



Chapter 5 Automation-Compatible Mail

510 General

511 Content
This chapter contains the general eligibility requirements for all
automation-based rate categories, as well as alternative preparation
requirements for certain automation-compatible mailings.

512 Applicability

512.1  General Eligibility Requirements.
This chapter contains the eligibility requirements that are common to the
Postal Service's automated rate categories for First-, second-, and
third-class mail.  These general eligibility requirements fall into four
categories:

a.
requirements concerning the physical characteristics of
automation-compatible mailpieces (see 520);

b.
requirements for accuracy in addresses and ZIP+4 codes, including a
requirement for CASS certification (see 530);

c.
additional requirements for nonbarcoded pieces qualifying for ZIP+4 rates
(see 540); and

d.
additional requirements for barcoded pieces (see 550).

512.2  Specific Eligibility Requirements.
In addition to the general eligibility requirements contained in Chapter 5,
the mailer must also meet all specific eligibility requirements applicable to
the individual rate category.  Eligibility requirements for the individual
automation-based rate categories are stated in 324, 325,
327, and 328 for First-Class Mail; 424.5 and
424.6 for second-class mail; and 628 for third-class mail.

513 Alternative Preparation Requirements
This chapter also contains alternative requirements for the preparation of
automation-compatible letter-size (ZIP+4 and ZIP+4 Barcoded First-, second-,
and third-class) mailings (see 560).  Mailings may be submitted
under the requirements of 560 rather than the corresponding presort
requirements in Chapters 3, 4, and 6.

Note:  The Postal Service intends to eliminate the presort
requirements for ZIP+4 and ZIP+4 Barcoded rate mailings set forth in Chapters
3, 4, and 6 and provide only the presort options in 560 to qualify
for ZIP+4 and ZIP+4 Barcoded rates.  This change will be made by a Federal
Register rulemaking process and published in the Postal Bulletin.
The Postal Service currently anticipates making this change effective in
December 1992.

514 Definitions

514.1 Automation-Based Rates

514.11 ZIP+4 Barcoded Rates.
The ZIP+4 Barcoded rates include the 5-digit ZIP+4 Barcoded, 3-digit ZIP+4
Barcoded, and nonpresorted ZIP+4 Barcoded First-Class rates; the level A, B,
G, H, and J ZIP+4 Barcoded second-class rates; and the 5-digit ZIP+4 Barcoded,
3-digit ZIP+4 Barcoded and Basic ZIP+4 Barcoded third-class rates.

514.12 ZIP+4 Rates.
The ZIP+4 rates include the ZIP+4 Presort and nonpresorted ZIP+4
First-Class rates; the level A, B, G, H, and J ZIP+4 second-class rates; and
the 3/5 ZIP+4 and Basic ZIP+4 third-class rates.

514.2 Presort Rates.
The presort rates include the Presorted First-Class rate; the level A, B,
G, H and J second-class rates; and the basic presort and 3/5 presort
third-class rates.

515 Delivery Point Barcode

515.1 General.
In anticipation of the Postal Service using a delivery point barcode (DPBC)
to walk-sequence mail, mailers are encouraged to use the correct DPBC whenever
possible.  The Postal Service plans, subject to further regulatory action,
to require a DPBC on all letter-size mail submitted for barcoded rates
effective March 21, 1993.

515.2 Description.
A DPBC is formed by adding 10 bars to an existing ZIP+4 barcode.  These 10
bars represent two additional numbers (normally the last two digits of the
primary street number, post office box number, or rural route or highway
contract route box number).  Until a DPBC is mandatory for barcoded rates, a
correct DPBC satisfies all requirements for a ZIP+4 barcode.  In addition, a
correct DPBC satisfies all requirements for a correct ZIP+4 code for pieces
claimed at ZIP+4 rates.

515.3 Numeric Equivalent.
In barcoded mailings only, the numbers corresponding to the POSTNET bars in
a correct DPBC may appear in the delivery address.  When the numeric
equivalent is used, three numbers must be added directly after the ZIP+4 code.
 The first two additional numbers must correspond to the correct address
information specified in 551.12.  The last number must be the
correction digit.  In this instance the correction digit is the number that,
when added to the sum of the other numbers in the 11-digit numeric equivalent,
makes the total a multiple of 10 (see Exhibit 551.1).  *viewer dmm305.pcs*
If read from left to right, a correct DPBC numeric equivalent consists
of five numbers, a hyphen, and seven numbers.





520 General Requirements for All Automation-Compatible Mailpieces

521 Physical Characteristics

521.1 Size

521.11 General

521.111 Pieces Claimed at the First-Class Rate for Cards.
Each piece eligible for the card rates (see 311.1) that is in a
mailing claimed at any automation-based (ZIP+4 or ZIP+4 Barcoded) rate must
meet the size requirements in 311.112, 322,
521.113, and 521.14.  See 525 for further
requirements for cards.

521.112 Pieces Claimed at Rates Other Than the First-Class Rate for Cards.
Each piece not eligible for the card rates (see 311.1) that is in
a mailing claimed at any automation-based (ZIP+4 or ZIP+4 Barcoded rate) must
meet the size requirements in 521.12 through 521.15.

521.113 Definitions.
The length of a mailpiece is the dimension parallel to the address when the
address is positioned for normal reading. The top and bottom of the mailpiece
are the upper and lower edges (respectively) parallel to the address when the
address is positioned for normal reading. The height is the dimension
perpendicular to the length and the address.

521.12 Length.
The length of a mailpiece must be at least 5 inches and not more than
11-1/2 inches.

521.13 Height.
The height of a mailpiece must be at least 3-1/2 inches and not more than
6-1/8 inches.

521.14 Aspect Ratio.
The length of a mailpiece divided by its height must not be less than 1.3
nor more than 2.5.

521.15 Thickness

521.151 Minimum.
A mailpiece must be at least 0.007 inch thick if it does not exceed 4-1/4
inches in height and 6 inches in length. A mailpiece must be at least 0.009
inch thick if it is greater than 4-1/4 inches in height or greater than 6
inches in length, or both.

