 93 of 98 

584-S (09/18) EXHIBIT Q Page 3 of 7 

3PAO-Obligatinos-and-Performance-Guide v1.0 
Medicare Acknowledgement, Subsidy Determination, and IRMAA Non-BRI Notices Page 94 of 98 

584-S (09/18) EXHIBIT Q Page 4 of 7 

3PAO-Obligatinos-and-Performance-Guide v1.0 
Medicare Acknowledgement, Subsidy Determination, and IRMAA Non-BRI Notices Page 95 of 98 

584-S (09/18) EXHIBIT Q Page 5 of 7 

3PAO-Obligatinos-and-Performance-Guide v1.0 
Medicare Acknowledgement, Subsidy Determination, and IRMAA Non-BRI Notices Page 96 of 98 

584-S (09/18) EXHIBIT Q Page 6 of 7 

3PAO-Obligatinos-and-Performance-Guide v1.0 
Medicare Acknowledgement, Subsidy Determination, and IRMAA Non-BRI Notices Page 97 of 98 

584-S (09/18) EXHIBIT Q Page 7 of 7 

3PAO-Obligatinos-and-Performance-Guide v1.0 
EXHIBIT R
Exhibit R

100% Accountability and Summary Reports

Full Audit report must include the following information (reprints must have the same information): 

1. Program Number/Job Name/Print Order/File Date

2. PC#/Sequence numbers/Total Volume

3. Inserter ID and Operator

4. Date of insertion

5. Start and End time

6. Start and End Range (sequence numbers)

7. Total for each Start and End Range

8. Event (i.e. Processed, Spoiled, Diverted and reason: Missing Piece, Unverified, Misread etc.)

9. Status (i.e. Inserted, Routed to Reprint Area, etc.)

10. Totals

a. Machine inserted

b. Sent to Reprint

c. Reprints Recovered

d. Records Accounted For

e. Duplicates

f. Duplicated Verified

g. Records less duplicates

h. Reported Output

i. Variances

Example: 

Inserter ID Date Start Time End Time Start Range End Range Total EVENT STATUS

Inserter 1 05/10/12 10:31:04 AM 11:12:45 AM 19386 21567 2182 Standard Processing Inserted

Operator Joe 05/10/12 11:12:50 AM 11:12:50 AM 21568 1 Diverted Routed to Reprint

05/10/12 11:13:10 AM 11:28:06 AM 21569 22516 948 Standard Processing Inserted

05/10/12 11:28:07 AM 11:28:10 AM 22517 22518 2 Diverted/ leave count unverified Routed to Reprint

05/10/12 11:29:30 AM 11:29:35 AM 22519 22521 3 Diverted/missing piece Routed to Reprint

05/10/12 11:29:45 AM 11:30:15 AM 22522 1 Diverted/manual insertion of pub Manual Scan

05/10/12 11:30:34 AM 11:40:35 AM 22523 1 Diverted/misread Manual Scan

Inserter 2 05/11/12 8:12:50 AM 8:12:50 AM 21568 1 Standard Processing Inserted

(REPRINTS) 05/11/12 8:28:07 AM 8:28:10 AM 22517 22518 2 Standard Processing Inserted

Operator Sue 05/11/12 8:29:30 AM 8:29:35 AM 22519 22521 3 Standard Processing Inserted

26604

582

Reprints Recovered: 582

27186

16

16

27170

27170

0

TOTALS

Records Accounted for:

Duplicates:

Duplicates Verified:

Records Less Duplicates:

Reported Output:

Variance:

Audit Report

Program 123-S/SSA Notices Name/PO#54001/File Date

PC # and Sequence Numbers and Volume

Machine Inserted:

Sent to Reprints:
Exhibit R (cont’d)

The Summary Report must include the following; Reprints must also have all of the same information: 

