System Security Plan (SSP) Summary

Document Reference: AUC-SEC-SSP-001
Version: 3.3.0
Effective Date: October 24, 2026
Last Updated: October 24, 2026
Classification: Proprietary / Customer & Auditor Access Only
Baseline Frameworks: NIST SP 800-53 Rev. 5 (Moderate Baseline Control Alignment) | FedRAMP Moderate Equivalent Criteria | SOC 2 Type II Alignment

Executive Summary (ISO 24495-1 Plain-Language Overview)

[!IMPORTANT] Legal Precedence Notice: This plain-language summary is provided solely for reader convenience and federal compliance audit navigation pursuant to ISO 24495-1:2023. It reflects the architecture and control implementations described herein and does not constitute an agency Authorization to Operate (ATO) or modify binding service agreements.

• Authorization Boundary: Encompasses all production container clusters, LLM inference serving pods, RAG vector stores, and cryptographic key management in US-East/US-Central sovereign cloud enclaves.
• Security Categorization: Formally categorized under FIPS 199 as Moderate Impact across Confidentiality, Integrity, and Availability.
• Control Family Alignment: Engineered to satisfy NIST SP 800-53 Rev. 5 Moderate criteria, including FIDO2 hardware authentication (IA-2), least-privilege JIT elevation (AC-6), and FIPS-validated encryption (SC-13).
• Immutable Audit Trail: Real-time event telemetry streamed to Write-Once Read-Many (WORM) storage buckets locked against modification or deletion for 365 days (AU-9).
• Continuous Monitoring (ConMon): Automated vulnerability scans, weekly kernel patching, CIS Benchmark drift detection, and annual third-party penetration testing.

High-Intent Security Assessment FAQ (AEO Direct Answers)

What security impact level does Auctoric target under NIST and FIPS standards?

Under Section 1, the Auctoric Governed AI Platform is categorized under FIPS 199 / FIPS 200 at an overall Moderate Security Impact Level (Confidentiality: Moderate, Integrity: Moderate, Availability: Moderate), aligned with NIST SP 800-53 Rev. 5.

How does Auctoric protect system audit logs against tampering or deletion?

Under Section 4.2 (NIST AU-9), operational logs, prompt safety events, and administrative actions are streamed in real-time to Write-Once Read-Many (WORM) compliant cloud storage buckets configured with compliance retention locks, mathematically preventing alteration or deletion for 365 days.

What cloud hosting boundaries encompass the Auctoric system authorization boundary?

Under Section 3, all workloads execute inside dedicated sovereign government and enterprise cloud enclaves in continental US data centers, leveraging microsegmented VPC subnets with zero direct public ingress to databases or inference nodes.

1. System Identification & Metadata

• System Name: Auctoric Governed AI Platform
• System Acronym: AUC-GAIP
• System Unique Identifier (UID): AUC-SYS-0428
• System Categorization (FIPS 199 / FIPS 200 Baseline):
  • Confidentiality: Moderate
  • Integrity: Moderate
  • Availability: Moderate
  • Overall Target Security Impact Level: MODERATE
• System Owner: Technology & Operations Lead (ops@auctoric.ai)
• Information System Security Officer (ISSO): Security Operations Lead (security@auctoric.ai)
• Authorizing Official (AO): Chief Information Security Officer (ciso@auctoric.ai)

2. System Overview and Operational Purpose

The Auctoric Governed AI Platform (AUC-GAIP) is a cloud-native Software-as-a-Service (SaaS) and Platform-as-a-Service (PaaS) solution engineered to provide secure, monitored, and compliant Artificial Intelligence workflows.

AUC-GAIP facilitates:

1. Low-latency, privacy-preserving LLM inference orchestration;
2. Real-time adversarial guardrail enforcement, prompt sanitization, and PII tokenization;
3. Isolated retrieval-augmented generation (RAG) vector embeddings and indexing;
4. Autonomous agentic coordination with cryptographic audit telemetry and human oversight gates.

3. System Boundary & Architecture Overview

The production architecture is deployed on Enterprise FedRAMP-Authorized Cloud Service Provider (CSP) infrastructure leveraging hardened container orchestration clusters, FIPS 140-3 Hardware Security Modules (HSM/KMS), and Cloud Edge Web Application Firewalls (WAF):

flowchart TD
    subgraph Internet["Public Internet"]
        Client["Customer Applications / API Consumers"]
    end

    subgraph CSP_Boundary["AUC-GAIP System Boundary (Sovereign Cloud Enclave US-East / US-Central)"]
        Edge["Edge Protection: Enterprise Cloud WAF, L3-L7 DDoS Mitigation, TLS 1.3 Termination"]
        
        subgraph IngressSubnet["Public DMZ Subnet"]
            ALB["Cloud Load Balancing / Ingress Controller (mTLS)"]
        end

        subgraph AppSubnet["Private Application Subnet (No Public IP)"]
            K8s["Hardened Shielded Container Cluster (Isolated Tenant Nodes)"]
            Inference["Inference Serving Engine (Sovereign Execution Enclaves)"]
            Guardrail["Auctoric Guardrail & Safety Filter Service"]
            AgentHub["Autonomous Agent Orchestration Gateway"]
        end

        subgraph DataSubnet["Isolated Data Subnet (Strict VPC Service Controls)"]
            VectorStore["Encrypted Tenant Vector Database"]
            AuditDB["Write-Once Read-Many (WORM) Audit & Telemetry Log Store"]
            Secrets["FIPS 140-3 Cryptographic Key Management (HSM / KMS)"]
        end
    end