521.152 Maximum Thickness.
A mailpiece must not be more than 0.25 inch thick.

521.2 Shape.
Each piece in the mailing must be rectangular in shape.

521.3 Weight

521.31 ZIP+4 Rate Mailings.
The weight of each piece in a ZIP+4 rate mailing must not exceed 2.5
ounces.  Exception: A 3-ounce maximum weight applies to nonpresorted ZIP+4
First-Class letter-rate mailings prepared in accordance with 328,
except that the size and weight requirements of 327.31 apply instead
of the requirements in 328.31.

521.32 ZIP+4 Barcoded Rate Mailings.
The weight of each piece in a ZIP+4 Barcoded rate mailing must not exceed
3.0 ounces.

521.4 Prohibitions

521.41 Prohibited Wrapping.
Polywrapped, polybagged, or shrinkwrapped mailpieces are not acceptable in
a mailing claimed at any of the automation-based (ZIP+4 or ZIP+4 Barcoded)
rates.

521.42 Prohibited Closures.
Clasps, staples, string, buttons, or other protrusions that may impede or
damage mail processing equipment or other mail must not be used on mailpieces
in a mailing claimed at any of the automation-based (ZIP+4 or ZIP+4 Barcoded)
rates.

521.5 Tabs, Wafer Seals, Tape, and Glue

521.51 Number and Location.
The number and location of tabs or wafer seals must be as specified in
523 through 525 for the particular type of mailpiece. In all
instances, additional tabs or seals may be used.

521.52 Noninterference

521.521 On the Top Edge.
If placed on the top edge of the mailpiece, tabs or wafer seals must not
interfere with recognition of postage information, rate markings, or the
return address.

521.522 In the Barcode Clear Zone.
If placed in the barcode clear zone, the tab or wafer seal must contain a
paper face meeting the background reflectance criteria of 551.4,
and, if the barcode is not preprinted by the mailer, must meet the
requirements for ability to accept water-based ink specified in 546.

521.53 Adhesion Requirements.
The tabs or wafer seals must have a minimum peel adhesion (shear strength)
value of 15 ounces/inch at a speed of 12 inches/minute after application to a
stainless steel plate. The test is to be conducted 10 minutes after the wafer
seal material has been applied to the plate.

521.54 Cellophane Tape.
Subject to 521.51 through 521.52, cellophane tape is
acceptable for tabs or seal material except within the barcode clear zone.

521.55 Glue.
As an alternative to the use of a tab or wafer seal, the open edge of the
length of the mailpiece may be either continuously glued or spot glued (in the
same manner and location specified for the tab), using a permanent glue or
adhesive.

522 Envelopes and Pieces Sealed on All Sides

522.1 General.
Unless prepared in accordance with the requirements in 523 through
525, each mailpiece in the mailing must be prepared either as a
sealed envelope (the preferred method) or, if unenveloped, must be sealed or
glued on all four sides (edges). Envelopes and other pieces sealed on all four
sides must meet the requirements in 521, 522.2,
526, and 527.

522.2 Basis Weight for Paper Stock.
Envelopes and the outer sheet or sheets forming other types of mailpieces
that are sealed on all four edges must be comprised of paper having a minimum
basis weight of 16 pounds, using a 17- by 22-inch sheet size and 500 sheets.



523 Folded Self-Mailers

523.1 General.
Single or multiple sheets folded into a letter-size self-mailer (i.e., not
prepared under 522) must be prepared in accordance with
521, 523.2, 526, and 527.

523.2 Construction

523.21 Fold.
Folded self-mailers must be prepared so that the fold is parallel with the
longest dimension and the length of the mailpiece (see 521.113).

523.22 Pieces Prepared With One Tab

523.221 Single Sheets.
Self-mailers formed of a single folded sheet and prepared with one tab must
be prepared from paper having a minimum basis weight of either 28 pounds
(using a 17- by 22-inch sheet size and 500 sheets) or 70 pounds (using a 25-
by 38-inch sheet size and 500 sheets).

523.222 Multiple Sheets.
Self-mailers formed of more than one folded sheet and prepared with one tab
must be prepared from paper with a minimum basis weight of 24 pounds (using a
17- by 22-inch sheet size and 500 sheets) or 60 pounds (using a 25- by 38-inch
sheet size and 500 sheets).

523.223 All Pieces Prepared With One Tab.
A folded self-mailer prepared with one tab or wafer seal must have the
folded edge at the bottom of the mailpiece, and the tab or wafer seal must be
placed in the middle of the top edge of the piece. The top and bottom edges
are defined in 521.113.

523.23 Pieces Prepared With Two Tabs.
Folded self-mailers may be prepared from paper with a minimum basis weight
of 20 pounds (using a 17- by 22-inch sheet size and 500 sheets) if the folded
edge of the mailpiece is at either the top or the bottom of the piece and the
open edge along the length of the piece is secured with two tabs or wafer
seals. The top and bottom edges are defined in 521.113. One tab or
wafer seal must be placed within 1 inch of the left edge of the piece, the
other within 1 inch of the right edge of the piece (see Exhibit 523.23).
*viewer dm324a.pcx*

EXHIBIT 523.23
(NOT SHOWN)

DM324A
Exhibit 523.23, Preparation of Folded Self-Mailers]


524 Booklet-Type Mailpieces

524.1 Applicability.
Booklet-type mailpieces that are not prepared under 522 must be
prepared to meet the requirements in 521, 524.2 through
524.4, 526, and 527.

524.2 Basis Weight for Paper Stock.
The front and back covers must be prepared of paper having a minimum basis
weight of 20 pounds, using a 17- by 22-inch sheet size and 500 sheets.

524.3 Orientation of Bound Edge.
The bound edge or spine must be the longest edge of the mailpiece and must
be located at the bottom of the mailpiece parallel to the address (see
521.113).

524.4 Tabs.
The top unbound edge of the mailpiece must be held together by at least two
tabs or wafer seals. One tab or wafer seal must be placed within 1 inch of the
left edge of the mailpiece, and the other within 1 inch of the right edge of
the piece (see Exhibit 524.4). *viewer dm324b.pcx*

EXHIBIT 524.4 PREPARATION OF BOOKLET-TYPE PUBLICATIONS
(NOT SHOWN)

DM324B
Exhibit 524.4, Preparation of Booklet-Type Publications]

525 Cards

525.1 General.
Cards and double postcards must also meet the requirements in
521, 525.2 through 525.4, 526,
527, and (if applicable), 311.1 and 322.

525.2 Basis Weight for Card Stock.
Cards must be printed on paper stock meeting a standard industry basis
weight of 75 pounds or greater, with none less than 71.25 pounds, using a 25-
by 38-inch sheet size and 500 sheets. The paper must be free from groundwood
except when coated with a substance that adds to the paper's ability to resist
an applied bending force.

525.3 Recommendation.
The importance of thickness and stiffness increases as card size increases.
In addition to the requirements of 521.151, it is recommended that
cards exceeding 4-1/4 inches in height or 6 inches in length be produced from
stock with a higher basis weight. Recommended examples follow:

a.
Vellum Bristol with a basis weight of at least 80 pounds (using a 22-1/2-
by 28-1/2-inch sheet size and 500 sheets)

b.
Index stock with a basis weight of at least 90 pounds (using a 25-1/2- by
30-1/2-inch sheet size and 500 sheets).

c.
Offset stock with a basis weight of at least 100 pounds (using a 25- by
38-inch sheet size and 500 sheets).

525.4 Additional Requirements for Double Postcards.
Double postcards that are not prepared under 522 (with all edges
sealed) must be prepared with the folded edge at either the top or bottom edge
of the mailpiece. The open edge of the length of the mailpiece must be secured
with one tab in the middle of the length, unless other means are used as
provided in 521.5. The top and bottom edges are defined in
521.113.

526 Flexibility of Mailpieces

526.1 Ability to Bend.
The mailpiece and its contents must be reasonably flexible to ensure
transport through automated equipment. The mailpiece, including its contents,
must be able to bend easily when subjected to a transport belt tension of 40
pounds around an 11-inch diameter drum.

526.2 Rigid or Odd-Shaped Items.
Pens, pencils, keys, bottle caps, and other rigid items are prohibited
within mailpieces. Reasonably flexible items (e.g., credit cards) are
permissible. Odd-shaped items (e.g., coins and tokens) that meet the
flexibility criteria of 526.1 are permissible within mailpieces if
firmly affixed to part of the contents of the mailpiece and wrapped in the
envelope's other contents so that the shape of the mailpiece is streamlined
for automated processing.

526.3 Testing of Mailpieces for Flexibility

526.31 What to Submit.
Mailers wishing to have mailpieces tested for flexibility under USPS
specifications must submit at least 50 sample pieces and a letter of request.
The letter must describe the mailpiece's contents and construction, the number
of pieces being produced, and the level of preparation (e.g., presort).

526.32 Where to Submit.
Requests for mailpiece testing must be addressed to the Engineering and
Development Center, U.S. Postal Service (for address, see Address List in
Appendices).

526.33 When to Submit.
Requests for testing must be submitted at least 6 weeks before the date of
mailing.

526.34 Testing.
The Engineering and Development Center (EDC) determines whether the sample
mailpiece meets the requirements for flexibility prescribed in
526.1. Approval is granted only if testing shows the sample material
can transport through automated equipment without damage to the equipment or
the mailpiece including its contents.

526.35 Results.
The mailer must be notified in writing of the EDC's test results.  If the
mailpiece is found to meet the requirements of 526.1, the EDC's
letter of approval must include a unique number referring to the specific
piece represented by the samples tested.  The letter must include one or more
of the sample pieces originally submitted by the mailer, and each must bear
the unique number contained in the letter.

526.36 Use of Approval.
The EDC's letter of approval (showing the unique number) serves as evidence
that the mailpiece meets the requirements of 526.1. A copy of that
letter must be an attachment to each mailing statement submitted for mailings
of the tested mailpiece.

526.37 Mailing.
Post offices must accept the EDC's letter as evidence of compliance with
526.1. However, the mailer must be prepared to demonstrate that the
mailpieces presented for mailing are the same as those presented for testing if
requested to do so by the office where the mailpieces are verified prior to
acceptance. In order to expedite acceptance, mailers whose pieces are
questioned in this regard may pay the next higher rate for which their mailings
may qualify and, upon successful completion of an appeal under 133,
may seek a refund as appropriate.

527 Labels and Stickers on the Outside of Mailpieces

527.1 Permanent Labels and Stickers.
Permanent labels and stickers include address labels and other labels and
stickers not designed to be removed or relocated. Such labels and stickers must
be affixed directly to the outside of the mailpiece with permanent adhesive. It
is recommended that a recyclable (e.g., dextrin-based) adhesive be used.

527.2 Relocatable Labels and Stickers Affixed to the Outside of Mailpieces

527.21 Single-Liner Pressure-Sensitive Labels.
For pressure-sensitive address labels and other pressure-sensitive labels or
stickers that are removed from a liner (backing) and affixed directly to the
outside of mailpieces by the mailer prior to mailing, the labels must have a
minimum peel adhesion (shear strength) to stainless steel of 8 ounces/inch.
Pressure sensitive labels provided to mailers by the USPS for purposes of
labeling packages to sortation levels are permissible on the outside of
mailpieces.

527.22 Face Stock/Liner "Sandwich" Labels.
A face stock/liner "sandwich" label (a label attached to a liner that is
attached to the face of the mailpiece) that is manufactured as a unit by the
label manufacturer must have:

a.
a minimum peel adhesion value (shear strength) of 2 ounces/inch for the face
stock with respect to the liner that is attached to the outside of the
mailpiece, and

b.
a minimum peel value of 8 ounces/inch for the face stock label (the label
that is affixed to the liner in 527.22a), when reapplied to stainless
steel.

527.3 Relocatable Labels for Recipient's Use on a Return Mailpiece.
Mailers may provide recipients with relocatable labels for placement on the
outside of response pieces sent back to the mailer. It is recommended that such
labels, whether placed within or on the outside of mailpieces (as allowed in
527.22), have a minimum peel value of 8 ounces/inch when reapplied to
envelope grade paper (16-, 18-, 20-, or 24-pound, each using a 17- by 22-inch
sheet size and 500 sheets).





530 Requirements for Accuracy in Addresses and ZIP+4 Codes

531 Coding Accuracy Support System (CASS) Certification

531.1 Use of CASS

531.11 General

531.111 Definition.
The Coding Accuracy Support System (CASS) is a process designed in
cooperation with the mailing industry to improve the accuracy of ZIP+4 codes,
5-digit ZIP Codes, and carrier route codes, which appear on mailpieces. This
was accomplished by providing to service bureaus, commercial mailers, and
software vendors, a common platform to measure the quality of address matching
software and provide useful diagnostics to correct software deficiencies.

531.112 Requirement.
All mailings claimed at any of the automation-based rates (ZIP+4 or ZIP+4
Barcoded) must be produced from address lists that have been ZIP+4 coded using
CASS certified address matching methods listed in 531.12.  No other
method of matching ZIP+4 codes with addresses may be used to satisfy this
requirement.  Mailers using multiline optical character readers (MLOCRs) to
place ZIP+4 barcodes on mailpieces must also obtain CASS certification for the
address matching software used on their MLOCR equipment.

Note:  CASS certification of delivery point coding software is
currently available on an optional basis.  Wherever CASS ZIP+4 certification is
required, CASS delivery point coding certification satisfies that requirement.
Effective September 1, 1992, the Postal Service plans to eliminate CASS ZIP+4
certification and make CASS delivery point coding certification the only
certification available for verifying the accuracy of ZIP+4 address matching
software.  The Postal Service plans to publish a proposed rule in the
Federal Register for comment to specify the changes in CASS
certification requirements.  Effective March 21, 1993, the Postal Service
plans, subject to further regulatory action, to require the use of a delivery
point barcode (DPBC) on all letter-size mail submitted for barcoded rates.
Concurrent with the implementation of this planned change in the barcode rate
eligibility requirements, the Postal Service plans to require that all mailings
claimed at any letter-size barcoded rate must be prepared using mailing lists
processed with address matching software that is CASS-certified for delivery
point coding capability. In addition, the two-digit add-on logic must use the
primary street number field from the CASS-certified ZIP+4 address matching
process.


531.12 Methods to Obtain ZIP+4 Coding

a.
National Change of Address (NCOA) process.

b.
CASS certified software for ZIP+4 matching.

c.
USPS CD-ROM diskette ZIP+4 coding service.

531.13  CASS Certification of Vendor or User Software and Application

531.131 General.
Any user of address matching software that applies ZIP+4 codes to address
lists for the purpose of obtaining an automation-based rate (ZIP+4 or ZIP+4
Barcoded) must use address matching software that has been CASS certified.
Address matching software used to ZIP+4 code address records must, as part
of its process, return a standardized address to ensure that the ZIP+4 code or
mailer-applied barcode represents the proper depth of code available.  The
original input address, as submitted for coding, may also be returned at the
direction of the mailer/customer.  The CASS certified address matching
software must be used, as applicable, in accordance with 531.132
through 531.135.

531.132 Vendor-Supplied Software With Vendor CASS Certified Software
Configurations.
The address matching software vendor has obtained CASS certification for
specific parameter settings, hereafter referred to as configurations, and the
user is operating that software in the manner prescribed by the vendor and
with the specific parameter settings or configurations for which the vendor
has obtained CASS certification.

531.133 Vendor-Supplied Software With User CASS Certified Software
Configurations.
The address matching software user is using vendor-supplied software in a
configuration for which the software vendor has not obtained CASS
certification, but the user has obtained individual user CASS certification
for that configuration.

531.134 User-Developed Software for Which the User has Obtained CASS
Certification.
The address matching software user has obtained individual user CASS
certification for self-developed address matching software and is using it in
the manner for which it was certified.

531.135 Software Configuration Requirements.
All address lists used to produce mailings for automation-based rates must
be matched and ZIP+4 coded with current CASS-certified software in accordance
with configuration requirements in 531.132 through 531.134.
 Summary output reports or computer-generated facsimile Forms 3553 produced on
or after March 1, 1992, must contain information about the configuration
(specific parameter settings) used when processing the address list on the
CASS-certified address matching software. Also see 532.223a(2).


531.14  Use of Current Information.
When used for ZIP+4 coding or ZIP+4 barcoding, the ZIP+4 matching software
and methods described in 531.11 through 531.13 must have a
valid CASS certification and must use the current Postal Service ZIP+4 file
that has been updated to include all applicable monthly or quarterly change
transaction files.

531.15 Requirement for Verification of 5-Digit ZIP Codes.
All 5-digit ZIP Codes must be verified.  If CASS certified ZIP+4 address
matching software does not include verification and/or assignment of correct
5-digit ZIP Codes, address lists must also be processed using a CASS certified
5-digit address matching software product, and the mailer must provide
documentation (on line C2 of Form 3553, see Exhibit 532.2) *viewer
dm3553.pcx*  to record the use of that process.

531.16 Date of Address List Matching and Coding

531.161 General.
All mailings submitted at automation-based rates must be produced from
address lists matched and ZIP+4 coded with current CASS-certified software and
the current Postal Service ZIP+4 file within 1 year of the mailing date.

531.162 Limited Exception.
To allow for the planned transition to delivery point coding requirements
(see 531.112), a one-time grace period is provided for those mailers
whose normal 12-month address processing anniversary falls from March 1
through September 30, 1992.  Eligible customers may defer reprocessing address
lists to be used for automation-based rate mailings until delivery point
coding software is available, but not later than September 30, 1992.  Those
mailers who have earlier access to software that is CASS-certified for
delivery point coding capability are encouraged to process their address
information as soon as possible.  Mailers whose 12-month list processing cycle
anniversary date falls on or after September 30, 1992, must perform list
processing as scheduled.

