Program 805-S Page 1 of 76

Specifications by ST

Reviewed by MRN

U.S. GOVERNMENT PUBLISHING OFFICE

Washington, DC

GENERAL TERMS, CONDITIONS, AND SPECIFICATIONS

For the Procurement of

SSA Notice Packages

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

Social Security Administration (SSA)

Single Award

TERM OF CONTRACT: The base term of this contract is for the period beginning December 1, 2024 and ending

November 30, 2025, plus up to four (4) optional 12-month extension periods that may be added in accordance with the 

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

The period from December 1, 2024, until April 30, 2025 will be used by the contractor for testing and 

interfacing with SSA’s National File Transfer Management System (FTMS) for electronic transmission of files 

from SSA to the production facility. Actual, live production begins on or around May 1, 2025.

BID OPENING: Bids shall be opened virtually at 11:00 a.m., Eastern Time (ET), on April 19, 2024, at the U.S. 

Government Publishing Office. All parties interested in attending the bid opening shall email bids@gpo.gov one (1) 

hour prior to the bid opening date and time to request a Microsoft Teams live stream link. This must be a separate 

email from the bid submission. The link will be emailed prior to the bid opening.

SUBMISSION: Bidders must email bids to bids@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 the bid opening date and time specified above will not be considered for 

award. 

BIDDERS, PLEASE NOTE: This program was formerly Program 545-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: 

▪ Removal of ECO Mailer

▪ SECURITY REQUIREMENTS: Clause 2352.224-1

▪ Clause 2352.224-2A

▪ Clause 2352.204-1

▪ Clause 2352.204-2

▪ SECTION 4. – SCHEDULE OF PRICES, BID ACCEPTANCE PERIOD.

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@gpo.gov or (202) 512-2114.
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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-standards-filesfor-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 functions are the laser/ion deposition of data for the printing/imaging 

of notices, the inserting of items into mailout envelopes, and the disposal/destruction of waste materials. Any bidder who 

cannot perform the predominant production functions will be declared non-responsible. (Inkjet printing is not allowed.)

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

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, the 

contractor must submit a new subcontractor’s information to the Government for approval 15 calendar days prior to 

the start of production at that facility. 

QUALITY ASSURANCE LEVELS AND STANDARDS: The following levels and standardsshall 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 less than 1⁄4% of 1% when run through a United States Postal Service (USPS) OCR

Scanner.

(d) Exception: ANSI X3.17 “Character Set for Optical Character Recognition (OCR A)” shall apply to these specifications. 

The revisions of this standard which are effective as of the date of this contract are those which shall apply.

(e) Exception: The Data Matrix 2D barcodes must be in accordance with the requirements of ANSI MH 10.8.3M 

unless otherwise specified.

(f) The payment portion below the micro-perforation on the “payment stub,” (Daily notice Mailers 1, 2, 3, and 4) 

once detached, will be scanned and must function properly when processed through the current high speed 

scanning equipment at SSA. A form is a reject and will be considered a major defect when its OCR print 

cannot be correctly deciphered on the first pass through the scanning equipment (See 

“PRINTING/IMAGING” for additional information regarding perforated payment stub).
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NOTE: Use of equipment or ink which in any way adversely affects the scannability of the payment stub will not be allowed.

ANSI Standards may be obtained from the American National Standards Institute, 25 West 43rd Street, 4th Floor, 

New York, NY 10036.

Specified Standards - The specified standards for the attributes requiring them shall be:

Attribute Specified Standard

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

P-9. Pantone Matching System 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. Type Quality and Uniformity O.K. Preproduction Test Samples/O.K. Proofs/

Average Type Dimension in Publication/

Electronic Media/Camera Copy/Manuscript Copy

P-9. Solid and Screen Tint Color Match Pantone Matching System

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 no 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

thissolicitation may be extended forsuch 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 December 1, 2024 to November 30, 2025, 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.

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.
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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 August 31, 2025

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 begins May 1, 2025.

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 April 2025, 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 VI., “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.
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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.

(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 SSA301, “Contractor Personnel Security Certification” (see Exhibit A).

A copy of this signed certification must be forwarded to: SSA, Attn: Kate Schmidt, DMIM, 1300 Annex 

Building, 6401 Security Boulevard, Baltimore, MD 21235-6401, or email to: Kathryn.Schmidt@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 addressto 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 

http://csrc.nist.gov/drivers/documents/FISMA-final.pdfFederal Information Security Modernization 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.
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(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.

(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 willingly 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. (Refer to – “SAFEGUARDING FEDERAL TAX 

INFORMATION REQUIREMENTS.”)

(l) The SSA reserves the right to conduct on-site visits to review the contractor’s documentation and in-house 

procedures for protection of and security arrangements for confidential information and adherence to the 

terms of this clause.

(m) The SSA reserves the right to inspect contractor facilities to ensure compliance with this contract. If facilities 

are found deficient, the contractor must implement corrective actions within 45 calendar days of notification.

(n) 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.

(o) 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).
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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.

d. ESPs classified as Cloud Service Providers (CSP) must be FedRAMP authorized. 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) (as defined in Clause 2352.224-2A 

(a)) 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), which will 

undergo a Triannual Full Assessment and will undergo an Annual Review. 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. (Refer to 

“SAFEGUARDING FEDERAL TAX INFORMATION REQUIREMENTS” if an independent assessor is 

needed to accomplish this requirement.)

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,” January 27, 2022.

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
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▪ 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

▪ 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 Rev. 1, National Institute of Standards and Technology Special Publication SP 800-47 Rev. 

1, Security Guide for Interconnecting Information Technology Systems, July 2021.

https://csrc.nist.gov/News/2021/nist-publishes-sp-800-47-rev-1

▪ NIST SP 800-53 Revision 5, Security and Privacy Controls for Information Systems and Organizations, 

September 2020.

https://csrc.nist.gov/publications/detail/sp/800-53/rev-5/final

▪ NIST SP 800-53A Revision 5, Assessing Security and Privacy Controls in Information Systems and 

Organizations, January 2022.

▪ 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
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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.

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: External 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 (ISC) 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:

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 log off 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 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.
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▪ 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.

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.
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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;

▪ 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 plan 

and the Security Control Plan (see “PREAWARD PRODUCTION PLANS, Materials Handling and Inventory 

Control” and “Security Control Plan”). 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 M17-12, “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. The contractor shall also follow the safeguard requirements 

set forth in “SAFEGUARDING FEDERAL TAX INFORMATION REQUIREMENTS.”

(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.

(2) Transporting PII Outside a Secure Area/Secure Duty Station.
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(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 aslogged 

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.

(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.
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(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 DAAGRS-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 a 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 a 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 nonagency 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, 

a 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.

(d) Procedures for Reporting PII Breach or Incident. The agency hasits 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 
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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.

(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;
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(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 agency-specific 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 tocollect 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.

(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.
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(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 SSA-controlled 

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).

(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 ContractingOfficer 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 contractorshall

fulfill the requirements of the Security & 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. 
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2352.204-1 – Security and Suitability Requirements (Sept 2023)

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. Additionally, the terms “business days,”

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

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

“Applicant” means an individual seeking to work on or for an SSA contract or grant. 

“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.

“COR” means contracting officer’s representative.

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

“CSPS” means Center for Suitability and Personnel Security.

“eAPP” means electronic application. “eAPP” contains the investigative Standard Forms (SF) federal 

applicants use to input information required process their personnel background investigation. eAPP replaced 

eQIP as the system for initiating investigations.

“NBIS” means National Background Investigation Services.

“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 a SSA facility, site, system, 

or information. If applicable, the clause also describes the process to obtain a PIV credential. 

PIV Credentials

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

routine, unescorted access to a SSA facility or site for a period ofsix months or more. (See paragraph (k) 

for more information.)
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(2) A PIV credential is not required for: 

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

(ii) Contractor personnel requiring infrequent escorted access to a 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.). 

(c) 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-subchapVsec13041.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) 

(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%23se5.3.1400_

1201)

(6) Contractors must comply with the Fair Chance to Compete for Jobs Act of 2019 (National Defense 

Authorization Act for Fiscal Year 2020) and the respective Federal regulations (5 CFR Parts 302, 317, 

319, 330, 731, 754, and 920). In accordance with the Fair Chance Act, the contractor may not verbally, 

or through written form, request the disclosure of criminal history record information regarding an 

applicant for a position related to work under such contract before the contractor extends a conditional 

offer to the applicant. 

(d) Suitability Process 

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

SSA is required to submit fingerprints to the Federal Bureau of Investigation (FBI) as part of the Federal personnel 

background investigation process. This requirement is in accordance with Homeland Security Presidential 

Directive-12 (HSPD-12) and is mandatory for everyone within the SSA workforce, including contractor personnel.

The FBI maintains fingerprints and uses these fingerprint submissions to conduct ongoing post-appointment 

arrest checks. Consistent with Federal suitability and personnel security regulations and directives, any postappointment arrest notifications will be sent to CSPS for suitability review.
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Contractors must notify their applicants to work on SSA contracts to carefully review and understand the FBI 

Privacy Act Statement and the Noncriminal Justice Applicant’s Privacy Rights Statement, which can be found 

through the links below. These documents contain vital information about individual’s rights and how their 

information will be handled. 

- Privacy Act Statement — FBI

- Noncriminal Justice Applicant’s Privacy Rights

Any applicant requiring access to a SSA facility, site, information, or system must complete and submit, 

through the COR, the documents listed in (1) at least 30 business days prior to the date contractor personnel 

are to begin work. The suitability process cannot begin until the contractor submits, and SSA receives, 

accurate and complete documents.

(1) Suitability Document Submission

a. Immediately upon award, the CPOC must provide to the COR for all applicants requesting a 

suitability determination: 

(i) An Applicant Listing including the names of all applicants requesting suitability;

(ii) Completed Optional Form (OF) 306, Declaration for Federal Employment; 

(iii) Proof of citizenship and/or work authorization documents for non-U.S. born applicants, if applicable. 

b. The Applicant Listing must include the contractor’s name, the contract number, the CPOC’s name, 

the CPOC’s contact information, the COR’s name, the COR’s contact information, Social Security 

Number (SSN), First Name, Full Middle Name, Last Name, Suffix, Email Address, Date of Birth 

(MM/DD/YYYY), Birth City, Birth County, Country (if not USA), Birth State/Province for all 

applicants requesting suitability. All spelling of names, email addresses, places, and numbers must 

be accurate, consistent, and legible. 

The required suitability forms and a sample of properly completed forms are available on SSA’s Office of 

Acquisition and Grants (OAG) website (“Information About Acquisitions” tab, “Security Information” 

section

[https://www.ssa.gov/oag/acq/ASC_2352_204-

1_Security_and_Suit_Reqrmts_Post_10012017/Links%20for%20Agency%20Specific%20Clause%202352_2

04-1%20Post%2010012017.htm]).

(2) eApp Form and Fingerprint Submission

a. Once SSA receives all completed documents, listed in (1), CSPS will initiate the suitability screening 

process using the Applicant Listing. CSPS will email the specific suitability instructions to the 

CPOC and COR for applicants to electronically complete the background investigation form 

(Standard Form (SF) 85, Questionnaire for Non-Sensitive Positions or SF 85P, Questionnaire for 

Public Trust Positions). Applicants will receive two separate account creation emails from 

donotreply@nbis.mil. One email contains the User ID and link with instructions. The other email has 

the applicant’s temporary password.

b. Applicants should complete their investigative forms as soon as possible but no later than seven

business days from receipt of the account creation emails. After form submission, applicants can 

download copies of their form and relevant documents. Please note, reviewing the form prior to 

submission can only be done in eAPP. The SF does not become available for download until it has 

been submitted in eAPP.

c. Information about the eApp process is available on the National Background Investigative Services 

(NBIS) website. 
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d. CSPS will also email instructions to the CPOC and COR for applicants to obtain electronic fingerprinting 

services. Applicants mustschedule a fingerprint appointment and submit fingerprints as soon as possible. 

Please note, fingerprinting should not be completed until after the eAPP has been submitted.

If applicants cannot report to the designated fingerprint locations (in the notification email), CSPS 

will accept completed Field Division (FD) 258 fingerprint cards. The COR can provide the FD 258, 

if required. Applicants must complete all fields on the FD 258. Incomplete fields may delay 

suitability processing.

If applicants need to mail completed FD 258 fingerprint cards, the applicants are to send them, via 

certified mail, along with a completed Contractor Personnel Suitability Cover Sheet-Fingerprint 

Cards (found on the OAG website) to:

Social Security Administration 

Center for Suitability and Personnel Security

Attn: Contractor Security Team

6401 Security Boulevard

2246 Annex Building

Baltimore, MD 21235

(3) Status Check 

If applicants have completed each of the steps 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. 

(e) Suitability Determination

(1) CSPS uses an FBI fingerprint check as part of the basis for making a preliminary suitability 

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

background investigation, conducted by SSA’s Investigative Service Provider, is such that SSA would 

find the contractor personnel unsuitable to continue performing under this contract. CSPS will notify the 

CPOC and the COR of any unsuitable determinations. 

 

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

a favorable preliminary suitability determination. A prescreen suitability determination letter issued by 

CSPS is valid only for performance on the contract specified in the letter. 

(3) If an applicant previously received a suitability determination from SSA while employed by another 

contractor and is to perform work under this SSA contract for a different contractor, the CPOC must 

submit a fully completed, legible Contractor Personnel Rollover Request Form to the COR of the new 

contract. CSPS will notify the CPOC and the COR of suitability to work on this contract. The Contractor 

Personnel Rollover Request Form is on OAG’s website.

(f) Contractor Personnel Previously Cleared by SSA or Another Federal Agency 

If an applicant previously received a suitability determination from SSA or another Federal agency, all 

documentation will be reviewed to determine reciprocity. If reciprocity applies, there will be no eAPP 

initiated. However, fingerprints will be required for all cases including reciprocity.

(g) CSPS will then provide a letter to the CPOC and the COR indicating the applicant is suitable to begin work on the 

contract. 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. 
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(h) Unsuitable Determinations

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

after receipt of such a determination. 

(2) The contractor 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. Contractor 

personnel must file their own requests; contractor may not file requests on behalf of contractor personnel.

dchr.ope.suitclarify@ssa.gov

OR

Social Security Administration

Center for Suitability and Personnel Security

Attn: Contractor Security Team

6401 Security Boulevard

2246 Annex Building

Baltimore, MD 21235

(3) There is no appeals process for contractor unsuitable determinations. 

(j) Contractor Notification to Government 

The contractor shall notify the COR and CSPS within one business day if any contractor personnel is arrested 

or charged with a crime during the term of this contract, or if there is any other change in the status of 

contractor personnel (e.g., leaves the company, no longer works under the contract, the alien status changes, 

etc.) that could affect their suitability determination. The contractor must provide in the notification as much 

detail as possible, including, but not limited to: name(s) of contractor personnel whose status has changed, 

contract 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 preliminary suitability determination, but 

prior to beginning work under the contract, the contractor personnel must appear at the respective SSA facilityto 

begin the credentialing process. The contractor must contact the COR to arrange for credentialing. Once the 

COR makes the appointment, the COR must contact the contractor to inform the contractor of the credentialing 

appointment(s). The COR will also arrange for the contractor personnel to be escorted (by either the COR or a 

COR’s representative) to the appropriate credentialing office at the time of this appointment. The contractor 

personnel must present the preliminary 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). A signed and dated SSA-222 is 

also a required document(see OAG’s website). For SSA Headquarters access, a completed Form SSA-4395, 

Application for Accessto SSA Facilities, signed by the contractor personnel and the COR is also required. The 

COR will provide the SSA-4395 Form to the contractor personnel when applicable. 

(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’s schedules. 
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(4) Contacts

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

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

b. Contact information for other SSA facilities is available on OAG’s website.

(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 respective SSA facility, 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 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.

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

fighting. Also, participating in disruptive activitiesthat 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.
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(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 paragraphs (d) and (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

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
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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 a SSA facility or access to SSA information systems.

(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 includestraining 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
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(1) Contractor Personnel Requiring a 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 a 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 a 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.

(3) Contractor Personnel Not Requiring a 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 (SSA-222) (See Exhibit N.)

(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).
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(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 a 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.

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.
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SAFEGUARDING FEDERAL TAX INFORMATION REQUIREMENTS:

The contractor and contractor’s officers and employees must be in compliance with all requirements of IRS 

Publication 1075 – “Tax Information Security Guidelines for Federal, State and Local Agencies” (Revised November 

2021) as applicable to this contract, with particular attention to the following information –

NOTE: The below information, in its entirety, can be found in IRS Publication 1075; however, some edits have been 

made specific to SSA and this contract. Any edits made do not change the requirements of IRS Publication 1075 or 

relieve the contractor or contractor’s officers and employees of being in compliance with IRS Publication 1075 and 

the requirements of this contract. IRS Publication 1075 can be accessed at: Publication 1075 (Rev. 11-2021) (irs.gov)

“Federal Tax Information” (FTI) includes return or return information received directly from the IRS or obtained 

through an authorized, secondary source, including SSA.

“Return” means any tax or information return, estimated tax declaration or refund claim required by or permitted 

under the IRC and filed with the IRS by, on behalf of, or with respect to any person or entity.

“Return Information” is any information collected or generated by the IRS regarding any person’s liability or possible 

liability under the IRC. It includes but is not limited to:

▪ Information that IRS obtained from any source or developed through any means that relatesto the potential liability 

of any person under the IRC for any tax, penalty, interest, fine, forfeiture, or other imposition or offense

▪ Information extracted from a return, including names of dependents or the location of business

▪ The taxpayer’s name, address, and identification number

▪ Information collected by the IRS about any person’s tax affairs, even if identifiers, such as name, address, and 

identification number, are deleted

▪ Status of whether a return was filed, under examination, or subject to other investigation or processing, 

including collection activities

▪ Information contained on transcripts of accounts

I. PERFORMANCE

In performance of this contract, the contractor agrees to comply with and assume responsibility for compliance by 

officers or employees with the following requirements:

(1) All work will be performed under the supervision of the contractor.

(2) The contractor and contractor’s officers or employees to be authorized access to FTI must meet background 

check requirements defined in IRS Publication 1075. The contractor will maintain a list of officers or employees 

authorized access to FTI. Such list will be provided to SSA and, upon request, to the IRS.

(3) FTI in hardcopy or electronic format shall be used only for the purpose of carrying out the provisions of this 

contract. FTI in any format shall be treated as confidential and shall not be divulged or made known in any 

manner to any person except as may be necessary in the performance of this contract. Inspection or disclosure 

of FTI to anyone other than the contractor or the contractor’s officers or employees authorized is prohibited.

(4) FTI will be accounted for upon receipt and properly stored before, during, and after processing. In addition, any 

related output and products require the same level of protection as required for the source material.
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(5) The contractor will certify that FTI processed during the performance of this contract will be completely purged from 

all physical and electronic data storage with no output to be retained by the contractor at the time the work is 

completed. If immediate purging of physical and electronic data storage is not possible, the contractor will certify that 

any FTI in physical or electronic storage will remain safeguarded to prevent unauthorized disclosures.

(6) Any spoilage or any intermediate hard copy printout that may result during the processing of FTI will be given 

to SSA. When this is not possible, the contractor will be responsible for the destruction of the spoilage or any 

intermediate hard copy printouts and will provide SSA with a statement containing the date of destruction, 

description of material destroyed, and the destruction method.

(7) All computer systems receiving, processing, storing, or transmitting FTI must meet the requirements in IRS 

Publication 1075. To meet functional and assurance requirements, the security features of the environment must 

provide for the managerial, operational, and technical controls. All security features must be available and 

activated to protect against unauthorized use of and access to FTI. 

(8) No work involving FTI furnished under this contract will be subcontracted without the prior written approval of 

the IRS and SSA. (NOTE: Any subcontracting must be in accordance with the subcontracting requirements of 

this contract). 

(9) Contractor will ensure that the terms of FTI safeguards described herein are included, without modification, in 

any approved subcontract for work involving FTI. 

(10) To the extent the terms, provisions, duties,requirements, and obligations of this contract apply to performing services 

with FTI, the contractor shall assume toward the subcontractor all obligations, duties, and responsibilities that SSA 

under this contract assumes toward the contractor, and the subcontractor shall assume toward the contractor all the 

same obligations, duties, and responsibilities which the contractor assumes toward SSA under this contract.

(11) In addition to the subcontractor’s obligations and duties under an approved subcontract, the terms and 

conditions of this contract apply to the subcontractor, and the subcontractor is bound and obligated to the 

contractor hereunder by the same terms and conditions by which the contractor is bound and obligated to SSA 

under this contract.

(12) For purposes of this contract, the term “contractor” includes any officer or employee of the contractor with 

access to or who uses FTI, and the term “subcontractor” includes any officer or employee of the subcontractor 

with access to or who uses FTI.

(13) SSA will have the right to void the contract if the contractor fails to meet the terms of FTI safeguards described herein.

II. CRIMINAL/CIVIL SANCTIONS

(1) Each officer or employee of a contractor to whom FTI is or may be disclosed shall be notified in writing that 

FTI disclosed to such officer or employee can be used only for a purpose and to the extent authorized herein, 

and that further disclosure of any FTI for a purpose not authorized herein constitutes a felony punishable upon 

conviction by a fine of as much as $5,000 or imprisonment for as long as five (5) years, or both, together with 

the costs of prosecution. 

(2) Each officer or employee of a contractor to whom FTI is or may be accessible shall be notified in writing that 

FTI accessible to such officer or employee may be accessed only for a purpose and to the extent authorized 

herein, and that access/inspection of FTI without an official need-to-know for a purpose not authorized herein 

constitutes a criminal misdemeanor punishable upon conviction by a fine of as much as $1,000 or imprisonment 

for as long as one (1) year, or both, together with the costs of prosecution.
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(3) Each officer or employee of a contractor to whom FTI is or may be disclosed shall be notified in writing that any 

such unauthorized access, inspection, or disclosure of FTI may also result in an award of civil damages against the 

officer or employee in an amount equal to the sum of the greater of $1,000 for each unauthorized access, inspection, 

or disclosure, or the sum of actual damages sustained as a result of such unauthorized access, inspection, or 

disclosure, plus in the case of a willful unauthorized access, inspection, or disclosure or an unauthorized access, 

inspection or disclosure which is the result of gross negligence, punitive damages, plus the cost of the action. These 

penalties are prescribed by IRC sections 7213, 7213A, and 7431 and set forth at 26 CFR 301.6103(n)-1.

(4) Additionally, 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), 

which is made applicable to contractors by 5 U.S.C. 552a(m)(1), provides that any officer or employee of a 

contractor, who by virtue of his/her employment or official position, has possession of or access to agency 

records which contain individually identifiable information, the disclosure of which is prohibited by the Privacy 

Act or regulations established thereunder, and who, knowing that disclosure of the specific material is so 

prohibited, willfully discloses the material in any manner to any person or agency not entitled to receive it, shall 

be guilty of a misdemeanor and fined not more than $5,000.

(5) Granting a contractor access to FTI must be preceded by certifying that each officer or employee understands 

SSA’s security policy and procedures for safeguarding FTI. A contractor and each officer or employee must 

maintain their authorization to access FTI through annual recertification of their understanding of SSA’s 

security policy and procedures for safeguarding FTI. The initial certification and recertifications must be 

documented and placed in SSA’s files for review. As part of the certification and at least annually afterwards, a

contractor and each officer or employee must be advised of the provisions of IRC sections 7213, 7213A, and 

7431 (see Exhibit 4, Sanctions for Unauthorized Disclosure, and Exhibit 5, Civil Damages for Unauthorized 

Disclosure). The training on SSA’ssecurity policy and procedures provided before the initial certification and 

annually thereafter must also cover the incident response policy and procedure for reporting unauthorized 

disclosures and data breaches. (See Section 10.) For the initial certification and the annual recertifications, the 

contractor and each officer or employee must sign, either with ink or electronic signature, a confidentiality 

statement certifying their understanding of the security requirements.

III. INSPECTION

The IRS and SSA, with 24-hour notice, shall have the right to send its inspectors into the offices and plants of the 

contractor to inspect facilities and operations performing any work with FTI under this contract for compliance with 

requirements defined in IRS Publication 1075. The IRS’ right of inspection shall include the use of manual and/or 

automated scanning tools to perform compliance and vulnerability assessments of information technology (IT) assets 

that access, store, process, or transmit FTI. Based on the inspection, corrective actions may be required in cases where 

the contractor is found to be noncompliant with FTI safeguard requirements.

NOTE: The foregoing inspection rights are in addition to such rights identified elsewhere in this contract. Inspection

rights identified elsewhere in this contract are not diminished or modified by these rights.

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 or more of the 

following financial documents:

1) Most recent profit and loss statement 

2) Most recent balance sheets

3) Statement of cash flows 
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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/inventory control, personnel, production, security control, production area, and disposal of waste 

materials plans as required by this specification.

If award is predicated on the purchase of production and/or systems equipment, 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.

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-responsible. 

PREAWARD PRODUCTION PLANS: As part of the preaward survey, the contractor must 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 below 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. 

Additionally, the contractor must submit a Security Authorization Package (SAP), as required, within 10 workdays of 

request. The workday after notification to submit will be the first day of the schedule. If the Government requests 

additional information after review of the SAP, the contractor must submit the additional information within three (3) 

workdays of request.

NOTE: The schedule for the preaward production plans and the SAP starts the same workday. 

After review of the updated plans and/or SAP, it is at the Contracting Officer’s discretion to allow additional revisions.

The Preaward Production Plans must be formatted so that each plan, as specified below, is its own section, and all 

information required for that plan is specified in that section. At contractor’s option, each plan can be a separate 

document or one document with each plan separately identified.

PLEASE NOTE: The notices produced on this contract must not be produced at multiple facilities, and therefore, 

cannot be transferred interchangeably between multiple plant locations. Any reference in this contract to multiple 

locations/facilities refers to the primary location and the backup facility only.

Option Years - For each option year that may be exercised, the contractor will be required to review their production 

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. The revised plans must be submitted to the Contracting Officer or 

his/her representative within five (5) workdays of notification of the option year being exercised. 
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NOTE: 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.

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.

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 Plans – The failure to deliver these notices 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, the contractor must have a 

backup facility with the capability of producing the products required under this specification.

The contractor’s contingency plans must include the location of the facility to be used, equipment available at the 

facility, security plans at the facility, and a timetable for the start of production at that facility. 

Part of the plans must also include the transportation of Government materials from one facility to another. SSA has

the option to install a VPN into the contractor’s backup facility.

NOTE: All terms and conditions of this contract will apply to the backup facility. Due to the 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 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 must 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

must 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 system must include all aspects of the job including mail flow and materials handling. The plan 

must also allow for a complete audit trail (e.g., it must be possible to locate any piece of mail at any time from the 

point it leaves the press up to and including the point at which the mail is off-loaded at the USPS facility). SSA will 

not, as a routine matter, request the contractor to produce pieces in transit within the contractor’s plant. 

The quality control plan must account for the number of pieces mailed daily.
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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 rerunning 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) quality control samples every 4,000 notices. Mailers with low volumes (less than 4,000) will require at 

least one (1) set of samples to be produced. The samples are 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 associated pieces from 

each print order and shipped to Social Security Administration, Division of Printing Management, Attn: Kate 

Schmidt, 6401 Security Boulevard, 1300 Annex Building Baltimore, MD 21235-6401. 

Samples must be bulk shipped back to SSA weekly for each print order. The contractor must ship the quality control 

samples for a particular print order within two (2) workdays of the last mailing date of that print order.

All related costs to producing and submitting all quality control samples must be included in the contractor’s

submitted bid pricing. Contractor will not be allowed to charge separately for these samples.

The plans must 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 must monitor all aspects of the job including material handling and mail flow to assure 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.

Contractor must submit samples of the automated 100% Accountability Audit and Summary Reports. (See “100% 

ACCOUNTABILITY OF PRODUCTION AND MAILING.”)

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.

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 filesfrom SSA. The plan must also include the media type on which filesfrom 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.

This plan must demonstrate the contractor’s ability to provide complete hardware and software compatibility with 

SSA’s existing network (see “FILE TRANSFER MANAGEMENT SYSTEM (FTMS) REQUIRMENTS” for 

additional information). 

The contractor must complete a Computer System Plan. (See Exhibit O.)

Included with the Computer System Plan must 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 for 

either task, a resume must still be included. This plan must show that the programmer(s) is skilled in the handling and 

programming of Advanced Function Presentation (AFP; Mixed Mode or Fully Composed) resources and files. 
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Mail Plan – This plan must include sufficient detail as to how the contractor will comply with all applicable U.S. 

Postal Service (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 automated presort postal discounts as outlined in the contract.

Material Handling and Inventory Control Plan – This plan must explain in detail how the following materials will be 

handled throughout all phases of production: incoming raw materials; work-in-progress materials; quality control 

inspection materials; USPS inspection materials; and all outgoing materials cleared for USPS pick-up/delivery; and

method of disposal of all production waste materials.

Personnel Plan – In conjunction with the required applicant listing (See “Clause 2352.204-1 – Security and 

Suitability Requirements (Sept 2023)”), this plan must include a listing of all personnel who will be involved with this 

contract. For any new employees, the plan must include the source of these employees and a description of the 

training programs the employees will receive to familiarize them with the requirements of this program.

Production Plan – The contractor must provide a detailed plan of the following:

(a) List of all production equipment and equipment capacities to be utilized on this contract;

(b) The production capacity currently being utilized on this equipment;

(c) Capacity that is available for these workloads; and,

(d) 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 for any 

materials necessary under this contract. If a subcontractor will be handling SSA notices, 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 15 calendar days prior to production to 

submit to the Government the new subcontractor’s information. 

NOTE: A micro-perforated payment stub will appear on approximately 2% of ROAR notices and 80% of RECOOP 

notices. (For English notices, the payment stub is on the last leaf; for bilingual Spanish/English notices, the payment 

stub is on the last leaf of the Spanish and English notices (both are to be perforated)). However, the payment 

stub/micro-perforation will not be on the same page number for every notice due to the ROAR and RECOOP notices 

having variable page counts. The contractor will be required to identify the payment stub page(s) (Spanish/English) 

requiring perforation. Regarding the “select-a-perf” requirement, the contractor’s production plan shall explain how 

they will handle imaging and collating the required micro-perforated sheet into the proper sequence of leaves. The 

plan shall also detail how the contractor intends to meet the critical margins associated with the scan line. (See 

“PRINTING/IMAGING,” “BINDING” and “CONSTRUCTION.”)

Security Control Plan - The contractor must 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.
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The plan must contain at a minimum:

▪ How Government files (data) will be secured to prevent disclosure to a third party.

▪ How the disposal of waste materials will be handled. (See “Disposal of Waste Materials.”)

▪ How all applicable Government-mandated security/privacy/rules and regulations as cited in this contract must 

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).

▪ The contractor shall submit a System Authorization Package (SAP) as described in the “SSA External Service 

Provider Security Requirements” section. The SSP, a part of this package, 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. This SSP requires the use of NIST SP 800-53 v4. 

The SAP should be completed by either an independent assessor or another Federal agency.

Production Area – The contractor must provide a secure area(s) dedicated to the processing and storage of data for

SSA notices, either a separate facility dedicated to this product, or a walled-in limited access area within the 

contractor’s existing facility. Access to the area(s) must be limited to security-trained employees involved in the 

production of notices. Part of the Production Area Plan must 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 will be definitively destroyed (e.g., burning, pulping, shredding, macerating, or

other suitable similar means). Electronic records must be definitively destroyed in a manner that prevents 

reconstruction. Definitively destroying the records means the material cannot be reassembled and used in an 

inappropriate manner in violation of law and regulations. Sensitive records are records that are national security 

classified or exempted from disclosure by statute, including the Privacy Act or regulation.

The contractor, at a minimum, must crosscut shred all documents into squares not to exceed 1/4”. 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. Subcontracting is not allowed.

UNIQUE IDENTIFICATION NUMBER: Unique identification numbers will be used to track each individual notice, 

thereby providing 100% accountability. This enables the contractorto track each notice through completion of the project. 

The contractor will be required to create a test sample 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.
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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. Noticesrequiring 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 piecesfrom the original

print run have been inserted and accounted for.

*CLOSED LOOP PROCESSING: A method for generating a plurality of mail piecesincluding 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 piecesin response to error

detection, transmitssuch errorsto 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/imaging, 

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 the hardware, programming, and finalized reports in place to meet this requirement.

The equipment must arrive at least 90 calendar days prior to the start of live production on May 1, 2025. 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 must be defined as follows:

▪ Each notice must 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 allsync errors,stop printing

when detected, and identify, remove, and reprint all effected notices.

Mailing integrity must be defined as follows:

▪ All notices received from SSA for each file date were printed, inserted, and entered correctly into the United

States postal system.

The contractor is responsible for providing the automated inserted notice tracking/reporting systems and processes

required to validate that 100% of all noticesreceived from SSA were printed, all pagesfor 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 each individual file by mailer number 

and file date. 

(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. 
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(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 individual file by mailer number and file date.

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). 

(h) Contractor must generate an automated audit report from the information gathered from scanning for each mailer 

number, file date, and for each notice (manual inputs are not allowed). This audit report will contain detailed 

information for each notice as outlined below for each individual file by mailer number and file date. Contractor 

must maintain this information for 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 (i.e., inserted, diverted, and reason for

divert such as missing sequence number, missing leaves, mutilated, duplicate, pulled for inspection, etc.). 

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 mailer number and file date are accounted for.

(j) Contractor must generate a final automated 100% accountability summary report for each individual file by mailer number

and file date. This information must be generated directly from the audit report (manual inputs are not allowed). The 

summary report must contain the following (See Exhibit P: 100% Accountability Audit and Summary Report):
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1. Job information - Job name, file date, mailer number, piece quantity, sequence start and end numbers, if 

multiple batches for a single file include number of batches and batch number (i.e., 1 of 4, due date, etc.)

2. Job Start Time and Job End Time

3. Volume of sequence numbers associated with an individual file by mailer number and file date that were 

inserted and date completed

4. Volume of reprints that were inserted for each file date and when completed

5. Total volume inserted for each file date and final date and time that each batch was completed

A PDF copy of the summary report(s) and matching USPS Certificate of Bulk Mailing, USPS 3607R, and/or GPO 712 

form(s) must be submitted to Kate Schmidt at Kathryn.Schmidt@ssa.gov for each file date within two (2) workdays of 

mailing.

Contractor must submit a sample of their Audit and Summary reports (see Exhibit P) with the required preaward

production plans for Government review and 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 a MS Word, MS Excel, or PDF file to the SSA printing specialist requesting the file. 

NOTE: The Government reserves the right to conduct an audit at any time during the term of the contract. The audit 

team will provide the contractor a minimum of 24-hour notice prior to audit. If the contractor produces multiple SSA 

contracts, the audit team will provide a list of contracts and print orders that they will require full audit reports, 

summary reports, and postal documentation for during the audit. 

The contractor must provide the required audit reports within one (1) hour of request. The audit team will grant one 

(1) hour for each report to be pulled. The audit team may request a full tour and demonstration of the accountability 

process at the time of the audit. A wrap-up meeting will occur at the conclusion of the audit. The audit team will 

review their findings with the contractor at this time. The contractor will need to provide, in writing, responses to all 

findings, questions, and concerns within one (1) week of the wrap-up meeting. The Government considers groundsfor

the immediate default of this contract if the contractor, at any time, is unable to perform or found not in compliance

with any part of this requirement. 

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. 

NOTE: The Government will not as a routine matter request the contractor produce individual pieces in transit 

within the plant; however, the contractor must demonstrate they will have an audit trail established that has the ability 

to comply with this type of request if and when the need arises.

REQUEST FOR NOTICE PULLS FROM PRODUCTION: Due to the sensitivity of notices in this contract, the 

Government may request that the contractor remove individual notices from the production stream. When this occurs, 

the Government will supply the contractor with a list of notices to be pulled. The list will contain the name and

address that appears in the Mail Run Data (MRD) file to identify the notices. 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 had been produced, the 

contractor must be capable of identifying the notice and pulling it from the production floor. 

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.
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The contractor will be required to provide one private office of not less than 150 square feet, furnished with at least 

one desk, two swivel armchairs, secure internet access for Government laptop computers, a work table, two 

four-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, 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: 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 SecurityAdministration, Baltimore, MD, 

immediately after award. 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 printing, imaging, folding, inserting, and 

mailing must 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 must present and

explain their final plan for the printing, imaging, folding, inserting, and mailing.

At the Government’s option, the preproduction meeting may be held via teleconference. The Government reserves the 

right to waive the preproduction meeting.

The contractor must meet with SSA Division of Mail and Postage Policy (DMPP) 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. 

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. 

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. 

The contractor is to provide the name of the representative responsible for the mailing operation and that individual’s backup. 

Person(s) that the contractor deems necessary for the successful implementation of the contract must be in attendance. 

ASSIGNMENT OF JACKETS, PURCHASE ORDER, TASK ORDERS, AND PRINT ORDERS: A GPO

jacket number will be assigned and a purchase order issued to the contractor to cover the work performed. The purchase

order will be supplemented by an individual daily electronic “Task Order” for each job placed with the contractor. A print 

order will be issued weekly and will indicate the quantity to be produced and any other information pertinent to the order.

ORDERING: Items to be furnished under the contract must be ordered by the issuance of weekly print orders 

supplemented by daily electronic task orders. Orders may be issued under the contract from December 1, 2024

through November 30, 2025, 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.
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805-S (11/25) Page 40 of 76

Task orders will be “issued” daily for purposes of the contract and will 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 must 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.

Ifshipment/delivery of any quantity of an item covered by the contract isrequired by reason of urgency priorto the earliest

date thatshipment/delivery may be specified underthis contract, and ifthe 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
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805-S (11/25) Page 41 of 76

(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.

(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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805-S (11/25) Page 42 of 76

SECTION 2. – SPECIFICATIONS

SCOPE: These specifications cover the production of mailing packages consisting of personalized English and 

Bilingual (Spanish/English) personalized notices, English and Spanish booklet inserts, form inserts, Business Reply 

Mail (BRM) Refund envelopes, Courtesy Reply Mail (CRM) Refund envelopes, and mail-out envelopes, requiring 

such operations as: the receipt and processing of electronically transmitted data; redevelopment of Advanced Function 

Presentation (AFP; Fully Composed or Mixed Mode) resources; composition; printing/imaging; binding/construction; 

gathering/inserting; presorting; and distribution. 

NOTE: Hereinafter, the Business Reply Mail (BRM) Refund envelopes and the Courtesy Reply Mail (CRM) Refund 

envelopes will be referred to as BRM Envelopes and CRM Envelopes respectively.

TITLE: SSA Notice Packages.

This contract is for the production of the following notice (workload) packages:

1. ROAR (Recovery of Overpayments, Accounting, and Reporting) – English and Bilingual

2. RECOOP (Recovery and Collection of Overpayments Process) – English and Bilingual

3. REACT (Returned Check Action) – English and Bilingual

4. GARNISHMENT (Wage Garnishment) – English and Bilingual

5. TAX LEVY – English and Bilingual

6. TTW TERMINATION (Ticket to Work Termination) – English and Bilingual

7. TTW STARTUP (Ticket to Work Startup) – English and Bilingual

NOTE: Workloads 1 through 5 transmit daily (early morning Tuesday through Saturday); workloads 6 and 7 transmit 

monthly.

Future Workloads (during term of the contract) – During the term of this contract, the Government anticipates 

developing new notice workloads with the same requirements as the notice workload described by these

specifications. All terms and conditions in this specification will apply to these 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. 

The file names for each new notice workload will be supplied to the contractor as they are developed.

FREQUENCY OF ORDERS: An electronic task order will be issued daily, Tuesday through Saturday. A print 

order will be issued weekly and will indicate the total number of electronic task orders placed and total number of 

copies to be produced that week.

Separate print orders will be issued for the composition and proofs and for the preproduction validation tests.

QUANTITY: The total requirement for all notices is approximately 7,321,100 notices per year. The estimated annual 

quantity for each workload is as follows:

Mailer 1 (ROAR English): Approximately 1,400,000 notices per year.

Mailer 2 (ROAR Bilingual): Approximately 90,000 notices per year.

Mailer 3 (RECOOP English): Approximately 2,800,000 notices per year.

Mailer 4 (RECOOP Bilingual): Approximately 200,000 notices per year.

Mailer 5 (REACT English): Approximately 400,000 notices per year.

Mailer 6 (REACT Bilingual): Approximately 21,000 notices per year.

Mailer 7 (GARNISHMENT English): Approximately 1,000,000 notices per year.

Mailer 8 (GARNISHMENT Bilingual): Approximately 25,000 notices per year.

Mailer 9 (TAX LEVY English): Approximately 85,000 notices per year.

Mailer 10 (TAX LEVY Bilingual): Approximately 100 notices per year.

Mailer 11 (TTW TERMINATION): Approximately 725,000 notices per year

Mailer 12 (TTW STARTUP): Approximately 575,000 notices per year
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805-S (11/25) Page 43 of 76

The Government reserves the right to increase or decrease by up to and including 25% the total number of notices 

ordered annually. 

NUMBER OF LEAVES/PAGES:

Notices: 1 to 10 (face and back) leaves per notice.

Forms (Form SSA-3105): 1 (face and back) leaf per form.

Booklets (SSA Pub. No. 05-10061 and 05-10961): 20 pages per booklet.

All Envelopes: Face and back (after manufacturing)

TRIM SIZES:

Notices: 8-1/2 x 11”

Forms: 10-1/2 x 8”

Booklets: 3-1/2 x 8”

BRM Envelopes: No. 9 (3-7/8 x 8-7/8”), plus flap (with or without a window).

CRM Envelopes: No. 9 (3-7/8 x 8-7/8”), plus flap.

Mail-out Envelopes: 6-1/8 x 9-1/2”, plus flap.

FOR QUALITY CONTROL AND AUDITING PURPOSES: The contractor must not merge file dates and mailers 

during processing, printing, and mailing. Any alteration of the notice content in the file is not permitted.

MAKE-UP OF MAILERS: The figures indicated below are estimates that are based on historical data of past 

production runs. The figures show the minimum and maximum daily or monthly quantities for the notices, as well as 

the minimum and maximum quantities for the first day of COM for ROAR, the number of printed pages in a notice 

(notices are duplex printed, and one-side only when an odd page is required), inserts (items that are to be inserted into 

the mail-out envelope along with the notice), 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.

NOTE: PC8 envelopes require Domestic and Par Avion Envelopes. The contractor is responsible for 

separating the PC8 file for domestic or foreign mail. No volumes are available for separate totals.

ROAR: The ROAR mailers are divided into two (2) notice categories by data set names according to language (either 

English only or bilingual Spanish/English). These mailers consist of a notice and mail-out envelope but may also 

include a BRM window envelope or a CRM envelope.

NOTE: SSA’s Current Operating Month (COM) could begin as early as the 20th calendar day of each month and as

late as the 27th calendar day of each month. Daily volumes will be higher on the first day of COM.

Mailer 1:

Data Set Name: OLBG.BTI.Vendor.RORAFP.M1#aaaaa.Ryymmdd:

Daily Minimum: 1,100

Daily Maximum: 22,000

COM Minimum: 41,000

COM Maximum: 190,000

Printed Notice Pages: 2 to 6

Leaves: 1 to 3

Personalized English Notice

Inserts: Green Window BRM Envelope (PC1-7) 

Green Non-Window CRM Envelope (PC8 only)

Folding: Bi-fold

Mail-out Envelope: 6-1/8 x 9-1/2”
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805-S (11/25) Page 44 of 76

Mailer 2:

Data Set Name: OLBG.BTI.Vendor.RORAFP.M2#aaaaa.Ryymmdd:

Daily Minimum: 50

Daily Maximum: 2,000

COM Minimum: 2,400

COM Maximum: 17,000

Printed Pages: 2 to 12

Leaves: 1 to 6

Personalized Bilingual Spanish/English Notice

Inserts: Green Window BRM Envelope (PC1-7) 

Green Non-Window CRM Envelope (PC8 only)

Folding: Bi-fold

Mail-out Envelope: 6-1/8 x 9-1/2”

RECOOP: The RECOOP mailers are divided into two (2) notice categories by data set names according to language 

(either English only or bilingual Spanish/English). These mailers consist of a notice and mail-out envelope but may 

also include a BRM window envelope.

Mailer 3:

Data Set Name: OLBG.BTI.Vendor.RECAFP.M3#aaaaa.Ryymmdd:

Daily Minimum: 1

Daily Maximum: 60,000

Printed Pages: 2 to 6

Leaves: 1 to 3

Personalized English Notice

Inserts: Green Window BRM Envelope (PC1-6)

Folding: Bi-fold

Mail-out Envelope: 6-1/8 x 9-1/2”

Mailer 4:

Data Set Name: OLBG.BTI.Vendor.RECAFP.M4#aaaaa.Ryymmdd:

Daily Minimum: 40

Daily Maximum: 3,000

Printed Pages: 2 to 18

Leaves: 1 to 9

Personalized Bilingual Spanish/English Notice

Inserts: Green Window BRM Envelope (PC1-6)

Folding: Bi-fold

Mail-out Envelope: 6-1/8 x 9-1/2”

REACT Notices: The REACT mailers are divided into two (2) notice categories by data set names according to 

language (either English only or bilingual Spanish/English). These mailers may generate any combination of the

following components:

Mailer 5:

Data Set Name: OLBG.BTI.Vendor.REAAFP.M5#aaaaa.Ryymmdd:

Daily Minimum: 70

Daily Maximum: 12,000

Printed Pages: 2 to 4

Leaves: 1 to 2

Personalized English Notice

Inserts: Form SSA-3105 

Green Non-Window BRM Envelope (PC1-7) 

Green Non-Window CRM Envelope (PC8 Only)
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805-S (11/25) Page 45 of 76

White Non-Window PC Specific CRM Envelope

Folding: Bi-fold

Mail-out Envelope: 6-1/8 x 9-1/2”

Mailer 6: 

Data Set Name: OLBG.BTI.Vendor.REAAFP.M6#aaaaa.Ryymmdd:

Daily Minimum: 0

Daily Maximum: 650

Printed Pages: 2 to 8

Leaves: 1 to 4

Personalized Bilingual Spanish/English Notice

Inserts: Form SSA-3105 

Green Non-Window BRM Envelope (PC1-7)

Green Non-Window CRM Envelope (PC8 Only)

White Non-Window PC Specific CRM Envelope

Folding: Bi-fold

Mail-out Envelope: 6-1/8 x 9-1/2”

GARNISHMENT Notices: The GARNISHMENT mailers are divided into two (2) notice categories by data set 

names according to language (either English only or bilingual Spanish/English). These mailers consist of a notice and 

a mail-out envelope.

Mailer 7:

Data Set Name: OLBG.BTI.Vendor.GARAFP.M7#aaaaa.Ryymmdd:

Daily Minimum: 1,000

Daily Maximum: 15,000

Printed Pages: 2 to 4

Leaves: 1 to 2

Personalized English Notice

Inserts: None

Folding: Bi-fold

Mail-out Envelope: 6-1/8 x 9-1/2”

Mailer 8: 

Data Set Name: OLBG.BTI.Vendor.GARAFP.M8#aaaaa.Ryymmdd:

Daily Minimum: 0

Daily Maximum: 650

Printed Pages: 2 to 6

Leaves: 1 to 3

Personalized Bilingual Spanish/English Notice

Inserts: None

Folding: Bi-fold

Mail-out Envelope: 6-1/8 x 9-1/2”

TAX LEVY Notices: The TAX LEVY mailers are divided into two (2) notice categories by data set names according 

to language (either English only or bilingual Spanish/English). These mailers consist of a notice and a mail-out 

envelope and may include the CRM envelope.

Mailer 9:

Data Set Name: OLBG.BTI.Vendor.TXLAFP.M9#aaaaa.Ryymmdd:

Daily Minimum: 0

Daily Maximum: 450

Printed Pages: 2 to 4

Leaves: 1 to 2
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805-S (11/25) Page 46 of 76

Personalized English Notice

Inserts: White Non-Window PC Specific CRM Envelope

Folding: Bi-fold

Mail-out Envelope: 6-1/8 x 9-1/2”

Mailer 10: 

Data Set Name: OLBG.BTI.Vendor.TXLAFP.MA#aaaaa.Ryymmdd:

Daily Minimum: 0

Daily Maximum: 50

Printed Pages: 2 to 4

Leaves: 1 to 2

Personalized Bilingual Spanish/English Notice

Inserts: White Non-Window PC Specific CRM Envelope

Folding: Bi-fold

Mail-out Envelope: 6-1/8 x 9-1/2”

NOTE: ROAR, RECOOP, REACT, GARNISHMENT, and TAX LEVY workloads are daily workloads and transmit 

Tuesday through Saturday.

TTW TERMINATION Notices: The TTW TERMINATION mailers are English or Bilingual Spanish/English 

notices. This mailer consists of a notice and a mail-out envelope.

Ticket to Work Termination Notices transmit at the beginning of each month.

Mailer 11: 

Data Set Name: OLBG.BTI.Vendor.TTTAFP.MB1aaaaa.Ryymmdd:

Monthly Minimum: 20,000

Monthly Maximum: 75,000

Printed Pages: 2 to 4

Leaves: 1 to 2

Personalized English or Bilingual Spanish/English Notice

Inserts: None

Folding: Bi-fold

Mail-out Envelope: 6-1/8 x 9-1/2”

TTW STARTUP Notices: The TTW STARTUP mailers are English or Bilingual Spanish/English notices. This

mailer may generate any combination of the following components:

Ticket to work Startup Notices transmit around the middle of each month.

Mailer 12:

Data Set Name: OLBG.BTI.Vendor.TTSAFP.MC1aaaaa.Ryymmdd:

Monthly Minimum: 40,000

Monthly Maximum: 60,000

Printed Pages: 2 to 12

Leaves: 1 to 6

Personalized English or Bilingual Spanish/English Notice

Inserts: SSA Publication No. 05-10061

SSA Publication No. 05-10961

Folding: Bi-fold

Mail-out Envelope: 6-1/8 x 9-1/2”

New Notice Workloads: The file names for each new workload will be supplied to the contractor as they are 

developed.
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805-S (11/25) Page 47 of 76

All of the data set names are not listed for each mailer. The “aaaaa” represents the unique job identifier that is 

assigned at run time. The “#” within the data set names represents eight (8) data set names (or files) for that mailer 

(PC1 through PC8). RECOOP only contains six (6) data set names (or files) for that mailer (PC1 through PC6). The 

“#” will be replaced with 1 through 8 for each of the Payment Service Centers. For example, there are eight (8) files 

(or data set names) for ROAR Mailer 1 as follows:

OLGB.BTI.Vendor.RORAFP.M11aaaaa.Ryymmdd

OLGB.BTI.Vendor.RORAFP.M12aaaaa.Ryymmdd

OLGB.BTI.Vendor.RORAFP.M13aaaaa.Ryymmdd

OLGB.BTI.Vendor.RORAFP.M14aaaaa.Ryymmdd

OLGB.BTI.Vendor.RORAFP.M15aaaaa.Ryymmdd 

OLGB.BTI.Vendor.RORAFP.M16aaaaa.Ryymmdd

OLGB.BTI.Vendor.RORAFP.M17aaaaa.Ryymmdd

OLGB.BTI.Vendor.RORAFP.M18aaaaa.Ryymmdd 

The data set names listed are SSA names. The first three (3) qualifiers will be removed from the file received by the 

contractor. The fourth qualifier in the data set name listed is the file type, and the fifth qualifier is the unique identifier. 

This qualifier will be used to match the corresponding files (Mail Run Data (MRD) file and Banner (BNR) file) with 

the print file. The MRD file name will be OLBG.BTI.vendor.RORMRD.M1#aaaaa.Ryymmdd, and the Banner file 

name will be OLBG.BTI.vendor.MDCBNR.M1#aaaaa.Ryymmdd for the ROAR file type. The final qualifier is the 

Run Date.

The files will be broken down and transmitted in segments by Program Service Center (PC) codes. Each file 

transmitted will have a banner page identifying the PC and required inserts.

The PC codes correspond to the mail-out envelope required as follows:

PC 1 – Northeastern (Jamaica, NY)

PC 2 – Mid-Atlantic (Philadelphia, PA) 

PC 3 – Southeastern (Birmingham, AL)

PC 4 – Great Lakes (Chicago, IL)

PC 5 – Western (Richmond, CA)

PC 6 – Mid-America (Kansas City, MO)

PC 7 – Office of Central Operations (Domestic and Foreign) (Baltimore, MD)

PC 8 – Office of International Operations (Baltimore, MD)

NOTE: 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 will be provided to the contractor at the postaward 

conference, or shortly thereafter. 

ENVELOPE USAGE:

Mail-Out Envelopes (Mailers 1 and 2, and Mailers 5 through 10):

Program Service Center 90-Calendar Day Volumes

Northeastern Program Service Center (PC1) 72,000

Mid-Atlantic Program Service Center (PC2) 61,000

Southeastern Program Service Center (PC3) 98,000

Great Lakes Program Service Center (PC4) 85,000

Western Program Service Center (PC5) 99,600

Mid-America Program Service Center (PC6) 96,500

Office of Central Operations (PC7) 176,000

Office of International Operations (PC8) 8,400
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805-S (11/25) Page 48 of 76

Mail-Out Envelopes (Mailers 3 and 4):

Program Service Center 90-Calendar Day Volumes

Northeastern Program Service Center (PC1) 97,000

Mid-Atlantic Program Service Center (PC2) 107,000

Southeastern Program Service Center (PC3) 144,000

Great Lakes Program Service Center (PC4) 112,000

Western Program Service Center (PC5) 148,000

Mid-America Program Service Center (PC6) 131,000

NOTE: The same mail-out envelopes broken down by PC number will be used for the ROAR, REACT, 

GARNISHMENT, and TAX LEVY Notices. RECOOP envelopes will have their own mail-out envelopes.

TTW STARTUP and TERMINATION (Mailers 11 and 12):

90-Calendar Day Volumes

Startup Envelope 175,000

Termination Envelope 143,000

ROAR Green BRM Window Envelope:

90-Calendar Day Volumes

PC 2 – Mid-Atlantic Program Service Center 40,000

This BRM window envelope will be inserted in ROAR PC1 through PC7 notices. The Mid-Atlantic Program Service 

Center (PC2) address will appear in the window. The PC2 address will also appear in the return address area (upper 

left corner).

RECOOP Green BRM Window Envelope:

90-Calendar Day Volumes

 Portland, OR 620,000

This BRM window envelope will be inserted in RECOOP PC1 through PC6. The Portland, OR, address will appear in the 

window. The Portland, Oregon address will also appear in the return address area (upper left corner).

ROAR/REACT Green CRM Envelope:

90-Calendar Day Volumes

Office of Central Operations (PC8) 500

PC8 ROAR/REACT notices, which require a BRM envelope, are to receive this PC8 Green CRM envelope instead.

REACT BRM Non-Window Envelope:

90-Calendar Day Volumes

PC 2 – Mid-Atlantic Program Service Center 5,000

This BRM non-window PC2 envelope will be inserted into REACT PC1 through PC7 notices when required.
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805-S (11/25) Page 49 of 76

REACT and TAX LEVY White CRM Envelope:

Program Service Center 90-Calendar Day Volumes

Northeastern Program Service Center (PC1) 2,200

Mid-Atlantic Program Service Center (PC2) 1,700

Southeastern Program Service Center (PC3) 2,100

Great Lakes Program Service Center (PC4) 1,700

Western Program Service Center (PC5) 2,900

Mid-America Program Service Center (PC6) 2,200

Office of Central Operations (PC7) 2,800

Office of International Operations (PC8) 850

FORM AND PUBLICATION INSERT USAGE:

REACT and TTW STARTUP Form/Booklet Inserts:

Form/Booklet Number 90-Calendar Day Volumes

Form SSA-3105 5,000

SSA Pub No. 05-10061 137,000

SSA Pub No. 05-10961 6,000

GOVERNMENT TO FURNISH: At the postaward conference, the contractor will be issued either manuscript, 

camera copy, or electronic media for the forms, publications (booklets), and envelopes used on this contract.

If furnished, the electronic media for the forms and publications (booklets) will be furnished as follows:

Platform: Macintosh OSX (or latest version); Windows (current or most current version).

Storage Media: SFTP; email. 

NOTE: On a rare occasion, a CD-R/RW, DVD-R/RW, or flash drive may be furnished.

Software: Adobe Creative Suite (InDesign, Photoshop, and Illustrator); QuarkXPress; Adobe Acrobat 

Professional with LiveCycle Designer; and Adobe Experience Manager (AEM). All files will be 

created in current or near current versions of the above-mentioned programs.

NOTE: All platform system and software upgrades (for specified applications) which may occur 

during the term of the contract must be supported by the contractor.

Fonts: All printer and screen fonts for the forms and booklets will be furnished/embedded, as applicable. 

The contractor is cautioned furnished fonts are the property of the Government and/or its 

originator. All furnished fonts are to be eliminated from the contractor’s archive immediately 

after completion of the contract.

Additional

Information: Files will be provided in PostScript, native application, and/or PDF format.

Electronic files will be furnished for the notices (see “ELECTRONIC FILES” for more information).
SSA Notice Packages

805-S (11/25) Page 50 of 76

Manuscript copy for 29 envelopes as follows:

▪ 17 mail-out envelopes (6-1/8 x 9-1/2”)

▪ 2 Green BRM Window Envelopes (3-7/8 x 8-7/8”)

▪ 1 Green Non-Window CRM Envelopes (3-7/8 x 8-7/8”)

▪ 1 Green Non-Window BRM Envelopes (3-7/8 x 8-7/8”)

▪ 8 White CRM Non-Window Envelopes (3-7/8 x 8-7/8”)

Camera copy for the Facing Identification Mark (FIM) and ZIP+4 Intelligent Mail Barcode (IMb) for reply envelopes. 

At the Government’s option, camera copy or electronic files (PostScript format) for the recycled paper logo and 

legend (English and Spanish) may be furnished.

Test and Production files for printing will be furnished in print image. Print image files are formatted for Advanced 

Function Presentation printing platform. 

A data connection between the exact location specified by the contractor and SSA’s National Computer Center.

Postage and Fees Paid Mailing Indicia.

Coding Accuracy Support System (CASS) Certificate.

PS Form 3615 (Mailing Permit Application, and Customer Profile)

Form SSA-3105 printed sample will be supplied to show proper folding and perforation (to be used as a guide).

Identification markings such asregister marks, commercial identification marksof any kind, etc., exceptGPO 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: External Hosted Information System Plan (ESP) Template

Exhibit F: General Records Schedule 4.2, Information Access and Protection Records, Item 40

Exhibit G: Clause 2352.224-2B: Worksheet for Reporting Loss or Suspected Loss of Personally Identifiable

Information (PII) (May 2019)

Exhibit H: Declaration of 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: Questionnaire for Public Trust Positions (Standard Form 85P)

Exhibit L: Sample of Fingerprint Card 

Exhibit M: Contractor Personnel Rollover Request Form

Exhibit N: Form SSA-222

Exhibit O: Computer System Plan

Exhibit P: 100% Accountability Audit and Summary Report
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Exhibit Q: MRD File Record Layout

Exhibit R: Minimum Volume Reduction Program (MVRP) Request Letter

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. 

Contractor must have programmer(s) capable of handling AFP resources.

Secure File Transfer Protocols (SFTP) Site: Contractor is required to set up, establish, and maintain a contractorhosted SFTP server that multiple users at SSA can access for passing PDF notice validation samples and other 

information that contains PII to SSA and back. Contractor cannot send any notices or information that contain PII via 

email. Appropriate log-on instructions and protocol must be provided at time of award. 

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. 

A record will be transmitted for each mailing address. The records will contain all the data relevant for the mailing of 

an associated mail piece. Unique alpha/numeric identifiers will be part of the record to ensure accuracy in the 

insertion process. All files transmitted by SSA will be physical sequential Advanced Function Presentation (AFP) 

Mixed Mode or Fully Composed. The agency may transition only to Advanced Function Presentation (AFP) Fully 

Composed during this contract. Any alteration of the notice content in the file is not permitted. 

The Government will furnish test files for performing the preproduction press and mail run test.

NOTE: The contractor must not compress files in processing data for this contract.

The contractor will receive three (3) files for each print file: The Advanced Function Presentation (AFP) file, the Mail 

Run Data (MRD) file, and the Banner (BNR) file. Similar to the following:

AFP file = vendor***.RORAFP.M01xaaaaa.Ryymmdd

MRD file = vendor***.RORMRD.M01xaaaaa.Ryymmdd

BNR file = vendor***.RORBNR.M01xaaaaa.Ryymmdd

Files provided to the contractor must be retained for 21 workdays after mailing (before destruction).

The notice files for printing are formatted for the AFP printing platform in duplex printing (face and back). For proper 

processing of AFP, SSA supplies resources used for printing notices in AFP format.

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, required 

inserts and insertion bin selection, recipient’s address, return address, USPS Intelligent Mail Barcode (IMb), the 

appropriate signature, and any required inserts. (See Exhibit Q for MRD File Record Layout.)

The BNR file contains information for setting up the intelligent inserters such as file totals, number of mail packets, 

and bin set up for those items being included in the mail packets and total required in each bin.

The contractor will receive an electronic daily task order each morning after transmission with the volumes for 

notices, leaves, pages, and any inserts required.

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 all of the 

preproduction tests (see “PREPRODUCTION TESTS”).
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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 self-certification 

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. 

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. Any reprogramming and/or reformatting of data 

necessitated due to the contractor’s method of production shall be the responsibility of the contractor and done at no 

cost to the Government.

PRINTER RESOURCES (AFP): SSA will provide the AFP resources for each notice workload. These resources 

will be provided on the contractor’s choice of media (transmission or email) shortly after the postaward conference. 

SSA will also provide test files for transmission with samples of each workload to enable the start of the validation 

process. These test files may be used for the preproduction press and mail run test. (For additional information, see 

“PREPRODUCTION TESTS, Preproduction Press and Mail Run Test.”)

For proper processing of AFP resources supplied to the contractor by SSA, used for printing notices in AFP (Mixed 

Mode or Fully Composed) format, the contractor must have software or an operating system which is 100% compliant 

with the most recent release of the IBM MVS z/OS operating system accompanied by the most recent release of IBM 

Print Services Facility (PSF). 

These compliances relate solely to interpreting and printing files to be provided to the contractor by SSA to ensure 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 redevelop/reprogram the AFP (Mixed Mode or Fully Composed) resources and MRD file 

to ensure proper printing and inserting in their environment.

NOTE: SSA prints 2-UP DUPLEX ROLL IN TO ROLL OUT with the file order reversed for insertion. The 

predominant data file format is AFP Mixed Mode; however, any valid AFP format, such as fully composed AFP, is 

possible and must be printable at the contractor’s location. Each piece of mail will be assigned a unique 

alpha/numeric identifier for tracking, insertion, location, and recovery processes.

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) for Transmission or Email: AFP resources include page and form definitions, fonts, 

page segments, and overlays (if applicable) for page formatting.

Preproduction Press and Mail Run Test Files for Transmission: An AFP formatted print file with the corresponding 

Mail Run Data File and Banner file for each workload in the quantities required.

Revised Resource Library (AFP) for Transmission or 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. (See “PREPRODUCTION TESTS, Systems 

Change/Signature Change/New Notice Files Validation Test” for details.)
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TRANSMISSIONS: The primary data transmission method will be via a dedicated circuit or using an encrypted 

Virtual Private Network (VPN) Internet connection, at the discretion of the Government.

Upon award of this contract, the Government will determine the connectivity method between SSA and the contractor. 

Internet Protocol (IP) will be the connection protocol for the transmissions. 

The connectivity method will be through the Internet using an encrypted VPN tunnel, or the Government will place an 

order for a dedicated circuit to be installed within 60 to 90 calendar days of award between the contractor’s location 

and SSA’s network interface location. Either connectivity method will be encrypted with the AES256 encryption 

algorithm. For the Internet option to be used, the contractor must have an Internet ready VPN IPSec capable hardware

device. The Government will not be responsible for any cost associated with the VPN Internet connection that the 

contractor may incur. The connection method is at the sole discretion of the Government. The cost of the dedicated 

circuit connection will be borne by the Government. The Government shall not be responsible for installation delays 

of data connections due to any external influences such as employee strikes, weather, supplies, etc., which conditions 

are beyond the control of the Government.

If a dedicated circuit is deemed necessary, SSA will provide the dedicated data connection, including a router, and 

firewall at the contractor’s specified locations. The contractor shall provide adequate rack space for securing the 

router and firewall; the contractor shall provide a dedicated analog dial-up line within eight (8) feet of the router. This 

dedicated analog dial-up line will be used for router management and access for troubleshooting. The line must be in 

place and active prior to the installation of the circuit/router and equipment. 

Upon contract award, the contractor shall provide a complete delivery address with nearest cross-street, contact name,

and phone number for installation of data transmission services and equipment. The contractor’s contact person shall 

be available for delivery of services at the specified location. The Government shall not be responsible for incorrect or 

lack of address information, nor for non-availability of contact persons at the delivery site.

It is the contractor’s responsibility to notify SSA when systems or data line problems arise and transmission(s) cannot 

take place. SSA’s first point of contact for systems or data line problems shall be the HELP DESK at 866-718-6410.

The contractor must call 866-718-6410 and select Option 0 to establish a ticket. The contractor will describe the 

transmission issue to the help desk technician who will create a ticket. After establishing a ticket, the print contractor 

must email the DBOPC.Leaders.Mailing.List@ssa.gov mailbox and include the SSA contract lead. The email must 

include the ticket number and describe the issue experienced (if files should have transmitted but did not, the email 

must include the file names of missing files).

FILE TRANSFER MANAGEMENT SYSTEM (FTMS) REQUIREMENTS: The contractor shall provide the 

capability to interface with SSA’s National File Transfer Management System (FTMS) for electronic transmission of 

notice 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, Managed File Transfer software from TIBCO. The 

contractor may implement the Command Center Platform Server that has embedded software encryption capable of 

being enabled. 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. 
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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 the 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 software Checkpoint/Restart feature.

NOTE: The contractor may not use VM/VSE/ESA on a mainframe system, as this hampers automated file 

transmission.

The contractor’s FTMS software shall be operational for the receipt of data files 24 hours per day, seven (7) days per 

week, unless otherwise specified by the Government. The communications protocol between SSA and the contractor

shall be the Internet Protocol (IP). The contractor must specify the type of 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 dictated 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.

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.

It is the contractor’s responsibility to notify SSA when systems or data line problems arise and transmission(s) cannot 

take place. SSA’s first point of contact for systems or data line problems shall be the HELP DESK at 866-718-6410

The contractor must call 866-718-6410 and select Option 0 to establish a ticket. The contractor will describe the

transmission issue to the help desk technician who will create a ticket. After establishing a ticket, the print contractor 

must email the DBOPC.Leaders.Mailing.List@ssa.gov mailbox and include the SSA contract lead. The email must 

include the ticket number and describe the issue experienced (if files should have transmitted but did not, the email 

must include the file names of missing files).

All data provided by the Government or duplicates made by the contractor or their representatives 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. Files provided to the contractor 

must be retained for 21 workdays after mailing (before destruction).

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 the contract requirements by performing the 

following tests:

▪ Transmission Test

▪ Preproduction Validation Test
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▪ Payment Stub Validation Test

▪ Preproduction Press and Mail Run Test 

▪ Systems Change/Signature Change/New Notice Files Validation Test

The Government will furnish electronic test files at the postaward conference, or shortly thereafter, to be used in 

performing these tests. 

Failure of the contractor to perform any of the below tests (Transmission Test, Preproduction Validation Test,

Payment Stub Validation Test, Preproduction Press and Mail Run Test, and System Change/New Notice Files 

Validation Test) satisfactorily may be grounds for immediate default. 

The Government reserves the right to waive the requirements of any of these tests. Contractor will be notified at the 

postaward conference if any test(s) are to be waived.

The contractor will be required to have all material necessary to perform these tests. All composition and proofing 

must be completed prior to these tests, as applicable for each test (see “COMPOSITION” and “PROOFS” specified 

herein).

Government representatives will witness all phases of the Preproduction Press and Mail Run Test.

Transmission Test: After award, SSA will notify the contractor when transmission test will be performed. The

contractor will be required to receive, within one (1) workday, up to approximately 360,000 notices. 

The contractor will be required to perform a record count verification the same workday as receipt of the complete 

transmission of the test files and perform the Coding Accuracy Support System (CASS) certification the same

workday as receipt of the complete transmission of the test files.

The contractor will be required to run the test file through their CASS certification system to ensure that there are no 

problems with the reading of the address file. Contractor will be required to report back to SSA with the test results. 

The contractor will be required to copy the files to their own system and email Kate Schmidt at 

Kathryn.Schmidt@ssa.gov 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: Within five (5) workdays of receipt of test files, the contractor must conduct a 

preproduction validation test and furnish no less than 500 total samples of the completed product (40 notices of each

mailer including at least five (5) samples from each PC when applicable). 

Notices must be complete and include all variable data from Government furnished files. The notices must be inserted 

into envelopes and must include the appropriate inserts.

Contractor to submit samples to: SSA, Attn: Kate Schmidt, 6401 Security Boulevard, 1300 Annex Building Baltimore, 

MD 21235-6401. The container and accompanying documentation must include the GPO jacket, purchase order,

print order and program numbers.