1. Job Name/Print Order

2. Piece Quantity

3. Sequence number range (Start and End Range)

4. Start date and time

5. End date and time

6. Total Processed Pieces

7. Total Reprints

8. Total Pieces Inserted

9. Total Variances

10. Job Complete or Incomplete

Summary Report

Job Information Operation Information

Job Name: XYZ Notice

PO # 54001 Start Range: 1

Piece Quantity: 35862 End Range 35862

Job Status: Completed

Date Created: 05/10/12 10:29:54

Date Completed: 05/11/12 14:22:34

Statistical Summary

35537 Processed Pieces - Completed 05/10/12

325 Processed Reprints - Completed 05/11/12

35862 Total Pieces Inserted -

0 Variances -

Completed 05/11/12

Job Complete
EXHIBIT S
EXHIBIT S

Mail Run Data File (MRDF) 

Or Item Level Accountability File 

Record Descriptions Position Length 

Job ID 1 – 5 5 

Piece ID 6 – 11 6 

Total Pages 12 – 13 2 

Select Feeder 2 (0 = No Feed, 1 = Feed) 14 1 

Select Feeder 3 15 1 

Select Feeder 4 16 1 

Select Feeder 5 17 1 

Select Feeder 6 18 1 

Select Feeder 7 19 1 

Select Feeder 8 20 1 

Select Feeder 9 21 1 

Select Feeder 10 22 1 

Vertical Stacker 1 (Seal envelope, do not meter) 23 1 

Vertical Stacker 2 (Do not seal envelope, do not meter) 24 1 

Vertical Stacker 3 (Overweight) 25 1 

Vertical Stacker 4 (Trash) 26 1 

Sealer (0 = No Outsort, 1 = Outsort) 27 1 

Meter 1 (0 = Print, 1 = No Print) 28 1 

Meter 2 29 1 

Customer Name 30 40

 Address Line 1 70 40

 Address Line 2 110 40

 Address Line 3 150 40 

 Address Line 4 190 40

 Address Line 5 230 40

 Address Line 6 270 40

Zip Code 310 5 

+4 315 4 

+2 319 2 

Return Name 321 40

 Address Line 1 361 40

 Address Line 2 401 40

 Address Line 3 441 40

 Address Line 4 481 40

Account ID 521 16

Input File Name 537 44

IMBC Codes 581 65

Service Type 646 3 

IMBC SerialID 649 9 

Filler 658 3 

User Defined 661 29

 Vendor ID 690 4 

 Code Name 694 5 

 Total Documents 699 2 

End 701 1 

NOTE: There is one record for each mail packet. 
EXHIBIT T
YOUR LETTERHEAD 

DATE: 

TO: Business Mailer Support 

RE: USPS Minimum Volume Reduction Program 

To Whom It May Concern: 

I am writing to request approval to use USPS Minimum Volume Reduction Program as shown in 

Publication 401 - Guide to the Manifest Mailing System. The exception is for the “200 piece or 

50 pound” rule for permit imprint mailings (including certified and foreign mail). 

If approved, we would submit the paperwork electronically and include piece level barcode 

information. 

A large portion of our business is government mailings and the use of this exception would 

greatly expedite our mail processing. 

Please let me know if any additional information is required. My contact information is below. 

Thank you for your time and consideration. 

NAME AND PHONE NUMBER OF YOUR CONTACT 
EXHIBIT U
Exhibit U ‐ Postage Meter Activity Log

TODAY'S

DATE

METER

DATE

WORKLOAD MAILER NUMBER /

NAME

SSA PRINT ORDER # /

CONTRACTOR ORDER #

FILE

DATE

BEGINNING

METER BALANCE

AMOUNT

METER REPLENISH‐

MENT AMOUNT

(if applicable)

METER

RATE

CERT. BULK

MAILING

CHARGES

applicable)

TOTAL

NUMBER OF

PIECES

METERED

SPOILED

POSTAGE /

POSTAGE

ERRORS

(actual cost)

TOTALMETER

POSTAGE

USED

SSA POSTAGE METER ACTIVITY LOG

METER MANUFACTURER:METER SERIAL NUMBER:

CONTRACT NUMBER: