Program: 826‐S

Term: Date of Award to June 30, 2017

Title: Social Security Benefit Statement (SSA‐1099 and SSA‐1042S)

BASIS OF

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

I. PREPRODUCTION TEST:

a. Preproduction Validation Test............................................................... 1 $1,200.00 $1,200.00 $1,000.00 $1,000.00 $2,000.00 

b. Preproduction Press and Mail Run Test................................................... 1 $24,910.00 $24,910.00 $34,000.00 $34,000.00 $15,000.00 

c. Wire Transmission Test............................................................................... 1 $500.00 $500.00 No Charge $0.00 $1,000.00 

II. PROCESSING/PROGRAMMING FILES:

a. Processing/Programming Files........................................per file................ 18 No Charge $0.00 No Charge $0.00 No Charge 

III. PRINTING/IMAGING/CONVERTING:

a. Makeready/Setup Charge........................................................... 1 $30,000.00 $30,000.00 $35,000.00 $35,000.00 $1,118,700.00 $

b.

SSA‐1099/SSA‐1042S Notices

(printing, imaging, converting)......................................per 1,000 notices....... 62,800 $24.54 $1,541,112.00 $9.89 $621,092.00 $13.54 

IV. PAPER:

a. White Offset Book (60‐lb.)...............................................per 1,000 leaves...... 62,800 $15.70 $985,960.00 $11.52 $723,456.00 $10.41 

V. MAILING:

a.

SSA‐1099/SSA‐1042S............................................................per 1,000

leaves........... 62,800 $10.50 $659,400.00 $4.59 $288,252.00 $2.02 

VI. CERTIFIED/REGISTERED MAIL:

a. SSA‐1099/SSA‐1042S............................................................per 1,000 leaves ..... 21 $10.50 $220.50 $300.00 $6,300.00 $300.00 

CONTRACTOR TOTALS $3,243,302.50 $1,709,100.00 $

DISCOUNT 0.00% $0.00 2.00% $34,182.00 2.00% 

DISCOUNT TOTALS $3,243,302.50 $1,674,918.00 $

A

QUAD GRA

CHALFONT

RR DONNELLEY

SEYMOUR, IN

SEGERDAHL CORP.

WHEELING, IL

Page 1 of 1
Program 826-S Page 1 of 40 

Specifications by bc 

Reviewed by SSA 

U.S. GOVERNMENT PRINTING OFFICE 

Washington, DC 

GENERAL TERMS, CONDITIONS, AND SPECIFICATIONS 

For the Procurement of 

Social Security Benefit Statement 

(SSA-1099 and SSA-1042S) 

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

Social Security Administration (SSA) 

Single Award 

TERM OF CONTRACT: The term of this contract is for the period beginning Date of Award and 

ending June 30, 2017, 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. 

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

transmission of files from SSA to the production facility will take place from Date of Award. Actual 

production begins on or around December 27, 2016. 

BID OPENING: Bids shall be publicly opened at 11:00 a.m., prevailing Washington, DC time, on 

January 20, 2016. 

BID SUBMISSION: Submit bid in pre-addressed envelope furnished with solicitation, or send to: U.S. 

Government Publishing Office, Bid Section, Room C-848, Stop PPSGB, 732 North Capitol Street NW, 

Washington, D.C. 20401-0001. Facsimile bids in response to this solicitation are permitted. Facsimile 

bids may be submitted directly to the GPO Bid Section, FAX No. (202) 512-1782. The Program number 

and bid opening date must be specified with the bid. Refer to Facsimile Bids in Solicitation Provisions of 

GPO Contract Terms, GPO Publication 310.2 as revised June, 2001. Hand delivered bids are to be taken 

to: GPO Bookstore, 710 North Capitol Street, NW, Washington, DC, between the hours of 8:00 a.m. and 

4:00 p.m., prevailing Washington, DC, time Monday through Friday. The contractor is to follow the 

instructions in the Bid Submission/opening area. If further instruction or assistance is required, call (202) 

512-0526. 

BIDDERS, PLEASE NOTE: All bidders are cautioned to familiarize themselves with all provisions of 

these specifications before bidding. Special attention is directed to the following information: 

combination of two self-mailer (SSA-1099/SSA-1042S) workloads, all files electronically transmitted, 

“FTMS”, and “Public Trust Security” language requirements. 

For information of a technical nature call David Love (202) 512-0310 (No collect calls).
SSA 1099/SSA 1042 Page 2 of 40 

Program 826-S 

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 Pub. 

310.2, effective December 1, 1987, Rev. June 2001) and GPO Contract Terms, Quality Assurance 

Through Attributes Program (GPO Pub. 310.1, effective May 1979, Rev. August 2002). 

GPO Contract Terms (GPO Publication 310.2)-http://www.gpo.gov/pdfs/vendors/sfas/terms.pdf.

GPO QATAP (GPO Publication 310.1) – http://www.gpo.gov/pdfs/vendors/sfas/qatap.pdf.

DISPUTES: GPO Publication 310.2, GPO Contract Terms, Contract Clause 5. Disputes, is hereby 

replaced with the June 2008 clause found at www.gpo.gov/pdfs/vendors/contractdisputes.pdf. This 

June 2008 clause also cancels and supersedes any other disputes language currently included in existing 

contractual actions. 

SUBCONTRACTING: The predominant production functions are the printing of the notices, laser/ion 

deposition imaging of data for the notices from electronically transmitted files, folding, inserting, and 

mailing. Any bidder who cannot perform the printing, imaging, folding, inserting, and mailing portions of 

this contract will be declared nonresponsible. 

PREDOMINANT PRODUCTION FUNCTION: Presswork (including computerized imaging). 

COMPUTERIZED IMAGING: Computerized imaging means ink jet spray or electrostatic (laser or ion 

deposition). Computerized imaging must be the same font and print size as the preprinted language. 

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

apply to these specifications: 

Product Quality Levels: 

(a) Printing Attributes -- Level III. 

(b) Finishing Attributes -- Level III. 

Inspection Levels (from ANSI/ASQCZ1.4)): 

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

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

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. Solid and Screen Tint Color Match 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 Average type dimension in Publication/OK proof. 

P-9. Pantone Matching System color. 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 not later than 

30 days before the contract expires. If the Government exercises this option, the extended contract shall 
SSA 1099/SSA 1042 Page 3 of 40 

Program 826-S 

be considered to include this clause, except, the total duration of the contract may not exceed five (5) 

years as a result of, and including, any extension(s) added under this clause. Further extension may be 

negotiated under the "Extension of Contract Term" clause. See also "Economic Price Adjustment" for 

authorized pricing adjustment(s). 

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

resulting from this solicitation may be extended for such period of time as may be mutually agreeable to 

the GPO and the contractor. 

LIQUIDATED DAMAGES: If the contractor fails to deliver the supplies or perform the services within 

the time specified by the contract, or any authorized extension thereof, the actual damage to the 

Government for the delay will be difficult or impossible to determine. Therefore, pursuant to the 

“Liquidated Damages” clause (GPO Contract Terms, Publication 310.2), in lieu of actual damages the 

contractor shall pay to the Government as fixed, agreed, and liquidated damages for each workday of 

delay, the amount set forth below. 

Liquidated damages will be assessed against that part or parts of an order which have not been shipped to 

the specified destination on the specified date. Liquidated damages will not be assessed against that part 

or parts of an order which have been shipped on schedule. 

The amount of damages will be computed at the rate of five percent (5%) of the contract price of the 

quantity not shipped in accordance with the specifications for each workday the contractor is in default of 

the shipping schedule(s); Provided, That the minimum amount of liquidated damages shall not be less 

than $5.00 for the entire order and not more than $50,000.00 per day on the entire order, except the total 

damages assessed against a contractor shall in no case exceed fifty percent (50%) of the total value of the 

entire order. Liquidated damages will not be assessed if the contractor has shipped at least ninety percent 

(90%) of the quantity ordered for shipment to each specified destination on or before the scheduled date. 

Liquidated damages will apply to all shipments except: Materials furnished the contractor which are to be 

returned to the Government; sample copies or materials for file or storage purposes; and shipments 

marked either “File Copies” or “Depository Copies” sent to the Government Printing Office; if ordered. 

However, payment of an order will be withheld until evidence of shipment of such material or copies is 

furnished.

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 the beginning of the contract to June, 30, 2017, and the second and any 

succeeding period(s) will extend for 12 months from the end of the last preceding period, except that the 

length of the final period may vary. The first day of the second and any succeeding period(s) will be the 

effective date of the economic price adjustment for that period. 

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

"Consumer Price Index For All Urban Consumers - Commodities Less Food" (Index) published monthly 

in the CPI Detailed Report by the U.S. Department of Labor, Bureau of Labor Statistics. 
SSA 1099/SSA 1042 Page 4 of 40 

Program 826-S 

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 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 September 30, 2015, 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 6 - 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:

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 December 2015, will establish the base index. 

3. There shall be no price adjustment for the first three 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 line items II. (a) 

and (b) 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. 
SSA 1099/SSA 1042 Page 5 of 40 

Program 826-S 

SECURITY REQUIREMENTS: Protection of Confidential Information:

(a) The Contractor shall restrict access to all confidential information obtained from the 

Social Security Administration (SSA) in the performance of this contract to those 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 at the post award 

conference between the Contracting Officer and the responsible Contractor representative. 

(b) The Contractor shall process all confidential information obtained from SSA in the performance 

of this contract under the immediate supervision and control of authorized personnel, and in a 

manner that will protect the confidentiality of the records in such a way that unauthorized 

persons cannot retrieve any such records. 

(c) The Contractor shall inform all personnel with access to the confidential information obtained 

from SSA in the performance of this contract of the confidential nature of the information and the 

safeguards required to protect this information from improper disclosure. 

(d) For knowingly disclosing information in violation of the Privacy Act, the Contractor and the 

Contractor employees may be subject to the criminal penalties as set forth in 5 U.S.C Section 

552a (i)(1), which is made applicable to Contractors by 5 U.S.C. 552a (m)(1) to the same extent 

as employees of the 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's 

employees may also be subject to the criminal penalties as set forth in that provision. 

(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 Contractor Personnel Security Certification (see EXHIBIT A). A copy 

of this signed certification must be forwarded to: Social Security Administration (SSA), ATTN: 

Matthew Thomas, Division of Printing Management , 1368 Annex Building, 6401 Security 

Boulevard, Baltimore, MD 21235-6401, and a copy must also be forwarded to U.S. Government 

Printing Office, 732 North Capitol Street, NW, Stop CSAC, Agency Publishing Services – 

Team 4, Room C-838, Attn: Contracting Officer, Washington, DC 20401. 

(f) All confidential information obtained from SSA for use in the performance of this contract shall, 

at all times, be stored in an area that is physically safe from unauthorized access. 

(g) Performance of this contract may involve access to tax return information as defined in 26 

U.S.C. Section6103(b) of the Internal Revenue Code (IRC). All such information shall be handled 

as confidential and may not be disclosed without the written permission of SSA. 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. 

(h) The Government reserves the right to conduct on-site visits to review the Contractor's 

documentation and in- house procedures for protection of confidential information. 

(i) If a subcontractor is used for the sorting and/or mailing of the notices of this contract, the 

subcontractor must conform to all security requirements of the contract. 

SECURITY WARNING: It is the contractor’s responsibility to properly safeguard personally 

identifiable information (PII) from loss, theft, or inadvertent disclosure and to immediately notify the 

Government of any loss of personally identifiable information. Personally identifiable information is 

“any information which can be used to distinguish or trace an individual’s identity, such as their name, 

social security number, biometric records, etc., alone or when combined with other personal or identifying 
SSA 1099/SSA 1042 Page 6 of 40 

Program 826-S 

information which is linked or linkable to a specific individual, such as date and place of birth, mother’s 

maiden name, etc”. 

All employees working on this contract must:

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

requirements of this contract. 

x Obtain pre-screening authorization before using sensitive or critical applications pending a 

final suitability determination as applicable to the specifications. 