The Government will approve, conditionally approve, or disapprove the samples from the Preproduction Validation 

Test within five (5) workdays of receipt thereof. Approval or conditional approval must not relieve the contractor from 

complying with the specifications and all other terms and conditions of the contract. A conditional approval must 

state any further action required by the contractor. A notice of disapproval must state the reasons thereof. 

NOTE: If errors are found, additional samples will be required until such time as the validation produces no errors.
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Payment Stub Validation Test: Within five (5) workdays of receipt of test files, the contractor must provide SSA 25

printed samples of the payment stub only (no inserts or envelopes required) for each workload (ROAR and RECOOP) 

containing a payment stub for validation of the scanline. 

The shipping address for the Payment Stub Validation Test will be provided at award.

The micro-perforation on the payment stub page must be properly located, and the payment stub must function 

properly when processed through the current high speed scanning equipment owned by SSA. A form is a reject when 

its OCR print cannot be correctly deciphered on the first pass through the specified reading equipment. 

The Government will approve, conditionally approve, or disapprove the samples from the Payment Stub Validation

Test within five (5) workdays of receipt thereof. Approval or conditional approval must not relieve the contractor from 

complying with the specifications and all other terms and conditions of the contract. A conditional approval must 

state any further action required by the contractor. A notice of disapproval must state the reasons thereof. 

NOTE: If errors are found, additional samples will be required until such time as the validation produces no errors.

Preproduction Press and Mail Run Test (12-Hour Test): Prior to commencement of production, the contractor will

be required to demonstrate their ability to perform the contract requirements by performing a 12-hour preproduction 

press and mail run test utilizing test files transmitted electronically. 

Within five (5) workdays of final approval of preproduction validation test samples, the Government will work with 

the contractor to select a date when the contractor will be required to perform the 12-hour Preproduction Press and 

Mail Run Test. 

The test shall occur during the regular work week of Monday through Friday (excluding Federal holidays).

The contractor will be issued a print order for the 12-hour test.

Upon successful completion of all test requirements, the contractor will be reimbursed for all applicable costs in 

accordance with the contractor’s submitted bid prices in the “SCHEDULE OF PRICES.” If the contractor fails to 

meet all test requirements, they will not be reimbursed for any associated costs.

The contractor will be required to have all composition, proofing, printed forms, publications (booklets), envelopes, 

scanning equipment, and reports for 100% accountability of production and mailing completed, available, and ready 

for production prior to beginning the test. Notices are to be completed in accordance with contract requirements, 

inserted with inserts into envelopes, and prepared for mailing. 

Contractor will be required to provide the necessary audit and summary reportsfor 100% accountability of production 

and mailing within one (1) hour after the run is completed.

NOTE: If a subcontractor is utilized for the presorting and/or mailing of the notices of this contract, the 12-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.

The contractor must produce a minimum of 180,000 notices, using the notices from the transmission test, in a 

continuous 12-hour period that will prove to the Government representatives the contractor can satisfactorily complete 

the requirements of this contract during live production. 

During the 12-hour period, the contractor will be required to print and prepare for mailing the following quantities of 

ROAR, RECOOP, REACT, GARNISHMENT, TAX LEVY, TTW TERMINATION, TTW STARTUP notices:
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ROAR Mailer 1: 73,100

Mailer 2: 8,500

RECOOP Mailer 3: 25,000

Mailer 4: 1,500

REACT Mailer 5: 6,000

Mailer 6: 325

GARNISHMENT Mailer 7: 7,500

Mailer 8: 325

TAX LEVY Mailer 9: 225

Mailer 10: 25

TTW TERMINATION Mailer 11: 32,500

TTW STARTUP Mailer 12: 25,000

Total 180,000

The 12-hour period for the printing process will begin when an “O.K. to Print” is given by the Government

representative on-site. The 12-hour period for the inserting, including any necessary reprints, and mailing process will 

begin within two (2) hours of the start of the printing to allow the contractor to print sufficient materials to begin the 

inserting process. 

The test run will incorporate all aspects of the program consisting of the receipt of transmitted data; the duplex 

printing and imaging (and simplex imaging when an odd page is required) of notices; binding; construction; inserting; 

reprints; manifesting; presorting; and preparing finished notices for delivery to the USPS. To simulate actual 

production conditions, the product 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 must be manufactured at the facility 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 output within seven (7) workdays of receipt 

thereof. Approval or conditional approval must not relieve the contractor from complying with the specifications and 

all other terms and conditions of the contract. A conditional approval must state any further action required by the 

contractor. A notice of disapproval must state the reasons thereof.

Failure to meet the requirements of the 12-hour test is grounds to immediately terminate the contract for 

default.

Systems Change/Signature Change/New Notice Files Validation Test: When required, the Government will furnish 

test files for transmission that are to be used in performing a Systems Change/Signature Change/New Notice Files

Validation Test. This test is required whenever SSA initiates a systems/programming change, a signature change, or 

when a new notice workload is developed. 

The contractor must furnish up to 100 samples (no envelopes or inserts/enclosures). 
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Contractor must submit samples within three (3) workdays of receipt of test files. 

SSA may require either hard copy samples or PDF samples. If required, contractor to submit hard copy (printed) 

samples to: SSA, Attn: Kate Schmidt, 6401 Security Boulevard, 1300 Annex Building, Baltimore, MD 21235-6401. 

If required, contractor to submit PDF samples via the SFTP site.

The Government will approve, conditionally approve, or disapprove the samples within five (5) workdays of receipt 

thereof. Approval or conditional approval must not relieve the contractor from complying with the specifications and

all other terms and conditions of the contract. A conditional approval must state any further action required by the 

contractor. A notice of disapproval must state the reasons thereof.

If errors are found, additional samples of notices (as indicated above) will be required until such time as the

validation produces no errors.

The test must occur without a break in production of notices. The Government will inform the contractor in advance 

when the test files are to be provided and what changes are taking place. 

COMPOSITION: The contractor will be required to set type for 29 envelopes (return address, indicia, delivery 

address, and additional printing on face and back may be required on some orders). Contractor will be required to set

up to approximately six (6) lines of type for the envelopes. Helvetica or similar typeface will be utilized.

Century Schoolbook, Sonoran Serif or equivalent fonts are to be used for producing the notices. SSA will provide the 

font numbers. The contractor will be required to validate that they have the proper licenses for each font. SSA cannot 

provide licensed fonts. Obtaining licensed fonts will be the responsibility of the contractor. No alternate typefaces

will be allowed; however, manufacturers’ generic equivalents may be accepted (upon Government approval) for the 

above typefaces.

Intelligent Mail Barcode font will be required for the start of this contract. The contractor will be required to obtain the 

necessary font; SSA will not provide it with resources supplied.

The contractor must use an OCR-A font to print the numeric scan line on the payment stubs that appears in Mailer 1, 

Mailer 2, Mailer 3, and Mailer 4.

PROOFS: 

NOTE: SSA uses many of the same forms and publications (booklets) in several of its print contracts. If SSA

determines after award the contractor is responsible for the production of any other SSA workloads containing the 

same forms and/or publications required for this program, the revisions may be proofed using one of these other 

programs to reduce the proofing requirements for any revisions. 

▪ When ordered, one (1) press quality PDF soft proof (for content only) using the same Raster Image Processor 

(RIP) that will be used to produce the final printed product may be required. PDF proof will be evaluated for 

text flow, image position, and color breaks. Proof will not be used for color match.

Proofs must show all margins and dimensions and indicate trim marks. For envelopes, proofs must show flap, 

and window size and placement, as applicable.

▪ When ordered, three (3) sets of digital color content proofs. Proofs must be created using the same Raster 

Image Processor (RIP) that will be used to produce the product. Direct to plate must be used to produce the 

final product with a minimum resolution of 2400 x 2400 dpi. Proofs shall be collated with all elements in 

proper position (not pasted up), imaged face and back, trimmed, and folded to the finished size of the product, 

as applicable.
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▪ When ordered, three (3) sets of inkjet proofs that are G7 profiled and use pigment-based inks. A proofing RIP

that provides an option for high quality color matching (such as Device Links Technology and/or ICC Profiles 

Technology), and meets or exceeds industry tolerance to ISO 12647-7 Standard for Graphic Technology (as 

of 3/19/09, and future amendments) must be utilized plus GRACoL 2006 Coated #1 specifications (CGATS 

TR006) must be achieved. Output must be a minimum of 720 x 720 dpi on a GRACoL or SWOP certified 

proofing media. Proofs must contain the following color control strip to be evaluated for accuracy:

IDEAlliance ISO 12647-7 Control Strip 2009 or 2013(i1).

Proofs must contain color control bars (such as Brunner, GATF, GRETAG, or RIT) for each color of ink on 

the sheet. Control bars must be placed parallel to the press’s ink rollers and must show areas consisting of 

minimum 1/8 x 1/8” 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 consecutively across the sheet.

The make and model number of the proofing system utilized shall be furnished with the proofs. These proofs 

must contain all elements, be in press configuration, and indicate margins. Proofs will be used for color match 

on press. Direct to plate must be used to produce the final product with a minimum of 2400 x 2400 dpi.

Pantone colors must be simulated on proofs and must be proofed separately on a digital color content, 

overlay, or inkjet proof. Contractor may be required to submit ink draw downs on actual production stock of 

Pantone color(s) used to produce the product.

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.”

If any contractor’s errors are serious enough in the opinion of GPO to require revised proofs, the revised proofs are to 

be provided at no additional expense to the Government. No extra time can be allowed for this reproofing operation; 

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 numbersin 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-for-vendors/vol_13.pdf.

Color of paper furnished must be of a uniform shade and a close match by visual inspection of the JCP and/or attached 

color sample(s). The Contracting Officer reserves the right to reject shipments of any order printed on paper the color 

of which, in their opinion, materially differs from that of the color sample(s). 

All paper used in each copy must be of a uniform shade. 

Personalized Notices: White Uncoated Text, basis weight: 50 lbs. per 500 sheets, 25 x 38”, equal to JCP Code A60;

or, at contractor’s option, White Writing, basis weight: 20 lbs. per 500 sheets, 17 x 22”, equal to JCP Code D10.

Form SSA-3105: White Writing, basis weight: 20 lbs. per 500 sheets, 17 x 22”, equal to JCP Code D10.

Booklets: White Uncoated Text, basis weight: 60 lbs. per 500 sheets, 25 x 38”, equal to JCP Code A60.

BRM/CRM Envelopes: Green Writing Envelope (match of Pantone 344 (Green)), basis weight: 20 lbs. per 500

sheets, 17 x 22”, equal to JCP Code V20.

CRM Envelopes: White Writing Envelope, basis weight: 20 lbs. per 500 sheets, 17 x 22”, equal to JCP Code V20.
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Mail-out Envelopes: White Writing Envelope, basis weight: 24 lbs. per 500 sheets, 17 x 22”, equal to JCP Code V20; 

or, at contractor’s option, White Uncoated Text, basis weight: 60 lbs. per 500 sheets, 25 x 38”, equal to JCP Code 

A60.

PRINTING/IMAGING: The contractor will be required to convert furnished data from electronic transmission for 

either laser or ion deposition printing. All printing/imaging must have a minimum resolution of 600 x 600 dpi. NOTE: 

Inkjet printing is NOT allowed.

The Government reserves the right to make changes to the envelopes or the format(s)/text of the forms, and booklets, 

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. 

The contractor is not to preprint or maintain more than a 90-calendar day inventory of any of the components required on 

this contract. The Government will not be required to purchase from the contractor the inventory of any stocked items 

remaining on hand in excess of what was authorized when an envelope or format/text change is implemented. However, if 

a revision occurs which requires destruction of outdated stock and/or increases or decreases in booklet page counts, all costs 

incurred are to be in accordance with the “SCHEDULE OF PRICES,” as applicable.No additional charge may be incurred.

Within five (5) workdays of stocking the new material, the contractor will be required to report to SSA the remaining 

balance of the outdated stock for reimbursement. In some cases, SSA will require the contractor to exhaust the old 

stock before using the new stock. The instruction to destroy or exhaust stock will be issued with the furnished 

electronic file containing the new artwork.

Contractor to match Pantone colors as indicated on the task order/print order, as applicable.

Personalized 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.

NOTE: Spanish notices consist of two (2) parts: The first part is the Spanish notice; the second part is the same notice in English.

Payment Stub Notices: Mailer 1, Mailer 2, Mailer 3, and Mailer 4 files will contain notices requiring a microperforated payment stub page with an alpha-numeric scanline. The micro-perforation on the payment stub page shall 

be located 3-1/2” (plus or minus 1/16”) up from the bottom of the page and run along the entire 8-1/2” dimension. The 

alpha-numeric scanline shall be printed using the OCR-A font. The payment stub page (full 8-1/2 x 11” leaf) is part of 

the notice itself and will be electronically transmitted.

NOTE: The payment stub portion (i.e., the portion below the micro-perforation), once detached, will be scanned. It is 

critical that the bottom of the OCR-A scan line be 1/2” from the bottom of the payment stub page and that, when 

reading from the right, the first encodable character is encountered at least 1/4”, but no more than 5/16” (plus or minus 

1/16”), from the right leading edge of the payment stub. The payment stub produced requires precision spacing, 

printing, and trimming, and must be guaranteed to function properly when processed through the current High Speed 

scanning equipment owned by SSA. A form is a reject when its OCR print cannot be correctly deciphered on the first 

pass through the specified reading equipment.

Form SSA-3105: Print head-to-head, face and back in black ink only. Printing consists of text and line matter.

Booklets: Print head-to-head in two (2) Pantone ink colors. Printing may consist of text and line matter, graphics, and 

SSA logo. 

All Envelopes: Envelopes print face only or face and back (after manufacturing) in black ink. Printing consists of 

text and line matter. Printing must be in accordance with the requirements for the style envelope ordered. All printing 

must comply with all applicable U.S. Postal Service regulations. The envelope must accept printing without feathering 

or penetrating to the reverse side.
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All envelopes require a security tint printed on the inside (back before manufacturing) in black ink. The 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.

Green BRM Envelopes (3-7/8 x 8-7/8”): Face of envelope to be in BUSINESS REPLY FORMAT. Print Facing 

Identification Mark (FIM) and Intelligent Mail Barcode using the furnished camera copy. The FIM and Intelligent 

Mail Barcode should be placed on the mailing piece according to the current U.S. Postal Service’s Domestic Mail 

Manual, “Barcoded Mail pieces.”

White and Green CRM Envelopes(3-7/8 x 8-7/8”): Face of envelope to be in COURTESY REPLY FORMAT. Print 

FIM and Intelligent Mail Barcode using the furnished camera copy. The FIM and Intelligent Mail Barcode should be 

placed on the mailing piece according to the current U.S. Postal Service’s Domestic Mail Manual, “Barcoded Mail 

pieces.”

RECYCLED PAPER LOGO: If recycled paper is used, the recycled paper logo and legend must be printed in black 

ink on the notices and envelopes. If the forms and booklets are printed on recycled paper, the recycled paper logo and 

legend must print in the same Pantone ink color as the text. 

Notices: The recycled paper logo/legend must be digitized by the contractor and imaged in the bottom right corner

aligned with the contractor’s control number on the first page of each notice. For bilingual Spanish/English notices, 

the logo will appear on the Spanish copy only. 

Forms/Booklets: The SSA furnished manuscript, electronic files, or camera copy will already contain the recycled

paper logo/legend in either English or Spanish (as appropriate).

Envelopes: The recycled paper logo/legend must be digitized by the contractor and printed on the back of the 

envelopes 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; slur targets; two-color 

overprint ink trapping targets and gray balance patches for process color (if applicable). These areas must be repeated

across the entire press sheet.

Viewing Light: Presssheets 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. 

Booklets contain adequate gripper margins and the self-cover pages bleed three (3) sides. 

BINDING: 

Notices: Trim each leaf four sides. 
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805-S (11/25) Page 62 of 76

Payment Stub: The last leaf of approximately 2% of the ROAR notices and 80% of RECOOP notices will contain a 

micro-perforated payment stub. For bilingual Spanish/English notices, the payment stub will be on the last leaf of the 

Spanish notice and on the last leaf of the English notice. However, the micro-perforation will not be on the same leaf 

for every notice, because the notices have variable page counts. The contractor will be required to identify the

payment stub page(s) requiring perforation and ensure that only these pages are perforated.

Perforation: It is critical that the micro-perforation on the payment stub page be 3-1/2” from the bottom of the 

payment stub page and run along the entire 8-1/2” dimension. Perforations must allow for easy separation without 

causing damage to products.

Form SSA-3105: Trim four sides. Fold from a flat size of 10-1/2 x 8” down to 3-1/2 x 8” with two (2) parallel 

wraparound folds, title out. Perforate on the fold 7” from left edge. Perforate (slit or slot, without ink) on the fold. 

Perforations must allow for easy separation without causing damage to products. Follow furnished sample.

Booklets: Saddle-wire stitch in two places and trim three sides. Each product must contain complete 4-page signatures

after trimming. Single leaves connected with a lip (i.e., binding stub) to left or right side of stitches will not be allowed.

CONSTRUCTION:

REACT Green Non-Window BRM Envelope, REACT and TAX LEVY White Non-Window CRM Envelope, and 

ROAR and REACT Green Non-Window CRM Envelope (3-7/8 x 8-7/8”): Envelope must be 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 meet all USPS requirements. Flap must be coated with a suitable 

remoistenable glue that will securely seal the envelope for mailing without adhering to the contents of the envelope.