531.2 Address Lists

531.21 Definition.
For purposes of this section, a mailing list or address list is the
specific group of names and addresses to which mailpieces in the corresponding
mailing are addressed.

531.22  Requirement for Processing Through CASS Certified Software.
Each mailing list used to produce a mailing claimed at an automation-based
rate must independently meet the requirements of 530.  Whether the
addresses used in a mailing are obtained from a single list or from two or
more lists (either whole lists or a portion of the lists, i.e., extracts),
each list used must have been matched and ZIP+4 coded using current CASS
certified address matching software and the current Postal Service ZIP+4 file.

532 Required Documentation

532.1 General.
Each mailing submitted at an automation-based (ZIP+4 or ZIP+4 Barcoded)
rate must be accompanied by documentation as described in 532.2
through 532.3.

532.2 Description of Required Documentation

EXHIBIT 532.2 FORM 3553
(NOT SHOWN)

DM3553
Exhibit 532.2, Form 3553]

532.21  Form 3553 Requirements.
Mailers must submit a completed Form 3553 (see Exhibit 532.2) *viewer
dm3553.pcx*  with each mailing claimed at an automation-based rate.
Either the original of the Postal Service form or a computer-generated
facsimile may be used.  A facsimile Form 3553 must contain the required data
elements in essentially the same format as the Postal Service form.
Information on Form 3553 must pertain only to the address list used to produce
the mailing with which it is presented.

532.22 Summary Output Information

532.221 Description.
Information on Form 3553 is taken from the summary output report generated
as an output of the computer process by which address lists are matched and
ZIP+4 coded using CASS certified software.  The summary output information may
also be computer-generated as a facsimile Form 3553.

532.222 Users of ZIP+4 Address Matching Software Which Does Not Verify
and/or Assign Accurate 5-Digit ZIP Codes.
If the ZIP+4 address matching software used produces ZIP+4 codes without
verifying and/or assigning correct 5-digit ZIP Codes, the address list must
also be processed using a CASS certified 5-digit ZIP Code address matching
software product and additional summary output information must be generated
to provide evidence of the accuracy of the 5-digit portion of the ZIP+4 codes.
 The information concerning the accuracy of ZIP+4 codes and 5-digit ZIP Codes
may be presented on one Form 3553 by entering the ZIP+4 code information on
line C1 and the 5-digit ZIP Code information on line C2.

532.223  Required Information.
Summary output reports or computer-generated facsimile Forms 3553 must
contain the following information:

a.
The CASS certified company name as it appears on the CASS certificate and

(1)
the name and version of the software that received CASS certification, and

(2)
the configuration (specific parameter settings) of the software used when
processing the address list.  (Mailers are not required to provide this
information until on or after March 1, 1992, as their address lists again
become due for matching and coding under the 1-year requirement in
531.16.)  Also see 532.32 and 532.33.

b.
The list processor's name, i.e., the name of the entity that used the CASS
certified software to match and ZIP+4 code the address list and

(1)
the date the address list was processed (i.e., the date the list was coded
using the matching software),

(2)
the date of the Postal Service ZIP+4 database used to code the address list,

(3)
the address list name or identification number (ID#),

(4)
the total number of address records on the list submitted for coding,

(5)
the total number of address records successfully ZIP+4 coded to the
appropriate depth of code as required by 534.2,

(6)
the percentage of total addresses submitted for coding that were
successfully ZIP+4 coded during this process, and

(7)
the number of addresses successfully coded with correct 5-digit ZIP Codes,
if separate verification of 5-digit ZIP Codes was required by 531.15.

c.
The number of addresses successfully coded with correct 5-digit ZIP Codes
if the software produces ZIP+4 codes without verifying and/or assigning
correct 5-digit ZIP Codes (see 532.222).

532.224  Optional Contents.
In addition to the information required by 532.223, summary
output reports should contain:
a.
The number of addresses successfully coded with correct 5-digit ZIP Codes,
if the software produces ZIP+4 codes and verifies and/or assigns correct
5-digit ZIP Codes (see 532.222).

b.
The number of addresses successfully coded with correct carrier route codes
if the address list is also being coded with carrier route codes for a mailing
claimed at the carrier route presort level rates.

532.23  Form 3553 Information.
Form 3553 can be used to show summary output information for either a
single address list or to consolidate summary output information from multiple
address lists combined to produce a single mailing.  Figures on Form 3553 need
not match total mailpiece figures on the corresponding mailing statement.
Normal address list editing and maintenance practices, as well as using
extracts from single or multiple lists, can cause volume totals to differ.

532.3 Submission and Retention Requirements

532.31 General Rule.
One completed Form 3553 must be submitted with each automation-based rate
mailing.

532.32 Mailings Produced From a Single Address List

532.321 Single Form 3553.
When mailings are produced from a single address list, whether the whole
list (all addresses) or a portion (extract) is used, mailers must submit one
Form 3553 (along with previously required documentation) reflecting the
summary output information for the entire list that was obtained when the list
was coded using CASS certified address matching software.

532.322 Reporting Accurate 5-Digit ZIP Codes.
If the software produces ZIP+4 codes without verifying and/or assigning
correct 5-digit ZIP Codes, the Form 3553 (in section C2) must also contain
information concerning the accuracy of the 5-digit ZIP Codes as required in
531.15 and 532.222.

532.323 Computer-Generated Form 3553.
When address lists are coded on or after March 1, 1992, with
vendor-supplied address matching software that is CASS-certified for specific
parameter settings, known as configurations, a computer-generated facsimile
Form 3553 (which indicates the configuration used on the last line of section
A) must be generated and submitted with the mailing.  When the same address
list is used to make multiple or subsequent mailings (within 1 year of the
date the list was matched and coded) from that same single list, either an
original or a copy of the computer-generated Form 3553 must be submitted with
the mailing.