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

x Act in an ethical, informed and trustworthy manner. 

x Protect sensitive electronic records. 

x Be alert to threats and vulnerabilities to their systems. 

x Prohibited from having any mobile devices or cameras in sensitive areas that contain any 

confidential materials. This includes areas where shredding and waste management occurs. 

Contractor’s managers working on this contract must:

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

national and local policies, as well as the Privacy Act statement. 

x Ensure that employee screening for sensitive positions within their department has occurred 

prior to any individual being authorized access to sensitive or critical applications. 

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

contract and as outlined by the contractor. 

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

or suspected.

Applicability:

The responsibility to protect personally identifiable information 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 personally identifiable information. These policy provisions include, but are not limited to, 

the following: 

x Employees are required to have locking file cabinets or desk drawers for storage of 

confidential material, if applicable. 

x Material is not to be taken from the contractor’s facility without express permission from the 

Government.

x 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 personally identifiable information is 

not properly safeguarded:

x 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). 

x 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). 

x Storing electronic files containing Government information on a computer or access device 
SSA 1099/SSA 1042 Page 7 of 40 

Program 826-S 

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

This list does not encompass all failures to safeguard personally identifiable information 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. 

Whenever the Contractor has doubts about a specific situation involving their responsibilities for 

safeguarding PII, they should consult GPO and/or SSA. 

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 States1

, its territories or possessions. 

b. Upon request from the SSA Contracting Officer Technical Representative (COTR) the vendor 

shall provide access to the hosting facility to the US 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 Management 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. Solutions 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 Organization2.

1 “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).

2 A Third Party Assessment organization is an organization that has been certified to help cloud service providers and government

agencies meet FedRAMP compliance regulations.

3 Independent assessor is any individual or group capable of conducting an impartial assessment of security controls employed

within or inherited by an information system.

4 PII is any information about an individual maintained by an agency, including (1) any information that can be used to distinguish or 

trace an individual‘s identity, such as name, social security number, date and place of birth, mother‘s maiden name, or biometric

records; and (2) any other information that is linked or linkable to an individual, such as medical, educational, financial, and

employment information.
SSA 1099/SSA 1042 Page 8 of 40 

Program 826-S 

e. Before SSA provides data to the vendor, the vendor shall submit a System Security Plan (SSP) 

which documents how the solution implements security controls in accordance with the 

designated FIPS 199 security categorization and the Minimum Security Requirements for Federal 

Information and Information Systems which requires the use of NIST SP 800-53 or the vendor 

shall provide a Security Assessment Package (SAP) completed by either an independent assessor3

or another federal agency. SSA will consider a self-assessment of security controls for solutions 

that do not involve sensitive information or PII4. References – Refer to most up to date revision. 

x Federal Information Security Management Act (FISMA) of 2002. 

x ClingerǦCohen Act of 1996 also known as the “Information Technology Management Reform 

Act of 1996.” 

x Privacy Act of 1974 (5 U.S.C. § 552a). 

x Homeland Security Presidential Directive (HSPDǦ12), “Policy for a Common Identification 

Standard for Federal Employees and Contractors”, August 27, 2004. 

x Office of Management and Budget (OMB) Circular AǦ130, “Management of Federal Information 

Resources”, and Appendix III, “Security of Federal Automated Information Systems”, as 

amended. 

x OMB Memorandum MǦ04Ǧ04, “EǦAuthentication Guidance for Federal Agencies.” 

x FIPS PUB 199, “Standards for Security Categorization of Federal Information and Information 

Systems.” 

x FIPS PUB 200, “Minimum Security Requirements for Federal Information and Information 

Systems.” 

x FIPS PUB 140Ǧ2, “Security Requirements for Cryptographic Modules.” 

x NIST Special Publication 800-18, “Guide for Developing Security Plans for Federal Information 

Systems.” 

x NIST Special Publication 800-30, “Risk Management Guide for Information Technology 

Security Risk Assessment Procedures for Information Technology Systems.” 

x NIST Special Publication 800-34, “Contingency Planning Guide for Information Technology 

Systems.” 

x NIST SP 800Ǧ37 “Guide for the Security Certification and Accreditation of Federal Information 

Systems.” 

x NIST Special Publication 800-47, “Security Guide for Interconnecting Information Technology 

Systems.” 

x NIST Special Publication 800-53, “Recommended Security Controls for Federal Information 

Systems.” 

x NIST Special Publication 800-53A, “Guide for Assessing the Security Controls in 

x Federal Information Systems, ”CIO Council’s Federal Identity, Credential, and Access 

Management (FICAM) Roadmap and Implementation Guidance” 

x NIST Special Publication 800-60 

x OMB M-07-16, AIMS Chapter 15: Personally Identifiable Information Loss and Remediation
SSA 1099/SSA 1042 Page 9 of 40 

Program 826-S 

PUBLIC TRUST SECURITY REQUIREMENTS: 

This contract has been designated Public Trust Position Level 5C. Due to the sensitive nature of the 

information contained in the products produced under this contract, contractor employees performing 

under this contract will be subject to a thorough civil and criminal background check. 

“Performing under this contract” is defined as working on-site at an SSA facility (including visiting the 

SSA site for any reason) or having access to Government programmatic or sensitive information. 

Within two (2) days following contract award, the contractor must provide to SSA an Electronic 

Questionnaire for Investigations Process (eQIP) applicant listing of all individuals for whom the 

contractor is requesting a suitability determination (i.e., background investigation). This listing should 

include the following: 

x Contractor’s name 

x Contract number 

x Contractor’s point of contact (CPOC) name 

x CPOC’s contact information including email address 

x Each applicant’s full name, Social Security Number (SSN), date of birth, and place of birth (must 

show city and state if born in the United States (U.S.) OR city and country if born outside the 

U.S.)

The background investigation process will not start until the applicant listing is submitted. Send the 

applicant listing via Fax to Center for Personnel Security and Project Management (CPSPM) Suitability 

Team (410) 966-0640 or via traceable means via common carrier to the Social Security Administration, 

CPSPM Suitability Team, 2601 Annex Building, 6401 Security Boulevard, Baltimore, MD 21235. 

Once SSA receives and reviews the applicant listing, SSA will initiate the eQIP. SSA will Email 

notification to the CPOC the name of each applicant invited into the eQIP website to complete their 

background investigation form. The CPOC will provide the website to the applicants to complete their 

eQIP form electronically. The applicant will have up to 14 calendar days following SSA notification to 

the CPOC of the eQIP invitations to complete the eQIP form. 

The applicant must print the signature pages of the SF 85P form prior to releasing the application in eQIP, 

sign the signature pages and provide the signed originals to the CPOC. See Exhibit B: Questionnaire for 

Public Trust Positions - Sample Form SF85P) 

The following is a list of documents the contractor employees will be responsible for completing: 

x Original signed and dated eQIP signature pages as specified in the above paragraph. 

x Two (2) “Fingerprint Cards” (FD-258). See Exhibit C.

NOTE: The contractor will absorb the costs for obtaining fingerprints. 

x One (1) “Declaration for Federal Employment” (Optional Form 306). See Exhibit D.

x One (1) “Fair Credit Reporting Act Authorization Form”. See Exhibit E.

x For a non-U.S. citizen, one (1) legible photocopy of the work authorization permit and social 

security card. 

The CPOC must ensure all paper forms are fully completed and signed prior to submission to SSA. All 

forms and fingerprinting cards must be submitted at least 15 workdays prior to the date work is to begin 

on the contract. Fingerprint cards and all paper forms must be legible or typed in black ink and all 

signatures must be in black ink. There must be no “breaks” in residences or employment. SSA requires 

complete addresses, including zip codes and phone numbers with area code. SSA must receive forms and 

fingerprint cards within 30 calendar days after notification of the eQIP invitation. It is the responsibility 
SSA 1099/SSA 1042 Page 10 of 40 

Program 826-S 

of the contractor to ensure fingerprint cards are processed through their local police departments or other 

authorized finger printers. SSA will return incomplete forms back to the contractor. Forms may be 

obtained by calling SSA Personnel Security Suitability Program Officer (SPO). 

The CPOC will submit one cover sheet containing the names of all of the individuals for whom the 

contractor is submitting completed paperwork. This cover sheet should include the contract number, each 

applicant’s full name, each applicant’s Social Security Number (SSN), each applicant’s date of birth, and 

each applicant’s place of birth. The CPOC will submit this cover sheet along with the completed paper 

forms and two FD-258 fingerprint charts for each applicant via traceable means via common carrier to: 

SSA, CPSPM Suitability Team, 2601 Annex Building, 6401 Security Boulevard, Baltimore, MD 21235. 

The CPOC will also email a copy of the cover sheet to the Contracting Officer Technical Representative 

(COTR) to the email address shown in the contract. Before forwarding, the CPOC will remove all 

personal information from the applicant list (SSN, date of birth and place of birth). 

NOTE: IT IS THE RESPONSIBILITY OF THE CPOC TO ENSURE CLEARANCES ARE OBTAINED 

PRIOR TO ANY CONTRACT TESTING. 

The CPOC will follow this instruction for new contract employees hired during the contract term. 

Suitability Determination: 

A Federal Bureau of Investigation fingerprint check is part of the basis used for making a suitability 

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

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

find the contactor personnel unsuitable to continue performing under this contract. CPSPM will notify 

the CPOC, COTR, and Contracting Officer of the result of these determinations.

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 of all 

of the contractor’s computer, printing, and mailing equipment which will be used on this 

contract or to require other evidence of technical, production, managerial, financial, and 

similar abilities to perform, prior to the award of a contract. 

The Preaward Survey will include a review of all subcontractors involved, along with their specific 

functions; and, the contractor’s mail, material, personnel, production, quality control/recovery 

program and security plans as required by this specification. 

If award is predicated on the purchase of systems equipment to meet the file transmission 

requirements, the contractor must provide purchase order(s) with delivery date(s) at least 90 days prior 

to the established production date. 

PRODUCTION PLANS: The contractor shall present, in writing, to the Contracting Officer within five 

(5) workdays of being notified to do so by the Contracting Officer or his/her representative, detailed plans 

for each of the following activities. The workday after notification to submit will be the first day of the 

schedule.

THESE PROPOSED PLANS ARE SUBJECT TO REVIEW AND APPROVAL BY THE 

GOVERNMENT AND AWARD WILL NOT BE MADE PRIOR TO APPROVAL OF THE 

SAME.

NOTE: THE GOVERNMENT RESERVES THE RIGHT TO WAIVE SOME OR ALL OF 

THESE PLANS

Backup Facility: Failure to deliver these statements in a timely manner would have a major impact on 
SSA 1099/SSA 1042 Page 11 of 40 

Program 826-S 

the daily operations of the Social Security Administration (SSA). Therefore, if for any reason (Act of 

God, Labor disagreements, etc.), the contractor is unable to perform at said location for a period longer 

than 48 hours, the contractor must have a backup facility with the capability of producing the 

statements. The backup facility must be operated by the contractor.

Plans for their contingency production must be prepared and submitted to the Contracting Officer as 

part of the preaward survey. These 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. The contractor must produce items from a test file at the new facility for verification of 

software prior to producing mailers at this facility. SSA will install a data connection into the backup 

facility. 

Note: All terms and conditions of this contract will apply to the backup facility. 

Quality Control Plan: The contractor must provide and maintain, within their own organization, an 

independent quality assurance organization of sufficient size and expertise to monitor the operations 

performed and inspect the products of each operation to a degree and extent that will ensure the 

Government’s quality assurance, inspection, and acceptance provisions 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 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 if 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. 

Quality Control Sample Plans: The plans must provide a description of how the contractor will create 

quality control samples for periodic samplings to be taken during the production run and provide for 

backup and rerunning in the event of an unsatisfactory sample. The plan must contain control systems that 

will detect defective or missing/mutilated pieces. 

The plan must include the sampling interval the contractor intends to utilize. The contractor will be 

required to create two (2) quality control sample sets to be drawn from the production stream at the same 

time. One sample set will be drawn, inspected and retained as part of the contractor’s quality assurance 

records. The second sample set will be drawn for the SSA and will be provided to on-site representative 

or packed for shipment to the SSA (address to be supplied at the postaward meeting). 

The plans must detail the actions taken by the contractor when either defects or missing/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. 6-01). 

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

production and delivery of these notices meet specifications and Government requirements. This includes 

maintaining 100% accountability in the accuracy of imaging and mailing of all pieces throughout each 

run. The contractor must ensure that there are no missing or duplicate pieces. 
SSA 1099/SSA 1042 Page 12 of 40 

Program 826-S 

The contractor must maintain quality control samples, inspection reports and records for a period of no 

less than 120 days subsequent to the date of the check tendered for final payment by the Government 

Printing 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 files from SSA. The plan must also include the media type 

on which files from SSA will be received to the extent that operator intervention (e.g., a tape mount) is 

not required at SSA or the Contractor's production facility. The Systems 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) REQUIREMENTS for additional 

information). The contractor must complete Exhibit F (System Plan). 

Included with the Computer Systems Plan must be a resume for each employee responsible for the 

monitoring and the programming of Contractor's computer system and file transmissions. If the 

contractor(s) plans to use a consultant for either task, a resume must still be included. 

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. Contractor will be required to provide information on how and demonstrate their 

ability to achieve USPS automated postal rates prior to award of this contract. The plan must include 

USPS’s anticipated mode of transportation (air/truck/rail) to each Area Distribution Center (ADC). 

Material Handling and Inventory Control: This plan must explain in detail how the following 

materials will be handled: incoming raw materials; work-in-progress materials; quality control inspection 

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

Personnel Plan: This plan should include a complete listing of all personnel who will be involved with 

this contract and their assigned duties. For any new employees, the plan should include the source of 

these employees, and a description of the training programs the employees’ will be given to familiarize 

them with the requirements of the program. Contractor employees performing under this contract must be 

made aware of the “Security Requirements” and “Security Warning” as described in these specifications. 

Contractor employees performing under this contract will be subject to a thorough civil and criminal 

background check as detailed in “Public Trust Security Requirements”. It is the responsibility of the 

contractor to ensure that only employees who have received clearance are selected to be involved with 

this contract. 

Recovery Plan: 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 U.S. Postal Service (USPS) facility. 

NOTE: The Government will not, as a routine matter, request that the contractor produce individual 

pieces in transit within the plan, however, the contractor must demonstrate that they will have an audit 

trail established that has the ability to comply with this type of request when and if the need arises. 

Production Plan: The contractor is to provide a detailed plan of the following: 

(a) list of all production equipment and equipment capacities to be utilized on this 

contract; 
SSA 1099/SSA 1042 Page 13 of 40 

Program 826-S 

(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. 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. 

NOTE: 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. 

Security Control Plan: This plan must provide details of the contractor’s physical and data security 

control programs. The proposed Security Control Plan must address, at a minimum, the following: 

 Materials: The contractor is required to explain how all accountable material will be handled 

throughout all phases of production. This plan must also include the method of disposal of all 

production waste materials. 

Production Area: The contractor must provide a secure area(s) dedicated to the receiving, 

processing, and storage of data for the SSA-1099/1042S’s, either a separate facility dedicated to 

this product, or a walled-in, limited access area within the contractors existing facility. 

The contractor must provide a secure area(s) dedicated to the printing/imaging and storage of all 

materials containing PII. A secure barrier, with a minimum height of 4 feet, must encompass the 

entire printing/imaging and storage area(s). The contractor is not permitted to use ropes, 

stanchion, chains, or plastic fencing to create the secure barrier. The perimeter must have 

limited entry and exit points with controls in place to limit access of persons who have not 

gained security clearance by SSA. Access points must also contain a tracking method to show 

who has entered and exited the secure area(s). The secure barrier requirement may be waived if 

SSA has granted all persons working in the contractor’s facility security clearance. 

The Security Control Plan must include a floor plan detailing the area(s) to be used, showing 

existing walls, equipment to be used to meet security standards, and printing and finishing 

locations. 

The Government retains the right to conduct on-site security reviews at any time during the 

term of the contract. 

Disposal of Waste Material: The contractor is required to demonstrate how all waste 

materials used in the production of sensitive SSA records (records containing PII information as 

identified in “Security Warning” on page 5) will be definitively destroyed (ex., burning, 

pulping, shredding, macerating, or other suitable similar means). Electronic Records must be 

definitively destroyed in a manner that prevents reconstruction. Definitively destroying the 

records means the material cannot be reassembled and used in an inappropriate manner in 

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

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

If the contractor selects shredding as a means of disposal, a cross cut shredder must be used, 

shredding all documents into squares not to exceed one-quarter (1/4) inch. The contractor must 
SSA 1099/SSA 1042 Page 14 of 40 

Program 826-S 

exprovide the location and method planned to dispose of the material. When a subcontractor is 

used, the same information is required, as well as how the material will be transported from the 

contractor’s plant to the subcontractor. The plan must include the names of all contract officials 

responsible for the plan and describe their duties in relationship to the waste material plan. 

The Government retains the right to conduct on-site security reviews at any time during the 

term of the contract. 

Option Years: For each option year that may be exercised, the contractor will be required to re-submit, 

in writing, the above plans detailing any changes and/or revisions that may have occurred. The 

contractor must include an updated “Personnel Plan” indicating the status for each employee who will 

be assigned to work on this project. The contractor should be prepared to submit these revised 

plans at each year’s meeting. THE REVISED PLANS ARE SUBJECT TO GOVERNMENT 

APPROVAL. If the meeting is waived by the Government, the revised plans must be submitted 

to GPO within five (5) days of notification of the option year being exercised. 

If there are no changes/revisions, the contractor will be required to submit to the Contracting Officer a 

statement confirming that the current plans are still in effect. 

Unique Sequential Identification Number Plan: Unique identifying numbers will be used to track 

each individual mailer, thereby providing 100% accountability. This enables the contractor to track 

each mailer through completion of the project. The contractor will be required to create two (2) full 

plate impression test sample sets every 40,000 mailers. The unique sequential number must be imaged 

inside the form perforations by each of the imager heads used for the computerized printing. One (1) 

sample set will be drawn, inspected and retained as part of the contractor’s quality assurance records. 

The second sample set drawn for the Social Security Administration will be provided to the on-site 

representative or packed and shipped daily to appropriate Printing Specialist at the Social Security 

Administration, Division of Printing Management Attn: Matthew Thomas (1099/1042S), 1360 Annex 

Building, 6401 Security Boulevard, Baltimore, MD 21235-6401. In addition, a barcode must be 

imaged in the stub (or suitable) area by each of the imagers used for the computerized printing. 

Barcode readers must be installed on the press to read these barcodes and shut down the imagers if a 

sync error occurs. These pieces must be reprinted and 100% accountability must be maintained 

throughout the run. The contractor must ensure that there are no missing or duplicate pieces. 

100% ACCOUNTABILITY OF PRODUCTION AND MAILING: Contractor must have a closed 

loop process*. Notices requiring print regeneration must be reprinted from their original data file using a 

unique job ID and piece ID (assigned by the contractor) remaining unchanged as each mail piece 

continues through the production life cycle. This process will repeat itself (since subsequent reprint runs 

may yield damages) until all mail pieces from the original print run are accounted for. 

* CLOSED LOOP PROCESSING: A method for generating a plurality of mail pieces including sync 

error detection and reprinting capabilities. The method provides a mail handling process which tracks 

processing errors with the use of scan codes which obtain information regarding each mail piece, diverts 

mail pieces in response to error detection, transmits such errors to a processor, and automatically 

generates a reconfigured print file to initiate reprints for the diverted mail pieces.

Contractor will be responsible for providing a unique job ID and piece identifying number that will be 

used to track each individual mail piece, thereby providing 100% accountability and validating the 

integrity of every notice produced in all phases of production to ensure all notices received from SSA 

were correctly entered into the United States postal system. 

NOTE: Contractor must have all hardware, programming and finalized reports in place to meet this 

requirement arrive in time for the 12-hour preproduction test. Contractor must submit a sample of their 

proposed Audit and Summary reports with the required Pre-Award production plans for approval. The 
SSA 1099/SSA 1042 Page 15 of 40 

Program 826-S 

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.

Mail Piece integrity shall be defined as follows: 

x Each mail piece contains only the information intended for the designated recipient as 

contained in the data files received from SSA. 

x The contractor’s printing process must have automated systems which can detect all sync 

errors, stop printing when detected, and identify, remove and reprint all effected mail pieces. 

Mailing integrity shall be defined as follows: 

x All mail pieces received from SSA for each data file were printed and entered correctly into the 

United States postal system. 

The contractor is responsible for providing the automated mail piece tracking/reporting systems and 

processes required to validate that 100% of all mail pieces received from SSA were printed and mailed 

correctly. 

The contractor’s converting equipment must have automated systems that include mail piece coding and 

scanning technology capable of: 

(a) Uniquely identifying each mail piece within each individual file. 

(b) Unique identifier to be scanned during production to ensure all mail pieces are present and 

accounted for. 

(c) Touch and Toss: all spoilage, diverted, mutilated or mail piece that is 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. 

(d) Exit Scanning: A camera system must be mounted just aft of the equipment after the mail piece 

is completed. This camera system must read a unique code placed on the mail piece, and capable 

of identifying and reporting all missing pieces that were lost or spoiled during production for each 

individual file. This system ensures that all mail pieces have been accounted for. The equipment 

must check the mail pieces and divert any suspect product. All diverted or missing pieces are to 

be automatically recorded and regenerated in a new print file for reprint. 

(e) Reconciliation: all mail pieces and the amount of correct finished product must be electronically 

accounted through the use of the audit system. 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. Therefore, all finished mail for that sequence run must be held in 

an accessible area until this reconciliation is complete. 

(f) Generate a new production file for all missing, diverted or mutilated mail pieces (reprint file). 

(g) 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 above for each 

individual file by mailer number and file date. Contractor must maintain this information for a 

six month period after mailing. 

(h) Audit report must contain the following information: 

1. Job name 

2. Machine ID 
SSA 1099/SSA 1042 Page 16 of 40 

Program 826-S 

3. Date of production with start and end time for each phase of the run i.e. machine ID. 

4. Start and end sequence numbers in each run 

5. Status of all sequence numbers in a run 

6. Total volume in run 

7. Status report for all incidents for each sequence number and cause, i.e. missing sequence 

number, diverted and reason for divert such as mutilated, duplicate, pulled for inspection, 

etc.

8. Bottom of audit report must contain total number of records for that run, quantity sent to 

reprint, number of duplicates, duplicates verified and pulled, total completed. 

9. Audit report must contain the same information for all the reprints married with this 

report as listed above showing that all pieces are accounted for. 

(i) Contractor must generate a final automated 100% accountability summary report for each 

individual file. This information must be generated directly from the audit report, manual inputs 

are not allowed. The summary report must contain the following: 

1. Job name 

2. Each individual file (must show sequence numbers for each section i.e. first pass and 

then reprints) 

3. Sequence number range for each individual file 

4. Volume of all sequence numbers associated with an individual file were completed. 

5. Volume of reprints that were completed for each file date. 

6. Volumes for each file and date that each was completed. 

NOTE: A PDF copy of the summary report(s) and matching GPO 712 form(s) and or USPS 3607R from 

mail.dat file must be submitted to Matthew Thomas at matthew.thomas@ssa.gov for each file date within 

2 days of mailing. 

NOTE: Contractor must submit a sample of their Audit and Summary reports (See Exhibit G) with the 

required Pre-Award production plans for approval. 

Contractor must generate an automated audit report when necessary showing the tracking of all mail 

pieces throughout all phases of production. This audit report will contain all information as outlined in 

item (h) above. Contractor is required to provide any requested Summary and/or Audit reports within an 

hour of a request via email in MS word, MS Excel or PDF. 

All mail piece tracking/reporting data must be retained in electronic form for 210 days after mailing, and 

must be made available to SSA for auditing of contractor performance upon request. 

The contractor must maintain quality control samples, inspection reports and records for a period of no 

less than 180 days subsequent to the date of the check tendered for final payment by the Government 

Printing 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. 

Pulling of Notices from Production: Due to the sensitivity of some of the notices in this contract, the 

Government may request that certain notices be removed from the production stream. When this occurs, 

the Government will supply the contractor with a list of Social Security Numbers (SSNs) that need to be 

pulled. The contractor must be able to run a sort to find and eliminate the notice from the production run. 

If the list is provided after the notice has been produced, the contractor must be capable of identifying the 

notice and pulling it from the production floor. It is anticipated that this will be an infrequent occurrence.
SSA 1099/SSA 1042 Page 17 of 40 

Program 826-S 

NOTE: If the preaward survey is waived, the above referenced plans must be submitted to the 

Contracting Officer within five (5) workdays of being notified to do so by the Contracting Officer or 

his/her representative. The workday after notification to submit will be the first day of the schedule. 

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 for the 

annual production. 

The contractor will be required to provide one (1) private office of not less than 150 square feet, 

furnished with one (1) desk, one (1) swivel arm chair, one (1) one telephone line and PC with internet 

access and one (1) facsimile machine (the Government will supply hookups and cover the cost of the 

telephone/facsimile machine service). 

On-site representative(s) may be stationed at the Contractor's facility to: provide project coordination in 

receipt of wire transmissions; verify addresses; monitor the printing/imaging, folding, mail processing, 

quality control, sample selections and inspections; and monitor the packing and staging of the 

mail. These coordinators 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 coordinators must have full and unrestricted access to all 

production areas where work on this program is being performed. 

The government retains the right to conduct on site security reviews at any time during the term of 

this contract. 

POSTAWARD CONFERENCE: In order to ensure that the contractor fully understands the total 

requirements of the job as indicated in these specifications, Government representatives will conduct a 

conference/teleconference with the contractor’s representatives at the Social Security Administration 

(SSA), Baltimore, MD, immediately after award. 

For each option year that may be exercised, the Government’s representatives may request a meeting 

with the contractor’s representatives at SSA (see address above) to discuss the requirements of that 

contract year’s job. The print order, manuscript, test files and camera copy will be made available at this 

meeting. If this meeting is waived by the Government, the print order, manuscript, test files and camera 

copy will be available for pickup at the address under “Schedule”. 

PREPRODUCTION PRINTING AND MAILING MEETING: This meeting will take place after 

the contract award to review contractor’s production plan and to establish coordination of all operations. 

Attending this meeting will be representatives from GPO, SSA and the USPS. The contractor will 

present and explain their final plan for both printing and mailing the notices. The contractor will meet 

with USPS representatives to present and discuss their plan for mailing. The prior to production 

meeting will include a visit to the contractor’s mailing facility, where the contractor is to furnish specific 

mail flow information. 

The contractor should be prepared to present detailed production plans, including such items as quality 

assurance, projected commencement dates, equipment loading, pallet needs, etc. The contractor will 

present documentation of the Plant Load agreement and either a copy of the optional procedure which 

has been negotiated with the USPS, or a draft of the optional procedure the contractor intends to 

negotiate with USPS for SSA approval. The contractor also needs to present SSA with a copy or a draft 

of the manifest (tracking system) they plan to use. The contractor will provide the name of the 

representative (and a back-up) responsible for the mailing operation. 

NOTE: Government may conduct unscheduled visits during the term of this contract at the 

contractor’s mailing facility. 

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

will be assigned and a purchase order issued to the contractor to cover work performed. The purchase 
SSA 1099/SSA 1042 Page 18 of 40 

Program 826-S 

order will be supplemented by an individual "Print Order" for each job placed with the contractor. The 

print order, when issued, will indicate the quantity to be produced and any other information pertinent to 

the particular order. 

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

the Government. Orders may be issued under the contract for SSA-1099/SSA-1042S from Date of 

Award through June 30, 2017, plus for such additional period(s) as the contract is extended. All print 

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. A print order shall be "issued" for purposes of the contract, 

when it is either deposited in the U.S. Postal Service mail or otherwise 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 must 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 does not constitute the basis for an equitable price adjustment under 

this contract. 

Except as otherwise provided in this contract, the Government will 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 will 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 are governed by the terms of this contract to the 

same extent as if completed during the effective period of this contract. 

If shipment/delivery of any quantity of an item covered by the contract is required by reason of urgency 

prior to the earliest date that shipment/delivery may be specified under this contract, and if the contractor 

will not accept an order providing for the accelerated shipment/delivery, the Government may procure 

this requirement from another source. 

The Government may issue orders which provide for shipment/delivery to or performance at multiple 

destinations.

Subject to any limitations elsewhere in this contract, the contractor must 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.

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 
SSA 1099/SSA 1042 Page 19 of 40 

Program 826-S 

systems of records and (ii) the work to be performed by the contractor in terms of any one or 

combination of the following: (A) design, (B) development, or (C) operation; 

 (2) to include the solicitation notification contained in this contract in every solicitation and 

resulting subcontract and in every subcontract awarded without a solicitation when the 

statement of work in the proposed subcontract requires the design, development, or operation 

of a system of records on individuals to accomplish an agency function; and 

 (3) to include this clause, including this paragraph (3), in all subcontracts awarded pursuant to 

this contract which require the design, development, or operation of such a system of records. 

(b) In the event of violations of the Act, a civil action may be brought against the agency involved 

where the violation concerns the design, development, or operation of a system of records on 

individuals to accomplish an agency function, and criminal penalties may be imposed upon the 

officers or employees of the agency where the violation concerns the operation of a system of 

records on individuals to accomplish an agency function. For purposes of the Act when the 

contract is for the operation of a system of records on individuals to accomplish an agency 

function, the contractor and any employee of the contractor is considered to be an employee of 

the agency. 

 (c) The terms used in this clause have the following meanings: 

 (1) “Operation of a system of records” means performance of any of the activities associated 

with maintaining the system of record 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. 

CRIMINAL SANCTIONS: 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. 522a (i) (1) which is made applicable to contractors by 5 U.S.C. 552a (m) (1), 

provides that any officer or employee of an agency, who by virtue of his/her employment of 

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 prohibited, willfully 

discloses the material in any manner to any person or agency not entitled to receive it, will be guilty 

of a misdemeanor and fined not more than $10,000.00.
SSA 1099/SSA 1042 Page 20 of 40 

Program 826-S 

SECTION 2.- SPECIFICATIONS 

SCOPE: Specifications are as follows: Social Security Benefit Statements (SSA-1099 and SSA-1042S) 

covers the production of nine (9) versions of English and Spanish self-mailers. Both items require such 

operations as receipt and processing of electronically transmitted files, composition, printing (including 

computerized imaging) folding and distribution. 

All production files will be electronically transmitted to the contractor. 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. 

TITLE: Social Security Benefit Statements (SSA-1099 and SSA-1042S) 

FREQUENCY OF ORDERS: One order cycle per year. (One Print Order for the 12 hour test and one 

Print Order for live production.) 

Social Security Benefit Statement (SSA-1099/SSA-1042S) 

QUANTITY: Approximately 63,820,000 (Exact quantities will not be known until final files are 

produced. No shortages will be allowed.) 

The mailers for each of the items below consist of one folded form. 

 VERSION FORM NUMBERS QUANTITY 

SSA-1099: 

V1........Domestic.(English)..........................SSA-1099-SM.(1-2017).................. 62,900,000... 

V2........Puerto.Rican.(Spanish).....................SSA-1099-SM-SP.(1-2017)................. ....916,000... 

V3........Foreign.(English)..............................SSA-1099-SM-F.(1-2017).................. ....340,000 

V4........Supplemental.Domestic.(English).......SSA-1099-SM-UD.(1-2017)................. ....186,000 

V5........Supplemental.-.Foreign.(English)........SSA-1099-SM-UF.(1-2017).................. .......1,000 

SSA-1042: 

V6........Domestic.(English)...........................SSA-1042S-SM.(1-2017)................ .....11,000. 

V7........Foreign.(Spanish).............................SSA-1042S-SM-SP.(1-2017)............. ... ......49,000 

V8........Foreign.(English).............................SSA-1042S-SM-F.(1-2017)............. ....319,000 

V9........Supplemental-Domestic,..................SSA-1042S-SM-U.(1-2017)............................ 1,000. 

... Foreign.and.Spanish.(English)........................... 

Certified and Registered Mail: Theses quantities represent the estimated quantity of each version above 

to be mailed either certified or registered mail. 

SSA-1099 
SSA 1099/SSA 1042 Page 21 of 40 

Program 826-S 

V1........Domestic.Certified.(English)..........................SSA-1099-SM.(1-2017).................. 20,000 

V2........Puerto.Rican.Certified(Spanish).....................SSA-1099-SM-SP.(1-2017)................. ....400 

V3........Foreign.Registered.(English)..............................SSA-1099-SM-F.(1-2017).................. ....80 

V4........Supplemental.Domestic.Certified(English).......SSA-1099-SM-UD.(1-2017)................. ....70 

V5........Supplemental.-.Foreign.(English)........SSA-1099-SM-UF.(1-2017).................. ....... <10 

SSA-1042S: 

V6........Domestic.(English)...........................SSA-1042S-SM.(1-2017)................ ..... <10. 

V7........Foreign.(Spanish).............................SSA-1042S-SM-SP.(1-2017)............. ... ...... <10 

V8........Foreign.(English).............................SSA-1042S-SM-F.(1-2017)............. .... <10 

V9........Supplemental-Domestic,..................SSA-1042S-SM-U.(1-2017)............................. <10. 

... Foreign.and.Spanish.(English)........................... 

The above version quantities are approximate and the Government reserves the right to increase or 

decrease the quantity by 15%. An estimated annual increase of 1.7% year to year is to be expected 

throughout the term of the contract. 

Personalized Social Security Benefit Statements (SSA-1099/SSA-1042S) mailers are English and Spanish 

represented by the following data set names: 

 

 DATA SET NAMES* 

Version 1 (SSA-1099-SM) OLBG.BTI.vendor 

Version 2 (SSA-1099-SM-SP) OLBG.BTI.vendor 

Version 3 (SSA-1099-SM-F) OLBG.BTI.vendor 

Version 4 (SSA-1099-SM-UD) OLBG.BTI.vendor 

Version 5 (SSA-1099-SM-UF) OLBG.BTI.vendor 

Version 6 (SSA-1042S-SM) OLBG.BTI.vendor 

Version 7 (SSA-1042S-SM-SP) OLBG.BTI.vendor 

Version 8 (SSA-1042S-SM-F) OLBG.BTI.vendor 

Version 9 (SSA-1042S-SM-U) OLBG.BTI.vendor 

NOTE: Certified Files of each version will be transmitted separately. 

*The data set names listed throughout these specifications are not the final data set names that will be 

transmitted to the contractor. The actual data set names will be provided to the contractor at the 

postaward meeting. 

TRIM SIZE: 8-3/8 to 9* x 17-1/4” flat; folds to 8-3/8 to 9* x 4-1/2”, includes 1⁄2 or 3⁄4” tear-off left and 

right stubs. (See construction samples.) 

NOTE: The minimum width of the body of the self-mailer must be at least 7-3/8”. 

These self-mailers must meet USPS height to length ratio requirements for “First-Class” mail. 

SAMPLES: Construction sample(s) comparable to those to be produced on this contract may be obtained 

by contacting the Contract Administrator at 202-512-0310. These samples are representative of the 

printing, binding, folding, and other requirements required for the major part of the work to be ordered on 

this contract. 
SSA 1099/SSA 1042 Page 22 of 40 

Program 826-S 

GOVERNMENT TO FURNISH:

Manuscript copy for five (5) versions of SSA-1099 and four (4) versions of SSA-1042S. 

Electronic Copy and/or Camera copy: (IRS Notice 703 and recycled logos) to be reproduced same size. 

Permit Mailing Indicia - “Postage and Fees Paid” 

Coding Accuracy Support System (CASS) Certificate 

National Change of Address (NCOA) Certificate 

PS Form 3615 (Mailing Permit Application and Customer Profile) 

GPO Form 712 (Certificate of Conformance) 

GPO Form 892 (Proof Label) 

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

Center 

Exhibit A: Form SSA-301, “Contractor Personnel Security Certification”. 

Exhibit B: Questionnaire for Public Trust Positions (Standard Form 85P) 

Exhibit C: Fingerprint Card 

Exhibit D: Declaration of Federal Employment (Optional Form 306) 

Exhibit E: Fair Credit Reporting Act Authorization Form 

Exhibit F: System Plan 

Exhibit G: Audit and Summary Report 

Exhibit H: Vendor Record Specifications (will be furnished after award) 

Email Address File of Key GPO and SSA Personnel 

A data connection between the contractors’s specified location and SSA’s National Computer 

Center in Baltimore, MD will be established after award. The Government will determine the 

connectivity method between SSA and the contractor. Internet Protocol (IP) will be the 

connection protocol for the transmissions. 

Prior to the commencement of production of orders placed under this contract, the Government will 

furnish electronic test files ( after data connection is available between the contractor’s location and SSA, 

for wire transmission) that are to be used in performing the pre-production press run test, wire 

transmission test and validation test. 

Record layout specification will be furnished before delivery of the test file. Record layout with display 

rules and list of return addresses is available for inspection by prospective bidders prior to bid opening at 

GPO, Washington, DC. 

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

print the address record exactly as it is in the Master Beneficiary Record (MBR) file furnished to the 
SSA 1099/SSA 1042 Page 23 of 40 

Program 826-S 

contractor (file contains foreign addresses which may include a consular code). The contractor must not 

standardize the addresses or change the ZIP+4 information.

Final dataset names will be provided at the postaward conference.

NOTE: Prior to the issuance of the electronic files, any delays in the prepress operations will not be cause 

for extending the production schedule. 

Pre-Production Press Test Run: The Government will furnish prior to production test files to be used in 

performing a 12-hour prior to production test press and mail run. (Note: Pre-Production test files will be 

formatted for the prior year’s live production run. This may require additional programming by the 

contractor.)

Two tests will be required to be completed after receipt of the files by the contractor. In addition to 

providing records with all data in the correct positions, a second test will be required by having the 

contractor run the test file through their Coding Accuracy Support System (CASS) certification system to 

ensure that there are no problems with the reading (ONLY) of the SSA provided address data. 

Systems Validation Test: The Government furnished test files will contain up to 12,000 records (all 9 

versions) and the contractor will be required to run the entire files through their system and furnish a 

numerical count of records processed to the Government. In addition, the contractor is required to furnish 

print-outs of each record incorporating both the variable record data and the appropriate static (base) 

form. These print-outs will be used to verify proper processing of the variable data and its positioning and 

alignment on the static form. 

Contractor must perform a sort to obtain maximum USPS postage discounts possible for SSA without 

standardizing (see “Distribution”). 

Identification markings such as register marks, ring folios, rubber stamped jacket numbers, commercial 

identification marks of any kind, etc., except GPO imprint, form number, and revision date, carried on 

copy film, or in electronic files must not print on finished product. 

WIRE TRANSMISSIONS: 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 and encrypted VPN tunnel or the Government 

will place an order for a dedicated circuit data connection under GSA's Networx contract to be installed 

within 60 to 90 calendar days between the contractor's location(s) 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 occur. 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 8 feet of the router. 
SSA 1099/SSA 1042 Page 24 of 40 

Program 826-S 

The 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. 

Also, upon contract award, the contractor shall immediately 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 person 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 877-697-4889.

Data provided to the contractor must be retained for 21 workdays after mailing. 

NOTE: The contractor’s FTMS software shall be operational for the receipt of data files 24 hours per day, 

7 days per week, unless otherwise specified by the Government. 

CONTRACTOR TO FURNISH: All materials and operations, other than those listed under 

“Government to Furnish,” necessary to produce the products in accordance with these specifications. 

In addition, the contractor must provide SSA and GPO access to a secure website which will be used for 

proofing. The site will also be used for validating test and production materials. Each team member at 

SSA and GPO will be given account login credentials specific to the individual. Security must be 

maintained due to the sensitive PII materials that will be posted to this site. (See Validation Testing Page 

24-37) 

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 Platform Server 

(MFTPS) (formerly known as Cyberfusion Integration Suite) software from TIBCO. The Contractor may 

implement the Managed File Transfer 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. 

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 
SSA 1099/SSA 1042 Page 25 of 40 

Program 826-S 

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, 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 contractor will be required to provide server(s) to ensure the successful and uninterrupted 

simultaneous transmission of both the SSA-1099 and SSA-1042S files. This server(s) must be of a size 

large enough to handle the entire workload. 

It is the contractor’s responsibility to notify SSA when systems or connection problems arise and 

transmission cannot take place. SSA’s first point of contact for circuit, systems, or connectivity problems 

shall be the HELP DESK at 410-965-2580 or 877-697-4889. 

In the event that any wire transmission cannot be processed due to media problems, link problems or 

data transmission circuit/connection outages, the contractor shall notify SSA’s HELP DESK operations 

immediately at 410-965-2580 or 877-697-4889 and report required observations and findings. 

All data provided by the Government or duplicates made by the contractor or his 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. Data provided to the 

contractor must be retained for 21 workdays after mailing. 

WIRE TRANSMISSION TEST: After the appropriate data connection has been installed, the contractor 

will be required to receive within one (1) workday, data for up to 63,820,000 mailers. The contractor will 

be required to perform a record count verification broken down by dataset name within one (1) workday 

after the complete transmission of the test files. The contractor must also run the test file through 

their Coding Accuracy Support System (CASS) certification system to ensure that there are no 

problems with the reading (ONLY) of the SSA provided address data.

 

When the count verification has been successfully completed, the contractor will be required to provide 

SSA within five (5) workdays, 360 sample documents (20 notices from each of the nine (9) self-mailers 

including each self-mailer’s Certified/Registered counterpart (separate file).) The samples will be 

produced using the data from each of the files that were transmitted during the wire transmission test. 

Samples may be imaged on white paper and contain only variable information. At the option of the 

government, samples may be posted to the secure site. 

Submit these test samples to SSA, Attn: Matthew Thomas, Division of Printing Management, 1368 

Annex Building, 6401 Security Boulevard, Baltimore, MD 21235-6401. 
SSA 1099/SSA 1042 Page 26 of 40 

Program 826-S 

PREPRODUCTION PRESS AND MAIL RUN TEST: Prior to the commencement of production of 

the contract, the contractor will be required to demonstrate their ability to perform this contract by 

performing a 12-hour preproduction press test run on their equipment and using their personnel (test 

must be performed on one piece of printing equipment). The 12-hour test run will simulate an actual 

production press run. The press run will incorporate all aspects from formatting files (electronic), 

printing (including imaging of variable information), constructing, sorting, and preparing finished pieces 

for delivery to the USPS. The product is to be produced in accordance with all specifications and all 

USPS regulations including the loading of the mail onto a trailer to simulate actual production 

conditions. Government representatives will witness all phases of the test run. The contractor will be 

required to have composition and proofing completed on the SSA-1099-SM and the SSA-1042S-SM 

versions for use in this test. Test files will be provided for use in this test run. 

Contractor must produce 450,000 SSA-1099-SM forms and 50,000 SSA-1042S-SM forms in a 

12-hour period that will prove to the Government representative that the Contractor can 

satisfactorily complete the requirements of this contract during live production. Failure of the 

contractor to pass the 12 hour test requirements may result in denial of the charges for the test.

NOTE: The Government reserves the right to waive the Preproduction Press and Mail Run Test. 

For each option year that may be exercised, the Government’s representatives may 

require a Preproduction Press and Mail Run Test. The requirements for this test press run (as 

stated above) will remain the same for each year exercised. The contractor will be notified at 

each year’s meeting which option the Government will exercise or if the test will be waived. 

VALIDATION TEST: The Government furnished test files will contain up to 12,000 (9 versions + 

Certified/Registered Files) records and the contractor will be required to run the entire file through their 

system and furnish a numerical count of records processed to the Government. In addition, the contractor 

is required to furnish access to a secure proofing site where validation samples will be posted for 

Government review. SSA will provide a list of individuals to be granted access to the secure site. The 

site must be password protected with account settings specific to each user. The electronic samples must 

be formatted (computerized) to verify position and alignment of variable data (incorporating both variable 

data and appropriate static text) on the correct static forms. A small portion of printed hard copy samples 

will also be required at the same time as electronic postings. 

After validation is complete, if any of the contractor’s errors are serious enough in the opinion of GPO to 

require revised validation samples, the revised validation samples are to be provided at no expense to the 

Government. No extra time can be allowed for this repeat validation operation; such operations must be 

accomplished within the original production schedule allotted in the specifications. All validation 

material must be approved by SSA no later than 10 work days prior to production start-up. 

NOTE: Failure of the contractor to perform any of the tests (Wire Transmission Test, Preproduction Press 

and Mail Run Test or Validation Test) satisfactorily may be cause for default. The Government reserves 

the right to waive the requirements of any of these tests. The contractor will be notified at the postaward 

conference if any test(s) is to be waived. 

COMPOSITION: Contractor must typeset all forms in one of the following typefaces, listed in order of 

preference: Century Schoolbook, Palatino, or Times Roman, with bold. 

No alternate typefaces will be allowed; however, manufacturers' generic equivalents will be accepted for 

the above typefaces. Each bidder shall list in the bid the name of the generic equivalent typeface(s) and 

composing machine to be used. 

The entirety of each category of composition (text, tabular, and display) must be identical throughout the 

product(s) ordered under these specifications. The contractor must use the largest type size possible for 

the given space. 
SSA 1099/SSA 1042 Page 27 of 40 

Program 826-S 

Approximately 400 type lines in various measurements ranging from 7-1/2 to 42 picas; 20 horizontal and 

10 vertical rules; and up to four flat tone areas (20% of a 150 line screen) in the up to 25 sq. in. group 

each. Makeup required (subject to approval of SSA personnel) to fit construction option to be used. 

Form work will be defined as matter set in all sizes, and will include vertical, horizontal, and diagonal 

rules, boxheads, numbered lines, checkboxes, arrows, type matter, etc., positioned in the proper location 

to provide spaces for information to be filled in individually. 

PROOFS: Three (3) sets of digital color content proofs of the entire product. Direct to plate must be 

used to produce the final product with a minimum of 2400 x 2400 dpi. Proofs must be created using the 

same Raster Image Processor (RIP) that will be used to produce the product. 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. 

Contractor is to submit “Press Quality” PDF “soft” proof for content only using the same Raster Image 

Processor (RIP) used to produce the final printed product. SSA will review and approve/disapprove the 

PDF proof for text flow, image position, and color breaks only (Proof will not be used for color match or 

construction. 

Contractor is to forward the PDF proof to the SSA individual requesting the proof. Contractor is required 

to follow-up with a phone call or email to confirm receipt. 

SSA reserves the right to make changes to the first set of proofs (all versions). If SSA makes changes, 

additional sets of proofs will be required. At the option of the government all additional proof may only be 

required in PDF format. 

NOTE: Changes can be made as late as 15 work days prior to production start-up. 

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

proofs, the revised proofs are to be provided at no expense to the Government. No extra time 

can be allowed for this reproofing; such operations must be accomplished within the original 

production schedule allotted in the specifications. 

After the contractor and SSA agree on all changes and/or corrections , the contractor must 

provide SSA with three (3) sets of digital color or similar proofs (folded and trimmed to final 

mailing size). In addition, contractor must provide PDFs for each final versions. 

The contactor must not print prior to receipt of an “OK to print.”

STOCK/PAPER: The specifications of all paper furnished must be in accordance with those listed 

herein or listed for the corresponding JCP Code numbers in the “Government Paper Specification 

Standards No. 11” dated February 1999. 

All paper used throughout the term of the contract must be of a uniform shade. 

White Offset Book, basis weight: 60 lbs. per 500 sheets, 25 x 38", equal to JCP Code A60. 

PRINTING: Print face and back in black ink and PMS 032 red. Flat tones may print on face and back. 

The recycled logo and legend “Printed on recycled paper” (Spanish translation: “Impreso en papel 

reciclado”) must print on all forms. 

NOTE: All static printing must be done by the same printing process throughout the entire run. 

COMPUTERIZED IMAGING: Computerized imaging of variable data in black ink is required on one 

side. The contractor may determine type size, density and style of variable data (subject to approval of 

SSA personnel). A Spanish font with accent marks will be required in addition to standard English 
SSA 1099/SSA 1042 Page 28 of 40 

Program 826-S 

characters. Imaging required consists of up to 29 line from top of box 1 (SSA-1099) and 27 lines from top 

of box 1 (SSA-1042S) of variable data plus up to 15 lines (each item) consisting of variable return 

addresses, mail discount structure line, names, and up to six lines for the mailing address plus the potent 

barcode. A line is defined as extending from the tear-off stub perforation at left side to the tear-off stub 

perforation at right side. 

NOTE: A barcode must be imaged in the stub (or suitable) area by each of the imagers used for the 

computerized printing. Barcode readers must be installed on the press to read these barcodes and shut 

down the imagers if a sync error occurs. These pieces must be reprinted and 100% accountability must be 

maintained throughout the run. The contractor must ensure that there are no missing or duplicate pieces. 

PRESS SHEET AND CONVERSION INSPECTION: Press sheets will be inspected at the contractor’s 

plant for quality conformance. 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. At the time of the conversion inspections, SSA officials will telefax five (5) copies of the 

finished product for each version to the Agency. SSA, Baltimore, MD, will confirm the accuracy of the 

variable data prior to the approval of the press sheets. 

PRESS SHEET INSPECTION: Final make-ready press sheets may be inspected and approved at the 

contractor’s/subcontractor’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 make-ready 

sheets that preceded approval. See GPO Publication 315.3 (Guidelines for Contractors Holding Press 

Sheet Inspections) dated August 2002. 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. 

MARGINS: Adequate gripper margins throughout. 

CONSTRUCTION: 

Option 1: 

Perforate along entire 17-1/4” dimension, 1⁄2 or 3⁄4” from left and right edges to create tear-off stubs. Fold 

with four wraparound folds to form an 8-3/8 to 9” x 4-1/2” mailing piece. Top fold must form a 1” sealing 

flap. Completely seal along entire depth in left and right tear-off stubs with firm glue. Secure 1” sealing 

flap along entire 7-3/8 or 7-1/2” dimension with temporary glue. Temporary glue must hold securely 

during mailing and handling, permit easy opening without damage to body of mailer, but not permit 

resealing of this package. 

Option 2: 

Perforate along entire 17-1/4” dimension, 1⁄2 or 3⁄4” from left and right edges to create tear-off stubs. Fold 

with three wraparound folds to form an 8-3/8 to 9” x 4-1/2” mailing piece. The first fold is 7”, second fold 

is 4-3/8” and third fold (top fold) must form a 1-3/8” sealing flap. Completely seal along entire depth in 

left and right tear-off stubs with firm glue. Secure 1-3/8” sealing flap along entire 7-3/8 or 7-1/2” 

dimension with a temporary glue. Temporary glue must hold securely during mailing and handling, 

permit easy opening without damage to body of mailer, but not permit resealing of the package. 

NOTE: Total weight of completed mailing package must not exceed 1 oz. to minimize postage costs. 

SHREDDING: The contractor must cross shred with one-half (0.5) inch screen or finer all waste 

created during production of this contract. All shredding must take place on the contractor’s 

premises.

DISTRIBUTION: Mail f.o.b. contractor's city. All mailing shall be made at the First-Class rate. 
SSA 1099/SSA 1042 Page 29 of 40 

Program 826-S 

Transportation of mail to USPS facilities for deposit into the mailstream shall be at the contractor’s 

expense.

Immediately after the contract has been awarded, the contractor must begin negotiating with USPS to 

obtain operational procedure and Plant Load agreements. It is the contractor’s responsibility to secure 

these agreements. In addition, the contractor must send SSA a current copy of a valid Plant Load 

agreement for the facilities where the mail will be dispatched to USPS. The optional procedure that will 

be in effect for the time of the mailing and the Plant Load agreement must both be in place by the time of 

the prior to production print and mail meeting. In addition, the contractor must have the mail piece 

tracking system and quality control procedures in place and ready to go by the same date. 

If any deviation from First-Class Mail processing occurs, SSA shall be notified immediately in writing. 

Any questions regarding USPS processing of any of the forms SSA-1099/SSA-1042S should be cleared 

through SSA by contacting Mail and Postage Policy (DMPP), Francine Moore, on (410) 965-5505. Upon 

request, SSA’s DMPP representatives shall be allowed access to the contractor’s mailing operation and 

any related facilities (e.g., staging areas). 

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. 

Contractor will be required to presort all mail in this contract and achieve USPS automated postal rates.

Contractor will be required to provide information on how and demonstrate their ability to achieve USPS 

automated postal rates prior to award of this contract.

SSA requires the use of Permit Imprint. The contractor must use SSA’s “FIRST-CLASS MAIL 

POSTAGE & Fees paid” 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. Permit imprint mailings must contain at least 200 

identical pieces or 50 pounds. 

The contractor is cautioned that “Postage and Fees Paid” indicia may be used only for the purpose of 

mailing material produced under this contract. 

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. A copy of the USPS approval for the MMS must be presented at the post award conference. 

Permit imprint may not be used if the mailing is less than 200 pieces or pieces that are not identical. 

Instead, the mail must be metered and any permit imprint must be covered/concealed by a meter strip. 

The contractor will be reimbursed for the metered postage by submitting a properly completed Postal 

Service form (or equivalent). All meter supplies will be borne by the contractor.

The contractor is required to prepare Domestic First-Class letter-size mail pieces and obtain the maximum 

postage discount allowed by USPS in accordance with the appropriate USPS rules and regulations, 

including USPS Domestic Mail Manual, and Postal Bulletins on Automation-Compatible First-Class 

Domestic Mail Automated and Non-automated mail discount structure in effect at the time of the mailing; 

a) Automation (5-digit); (b)Automation (3-digit); (c) Automation (AADC); (d) Automation (Mixed 

AADC); (e) machinable (Presorted); and (f) machinable (Single Piece). 
SSA 1099/SSA 1042 Page 30 of 40 

Program 826-S 

Addresses on this mailing will come from SSA’s Master Beneficiary Record (MBR). SSA will provide 

the latest Coding Accuracy Support System (CASS) certification and USPS National Change of Address 

(NCOA) move update service for addresses from the MBR. 

Production files for SSA-1099-SM will be sorted by the terminal digit of the ZIP Code (domestic) and 

country (foreign). The Puerto Rico file and the Supplemental file will be in straight ZIP sequence. Files 

for the SSA-1042S-SM will be sorted by straight ZIP Code (domestic) and by country (foreign). The 

Supplemental File will be in straight ZIP sequence (domestic) and by country (foreign). 

When we refer to “the terminal digit of the ZIP Code”, we mean the fifth digit from the left. For example 

in ZIP Code, 21220-4808, the terminal digit would be “0”. Therefore, the contractor will dispatch the 

domestic portion of the mailing, starting with terminal “0” and dispatch subsequent terminal digits in 

numeric order through terminal digit 9. 

Contractor will be required to produce and use a USPS Intelligent Mail Barcode (IMB) Full-service 

option and achieve the maximum postage discounts available with this option. The contractor will be 

required to comply with USPS requirements and place the IMB on all notices/mail pieces of this 

workload. The contractor is required to be capable of achieving the postage discounts available with the 

Full-Service option of the IMB program The Full-Service Option requires the contractor to use Postal 

One.

NOTE: The contractor is responsible for producing and providing all reporting data required for 

acceptance and processing of Full-service mail required by USPS for Intelligent Mail. 

To achieve the maximum automation compatible postal discount, the contractor is required to either 

presort the notices prior to printing or sort the mail after the notices are converted. The contractor may 

use a Presort subcontractor for the mailing portion of the contract. SSA has the right to inspect the 

subcontractor for the security of the mailing operation and compliance with the contract. 

NOTE: Mail addressed to United States territories and possessions (e.g., American Samoa, Federated 

States of Micronesia, Guam, Marshall Islands, Northern Mariana Islands, Palau, Puerto Rico, Virgin 

Islands, Wake Island, and Military Overseas Addresses (APO/FPO mail) is Domestic Mail, not 

International Mail.

Intelligent Mail Barcoding, delivery address placement and construction used for the mailing are among 

the items that must comply with USPS requirements for automation-compatible mail in effect at the time 

of the mailing. 

NATIONAL CHANGE OF ADDRESS (NCOA) AND CODING ACCURACY SUPPORT SYSTEM 

(CASS)

SSA will provide the latest Coding Accuracy Support System (CASS) certification and USPS National 

Change of Address (NCOA) move update service for addresses from the MBR. 

To enable the contractor to achieve Automation Discounts, SSA will furnish a certificate indicating that 

the addresses were matched against USPS-Certified CASS ZIP+4 software. 

The contractor shall use CASS-certified software to enter missing ZIP Code information as appropriate. 

The contractor shall not change any SSA provided ZIP Code information. 

The contractor must generate an Intelligent Mail barcode from the ZIP+4 data on SSA’s files. On all prebarcoded mail pieces, the barcode must contain all ZIP data including the delivery point barcode (5 digit 

ZIP, ZIP+4+2+ a single digit control character). The barcode must be printed in the wide area address 

space of the self-mailer or in the lower right portion of the self-mailer, as prescribed by USPS regulations. 

The barcode data can be found in the vendor record. For the SSA-1099, the barcode will consist of ZIP 

Code data found in Position 1 through 5, Position 11 through 14, and Position 407 through 409. For the 
SSA 1099/SSA 1042 Page 31 of 40 

Program 826-S 

form SSA-1042S, the barcode will consist of ZIP Code data found in Position 1 through 5, Position 11 

through 14, and Position 392 through 394. 

SSA will be giving the contractor three (3) files that contain SOME addresses without ZIP Code 

information: the “DBZ”, SSA-1099-SM-UD”, and “SSA-1042S-SM-U” files. The contractor shall use 

CASS-certified software to enter missing ZIP Code information in those files as appropriate. The 

contractor shall not change any SSA provided ZIP Code information. 

The contractor should be aware that USPS utilizes the Mail Evaluation Readability Look-up Instrument 

(MERLIN) to evaluate barcodes. If MERLIN is in effect in the contractor’s geographic area, the 

contractor must ensure that all barcoded mail meets the new barcode standards. The contractor will be 

responsible for payment of any additional postage resulting from a loss of such discounts due to failure of 

the contractor-generated barcodes to pass the MERLIN test because of inaccuracy or failure to conform to 

USPS specifications. 

INTERNATIONAL MAIL: All international mail must conform to the appropriate regulations in the 

USPS International Mail Manual (IMM), Postal Bulletins, and other USPS rules and regulations in effect 

at the time of mailing. 

Permit imprint may be used for International Mail providing each mailing consists of not less than 200 

pieces. Permit imprint may not be used if the mailing is less than 200 pieces. Instead, the mail must be 

metered and any permit imprint must be covered/concealed by a meter strip. The contractor will be 

reimbursed for the metered postage by submitting a properly completed Postal Service form (or 

equivalent). All meter suppliers will be borne by the contractor. 

If the mailing meets the qualifications for International Priority Airmail (IPA), it should be processed 

through IPA in accordance with postal rules and regulations in effect for USPS IPA at the time of the 

mailing. To maximize postage savings, the contractor shall sort to the IPA Rate Group 1 through 15. 

Pieces not qualifying for the IPA Rate Group Levels of discount shall be prepared at the Worldwide Nonpresorted rate level and any remaining pieces that do not meet IPA qualifications will be sorted by 

individual country rules according to the USPS IMM in effect at the time of the mailing. The contractor is 

required to sort the mail to achieve the maximum postage discounts available with the IPA program. Due 

to heightened security, many foreign postal administrations require complete sender and addressee 

information in roman letters and Arabic numerals on postal items. 

International Mail return addresses must show as the last line of the address UNITED STATES OF 

AMERICA or USA in all capital letters. All International Mail must be endorsed Air Mail/Par Avion as 

described in the USPS IMM. The contractor may use a rubber stamp to meet this requirement. 

PAR AVION and UNITED STATES OF AMERICA must be preprinted or imaged on Forms SSA-1099-

SM-F, SSA-1099-SM-UF, SSA-1042S-SM-SP, SSA-1042S-SM-F and SSA-1042S-SM-U (all forms that 

will be used for International mail). These two items will not be part of the vendor display rules. 

International Mail cannot contain a presort endorsement. 

NOTE: Contractor is cautioned that files for SSA-1099-SM-F, SSA-1042-SM-F and SSA-1042S-SM-U 

will contain mail addressed to United States possessions and territories (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). These destinations are 

domestic, not international, mail. 

SPECIAL MAILING REQUIREMENTS: 

USPS CERTIFIED MAIL:

The domestic Special Notice Option (SNO) mail pieces included in these mailings will be required 

to be mailed using USPS Certified Mail. A receipt showing that the mail was accepted by the Post Office 

is a requirement for SNO mail. The contractor will prepare these mail pieces according to USPS 
SSA 1099/SSA 1042 Page 32 of 40 

Program 826-S 

regulations contained in the Domestic Mail Manual (DMM) under Section 503.3.0, Certified Mail. The 

contractor must place the current Postal Service Form 3800 (20 digit certified number and barcode) on the 

self-mailer.

NOTE: Permit imprint may not be used if the mailing is less than 200 pieces or pieces that are not 

identical. Instead, the mail must be metered. 

USPS INTERNATIONAL REGISTERED MAIL: 

The foreign Special Notice Option (SNO) mail-pieces included in these mailings will be required to be 

mailed using USPS International Registered Mail since Certified Mail cannot be used for foreign 

addresses. A receipt showing that the mail was accepted by the Post Office is a requirement for SNO 

mail. The contractor will prepare these mail-pieces according to USPS regulations contained in the 

International Mail Manual (IMM) under Section 330, Registered Mail. 

Notices associated with the registered mail file shall be processed as international registered mail. The 

contractor must place the current Postal Service Form 3806 (Receipt for Registered Mail) and PS Label 

200 (13 digit registered number and barcode) on the address side of the self mailer. 

NOTE: Permit imprint may not be used if the mailing is less than 200 pieces or pieces that are not 

identical. Instead, the mail must be metered. 

NOTE: For Certified/Registered Mail. The contractor may add printing to the front of the self-mailer 

with Government approval, to meet USPS and production requirements but must not remove/change the 

Government printing required. 

NOTE: The contractor will be reimbursed for the postage costs of certified or registered mail 

by submitting a properly completed Postal Service form (or equivalent). 

MAILING DOCUMENTATION: The contractor shall provide SSA with complete copies of all 

documents, including PS Form 3600R and GPO's Form 712 (Certificate of Conformance), to be used by 

USPS verification and acceptance of mailing (e.g., computer records of presort ZIP+4, barcode 

breakdown, press runs, etc.). PS Form 3600R must include terminal digit for SSA-1099-SM. Copies 

should be provided to SSA’s Division of Printing Management (DPM) within 24 hours of being provided 

to USPS. 

As documentation of day’s mailing is completed, the contractor shall provide SSA’s DPM representative 

with copies of postmarked postal forms (statement of mailing with permit imprint) and other records as 

agreed to during the mail and production meeting. All copies must be legible and both obverse and 

reverse sides are required. Copies of the documentation for each day’s mailing shall be available by 10:00 

a.m. the next workday, for any day representatives are not on-site or otherwise unable to pick up the 

documentation, contractor shall mail the documentation via overnight carrier (at the contractor’s 

expense). Send to SSA, Attn: Matthew Thomas, Division of Printing Management, 1368 Annex Building, 

6401 Security Boulevard, Baltimore, MD 21235-6401. 

Contractor must place the number that is on the top of GPO Form 712 (the number that starts with the 

letter “A”) in space provided on the USPS mailing statements. If there is no space provided on the 

mailing statement, place the number in the upper right margin of the mailing statement. 

On each mailing statement, the Federal Agency Cost Code 276-00033 must be used. 

NOTE: The contractor is required to complete and email to SSA daily an MS excel database/spreadsheet 

for each day of mailing. The database/spreadsheet will have fields for the contractor to fill in. These 

fields will include: Job Title, Jacket Number, Program and Print Order Numbers, as well as the Itemized 

breakdown of the postage computation found on the postal Form PS 3600 R. The contractor will be 
SSA 1099/SSA 1042 Page 33 of 40 

Program 826-S 

required to email the completed database/spreadsheet to matthew.thomas@ssa.gov within 24 hours of 

each mail drop. 

All furnished copies must be sent to SSA, Attn: Matthew Thomas, Division of Printing Management, 

1368 Annex Building, 6401 Security Boulevard, Baltimore, MD 21235-6401. 

All expenses incidental to returning materials, submitting proofs, and furnishing samples 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 print order (GPO Form 2511). 

NOTE: Dates will change according to calendar year and will be provided at each year’s planning 

meeting or with the print order for option years. 

Postaward Conference will take place within five (5) workdays of notification of award. (For each option 

year exercised, the meeting will take place within five (5) workdays of the notification of exercising the 

option year.) 

The print order, manuscript copy, camera copy (recycled logo/legend), copy of IRS Notice 703 (previous 

year), and test files will be provided at Postaward Conference. 

Schedule for Proofs: 

 Submit proofs for SSA-1099-SM and SSA-1042S-SM within 10 workdays after Postaward 

 Conference. 

 The Government will hold proofs for SSA-1099-SM and SSA-1042S-SM for five (5) 

 workdays from receipt at SSA. 

 Submit revised proofs, if necessary, within five (5) workdays after receipt. The Government 

 will hold revised proofs for five (5) workdays from receipt at SSA. 

 Submit proofs for other seven (7) versions (SSA-1099-SM-SP, SSA-1099-SM-F, SSA-1099- 

 SM-UD, SSA-1099-SM-UF, SSA-1042S-SM-SP, SSA-1042S-SM-F and SSA-1042S-SM-U) 

 within 30 workdays after postaward conference. 

The Government will hold proofs (7 versions) for 15 workdays from receipt at SSA. 

 Submit revised proofs, if necessary, within five (5) workdays after receipt. The Government 

 will hold revised proofs for five (5) workdays from receipt at SSA. 

 PDF copy of the IRS Notice 703 will be made available by September 30, 2016. 

 Revised proofs are required for versions using IRS Notice 703. 

 Changes can be made as late as 15 work days prior to production start-up. 

Submit proofs together with copy DIRECTLY to SSA, Attn: Matthew Thomas, Division of Printing 

Management , 1368 Annex Building, 6401 Security Boulevard, Baltimore, MD 21235-6401. Furnished 

proof label must be filled in by the contractor and used on all proof packages. 

 Prior to Production Tests: Prior to receiving wire transmission of live production data files, the 

 contractor will be required to perform the following tests: 

WIRE TRANSMISSION TEST: Within one (1) week after the data connection has been installed, 

and all Security requirements are met the contractor will be required to perform the wire transmission 
SSA 1099/SSA 1042 Page 34 of 40 

Program 826-S 

test. The wire transmission test requires the receipt of data for up to 63,820,000 mailers. (NOTE: 

The wire transmission test will begin after the Government is notified of the availability of the 

system.) 

 12-HOUR PREPRODUCTION PRESS AND MAIL RUN TEST: After the Wire Transmission 

 test has been successfully completed and output approved by SSA, the contractor will be required to 

perform the SSA-1099/SSA-1042S 12-Hour Preproduction Press and Mail Run Test. Contractor 

 must perform the preproduction press and mail run test in a continuous 12-hour period that will prove 

 to the Government representatives that the contractor can satisfactorily complete the requirements of 

 this contract during live production. 

Failure of the contractor to pass the 12 hour test requirements may result in denial of that portion 

of the charges for the failed test.

 

VALIDATION TEST: The contractor shall submit validation samples to SSA electronically via the 

contractor provided secure site. Validation samples must be produced from the validation test file within 

eight (8) workdays after receipt of files. Electronic samples must be complete and include all variable 

data from Government furnished files. The contractor must also submit a small portion of printed 

samples to demonstrate accurate position of text and layout. Systems validation test files will be available 

on or before October 28, 2016. 

The vendor must notify all members with access to the secure site via e-mail once samples have been 

posted. Printed samples are to be shipped to SSA, Attn: Matthew Thomas, Division of Printing 

Management, 1368 Annex Building, 6401 Security Boulevard, Baltimore, MD 21235-6401. 

The Government will approve, conditionally approve, or disapprove, the validation samples within 

twenty (20) workdays after receipt of output. Approval or conditional approval shall not relieve the 

contractor from complying with the specifications and all other terms and conditions of the contract. 

A conditional approval shall state any further action required by the contractor. A notice of disapproval 

shall state the reasons thereof. If necessary, the contractor must submit revised validation samples within 

five (5) workdays after notice. The Government will hold revised samples for five (5) workdays from 

receipt at SSA. 

NOTE: Validation must be approved and completed by December 2, 2016. 

Failure of the contractor to perform any of the prior to production tests satisfactorily may be cause for 

default.

Production Schedule: 

Workday – The term “workday” is defined as Monday through Friday* each week, exclusive of the days 

on which Federal Government holidays are observed. Also excluded are those days on which the 

Government Printing 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, Independence Day, Labor Day, Columbus Day, Veterans Day, 

Thanksgiving Day, and Christmas Day. 

*NOTE: The contractor’s FTMS software shall 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). 

Live production files are transmitted on a daily basis Monday through Friday, except for Federal holidays 

in which case the data will be transmitted on the next day. 
SSA 1099/SSA 1042 Page 35 of 40 

Program 826-S 

NOTE: The first print order for actual production will be issued in December. 

Production files for all versions, except the Supplemental, will be available on or before December 23, 

2016. 

Within two (2) workdays of receipt of production files and before proceeding with any other processing, 

the contractor shall copy files to their own media and provide the Division of Printing Management 

(DPM) with record counts by file for terminal digit “0”. The contractor shall also be required to verify all 

other record counts for the terminal digits and other files on a flow basis before any processing, on or 

before December 28, 2016. DPM will verify and reconcile counts and where applicable, furnish revised 

files.

Production files for the Supplemental version will be available on or before January 19, 2017. 

NOTE: Contractor should not proceed with processing a transmission until counts are verified against the 

task order. If a discrepancy is found, the contractor must call SSA’s Scheduling Helpline immediately at 

410-966-5469. 

PRESS SHEET INSPECTION: The contractor must notify the GPO of the date and time prior to 

production test press run, press sheet inspection of base forms, and conversion inspection can be 

performed. In order for proper arrangements to be made, notification must be given at least three (3) 

workdays prior to the inspection. Notify the U.S. Government Printing Office, Contracting Officer, 

Agency Publishing Service, Team #4, Washington, DC 20401, or telephone (202) 512-0310. Telephone 

calls will only be accepted between the hours of 8 a.m. and 2 p.m., prevailing Washington, DC, time. 

Note: See Contract Clause 14(e)(1), Inspections and Tests of GPO Contract Terms (GPO Publication 

310.2, effective December 1, 1987 (Rev. 6-01)). 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.