ROAR and RECOOP Green BRM Window Envelope (3-7/8 x 8-7/8”): Envelope must be open side, with gummed,

fold-over flap for sealing and contain high-cut diagonal seams or double side seams, at contractor’s option. Flaps

depth must be 1-1/2”. Flap must be coated with suitable remoistenable glue that will securely seal the envelope 

without adhering to contents of the envelope. 

Face of envelope to contain one (1) die-cut address window (1 x 3-1/2” in size) with slightly rounded corners. Die-cut 

window is to be located 7/8” from the bottom edge of the envelope and 1” from the right edge of the envelope (the 

long dimension of the window is to be parallel to the long dimension of the envelope). The contractor has the option to

adjust the size of the window opening (subject to Government approval), providing the visibility of the computergenerated mailing address and barcode on the notice is not obscured, and other extraneous information is not visible 

when material is inserted into the envelope.

ROAR, RECOOP, REACT, GARNISHMENT, and TAX LEVY Mail-out Envelope (6-1/8 x 9-1/2”):

Envelope must be open side, with gummed, fold-over flap for sealing and contain high-cut diagonal seams.

Flap depth is at the contractor’s option, but must meet all USPS requirements. Flap must be coated with a

suitable glue that will securely seal the envelope without adhering to contents, permit easy opening by the 

recipient, and not permit resealing of the envelope.

Face of envelope to contain one die-cut address window (1-3/4 x 4-1/4" in size) with slightly rounded comers. 

Die-cut window is to be located 1-3/4” 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). The contractor 

has the option to adjust the size of the window opening (subject to Government approval), providing the visibility of 

the computer-generated mailing address and barcode on the notice is not obscured, and other extraneous information 

is not visible when material is inserted into the envelope.
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805-S (11/25) Page 63 of 76

TTW TERMINATION AND TTW STARTUP Mail-out Envelope (6-1/8 x 9-1/2”): Envelope must be open

side, with gummed, fold-over flap for sealing and contain high-cut diagonal seams. Flap depth is at the 

contractor’s option, but must meet all USPS requirements. Flap must be coated with a suitable glue that will

securely seal the envelope without adhering to contents, permit easy opening by the recipient, and not permit 

resealing of the envelope.

Face of envelope to contain one die-cut address window (1-1/2 x 4-1/4" in size) with slightly rounded comers. 

Die-cut window is to be located 2” 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). The contractor has the 

option to adjust the size of the window opening (subject to Government approval), providing the visibility of the 

computer-generated mailing address and barcode on the notice is not obscured, and other extraneous information is 

not visible when material is inserted into the envelope.

 

Windows: For ALL envelopes with a window, the window is to be covered with a suitable transparent, low-gloss,

poly-type material that must be clear ofsmudges, 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.

GATHERING AND INSERTING: Gather all leaves of a 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 5-1/2”, title out. Address on first

page of notice must be visible through window of mail-out envelope. 

Insert into appropriate mail-out envelope with recipient’s name and address on first page facing out for visibility 

through window envelope. 

In the case of bilingual Spanish/English notices, the recipient’s name and address on the Spanish notice should be visible 

through the window envelope. (NOTE: The bilingual Spanish/English notices must be nested together.) 

When required, all required forms, booklets, and/or BRM/CRM envelopes are to be inserted behind the notice (when 

viewed from the window side of the envelope). 

It is the contractor’s responsibility to assure that only the computer-generated address and IMb on the notice will be 

visible through the window in the envelope and that only one notice and only one copy of each required insert is 

inserted into each envelope. 

It is also the contractor’s responsibility in the case of bilingual Spanish/English notices, the recipient’s name and 

address on the Spanish notice should be visible through the window of the mail-out envelope. The Spanish notice will 

be in front with the English notice inserted behind the Spanish notice (when viewed from the window side of the 

envelope).

Seal mail-out envelopes.

PRODUCTION INSPECTION: Before production begins on any new workloads, a production inspection(s) may 

be required at the contractor’s plant.

Production inspection(s) may be required at the contractor’s/subcontractor’s plant for the purpose of establishing the

receipt of transmitted files, printing of notices, forms, booklets, and/or envelopes, the imaging, binding, construction, 

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.
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DISTRIBUTION:

▪ Deliver f.o.b. destination (on the first order and any order that requires revisions to the booklets, forms, or 

envelopes) three (3) samples of each to: SSA, Division of Printing Management, Attn: Kate Schmidt, 1300

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

▪ Mail f.o.b. contractor’s each individual mailer. (The contractor is responsible for all costs incurred in 

transporting this product to the U.S. Postal Service facility.)

Domestic First-Class Letter-Size Mail: The contractor is required to prepare domestic First-Class letter-size mail 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. 

When volumes warrant, SSA requires the use of a permit imprint. The contractor must use SSA’s “Postage and Fees Paid 

First Class Mail” permit imprint mailing indicia 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. 

The contractor is cautioned to use the permit imprint only for mailing material produced under this contract. 

The contractor is required to obtain the maximum USPS postage discounts possible in accordance with the USPS 

First-Class Domestic Mail automated and nonautomated mail discount structure in effect at the time of mailing: (a) 

Automation (5-digit); (b) Automation (AADC); (c) Automation (Mixed AADC); (d) Nonautomation (Presorted); and 

(e) Nonautomation (Single Piece).

Mail addressed to United States possessions (e.g., American Samoa, Federated States of Micronesia, Guam, Marshall 

Islands, Northern Mariana Islands, Palau, Puerto Rico, U.S. Virgin Islands, and Wake Island) and Military Overseas 

Addresses (APO/FPO mail) is Domestic Mail, not International Mail, and must be included in the discount sorting above.

To maximize automation discounts, Intelligent Mail Barcode (IMb) barcoding, delivery address placement, and 

envelopes used for the mailing are among the items that must comply with USPS requirements for automationcompatible mail in effect at the time of the mailing.

Contractor will be required to produce and use a USPS Intelligent Mail Barcode 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 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 Full-Service option 

requires the contractor to use Postal One.

SSA will provide the contractor with a 6-digit Mailer Identifier (MID) for the mailing. The Mailer Identifier is a field 

within the Intelligent Mail Barcode that is used to identify the owner of the mail.

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.

Permit Imprint is to be used for International Mail providing the mailing consists of at least 200 pieces. Permit 

imprint may not be used if the mailing is less than 200 pieces. 

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 and the additional requirements for IPA as specified in the mostrecent 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.
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805-S (11/25) Page 65 of 76

The complete address of the sender, including ZIP Code and country of origin, should be shown in the upper left 

corner of the address side of the envelope. 

International Mail return addresses must show as the last line of the address “UNITED STATES OF AMERICA” or 

“USA,” all in upper-case 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 these requirements.

NOTE: International mail cannot contain a presort endorsement. Again, mail addressed to United States possessions 

(e.g., American Samoa, Federated States of Micronesia, Guam, Marshall Islands, Northern Mariana Islands, Palua, 

Puerto Rico, U.S. Virgin Islands, and Wake Island), and Military Overseas addresses (APO/FPO mail) is Domestic 

Mail, NOT International Mail.

Minimum Volume Reduction Provision (MVRP): 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 USPS Bulk Mail Entry Unit (BMEU). (See Exhibit R for MVRP Request Letter for local BMEU.)

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, the contractor 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). 

Contractor 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. 

This workload contains various weight pieces. 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. Requirements for the MMS are contained in Publication 401 “USPS Guide to the Manifest Mailing

System” in effect at the time of the mailing. 

NOTE: A copy of the USPS approval for the MMS must be presented at the postaward conference.

USPS has instituted 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 inch between the barcode and the left and right edges 

of the window and at least 0.028-inch 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 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.

The contractor is required to fill in all applicable items on USPS form(s) and submit in duplicate to the entry post 

office. The post office will return a verified copy of USPS form(s) to the contractor. The contractor must 

immediately forward a copy to the ordering agency identifying the Program Number, Print Order Number, and Jacket 

Number, as appropriate.

National Change of Address (NCOA) and Coding Accuracy Support System (CASS): The files provided by SSA to 

the contractor may or may not be NOAA or CASS certified. Contractor will be required to complete all necessary 

processing to obtain certification and mail discounts for USPS.
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805-S (11/25) Page 66 of 76

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 NCOA or CASS 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. All related costs to perform this operation must be 

included in submitted bid pricing. No additional reimbursement will be authorized.

IMPORTANT: Contractor CANNOT at any time perform move updates or address corrections on the notice 

address. Notices that require a move update can be separated/diverted and sent at the full USPS first class rate. 

If the contractor uses a mail sort house, the furnished mail package must not receive an updated mailing 

address label.

Certificate of Conformance (If Required): 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 shall 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 

USPS 3607R and/or GPO’s Form 712 (Certificate of Conformance) and/or Certificate of Bulk mailing, etc. Each 

document must be noted with file date and mailer number.

The contractor must place the number that is on top of the GPO Form 712, if required, (the number that starts with 

“A”) in the space provided on the USPS mailing statements. If no space is provided on the mailing statement, 

contractor to place the number in the upper right margin of the mailing statement. The contractor will also use SSA’s

Federal Agency Cost Code number (276-00016) which must be placed on all mailing documents. All copies must be 

legible and include both obverse and reverse side.

Upon completion of the contract, contractor must return any furnished materials, as required. Contractor is to recycle

or destroy any furnished hard copy samples, if furnished.

All expenses incidental to picking up and returning materials (as applicable), submitting and picking up proofs (as 

applicable), 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 individual 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 mail out date or the quantity to 

be mailed, SSA must be notified immediately.

If applicable, manuscript copy and/or camera copy, for forms, booklets, and envelopes will be provided at the 

postaward conference, or shortly thereafter. If applicable, electronic media will be furnished shortly after preaward 

conference.

When required, furnished material and hard copy proofs must be picked up from and delivered to: Social Security 

Administration, Attn: Kate Schmidt, 1300 Annex Building, 6401 Security Boulevard, Baltimore, MD 21235-6401.

If applicable, furnished manuscript copy and/or camera copy must be returned with hard copy proofs.

When ordered, contractor to email PDF soft proof as instructed by SSA. 

The first task order for actual production will be issued on or around May 1, 2025.

The following schedules begin the workday after receipt of furnished material. The workday after receipt will be the

first workday of the schedule.
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805-S (11/25) Page 67 of 76

Proof Schedules:

PDF Soft Proofs –

▪ When ordered, contractor must submit all required PDF soft proofs within two (2) workdays of receipt of 

furnished materials.

▪ PDF soft proofs will be withheld no more than two (2) workdays from receipt at the ordering agency until 

changes/corrections/“O.K. to Print” are furnished 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 PDF soft proofs within two (2) 

workdays of receipt of reviewed proofs. 

▪ Proofs will be withheld no more than two (2) workdays from their receipt at the ordering agency until 

changes/corrections/“O.K. to Print” are furnished via email. (NOTE: The first workday after receipt of proofs 

at the ordering agency is day one (1) of the hold time.)

Hard Copy Proofs–

▪ When ordered, contractor must submit all required proofs within seven (7) workdays of receipt of furnished 

materials. 

▪ Proofs will be withheld no more than five (5) workdays from their receipt at the ordering agency until they are 

made available for pickup. (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

receipt of reviewed proofs. 

▪ Proofs will be withheld no more than three (3) workdays from their receipt at the ordering agency. (NOTE:

The first workday after receipt of proofs at the ordering agency is day one (1) of the hold time.)

Preproduction Test Schedules:

Prior to receiving transmission of live production data files, the contractor will be required to perform the following tests.

NOTE: 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 these tests. The contractor will be notified at the 

postaward conference if any test(s) will be waived.

Transmission Test –

▪ This test is to be performed after the contract is awarded and the process is ready. The Government will notify 

the contractor when the test will be performed.

▪ The contractor will be required to receive 360,000 notices within one (1) workday.

▪ The contractor will be required to perform a record count verification and perform the CASS certification the 

same workday as receipt of the complete transmission of the test files and must provide SSA with the exact 

counts and the CASS certification.

▪ SSA will respond within one (1) workday of receipt thereof.
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805-S (11/25) Page 68 of 76

Preproduction Validation Test and Payment Stub Validation Test – These test will performed at the same time.

▪ Within five (5) workdays of receipt of test files, the contractor is required to perform a Preproduction 

Validation Test and Payment Stub Validation Test.

▪ The contractor must furnish a total of 500 printed samples of the notices (40 sample notices from each mailer 

including at least five (5) samples from each PC) for the Preproduction Validation Test and 50 printed 

samples of the payment stub (25 samples of each workload) for the Payment Stub Validation Test.

▪ The Government will approve, conditionally approve or disapprove the samples from both tests within five 

(5) workdays of receipt thereof.

Preproduction Press and Mail Run Test (12-Hour Test) –

▪ Within five (5) workdays of final Government approval of preproduction validation test samples and 

contractor’s receipt of necessary materials to perform the test (inserts and envelopes), the Government will 

work with the contractor to select a date to perform the 12-hour preproduction press and mail run test. 

▪ The contractor must produce a minimum of 180,000 notices in a continuous 12-hour period.

▪ The Government will approve, conditionally approve, or disapprove the samples within seven (7) workdays of receipt.

NOTE: In order for proper arrangements to be made, notification must be given at least three (3) workdays prior to test. 

Systems Change/Signature Change/New Notice Files Validation Test –

▪ When required, the contractor will furnish up to 100 samples (no envelopes or inserts/enclosures) within three (3)

workdays of receipt of test files. (SSA may require either hard copy, printed samples or PDF samples.)

▪ The Government will approve, conditionally approve, or disapprove the samples within five (5) workdays of 

receipt thereof.

PRODUCTION SCHEDULE:

Workday – The term “workday” is defined as Monday through Friday each week, excluding 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 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. 

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. (See “FILE TRANSFER MANAGEMENT SYSTEM (FTMS) 

REQUIREMENTS” for additional information). 

Contractor must not proceed with processing a transmission until counts are verified against the task order. If a 

discrepancy is found, the contractor must call the HELP DESK immediately at 866-718-6410. The contractor must 

call 866-718-6410 and select Option 0 to establish a ticket. The contractor will describe the transmission issue to the 

help desk technician who will create a ticket. After establishing a ticket, the print contractor must email the 

DBOPC.Leaders.Mailing.List@ssa.gov mailbox and include the SSA contract lead. The email must include the ticket 

number and describe the issue experienced (if files should have transmitted but did not, the email must include the file 

names of missing files).
SSA Notice Packages

805-S (11/25) Page 69 of 76

Live production files will transmit on a daily basis Tuesday through Saturday for the ROAR, RECOOP, REACT, 

GARNISHMENT, and TAX LEVY notices. Live production files for TTW TERMINATION and TTW STARTUP

notices will transmit monthly. In the event of Federal holidays, the files will transmit on the Federal holiday but will 

not transmit the day after the holiday. For example, on Thanksgiving files will transmit on Thursday. Files will not 

transmit on Friday. Files will resume transmission on Saturday. 

ROAR Notices (Mailers 1 and 2): Complete production and mailing must be made within five (5) workdays of receipt 

of each transmitted file (for example, transmissions received on Tuesday must be mailed by the close of business the 

following Tuesday; transmissions received on Saturday must be mailed by the close of business the following Friday). 

RECOOP Notices (Mailers 3 and 4): Complete production and mailing must be made within two (2)workdays ofreceipt 

of each transmitted file (for example, transmissions received on Tuesday must be mailed by the close of business the 

following Thursday; transmissions received on Saturday must be mailed by the close of businessthe following Tuesday). 

REACT Notices (Mailers 5 and 6): Complete production and mailing must be made within five (5) workdays ofreceipt

of each transmitted file (for example, transmissions received on Tuesday must be mailed by the close of business the 

following Tuesday; transmissions received on Saturday must be mailed by the close of business the following Friday). 

GARNISHMENT Notices(Mailers 7 and 8): Complete production and mailing must be made within five (5) workdays 

of receipt of each transmitted file (for example, transmissions received on Tuesday must be mailed by the close of business 

the following Tuesday; transmissions received on Saturday must be mailed by the close of business the following Friday). 

TAX LEVY Notices (Mailers 9 and 10): Complete production and mailing must be made within five (5) workdays of 

receipt of each transmitted file (for example, transmissions received on Tuesday must be mailed by the close of business the 

following Tuesday; transmissions received on Saturday must be mailed by the close of business the following Friday).

TTW Termination (Mailer 11): Complete production and mailing must be made within five (5) workdays of receipt 

of each transmitted file (for example, transmissions received on Tuesday must be mailed by the close of business the 

following Tuesday; transmissions received on Saturday must be mailed by the close of business the following Friday).

TTW Startup (Mailer 12): Complete production and mailing must be made within five (5) workdays of receipt of each 

transmitted file (for example, transmissions received on Tuesday must be mailed by the close of business the 

following Tuesday; transmissions received on Saturday must be mailed by the close of business the following Friday). 

Quality Control Samples: Each box of quality control samples must contain only the samples for each particular print

order. The contractor must ship the quality control samples each week within two (2) workdays of the last mailing 

date of the print order.

Mailing Documentation and Summary Reports: A PDF copy of the summary report(s) and matching USPS Certificate 

of Bulk Mailing, USPS 3607R, and/or GPO 712 form(s) must be submitted to Kathryn.Schmidt@ssa.gov for each file date 

within two (2) workdays of mailing. All copies must be legible and include both obverse and reverse side.

Invoices: One copy of the invoice for each print order must be emailed within five (5) workdays of the last mailing date of 

the print order to Kathryn.Schmidt@ssa.gov. The invoice must be itemized in accordance with the items in the 

“SCHEDULE OF PRICES.” For more information on the invoicing process, refer to information under “PAYMENT.”

