Attachment 1 - Example PBGC Standard Operating Procedures.pdf

PBGC Order Fulfillment Standard Operating Procedures

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Table of Contents

Pension Benefit Guaranty Corporation (PBGC)

Location Laurel Facility Date August 20, 2025

SOP Number PBGC-SOP-001 Section Pension Benefit Guaranty Corporation (PBGC)

Cost Code 9330 Version v.1.0

Author 1 Lolita Wallace

Title Project Manager (Contractor)

Date August 20, 2025

Author 2 Terrell Dorsey

Title Quality Control Lead (Contractor)

Date August 21, 2025

Approved By 1

Title

Date

Introduction

• Purpose

• Scope

• Responsibilities

1. Internal Processing

• 1.1 File Decompression

• 1.2 Secure File Access

• 1.3 File Transfer to GPO

• 1.4 File Retention and Auto-Deletion

2. Metadata

• 2.1 Metadata File Structure

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• 2.2 Metadata Verification o 2.2.1 File Name o 2.2.2 Letter Counts o 2.2.3 Manual Enclosures o 2.2.4 Single Pages o 2.2.5 Duplex Pages o 2.2.6 Duplex Pages + Enclosures

3. Print Procedures

• 3.1 Daily File Receipt

• 3.2 Page Limits

• 3.3 Printing and Mailing Timeline

• 3.4 Removal of Letters

• 3.5 Halted Mailings

• 3.6 Error Handling o 3.6.1 GPO Error Notification o 3.6.2 PBGC Confirmation/Decline o 3.6.3 Error Discards o 3.6.4 Resubmission of Letters o 3.6.5 Declined Errors o 3.6.6 Tracking Reprints/Damages

• 3.7 QA/QC Verification Criteria

4. Folding and Inserting

• 4.1 Metadata-Based Processing

• 4.2 Machine Inserts

• 4.3 Manual Inserts

• 4.4 Envelope Types o 4.4.1 No. 10 Standard Window o 4.4.2 6x9 Window o 4.4.3 9x12 Window o 4.4.4 FOD Window

• 4.5 Folding Standards

• 4.6 Required Enclosures

• 4.7 International Mail Separation

• 4.8 Job Count Verification

• 4.9 QC Form Completion

5. Applying Permit and Meter Postage

• 5.1 Permit vs. Meter Decision

• 5.2 Bulk First Class (Permit Mail) Requirements

• 5.3 Single Piece First Class (Meter Mail) Requirements

6. Quality Assurance

• 6.1 Pre-Mailing Statistical Sample o a. Batch Counts o b. Address Visibility and Envelope Closure o c. Optical Clearance Verification o d. Mail Type Separation o e. USPS Scale Verification o f. Postage Verification

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This SOP establishes standardized procedures for processing, printing, folding, inserting, and mailing PBGC correspondence through the Government Publishing Office (GPO). This ensures accuracy, security, timeliness, and compliance with Pension Benefit Guaranty Corporation (PBGC) and the United Postal Service (USPS) requirements.

This SOP applies to all PBGC correspondence processed and transmitted to GPO for daily printing and mailing. It covers:

• Internal processing and secure file handling

• Metadata verification and reporting

• Printing and quality assurance procedures

• Folding, inserting, and enclosure requirements

• Postage application (permit and metered mail)

• Final quality control and mailing verification

The PBGC Operations Team is responsible for accurately performing all verification steps detailed in this SOP.

Quality Control Teams must monitor compliance, support staff during the verification process, and promptly address any identified issues or inconsistencies.

Purpose

Scope

Responsibility

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1. Internal Processing

1.1. PBGC’s service account will automatically decompress the .tar file once the upload is complete.

1.2. Individual PDF files will be accessible for secure, internal-only download via an encrypted ZIP file.

1.3. The PBGC SFTP server will place the file(s) into GPO’s PBGC extract folder once the upload is complete.

1.4. The PBGC server will auto-delete old files after 48 hours.

2. Metadata

2.1. Each TAR file will include a METADATA Excel file (METADATA-<transmission_date>), containing a summary of the data within the TAR.

2.2. The metadata must be verified for accuracy against the letters sent with the daily files.

The metadata will include:

• 2.2.1. File name

• 2.2.2. Total number of letters per file

• 2.2.3. Manual enclosures

• 2.2.4. Total number of single pages

• 2.2.5. Total number of duplex printed pages

• 2.2.6. Total number of duplex pages + enclosures

Example Metadata File:

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3. Print Procedures

3.1. GPO will receive a TAR file each business day, no later than 06:30 ET.

3.2. Each daily TAR file will include no more than 50,000 total pages for printing (GPO daily print capacity). PBGC may increase this maximum with notice.

3.3. Files received will be printed the same day and mailed the following business day.

3.4. GPO cannot remove individual letters from the print queue once processing begins. Letters may only be removed manually after printing.

3.5. If PBGC halts mailing of a batch or specific letter(s), the entire batch or all letters within the PDF must be stopped and discarded.

3.6. If an error is found during printing:

• 3.6.1. GPO will notify PBGC via email.

• 3.6.2. PBGC will confirm or decline the error(s).

• 3.6.3. GPO will discard errors.

• 3.6.4. PBGC will resubmit erroneous letters by the scheduled mail date or assign a new one.

• 3.6.5. If PBGC declines the error(s), GPO will mail as scheduled.

• 3.6.6. GPO will track reprinted or damaged letters.

3.7. QA/QC checks will verify:

• Mail date

• Unique letter ID

• Total printed pages (physical count)

• Printed/manual enclosures

• Letter template accuracy

• Participant/beneficiary statement accuracy

• Correct forms (1099, trustee, gross distribution, etc.)

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Quality Check Point Example:

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4. Folding and Inserting

4.1. Each letter will be processed according to metadata instructions with 100% verification of collating, enclosures, and inserting.

4.2. Machine insert (DS-700iq): three or more letters with identical page count/enclosures.

4.3. Manual insert: two or more non-identical letters in page count/enclosures.

4.4. Envelope types (selected based on content):

• 4.4.1. No. 10 Standard Window

• 4.4.2. 6x9 Window

• 4.4.3. 9x12 Window

• 4.4.4. FOD Window

4.5. Ensure proper folds so addresses are visible in the envelope window.

4.6. Insert all required enclosures with each letter.

4.7. Separate and verify international letters for correct postage.

4.8. Verify final job count against metadata counts. Inserter results must match metadata.

4.9. Complete the machine/manual insert QC form and apply corrections before sending batches to QA.

5. Applying Permit and Meter Postage

5.1. Operators will determine whether mail pieces qualify for permit or metered mail.

5.2. Qualifying Bulk First Class (Permit Mail):

• 200+ pieces

• Identical weight and size

• Minimum: 1 ¼" thick or less, 3 ½" high x 5" long

• Maximum: 108" combined length + girth

• Weight ≤ 3.5 oz

• Process mail with Permit imprint applied to envelope

• Placed in MM or EMM tray for USPS transport with postage repor

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5.3. Qualifying Meter Mail (Single Piece First Class):

• Non-qualifying bulk mail pieces

• One or more pieces

• Weight ≤ 3.5 oz (letters)

• Flats: > 6⅛" high or 11½" long or ¼" thick, ≤ 13 oz

• Correct postage affixed to each piece

6. Quality Assurance

6.1. Before mailing, a documented statistical sample will be conducted for accuracy, including:

a. Manual batch counts

b. Verification of address visibility and envelope closure

c. Optical clearance of envelope capacity

d. Separation of permit mail, domestic metered mail, and foreign metered mail

e. USPS scale verification

f. Verification of correct postage on each metered mail piece

Example of Quality Assurance Summery

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6. Quality Assurance