532.324 Retention.
Summary output information and/or computer-generated facsimile Forms 3553,
which support the entries on the submitted Form 3553,  must be retained by the
mailer or the mailer's agent for a period of 1 year from the date of mailing.
This information is subject to Postal Service audit upon 24-hour notice.

532.33 Mailings Produced From Multiple Address Lists

532.331 Single Form 3553.
When mailings are produced from multiple address lists, the mailer must:

a.
Present one consolidated Form 3553 summarizing the individual summary
output and/or facsimile Form 3553 information for each address list used
(along with previously required documentation), or

b.
Combine the addresses selected from the multiple lists into a single new
list, reprocess them using CASS certified address matching software, and
submit one Form 3553 for the summary output information obtained through that
process.

532.332 Reporting Accurate 5-Digit ZIP Codes.
If the ZIP+4 address matching software produces ZIP+4 codes without
verifying and/or assigning correct 5-digit ZIP Codes, the Form 3553 (on line
C2) must also contain information concerning the accuracy of the 5-digit ZIP
Codes as required in 531.15 and 532.222.

532.333 Computer-Generated Form 3553.
When address lists are coded on or after March 1, 1992, with
vendor-supplied address matching software that is CASS-certified for specific
parameter settings, known as configurations, a computer-generated facsimile of
Form 3553 (which indicates the configuration used on the last line of section
A) must be generated by the address matching software used to code each list
to support the entries on the consolidated Form 3553.

532.334  Retention.
Summary output information and/or computer-generated facsimile Forms 3553,
which were combined to provide a consolidated Form 3553, must be retained by
the mailer or the mailer's agent for a period of 1 year from the date of
mailing and are subject to Postal Service audit upon 24-hour notice.

532.4  CASS Certificate.
If the name of the CASS certified company (entered on the first line of
section A1 or A2 on Form 3553) does not appear on the list published
semiannually by the Postal Service, a copy of the CASS certificate for the
software used must also be submitted with the mailing.

533 How to Obtain CASS Certification
To obtain information on requirements and arrange for testing of ZIP+4 or
delivery point address matching software, a mailer must contact the National
Address Information Center by calling (toll-free) 1-800-238-3150 (in
Tennessee, 1-800-233-0453), or by writing to CASS/ZIP+4 Matching, National
Address Information Center, U.S. Postal Service (for address, see Address List
in Appendices).

534 Requirements for an Accurate Address

534.1 Basic Requirements.
To qualify for automation-based rates, addresses must be sufficiently
complete to enable matching to the current Postal Service ZIP+4 file when
using current CASS certified address matching software as specified in
534.2.  Standardization of addresses is not required for ZIP+4
Barcoded rate mail, but mail with only a numeric ZIP+4 code entered at ZIP+4
rates must bear addresses prepared in a standardized addressing format as
shown in Exhibit 122.33. *viewer dmm125.pcx*   To enhance delivery,
mailers are urged to use complete and standardized addresses, as defined in
122.9, on all pieces in mailings submitted at any ZIP+4 or ZIP+4
Barcoded rate.

534.2  Depth of Code Quality

534.21  Firm Names.
All addresses must include firm names when they are necessary to obtain a
match with the finest level of ZIP+4 code in the Postal Service ZIP+4 file.
If an address contains a firm name that has been assigned a unique ZIP+4 code
in the Postal Service ZIP+4 file, the unique ZIP+4 code must be used.  If the
firm name is not one that has been assigned a unique ZIP+4 code in the Postal
Service ZIP+4 file and the apartment/suite number is included in the address,
the ZIP+4 code for the range in which the apartment/suite number appears must
be used in that address.  If the firm name does not correspond to a firm name
that has a unique ZIP+4 code assigned in the Postal Service ZIP+4 file and the
apartment/suite number is not included in the address, the ZIP+4 code for the
building must be used.

534.22 Street Number, Predirectional, Street Name, Suffix, and
Postdirectional.
Addresses must include the correct street number, predirectional, street
name, suffix, and postdirectional that are input to obtain a match with the
current Postal Service ZIP+4 file.

534.23 Secondary Address Designator Information

534.231 Information Available.
If secondary address designators (e.g., apartment, suite, room) exist, it
is strongly recommended that they be included in the address.  If the
apartment number is shown in the address, the mailpiece must bear the
appropriate ZIP+4 code representing the range for that secondary address as
contained in the current Postal Service ZIP+4 file.

534.232 Information Not Available.
If a secondary address designator is required to obtain an exact match with
the finest level of ZIP+4 code in the Postal Service ZIP+4 file but the
information is not available, the alternative ZIP+4 code or ZIP+4 barcode for
the building must be used.

534.233 Recommendation.
To enhance delivery, mailers are urged to include secondary address
designators in the address even if they are not contained in the Postal
Service ZIP+4 file for that street address and even though they are not needed
to obtain a match with the finest level of ZIP+4 code.

Note:  The Postal Service is currently testing corrective approaches
to make it possible for mailers to obtain secondary address designators
whenever they are required to achieve a match with the finest level of ZIP+4
code in the Postal Service ZIP+4 file. Pending evaluation of the effectiveness
of these efforts, implementation of mandatory secondary address designators
(apartment/suite numbers, etc.) has been postponed until at least September
1993.

534.24 Rural Routes and Highway Contract Routes

534.241 Use of Box Numbers.
Where rural and highway contract route box numbers exist, it is strongly
recommended that they be included in the address.  If a box number is included
in the address, the mailpiece must bear the appropriate ZIP+4 code
representing the range for that box number as contained in the current Postal
Service ZIP+4 file.

534.242 Placement.
When used, the rural route or highway contract route box number must be
placed on the line immediately above the city/state/ZIP Code line.

534.243 Recommendation.
To enhance delivery, mailers are urged to include box numbers for rural
routes and highway contract routes in the address even if they are not
contained in the Postal Service ZIP+4 file for that route and even though they
are not needed to obtain a match with the finest level of ZIP+4 code.