Press Sheet and Production Inspections: The contractor must notify the GPO and SSA ofthe date and time ofthe press 

sheet inspection or production inspection at least three (3) workdays priorto the inspection(s) to allow time to make proper

travel arrangements. Notify the U.S. Government Publishing Office, Quality Control for Published Products, Washington, 

DC 20401 at (202) 512-0542 AND Kate Schmidt via email at Kathryn.Schmidt@ssa.gov. 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.
SSA Notice Packages

805-S (11/25) Page 70 of 76

NOTE: If the backup facility is used for the production of these notices, the Government will require a press sheet 

inspection. Notification must be given at least three (3) workdays 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 destination(s) specified, and the date products ordered for mailing f.o.b. contractor’s city must be 

delivered to the post office. 

Unscheduled material such as shipping documents, receipts or instructions, delivery lists, and labels will be furnished

with the 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.
SSA Notice Packages

805-S (11/25) Page 71 of 76

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 under this contract for a like period of time.

The following item designations correspond to those listed in the “SCHEDULE OF PRICES.”

I. 12

II. 29

III.

(a) 29

(b) 40

(c) 42

IV. (a) 1

(b) 1

(c) 1

(d) 1

V. (a) 250

(b) 14,642

(c) 20

(d) 11,500

(e) 7,321

(f) 2,640

(g) 20

(h) 67

VI. (a) 14,642

(b) 20

(c) 5,750

(d) 7,321

(e) 2,662

(f) 67

VII. 7,321
SSA Notice Packages

805-S (11/25) Page 72 of 76

THIS PAGE IS INTENTIONALLY BLANK.
SSA Notice Packages

805-S (11/25) Page 73 of 76

SECTION 4. - SCHEDULE OF PRICES

Bids offered are f.o.b. destination for deliveries and f.o.b. contractor’s city for all mailing.

Prices must include the cost of all required materials and operations for each item listed in accordance with these 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 non-responsive.

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.

Fractional parts of 1,000 will be prorated at the per-1,000 rate.

Cost of all required paper must be charged under Item VI. “PAPER.”

All invoices submitted to the GPO shall be based on the most economical method of production. 

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 mailer for the 

term of the contract to process and/or format the Advance Function Presentation (AFP) files, AFP resources, and 

the Mail Run Data files supplied necessary to print and mail the notices for each mailer.

Processing/Formatting Files..................................................................................per mailer......$___________

II. COMPOSITION: Prices offered must be all-inclusive and must include the cost of all operations required, in 

accordance with the terms of these specifications for each of the 29 envelopes.

Envelopes..........................................................................................................per envelope ......$___________

III. PROOFS: Notices, Forms, Booklets, and Envelopes

NOTE: For line items III. (b) and (c), contractor is allowed to charge one trim/page-size unit for each side of an 

envelope.

(a) PDF proofs................................................................................................... per proof......$___________ 

(b) Digital color content proofs ....................................................per trim/page-size unit......$___________

(c) Inkjet G7 proofs ......................................................................per trim/page-size unit......$___________ 

______________

(Initials)
SSA Notice Packages

805-S (11/25) Page 74 of 76

IV. PREPRODUCTION VALIDATION AND TESTS: Price 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, electronic prepress, plates, paper, printing, imaging, 

binding, construction, gathering, 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......$___________

(c) Payment Stub Validation Test............................................................................ per test......$___________

(d) Systems Change/Signature Change/New Notice Files Validation Test ............. per test......$___________

V. PRINTING/IMAGING, BINDING, AND CONSTRUCTION: Prices offered must be all-inclusive and must 

include the cost of all materials and operations (excluding paper) necessary for the printing/imaging, binding, and 

construction of the product listed in accordance with these specifications.

(a) *Daily 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 setup the contractor’s equipment for all files transmitted for that 

day. Invoicessubmitted with more than one (1) makeready/setup charge per daily transmission (with a maximum of five 

(5) charges per week)will be disallowed. NOTE: Workday is Monday through Friday and excludes all Federal Holidays.

(b) Notices (8-1/2 x 11”): 

Printing/imaging in black only, including binding............................... per 1,000 leaves......$___________

(c) Form SSA-3105 (10-1/2 x 8” flat): 

Printing in black only, including binding ..............................................per 1,000 forms......$___________

(d) Booklets (3-1/2 x 8”):

Printing in two ink colors, including binding ........................................per 1,000 pages......$___________

(e) Mail-out Envelopes (6-1/8 x 9-1/2”): 

Printing in black only, including construction................................ per 1,000 envelopes......$___________

(f) BRM Window Envelopes (3-7/8 x 8-7/8”):

Printing in black only, including construction................................ per 1,000 envelopes......$___________

(g) BRM Non-Window Envelopes (3-7/8 x 8-7/8”):

Printing in black only, including construction................................ per 1,000 envelopes......$___________

(h) CRM Envelopes (3-7/8 x 8-7/8”):

Printing in black only, including construction................................ per 1,000 envelopes......$___________

______________

(Initials)
SSA Notice Packages

805-S (11/25) Page 75 of 76

VI. PAPER: Payment for all paper supplied by the contractor under the terms of these specifications, as ordered on 

the individual print order/task 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: Each page-size leaf.

Form: Each page-size leaf.

Booklets: Each page-size leaf.

Envelopes: One leaf will be allowed for each envelope.

Per 1,000 Leaves

(a) Notices: 

White Uncoated Text (50-lb.); or, at contractor’s option, White Writing (20-lb.)................$___________

(b) Form SSA-3105: 

White Writing (20-lb.)...........................................................................................................$___________

(c) Booklets:

White Uncoated Text (60-lb.)................................................................................................$___________

(d) Mail-out Envelopes: 

White Writing Envelope (24-lb);

or, at contractor’s option, White Uncoated Text (60-lb.)......................................................$___________

(e) BRM/CRM Envelopes (Window and Non-Window): Green Writing Envelope (20-lb.)....$___________

(f) CRM Envelopes: White Writing Envelope (20-lb.).............................................................$___________

VII. GATHERING AND INSERTING: Prices offered must include the cost of all required materials and 

operations necessary for the mailing of the notices including cost of gathering notice(s) (single or multiple 

leaves) in proper sequence, folding to required size for insertion into mail-out envelope, and inserting notice(s) 

and appropriate inserts as required into mail-out envelope, and, complete distribution, in accordance with these 

specifications.

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)
SSA Notice Packages

805-S (11/25) Page 76 of 76

SHIPMENTS: 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 Solicitations 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 (90 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 point(s), in 

exact accordance with specifications. NOTE: Failure to provide a 90-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’s 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

EXHIBIT B

SSA External Service Provider Additional 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 2 - Risk

Management Framework for Information Systems and Organizations - A System Life Cycle Approach for

Security and Privacy, December 2018.  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. SSA will provide the SSP template to be completed.

 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 to Appendix F - SECURITY

CONTROL CATALOG in 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 period

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.

If the system is serving the 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.
Resource Page: SSA External Service Provider Security Guidance Page 3

Awareness and Training Requirements

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.

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.

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:

 CA-2 - ESPs must develop an assessment plan that includes:

o Annual assessment of a subset of controls
Resource Page: SSA External Service Provider Security Guidance Page 4

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.

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:
Resource Page: SSA External Service Provider Security Guidance Page 5

 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.

 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 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.
Resource Page: SSA External Service Provider Security Guidance Page 6

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. Authorized personnel must perform transport of media outside of controlled

areas.

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 NIST 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.

Personnel Security Requirements

The purpose of the following is to address requirements for personnel security for External Service Providers.

SSA Additional Requirements for ESPs:
Resource Page: SSA External Service Provider Security Guidance Page 7

 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.

 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.

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.

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.

 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.
Resource Page: SSA External Service Provider Security Guidance Page 8

 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).

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. (Moderate and High categorized systems only).
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% 
Social Security Administration 

<System Name> 

Security Assessment Report (SAR) 

Version <X.X>

TMP V1.3 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY iv 

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 

 
Social Security Administration 

<System Name> 

Security Assessment Report (SAR) 

Version <X.X>

TMP V1.3 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY v 

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
Social Security Administration 

<System Name> 

Security Assessment Report (SAR) 

Version <X.X>

TMP V1.3 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY vi 

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
Social Security Administration 

<System Name> 

Security Assessment Report (SAR) 

Version <X.X>

TMP V1.3 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 1 

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] 
Social Security Administration 

<System Name> 

Security Assessment Report (SAR) 

Version <X.X>

TMP V1.3 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 2 

• 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 
Social Security Administration 

<System Name> 

Security Assessment Report (SAR) 

Version <X.X>

TMP V1.3 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 3 

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> 
Social Security Administration 

<System Name> 

Security Assessment Report (SAR) 

Version <X.X>

TMP V1.3 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 4 

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 
Social Security Administration 

<System Name> 

Security Assessment Report (SAR) 

Version <X.X>

TMP V1.3 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 5 

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.xl

<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. 
Social Security Administration 

<System Name> 

Security Assessment Report (SAR) 

Version <X.X>

TMP V1.3 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 6 

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.> 
Social Security Administration 

<System Name> 

Security Assessment Report (SAR) 

Version <X.X>

TMP V1.3 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 7 

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 <MM DD, 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 <System 

Acronym> 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 
Social Security Administration 

<System Name> 

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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 

Confidentiality Inte

T-1. Alteration U, P, E Alteration of data, files, or records. ModiT-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. 

Modior destr

T-3. Bomb P An intentional explosion. 

Modior destr

T-4. Communications 

Failure U, E Cut fiber optic lines, trees falling on telephone lines. 

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 

Modior destr

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. 

 Modi

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. 
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ID Threat Name Type Identifier Description Typical Impact to 

Confidentiality Inte

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. 

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 . 

 Dest

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. 

T-13. Espionage P The illegal, covert act of copying, reproducing, recording, photographing or intercepting sensitive 

information. 

Disclosure Modi

T-14. Fire E, P Fire can be caused by arson, electrical problems, lightning, chemical agents, or other unrelated proximity 

fires. 

 Dest

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. 

 Dest

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 

Modior destr

T-17. 

Hardware or Equipment Failure 

E Hardware or equipment may fail due to a variety of 

reasons. 

T-18. Hardware 

Tampering P An unauthorized modification to hardware that alters the proper functioning of equipment in a manner that Modi
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ID Threat Name Type Identifier Description Typical Impact to 

Confidentiality Inte

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. DestT-20. Malicious 

Software P Software that damages a system such a virus, Trojan, or worm. Modi

or destr

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 

Modior destr

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). 

T-23. Procedural Error U An error in procedures could result in unintended 

consequences. 

Disclosure 

Modior destr

T-24. Procedural 

Violations P Violations of standard procedures. Disclosure 

Modior destr

T-25. Resource 

Exhaustion U 

An errant (buggy) process may create a situation that exhausts critical resources preventing access to services. 
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ID Threat Name Type Identifier Description Typical Impact to 

Confidentiality Inte

T-26. Sabotage P Underhanded interference with work. 

Modior destr

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. 

 Dest

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. 

Modior destr

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. 

Modior destr

T-32. Theft P An adversary could steal elements of the hardware. 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 Modi

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 

 Dest
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ID Threat Name Type Identifier Description Typical Impact to 

Confidentiality Inte

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 

Modior destr

T-36. Unauthorized 

Systems Access P An unauthorized user accesses a system or data. Disclosure 

Modior destr

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 . 

 Dest
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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 ePolicy Orchestrator 

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

<System Acronym > 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. 
Social Security Administration 

<System Name> 

Security Assessment Report (SAR) 

Version <X.X>

TMP V1.3 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 29 

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. 
Social Security Administration 

<System Name> 

Security Assessment Report (SAR) 

Version <X.X>

TMP V1.3 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 30 

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>
Social Security Administration 

<System Name> 

Risk Assessment Report (RAR) 

Version <x.x>

FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY iv 

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
Social Security Administration 

<System Name> 

Risk Assessment Report (RAR) 

Version <x.x>

FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY v 

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
Social Security Administration 

<System Name> 

Risk Assessment Report (RAR) 

Version <x.x>

 UNCLASSIFIED // FOR OFFICIAL USE ONLY 6

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. 

<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.
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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
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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 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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Table 6_Inventory - 

List of Technologies - 

 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 

 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 8 

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. 

2.1.1 Access 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]. 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 9 

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. 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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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> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 14 

(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 
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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 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 
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<Document Name> 

Version <X.X> 

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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 

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<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]. 
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<Document Name> 

Version <X.X> 

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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] 
Social Security Administration 

<System Name><(System Acronym)> 

<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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Version <X.X> 

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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 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 37 

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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Version <X.X> 

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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: 
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<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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Version <X.X> 

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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 

<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: 

2.1.5.3 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 
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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:
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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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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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(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 
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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 
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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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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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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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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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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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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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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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 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:
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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: 
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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: 
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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) 
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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] 
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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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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:
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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 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> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 97 

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. 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 98 

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> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 99 

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> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 100 

 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] 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 101 

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> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 102 

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]. 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 103 

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:
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 104 

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): 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 105 

 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] 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 106 

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:
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 107 

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] 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 108 

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 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 109 

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 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 110 

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> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 111 

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> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 112 

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> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 113 

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> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 114 

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] 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 115 

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> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 116 

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> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 117 

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> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 118 

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> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 119 

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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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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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) 
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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) 
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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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 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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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] 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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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 
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:

2.1.16.8 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. 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 143 

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:
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 144 

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) 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

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:
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 146 

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. 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 147 

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 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 148 

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] 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 149 

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 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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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: 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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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; 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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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: 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 153 

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: 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 154 

(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: 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 155 

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] 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 156 

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] 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 157 

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: 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 158 

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: 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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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: 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 160 

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 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 161 

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:
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 162 

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 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 163 

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 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 164 

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 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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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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<System Name><(System Acronym)> 

<Document Name> 

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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] 
Social Security Administration 

<System Name><(System Acronym)> 

<Document Name> 

Version <X.X> 

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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] 
Social Security Administration 

<System Name><(System Acronym)> 

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Version <X.X> 

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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> 

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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> 

TMP V7.4 FY17 UNCLASSIFIED // FOR OFFICIAL USE ONLY 172 

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
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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
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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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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.
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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 
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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
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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 
Transmittal No. 31 General Records Schedule 4.2

April 2020

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
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 L
FD-258 (Rev. 5-15-17) 1110-0046

LEAVE BLANK

APPLICANT

TYPE OR PRINT ALL INFORMATION IN BLACK FBI LEAVE BLANK

LAST NAME FIRST NAME MIDDLE NAME NAM

ALIASES AKA

DATE OF BIRTH DOB

Month Day Year

SEX RACE HGT. WGT. EYES HAIR PLACE OF BIRTH POB

LEAVE BLANK

CITIZENSHIP CTZ

YOUR NO. OCA

O

R

I

CLASS

REF.

UNIVERSAL CONTROL NO. UCN

ARMED FORCES NO. MNU

SOCIAL SECURITY NO. SOC

MISCELLANEOUS NO. MNU

SIGNATURE OF PERSON FINGERPRINTED

RESIDENCE OF PERSON FINGERPRINTED

DATE

EMPLOYER AND ADDRESS

REASON FINGERPRINTED

SIGNATURE OF OFFICIAL TAKING FINGERPRINTS

 1. R. THUMB 2. R. INDEX 3. R. MIDDLE 4. R. RING 5. R. LITTLE

6. L. THUMB 7. L. INDEX 8. L. MIDDLE 9. L. RING 10. L. LITTLE

LEFT FOUR FINGERS TAKEN SIMULTANEOUSLY L. THUMB R. THUMB RIGHT FOUR FINGERS TAKEN SIMULTANEOUSLY

* See Privacy Act Notice on Back
FEDERAL BUREAU OF INVESTIGATION

UNITED STATES DEPARTMENT OF JUSTICE

CJIS DIVISION/CLARKSBURG, WV 26306

APPLICANT

THIS CARD FOR USE BY:

1. LAW ENFORCEMENT AGENCIES IN FINGERPRINTING APPLICANTS FOR LAW ENFORCEMENT POSITIONS.*

2. OFFICIALS OF STATE AND LOCAL GOVERNMENTS FOR PURPOSES OF EMPLOYMENT, LICENSING, AND

PERMITS, AS AUTHORIZED BY STATE STATUTES AND APPROVED BY THE ATTORNEY GENERAL OF THE

UNITED STATES. LOCAL AND COUNTY ORDINANCES, UNLESS SPECIFICALLY BASED ON APPLICABLE 

STATE STATUTES DO NOT SATISFY THIS REQUIREMENT.*

3. U.S. GOVERNMENT AGENCIES AND OTHER ENTITIES REQUIRED BY FEDERAL LAW.**

4. OFFICIALS OF FEDERALLY CHARTERED OR INSURED BANKING INSTITUTIONS TO PROMOTE OR MAINTAIN

THE SECURITY OF THOSE INSTITUTIONS.

1. PRINTS MUST GENERALLY BE CHECKED THROUGH THE APPROPRIATE STATE IDENTIFICATION BUREAU, AND ONLY THOSE

FINGERPRINTS FOR WHICH NO DISQUALIFYING RECORD HAS BEEN FOUND LOCALLY SHOULD BE SUBMITTED FOR FBI SEARCH.

2. IDENTITY OF PRIVATE CONTRACTORS SHOULD BE SHOWN IN SPACE “EMPLOYER AND ADDRESS”. THE

CONTRIBUTOR IS THE NAME OF THE AGENCY SUBMITTING THE FINGERPRINT CARD TO THE FBI.