AT THE TIME OF EACH SEPARATE PRESS RUN PLEASE PROVIDE 100 NON-IMAGED AND 

100 IMAGED PIECES OF EACH OF THE NINE VERSIONS TO SSA BY AN OVERNIGHT 

COURIER. 

Contractor is required to provide daily production and mailing totals in Microsoft Excel format, including 

holidays and weekends, beginning the next day after first mailing date. The Microsoft Excel file will be 

sent via email to Matthew Thomas (Matthew.Thomas@ssa.gov) and Matt Williams 

(Matt.Williams@ssa.gov) each day until production and mailing is completed. All mailing totals should 

be broken down according to the form used. 

Mailing of the Domestic version is to begin on December 30, 2016, (at the rate of approximately 

3,400,000 mailers per day (Monday through Saturday, including Federal holidays, six days a week). 

Mailing is to be released on the terminal digit sort and based on the last digit of the 5 digit ZIP Codes. 

SSA will prepare a mailing schedule (to be available in late December) that the contractor is required to 

maintain. Contractor is not to accelerate SSA’s provided mail schedule. The SSA-1099-SM mailing 

totals must be broken down by terminal digit. All other mailing totals should be broken down according 

to form used. 

The approximately 915,000 SSA-1099-SM-SP Spanish version copies are to be mailed in equal amounts 

every other mailing day starting January 7, 2017. The mailing of Spanish versions will continue in equal 

amounts through January 25, 2017. 

Mailing of the approximately 339,000 copies of SSA-1099-SM-F; 48,000 copies of SSA-1042S-SM-SP 

and 310,000 copies of SSA-1042S-SM-F foreign versions are to be mailed in equal amounts every other 

mailing day starting January 7, 2017 and ending January 16, 2017 (as required by the SSA mailing 

schedule).
SSA 1099/SSA 1042 Page 36 of 40 

Program 826-S 

Mailing must be completed by January 25, 2017 (midnight). 

NOTE: Dates will change according to calendar year and will be provided at each year’s planning 

meeting or with the print order for option years. 

Unscheduled material such as shipping documents, receipts or instructions, delivery lists, labels, etc., will 

be furnished with each order or shortly thereafter. In the event such information is not received in due 

time, the contractor will not be relieved of any responsibility in meeting the shipping schedule because of 

failure to request such information. 

Upon completion of each order, the contractor is to notify the Government Printing Office of the date of 

shipment (or delivery, if applicable). Call (202) 512-0516 or 0517; callers outside the Washington, D.C. 

area may call toll free 1-800-424-9470 or 9471. 
SSA 1099/SSA 1042 Page 37 of 40 

Program 826-S 

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 the first 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. a. 1 

 b. 1 

 c. 1 

II a. 18 

III a. 1 

 b. 62,800 

IV a. 62,800 

V a. 62,800 

VI a. 21 
SSA 1099/SSA 1042 Page 38 of 40 

Program 826-S 

SECTION 4.- SCHEDULE OF PRICES 

Bids offered are f.o.b. contractor's city. 

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 nonresponsive. 

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) or blank spaces for an item may be declared nonresponsive. 

The Contracting Officer reserves the right to reject any offer that contains prices for individual items of 

production (whether or not such items are included in the Determination of Award) that are inconsistent 

or unrealistic in regard to other prices in the same offer or to GPO prices for the same operation if such 

action would be in the best interest of the Government. 

All vouchers submitted to the GPO shall be based on the most economical method of production. 

Fractional parts of 1,000 will be prorated at the per 1,000 rate. 

I. PREPRODUCTION TESTS: Prices offered must include all costs incurred in performing the (PreProduction Validation Test, Preproduction Press and Mail Run Test, and Wire Transmission Test) as 

specified in these specifications. These costs will cover but are not limited to:machine time, 

personnel, wire transmission, paper, printing, imaging, and any other operations necessary to produce 

the required quantities of the product in the time specified in the contract.

a. Preproduction Validation Test.................................................. $ _________ 

b. Preproduction Press and Mail Run Test ...................................... $ _________ 

c. Wire Transmission Test..........................................................$ _________ 

II. PROCRESSING/PROGRAMMING FILES: The contractor will be allowed only one (1) charge 

per file type for the term of the contract to process and/or format the files supplied necessary to print 

and mail the notices. (Total of 18 files)

a. Processing/Programming Files................................................ per file $__________ 

III. PRINTING/IMAGING/CONVERTING Prices offered must include the cost of all materials and 

operations (including proofs, press samples and stock) necessary for the complete 

printing/imaging/converting of the product listed in accordance with these specifications.

 a. Makeready/Setup Charge .......................................................................$________ 

*Contractor will be allowed only one (1) makeready/setup charge per Order (year). This 

combined charge shall include all materials and operations necessary to makeready and/or setup 

the contractor's equipment for that run. Invoices submitted with more than one makeready/setup 

charge per Order will be disallowed. 

 b. SSA-1099/SSA-1042S Notices (printing, imaging, converting).. per 1,000 notices $____________ 

IV. PAPER: Payment for all paper supplied by the contractor under the terms of these specifications, as 

ordered on the individual print orders, will be based on the net number of leaves furnished for the 
SSA 1099/SSA 1042 Page 39 of 40 

Program 826-S 

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 each unfinished mailer-size leaf. 

 a. White Offset Book (60-lb.) .................................................. ............ per 1,000 leaves $___________ 

V. MAILING: Prices offered must include the cost of all required materials and operations necessary for 

the mailing of the SSA-1099/SSA-1042S. 

 a. SSA-1099/SSA-1042S .....................................................per 1,000 notices $____________

VI. CERITIFIED/REGISTERED MAIL: Prices offered must include the cost of any and all additional 

materials and operations necessary to complete the Certified/Registered mail and provide to USPS. 

a. SSA-1099/SSA-1042S .....................................................per 1,000 notices $____________ 

TYPEFACES: If manufacturer’s generic equivalent typefaces are proposed, the bidder must list on the 

line of the same number as the preferred typeface, the name of the equivalent typeface and composing 

machine to be used. 

Preferred Typefaces: 

1. Century Schoolbook 

2. Palatino

3. Times Roman 

 Manufacturer’s Generic 

 Equivalent Typefaces Name of Composing Machine 

 1.___________________________________ ____________________________________ 

 2.___________________________________ ____________________________________ 

 3.___________________________________ ____________________________________ 

_________________ 

(Initials)
SSA 1099/SSA 1042 Page 40 of 40 

Program 826-S 

INSTRUCTIONS FOR BID SUBMISSION: Fill out "Section 4.-Schedule of Prices", initialing or 

signing each page in the space(s) provided. Submit two copies (original and one exact duplicate) of the 

"Schedule of Prices" with two copies of the GPO Form 910 "Bid" form. Do not enter bid prices on GPO 

Form 910; prices entered in the "Schedule of Prices" will prevail. 

Bidder_______________________________________________________________________________ 

_____________________________________________________________________________________ 

(City - State) 

By__________________________________________________________________________________ 

(Signature and title of person authorized to sign this bid) 

_____________________________________________________________________________________ 

 (Person to be contacted) (Telephone Number) 
EXHIBIT A

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 that 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 Reform 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 civil or criminal prosecution under Federal Regulations.

_________________________________________ __________________

Contractor Date

__________________________________________ __________________

Contractor Employee Date

Form SSA-301 (2-98)
EXHIBIT A (CONT.)

___________________________________________ ___________________

Contractor Employee Date

____________________________________________ ___________________

Contractor Employee Date

____________________________________________ ___________________

Contractor Employee Date

____________________________________________ ___________________

Contractor Employee Date

____________________________________________ ___________________

Contractor Employee Date

____________________________________________ ___________________

Contractor Employee Date

____________________________________________ ___________________

Contractor Employee Date

____________________________________________ ___________________

Contractor Employee Date

____________________________________________ ___________________

Contractor Employee Date

____________________________________________ ___________________

Contractor Employee Date

____________________________________________ ___________________

Contractor Employee Date

Form SSA-301 (2-98)











Exhibit " "






EXHIBIT F

SYSTEM PLAN

TYPE OF PROPOSED MAINFRAME PLATFORM_____________________________

TYPE OF PERSONAL COMPUTER_________________________________________

MEDIA TO BE USED FOR RECEIPT OF FILE TRANSMISSION_________________

FILE STORAGE MEDIUM_________________________________________________

CONNECT:DIRECT 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 G

100% Accountability and Summary Reports

Full Audit report must include the following information (reprints must have the same information):

1. Program Number/Job Name/Print Order/File Date

2. PC#/Sequence numbers/Total Volume

3. Inserter ID and Operator

4. Date of insertion

5. Start and End time

6. Start and End Range (sequence numbers)

7. Total for each Start and End Range

8. Event (i.e. Processed, Spoiled, Diverted and reason: Missing Piece, Unverified, Misread etc.)

9. Status (i.e. Inserted, Routed to Reprint Area, etc.)

10. Totals

a. Machine inserted

b. Sent to Reprint

c. Reprints Recovered

d. Records Accounted For

e. Duplicates

f. Duplicated Verified

g. Records less duplicates

h. Reported Output

i. Variances

Example:

,0%/1%/ !1% 1!/1)+% ,$)+% 1!/1!,'% ,$!,'% -1!*   

,0%/1%/ 05/10/12 10:31:04 AM 11:12:45 AM  

  1!,$!/$/-#%00),' ,0%/1%$

.%/!1-/-% 05/10/12 11:12:50 AM 11:12:50 AM 
  )3%/1%$ -21%$1-%./),1

05/10/12 11:13:10 AM 11:28:06 AM 
 
 	 1!,$!/$/-#%00),' ,0%/1%$

05/10/12 11:28:07 AM 11:28:10 AM 

 
  )3%/1%$*%!3%#-2,12,3%/)&)%$ -21%$1-%./),1

05/10/12 11:29:30 AM 11:29:35 AM 
 
  )3%/1%$+)00),'.)%#% -21%$1-%./),1

05/10/12 11:29:45 AM 11:30:15 AM 
  )3%/1%$+!,2!*),0%/1)-,-&.2" !,2!*#!,

05/10/12 11:30:34 AM 11:40:35 AM 
  )3%/1%$+)0/%!$ !,2!*#!,

,0%/1%/ 05/11/12 8:12:50 AM 8:12:50 AM 
  1!,$!/$/-#%00),' ,0%/1%$

 05/11/12 8:28:07 AM 8:28:10 AM 

 
  1!,$!/$/-#%00),' ,0%/1%$

.%/!1-/2% 05/11/12 8:29:30 AM 8:29:35 AM 
 
  1!,$!/$/-#%00),' ,0%/1%$

	




%./),10%#-3%/%$ 



















TOTALS

%#-/$0##-2,1%$&-/

2.*)#!1%0

2.*)#!1%0 %/)&)%$

%#-/$0%002.*)#!1%0

%.-/1%$21.21

 !/)!,#%

Audit Report

Program 123-S/SSA Notices Name/PO#54001/File Date

PC # and Sequence Numbers and Volume

!#(),%,0%/1%$

%,11-%./),10
Exhibit H (cont’d)

The Summary Report must include the following; Reprints must also have all of the same information:

1. Job Name/Print Order

2. Piece Quantity

3. Sequence number range (Start and End Range)

4. Start date and time

5. End date and time

6. Total Processed Pieces

7. Total Reprints

8. Total Pieces Inserted

9. Total Variances

10. Job Complete or Incomplete

Summary Report

Job Information Operation Information

Job Name: XYZ Notice

PO # 54001 Start Range: 1

Piece Quantity: 35862 End Range 35862

Job Status: Completed

Date Created: 05/10/12 10:29:54

Date Completed: 05/11/12 14:22:34

Statistical Summary

35537 Processed Pieces - Completed 05/10/12

325 Processed Reprints - Completed 05/11/12

35862 Total Pieces Inserted -

0 Variances -

Completed 05/11/12

Job Complete