534.244 Information Not Available.
When a rural route or highway contract route box number is required to
obtain a match with the finest level of ZIP+4 code but is not available, the
alternative ZIP+4 code or ZIP+4 barcode for the rural route or highway
contract route must be used.

534.25 Post Office Box Numbers.
Post office box number addresses must contain a post office box number that
can be exactly matched with the Postal Service ZIP+4 file currently in effect.

534.26 City and State Names.
It is strongly recommended that only approved last line (city and state)
names as described in the Postal Service city/state file be used.  City names
with codes 1 through 5 in the current ZIP+4 file are preferred, although city
names with a code 9 in the city/state file are also accepted.  If
abbreviations for city or state names are used, they should be those shown in
the current Postal Service city/state file.

534.3 Format of Numeric ZIP+4 Code.
A numeric ZIP+4 code must consist of five numbers, a hyphen, and four
numbers and, when printed on a mailpiece claimed at a ZIP+4 rate, must meet
the requirements of 542.4.

535 ZIP+4 Database Products

535.1 Descriptions.
The following ZIP+4 products may be ordered from the Postal Service:

a.
ZIP+4 Database Tape and Quarterly Cumulative Updates, which contain a
master copy of the ZIP+4 database plus quarterly updates of all add, change,
or delete actions that have occurred within the database since the last
release date.

b.
ZIP+4 Database Tape and Monthly Transactions, which contain a master copy
of the ZIP+4 data-base plus monthly updates of all add, change, or delete
actions that have occurred within the database since the last release date.

c.
Technical Guide, which is a hard copy (paper) document that provides data
formats and field definitions of the records in ZIP+4 products. The guide
automatically accompanies any ZIP+4 product ordered, but may also be ordered
separately for informational purposes.

535.2 Ordering ZIP+4 Database Tape Products

535.21 Availability.
The products in 535.1a and 535.1b are available for the
entire nation or for individual states. For information on charges, call
1-800-238-3150 or, in Tennessee, 1-800-233-0453.

535.22 Where to Order.
The products in 535.1 may be obtained by sending a written request
and appropriate payment to:

ZIP+4 PRODUCT ORDER
NATIONAL ADDRESS INFORMATION CENTER
6060 PRIMACY PKY STE 101
MEMPHIS TN 38188-0008

535.23 Content of Request.
In the written request, mailers must specify the name of the tape product
desired and either the specific states for which information is desired or
that the national tape is requested. The request must specify the following
required characteristics:


1600 BPI or 6250 BPI
9 track
ASCII or EBCDIC
Reel or Cartridge at 38K BPI


540 Requirements for Nonbarcoded Pieces Qualifying for ZIP+4 Rates

541 General

541.1 Applicability.
The requirements in 542 through 546 apply to all pieces
claimed at a ZIP+4 rate except those on which the requirement for ZIP+4 code
has been met by a ZIP+4 barcode on the mailpiece in accordance with the
requirements of 550.

541.2 Address Content and Standardized Address Format.
An accurate address, as prescribed in 534, is required on each
piece of mail claimed at any ZIP+4 or ZIP+4 Barcoded rate.  In addition, all
addresses on non-ZIP+4 barcoded mail claimed at a ZIP+4 rate must contain
addresses with sufficient address elements, as described in 534, to
enable matching to the current Postal Service ZIP+4 file when using current
CASS certified software, and all addresses must be in a standardized
addressing format as described in 122.93 and Exhibit 122.33.
*viewer dmm125.pcx*   Use of complete and fully standardized
addresses, as specified in 122.9, is strongly recommended.

542 OCR Readability

542.1 OCR Read Area.
The OCR read area (see Exhibit 542.1) *viewer dm324c.pcx*  is a
rectangular area on the address side of the mailpiece formed by the following
boundaries:

a. Left.
1/2 inch from the left edge of the mailpiece.

b. Right.
1/2 inch from the right edge of the mailpiece.

c. Bottom.
5/8 inch from the bottom edge of the mailpiece.

d. Top.
2-3/4 inches from the bottom edge of the mailpiece.

EXHIBIT 542.1 OCR READ AREA
(NOT SHOWN)

DM324C
Exhibit 542.1, OCR Read Area and Barcode Clear Zone]

542.2 Placement of Address.
All delivery address lines on each piece in the mailing must be contained
within the OCR read area defined in 542.1. For purposes of this
section, delivery address lines include apartment or other secondary address
unit numbers, house or building numbers, street, rural route number, highway
contract route number, box number, city, state and ZIP Code. A uniform left
margin must be maintained for the name, and address information.

542.3 Limits for Nonaddress Printing in OCR Read Area

542.31 Nonaddress Printing or Markings.
There must be no markings, printing, or die cuts (except for the edges of
address windows prepared in accordance with 543) in the OCR read
area defined in 542.1 on either side of, or below, any of the
delivery address lines.  Nonaddress printing or markings may appear within the
OCR read area defined in 542.1 only if positioned above the delivery
address lines.  This requirement also applies to addresses printed on inserts
in window envelopes. For purposes of this section, delivery address lines
include the apartment or other secondary address unit numbers, house or
building numbers, street, rural route number, highway contract route number,
box number, city, state, and ZIP Code.  For purposes of this section, address
lines exclude the name of the recipient, firm name, building name, and
optional lines above the name of recipient line such as keylines and optional
endorsement lines.

542.32 Return Addresses.
Return address information must not appear within the OCR read area (as
defined in 542.1) and, when a return address appears on the front of
a mailpiece, it must appear in the top left corner of the mailpiece, and
extend no further than half of the length of the mailpiece to the right edge
and no lower than one-third of the height of the mailpiece from the top (see
Exhibit 542.32). *viewer dm324d.pcx*

EXHIBIT 542.32 PLACEMENT OF RETURN ADDRESS
(NOT SHOWN)

DM324D
Exhibit 542.32, Placement of Return Address]

542.4 Optical Character Reader (OCR) Readable Type

542.41 Type Fonts.
A type font readable by USPS optical character reader (OCR) equipment is
required for addresses on each piece in the mailing. Block style typewriter
and line printer type are normally OCR-readable.  Type fonts listed in
Exhibit 542.41 are considered OCR-readable if used as specified in
542.42 through 542.48. (The list in Exhibit 542.41
does not include all acceptable styles of type.)  Italic, script, artistic,
cyrillic, highly stylized fonts, and dot matrix characters with matrix
elements separated by 0.005 inch or more are not considered OCR-readable.