UNIVERSAL CONTROL NUMBER, IF KNOWN, SHOULD ALWAYS BE FURNISHED IN THE APPROPRIATE SPACE.

3. MISCELLANEOUS NO. - RECORD: OTHER ARMED FORCES NO. PASSPORT NO. [FP], ALIEN REGISTRATION NO.

(AR), PORT SECURITY CARD NO. (PS), SELECTIVE SERVICE NO. (SS) VETERANS’ ADMINISTRATION CLAIM NO. (VA).

**

*

INSTRUCTIONS:

ARCHES HAVE NO DELTAS

FD-258 (REV. 5-15-17)

3. ARCH

THESE LINES RUNNING BETWEEN

DELTAS MUST BE CLEAR

CENTER

OF LOOP

2. WHORL

DELTAS

THE LINES BETWEEN CENTER OF

LOOP AND DELTA MUST SHOW

DELTA

1. LOOP

Please review this helpful information to aid in the successful processing of hard copy civil fingerprint submissions in order to prevent delays or 

rejections. Hard copy fingerprint submissions must meet specific criteria for processing by the Federal Bureau of Investigation.

Ensure all information is typed or legibly printed using blue or black ink.

Enter data within the boundaries of the designated field or block.

Complete all required fields. (If a required field is left blank, the fingerprint card may be immediately rejected without further processing.)

• The required fields for hard copy civil fingerprint cards are: ORI, Date of Birth, Place of Birth, NAM, Sex, Date 

fingerprinted, Reason Fingerprinted, and proper completion of fingerprint impression boxes.

Do not use highlighters on fingerprint cards. 

Do not enter data or labels within ‘Leave Blank’ areas.

Ensure fingerprint impressions are rolled completely from nail to nail.

Ensure fingerprint impressions are in the correct sequence.

Ensure notations are made for any missing fingerprint impression (i.e. amputation).

Do not use more than two retabs per fingerprint impression block.

Ensure no stray marks are within the fingerprint impression blocks.

Training aids can be ordered online via the Internet by accessing the FBI’s website at: fbi.gov, click on ‘Fingerprints’, then click on 

‘Ordering Fingerprint Cards & Training Aids’. Direct questions to the Biometric Services Section’s Customer Service Group at (304) 625-5590 or by email at <identity@fbi.gov>.

PRIVACY ACT STATEMENT

Authority: The FBI's acquisition, preservation, and exchange of fingerprints and associated information is generally authorized under 

28 U.S.C. 534. Depending on the nature of your application, supplemental authorities include Federal statutes, State statutes pursuant to

Pub.L. 92-544, Presidential Executive Orders, and federal regulations. Providing your fingerprints and associated information is voluntary; 

however, failure to do so may affect completion or approval of your application.

Principal Purpose: Certain determinations, such as employment, licensing, and security clearances, may be predicated on fingerprintbased background checks. Your fingerprints and associated information/biometrics may be provided to the employing, investigating, or

otherwise responsible agency, and/or the FBI for the purpose of comparing your fingerprints to other fingerprints in the FBI's Next Generation 

Identification (NGI) system or its successor systems (including civil, criminal, and latent fingerprints repositories) or other available records of 

the employing, investigating, or otherwise responsible agency. The FBI may retain your fingerprints and associated information/biometrics in 

NGI after the completion of this application and, while retained, your fingerprints may continue to be compared against other fingerprints 

submitted to or retained by NGI.

Routine Uses:

 

During the processing of this application and for as long thereafter as your fingerprints and associated information/

biometrics are retained in NGI, your information may be disclosed pursuant to your consent, and may be disclosed without your consent as

permitted by the Privacy Act of 1974 and all applicable Routine Uses as may be published at any time in the Federal Register, including the 

Routine Uses for the NGI system and the FBI's Blanket Routine Uses. Routine uses include, but are not limited to, disclosures to:

employing, governmental or authorized non-governmental agencies responsible for employment, contracting, licensing, security clearances, 

and other suitability determinations; local, state, tribal, or federal law enforcement agencies; criminal justice agencies; and agencies

responsible for national security or public safety.

1110-0046

Social Security Account Number (SSAN): Pursuant to the Privacy Act of 1974, any Federal, state, or local government agency that 

requests an individual to disclose his or her SSAN, is responsible for informing the person whether disclosure is mandatory or voluntary, by 

what statutory or other authority the SSAN is solicited, and what uses will be made of it. In this instance, the SSAN is solicited pursuant to 

28 U.S.C 534 and will be used as a unique identifier to confirm your identity because many people have the same name and date of birth. 

Disclosure of your SSAN is voluntary; however, failure to disclose your SSAN may affect completion or approval of your application.

PAPERWORK REDUCTION ACT NOTICE

According to the Paperwork Reduction Act of 1995, no persons are required to provide the information requested unless a valid OMB 

control number is displayed. The valid OMB control number for this information collected is 1110-0046. The time required to complete this 

information collected is estimated to be 10 minutes, including time reviewing instructions, gathering, completing, reviewing and submitting 

the information collection. If you have any comments concerning the accuracy of this time estimate or suggestions for reducing this 

burden, please send to: Department Clearance Officer, United States Department of Justice, Justice Management Division, Policy and 

Planning Staff, Washington, DC 20530.
EXHIBIT M
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 N
Form SSA-222 (08-2022)

Discontinue Prior Editions 

Social Security Administration

Security and Privacy Awareness Training 

Contractor / Affiliate Personnel Security Certification 

Page 1 of 5

Purpose:

This training document is to be signed by contractor, subcontractor, or affiliate personnel, and those acting on behalf of the Social 

Security Administration (SSA) who have been granted access to SSA information and information systems to certify that they 

have received and understand SSA Information Security and Privacy Awareness Training detailed below. 

Background:

SSA is vital to the economic security of the United States. In the performance of their duties in support of SSA's mission, all

contractors, subcontractors, affiliates, and those acting on behalf of SSA who have been granted access to SSA information 

systems, hereafter referred to as "Authorized Users(s)," are responsible for protecting such information and information systems 

(e.g., hardware, software/applications, federal information/data, network, people) throughout the entire information life cycle, 

including collection, processing, maintenance, use, sharing, dissemination, or disposition of information. Federal information 

includes information created, collected, processed, maintained, disseminated, disclosed, or disposed of by or for the Federal 

Government, in any medium or form.

Security awareness training is required for Authorized Users, per Section 44 USC 3554 of the Federal Information Security 

Modernization Act of 2014 (FISMA). Failure to follow prescribed rules or misuse of federal information and information systems 

can lead to criminal penalties, including fines and imprisonment, and disciplinary actions according to the contract and/or 

agreement under which I am performing work for SSA. 

I understand that SSA maintains a variety of sensitive information about the agency's operations and programs, 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 federal information and information systems and 

that my access to and use of such information and information systems must be in accordance with the provisions of the contract

and/or agreement under which I am performing work for SSA.

I understand that the terms in the contract and/or agreement under which I am performing work for SSA take precedence over 

this document. I understand that any questions I may have concerning authorization(s) to access SSA information and 

information systems should be directed in accordance with the terms of the contract and/or agreement. I have read, understand, 

and agree to the following conditions: 

Insider Threat

An insider threat is someone with authorized access who uses that access, intentionally or unintentionally, to harm the security of 

the Agency or the Nation. The individual with authorized access may attempt to wittingly or unwittingly harm the security of the 

agency through espionage, terrorism, unauthorized disclosure of sensitive information, or the loss or degradation of agency 

resources or capabilities. 

• If I observe a potential insider threat, I will report the incident to SSAITP@ssa.gov and, as appropriate, in accordance

 with the personally identifiable information and incident reporting requirements in the contract or agreement under which I 

am working.

• I will safeguard federal information and information systems from exploitation, compromise, espionage, terrorism, or other 

unauthorized use and disclosure. 
Form SSA-222 (08-2022) Page 2 of 5

 Malware, Remote Access, and Mobile Device Security 

Malware encompasses malicious software, programs, files, and/or code in the form of virus, ransomware, and spyware that 

cause damage to information systems and data. SSA defends against malware using antivirus programs, intrusion detection 

systems, and social engineering training among other methods. Routine software and security updates ensure SSA devices are 

up to date with the latest malware protection.

When I have been granted an SSA device to perform work for the agency, the following requirements apply:

• In order to ensure my SSA device receives the necessary software and security updates, I will remain connected to 

SSANet using the agency's Virtual Private Network throughout my workday, I will keep my workstation plugged in and 

powered on, and I will restart my workstation at least once a week and at the end of each workday, logging off from the 

CTRL+ALT+DELETE screen unless further guidance is issued.

• I will not store federal information on personally owned media devices or, connect non-SSA approved and issued personal 

Bluetooth devices to an SSA device.

• I will not alter SSA devices, disable security settings, or download or install unauthorized software onto SSA devices.

• I will follow the security and safety requirements of any alternative worksite agreement and all contract or agreements 

related to non-SSA worksites.

• I will not print any material that contains federal information at an unapproved location. I will protect SSA devices at all 

times, to include while on travel, at any alternative worksite, and any approved non-SSA worksite. 

 Secure Browsing and Social Media

Attackers use social data mining techniques to gather information about an individual or organization in public or social settings, 

including social media. SSA social media accounts are not official SSA websites, but rather the department's presence on thirdparty service providers' platforms, which means SSA has limited control over how each platform uses personal data provided by 

users.

• I will not transmit, store, or process federal information on non-SSA owned and operated sites, including social media, third 

party online forums, third-party collaboration tools or sites, social networking sites, any other non-SSA-hosted sites, or 

unapproved third-party data storage providers unless explicitly authorized to do so.

• I will not share programming code used for federal information systems with unauthorized individuals including but not 

limited to, posting code to unauthorized online forums, sending code to anyone not properly authorized to have it, or storing 

code on unapproved third-party sites.

• I will not use federal information systems to browse or access information about myself, my children, other family members, 

co-workers or former co-workers, acquaintances, and/or friends. 
Form SSA-222 (08-2022) Page 3 of 5

Secure Email and Fax Use

Email is an official business communication tool and users must use it in a responsible, secure, and lawful manner. When using 

SSA email, to protect agency systems and those who receive email from me:

• I will use business communication tools including SSA email in a responsible, secure, and lawful manner.

• I will not send or forward Personally Identifiable Information (PII) to or from a non-SSA email address unless the information 

has been properly encrypted or the recipient is on the Agency's Secure Partners List.

• I will not copy or blind copy work-related email to a personal, non-SSA email address.

• I will not send or forward chain letters or other unauthorized mass mailings.

• I will not configure my SSA email account to automatically forward work-related email to an outside (non-SSA, non-secure) 

address.

• If I receive an email intended for someone else, I will immediately notify the sender and delete or destroy the misdirected 

message.

A fax is an official business communication tool and users must use it in a responsible, secure, and lawful manner. When using 

an SSA fax, to protect agency systems and those who receive faxes from me:

• I will use business communication tools including SSA fax in a responsible, secure, and lawful manner. 

• I will use a cover sheet that notes the sensitivity of the material and follow all Controlled Unclassified Information (CUI) 

labeling requirements.

• I will not leave fax machines unattended when transmitting.

• I will transmit faxes to the intended recipient, when possible, using pre-programmed fax numbers.

• I will not use SSA's fax system to create or distribute disruptive or offensive messages.

• If I receive a fax by mistake, I will notify the sender. To the extent possible, I will not read the fax's contents. I will destroy

the misdirected message. 

Security Incident Reporting

Security incidents involve any attempted or actual authorized access, use, disclosure, modification, or destruction of information. 

Examples include malicious or unauthorized intrusion or access, virus attacks, phishing, vishing, supply chain threats, foreign

intelligence threats, insider threats, and loss of PII.

• If I suspect or confirm the loss or theft of any sensitive information, including PII, I will report it within one hour to my 

supervisor, manager, contracting officer's representative and/or contracting officer's technical representative or another 

designated official. If those individuals are not available, I will use the PII Loss Reporting Tool to report any loss or theft of 

any sensitive information or PII.

• If I observe a suspected systems intrusion attempt or other security-related incident, I will report the incident within 15 

minutes of discovery to SOC@ssa.gov.

 • If I am the targeted victim of a phishing (suspicious email) attempt, I will report the incident within 15 minutes of discovery 

by clicking on the SSA Reporter button found on the Microsoft Outlook ribbon.

• If I am the target of a vishing (suspicious phone call) attempt, I will report the incident within 15 minutes of discovery to 

SOC@ssa.gov.

 • If I observe a potential insider threat, I will report the incident to SSAITP@ssa.gov. If I observe suspected violations of the 

Social Security Act, Privacy Act and other laws, as well as SSA policies and procedures, I will report the incident to the 

Office of the Inspector General in accordance with published policy.
Form SSA-222 (08-2022) Page 4 of 5

Social Engineering

Vishing is the practice of tricking you, over the phone, into revealing information to an unauthorized individual or performing

actions on your workstation that may compromise the security of SSA.

• I will avoid vishing attempts by validating a caller's identity and purpose.

• If I am unable to validate the caller's identity, I will hang up and call back using a number I know to be correct.

Phishing is someone using social engineering techniques over email to trick you into revealing sensitive information, clicking on a 

malicious link, or opening a malicious attachment that can infect your workstation.

• I will avoid phishing attempts by verifying the email sender.

• I will be suspicious when receiving emails from individuals I do not know or have not heard from in a long time.

• I will never respond to requests for PII or send password information in an email.

• I will only release information if I am confident of an individual's identity and right to receive it. 

Unauthorized Access and Prohibited Behavior

Unauthorized access to federal information or information systems is prohibited. The agency monitors all network and system 

activity and has the ability to trace violations or attempted violations to individual information system users. Federal information 

system users do not have a right, nor should they have an expectation, of privacy while using any Government office equipment 

at any time, including accessing the Internet using E-mail.

• I will not inspect, access, or attempt to access any federal information that SSA has not expressly authorized me to access.

• I will not release or disclose any federal information to any unauthorized person, agency, or entity. I understand that

unauthorized disclosure of federal information may lead to civil penalties and/or criminal prosecution under Federal law (e.g.,

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).

• I will follow all access, retention, and/or destruction requirements in the contract and/or agreement under which I am 

authorized to access federal information. I understand that such requirements may require me to cease access to, return, or 

destroy federal information upon completion of my work for SSA or termination of my contract and/or agreement that 

authorized my access to federal information. 

• I will not take federal information off-site, unless expressly authorized to do so by contract and/or agreement or other written 

authorization from SSA. If SSA authorizes me to take federal information off-site, I agree to safeguard all such information in

accordance with agency policy and standards and the requirements of the contract and/or agreement under which I am 

performing work so that no unauthorized person, agency, or entity can access federal information. 

• I will keep confidential any third-party proprietary information that may be entrusted to me as part of the contract and/or 

agreement, including safeguarding such information from unauthorized access and not disclosing or releasing such 

information unless expressly authorized to do so. 

• I will follow all requirements in the contract and/or agreement under which I am performing work for SSA, includingbut not 

limited to those governing confidential information or PII. 

• I will only use my access to federal information and information systems for the performance of my official duties.
Form SSA-222 (08-2022) Page 5 of 5

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

Privacy Act 

Collection and Use of Personal Information

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 of the Social Security Act, as amended, allow us to collect this information. Furnishing this information to 

the Social Security Administration (SSA) is voluntary. However, failing to provide this information may affect your ability to access 

Federal information and information systems, which is a condition of the contract under which you are performing work for SSA 

(SSA contract). Not providing this information also could prevent us from issuing you a PIV credential and/or authorizing you to 

access SSA's network, one or both of which may be conditions of your SSA contract. Failure to follow prescribed rules or misuse

of SSA information and information systems could lead to removal from duty from your SSA contract.

We will use the information you provide to grant you access to Federal information and information systems. We may also share 

your information for the following purposes, called routine uses:

• To contractors and other Federal agencies, as necessary, for assisting SSA in the efficient administration of its programs. 

We disclose information under this routine use only in situations in which SSA may enter into a contractual or similar 

agreement with a third party to assist the accomplishing an agency function relating to this system of records; and

• To student volunteers, individuals working under a personal services contract, and other workers who individuals performing 

functions for SSA but technically do not having the status of Federal agency employees, when they are performing work for 

SSA, as authorized by law, and if they need access to personally identifiable information (PII) in SSA the records in order to 

perform their assigned agency functions.

In addition, we may share this information in accordance with the Privacy Act and other Federal laws. For example, where 

authorized, we may use and disclose this information in computer matching programs, in which our records are compared with 

other records to establish or verify a person's eligibility for Federal benefit programs and for repayment of incorrect or delinquent 

debts under these programs.

A list of additional routine uses is available in our Privacy Act System of Records Notice (SORN) 60-0361, entitled Identity 

Management System, as published in the Federal Register (FR) on November 3, 2006, at 71 FR 64751. Additional information, 

and a full listing of all our SORNs, is available on our website at www.ssa.gov/privacy.
EXHIBIT O
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 P
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:

100% Accountability and Summary Reports
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

Start Date &Time: 05/10/12 10:29:54

End Date & Time: 05/11/12 14:22:34

Statistical Summary

35537 Processed Pieces - Completed 05/10/12

10:29:54

325 Processed Reprints - Completed 05/11/12

14:22:34

35862 Total Pieces Inserted - 

0 Variances - 

Completed 05/11/12

14:22:34

Job Complete
EXHIBIT Q
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 R
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