    Client -->|HTTPS / TLS 1.3| Edge
    Edge --> ALB
    ALB --> K8s
    K8s <--> Inference
    K8s <--> Guardrail
    K8s <--> AgentHub
    AppSubnet <--> VectorStore
    AppSubnet --> AuditDB
    AppSubnet <--> Secrets

3.1 Network Isolation and Boundary Protections

• The system authorization boundary includes all virtual instances, container nodes, managed database clusters, and persistent object stores deployed across dedicated virtual private clouds (VPCs) with strict network perimeter service controls.
• Zero external direct SSH or administrative ingress is permitted; internal maintenance is mediated via hardened bastion hosts requiring FIDO2 WebAuthn authentication.
• External connections communicate exclusively over TLS 1.3 with forward secrecy.

4. Key NIST SP 800-53 Control Family Summaries

AUC-GAIP controls are designed and implemented to align with the NIST SP 800-53 Rev. 5 Moderate baseline:

4.1 Access Control (AC) & Identification and Authentication (IA)

• AC-2 / IA-2 (Multi-Factor Authentication): Enforced across all internal administrative consoles and platform dashboards. Phishing-resistant FIDO2 hardware tokens are required for all production access.
• AC-3 / AC-6 (Least Privilege & RBAC): Ephemeral Just-In-Time (JIT) access grants valid for a maximum of 4 hours, subject to manager ticket approval.
• AC-17 (Remote Access): Remote engineering access requires cryptographic WireGuard VPN tunnels with continuous device posture assessment.

4.2 Audit and Accountability (AU)

• AU-2 / AU-6 (Audit Logging & Review): Complete capture of administrative logins, API token invocations, prompt safety alerts, and configuration adjustments.
• AU-9 (Protection of Audit Information): Operational logs are streamed in real-time to Write-Once Read-Many (WORM) compliant object storage buckets configured with compliance retention locks, preventing deletion or alteration for 365 days.

4.3 Configuration Management (CM)

• CM-2 / CM-3 (Baseline & Change Control): Infrastructure as Code (Terraform) maintained in Git with dual-peer review requirements.
• CM-8 (Information System Component Inventory): Automated continuous discovery of all cloud resources via automated cloud asset inventory systems.

4.4 Contingency Planning (CP) & Incident Response (IR)

• CP-9 / CP-10 (Backups & Recovery Testing): Automated daily snapshots with cross-region replication. Tested regularly.
• IR-4 / IR-6 (Incident Handling & Reporting): Dedicated incident response team adhering to NIST SP 800-61 Revision 3 standards. Security breaches impacting personal data are reported to affected customers within 48 hours.

4.5 System and Communications Protection (SC)

• SC-8 / SC-13 (Transmission & Storage Cryptography): Cryptographic modules conforming to FIPS standards. AES-256 for all stored data; TLS 1.3 for communications.
• SC-7 (Boundary Protection): Cloud Edge WAF, stateful network firewalls, microsegmentation security groups, and automated egress traffic filtering.

4.6 System and Information Integrity (SI)

• SI-2 / SI-4 (Flaw Remediation & Monitoring): Automated container image vulnerability scanning, weekly kernel patching, and continuous SIEM monitoring with automated intrusion prevention.

5. Continuous Monitoring (ConMon) Strategy

Auctoric operates an internal Continuous Monitoring program designed to verify ongoing alignment with Moderate baseline criteria:

1. Automated Vulnerability Scanning: Automated scans across container registries and cloud instances.
2. Configuration Drift Detection: Continuous automated checks against CIS Benchmarks (Level 2).
3. Independent Penetration Testing: Annual white-box testing conducted by external offensive security firms.
4. Plan of Action and Milestones (POA&M): All identified findings are logged in an internal tracking system with mandatory remediation timelines.

6. Document Purpose & Administrative Alignment

This System Security Plan Summary describes the architectural, administrative, and technical safeguards designed and implemented across the Auctoric Governed AI Platform. This document provides an operational security description and does not constitute an agency authorization to operate (ATO) or external government certification.

• Authorizing Official: Chief Information Security Officer (CISO)
• Authority: Office of the CISO, Auctoric, LLC
• Effective Date: October 24, 2026
• Attestation: Formally ratified under executive authority; cryptographically verifiable via repository commit digest.