EXHIBIT 542.41 OCR READABLE TYPE FONTS





The type styles in the left column have been tested on Postal Service optical
character readers (OCRs) and verified to have a high degree of readability.
The styles in the right column have not been tested but are considered to be
equivalent typefaces according to the National Composition Association book
Typeface Analogue by W.F. Wheatley.



Tested and VerifiedSimilar Styles

Century Light SchoolbookCentury
Elite
Fritz Quadrata
Futura MediumAirport
Alphatura
Contempra
Future
Photura
Sparta
Stylon
Techica
Techno
Tempo
Twentieth Century
Vogue
HeliosAkzidenz-Grotesk Buch
Helios LightAristocrat
HelveticaClaro
Helvetica LightEuropa Grotesk
Helvetica RegularGeneva
Honeywell H200
IBM 1403
IBM 1428
Koronna RegularAquarius
Corona
Crown
Koronna
News No. 3
News No. 5
News No. 6
Nimbus
Royal
Manifold 72
Megaron BoldHamilton
Megaron MediumNewton

Tested and VerifiedSimilar Styles

News GothicAlpha Gothic
Trade GothicClassified News
Newtext Regular Condensed
OCR-A
OCR-B
OptimaAthena
Chelmsford
Musica
October
Omega
Optimist
Oracle
Roma
Theme
Zenith
Pica
Standard Typewriter
Stymie MediumAlexandria
Beton
Cairo
Karnak
Memphis
Pyramid
Rockwell
TriumverateSonoman Sanserif
Triumverate BoldSpectra
Triumverate RegularVega
UniversAlphavers
Univers 5Eterna
Univers MediumGalaxy
Kosmos
Versatile
Universal

Exhibit 542.41, OCR Readable Type Fonts]



542.42 Machine-Printed Addresses Required.
All lines of the delivery address must be machine-printed; also see
542.45 and 542.46.

542.43 Print Quality.
A high degree of print quality must be maintained. Mailpieces bearing
printing that is smudged or faded, or that contains either voids within
character strokes or extraneous ink outside of character boundaries, are not
acceptable at ZIP+4 rates.

542.44 Characters

542.441 Character Height.
The height of address characters must be no less than 80 mils (0.08 inch)
nor more than 200 mils (0.2 inch); 1 mil=0.001 inch.

542.442 Character Stroke Width.
The width of address character strokes must be uniform and neither less
than 10 mils (3/4 point) nor more than 30 mils (2 points).

542.443 Character Height to Width Ratio.
The height of address characters divided by their width must fall between
1.1 and 1.7. A mid-range height to width ratio of about 1.4 to 1 is
recommended (the height divided by the width is 1.4).

542.444 Character Style.
Ten or twelve point plain style type is recommended. (A point equals 0.0138
inch.) Upper and lower case letters are permissible provided each meets the
requirements of this section.

542.45 Use of Different Type Styles.
Use of different type styles within the same line of an address is not
permissible. However, different lines of the address may be printed using
different type styles. It is recommended that all lines and characters in the
address be printed with the same type style.

542.46 Use of Upper/Lower Case or Large/Small Capitals.
It is recommended that addresses be printed in all upper case letters. Use
of upper and lower case letters in addresses is permissible, as is the use of
large and small capital letters within addresses, provided, within an address
line, the same type style is used as required by 542.45.

542.47 Spacing Requirements

542.471 Space Between Characters.
A clear vertical column of at least 10 mils (3/4/ point) and no more than
40 mils (3 points) must exist between each character of the address.
Proportional spacing is permissible within these guidelines. Kerning (i.e.,
the overlapping or nesting of characters) is not permissible.

542.472 Space Between Words.
A clear vertical space, neither less than the width of one full "em"
character (e.g., capital M) nor more than the width of five full characters,
must exist between words of the address. (This includes spacing between the
state abbreviation and the ZIP+4 code.) Proportional spacing is permissible
within these guidelines.

542.473 Space Between Lines of the Address.
Spacing between lines of the address must be uniform and neither less than
30 mils (2 points) nor more than the height of two full characters (i.e., 400
mils or 29 points).

542.48 Skew of Address Lines.
The lines of the address must not be skewed (slanted) more than 5 degrees
relative to the bottom edge of the mailpiece.

543 Reflectance Requirements for Address Area

543.1 Area Subject to Reflectance Requirements.
The portion of the OCR read area (as defined in 542.311) that is
on either side of and below the delivery address lines must meet the
requirements in 543.2 through 543.3. This requirement
applies to all pieces in the mailing.

543.2 Background Reflectance.
Within the area defined in 543.1, the material on which the
delivery address is to appear (envelope, card, insert material, or outermost
sheet) must produce a background reflectance of at least 50% in the red and
45% in the green portions of the optical spectrum when measured with a Postal
Service or USPS-licensed envelope reflectance meter. (White and pastel colors
generally satisfy this requirement.)

543.3 Print Contrast Ratio

543.31 Definition.
The print contrast ratio (PCR) represents the contrast between the ink used
in the address and the background of the mailpiece.

543.32 Required Ratio.
A print contrast ratio greater than or equal to 40% in both the red and
green portions of the optical spectrum is required. If glassine windows are
used, the print contrast ratio must be greater than or equal to 45%.

543.33 How the Print Contrast Ratio is Determined.
The print contrast ratio is determined in the following manner using a
Postal Service or USPS-licensed envelope reflectance meter:


PCR equals:  Reflectance of the background minus Reflectance of the
ink divided by Reflectance of the background multiplied by 100.  The product
is expressed as a percentage.


Note:  This requirement is generally satisfied by using black or dark
blue ink on a white background. Other color combinations should be measured to
ensure compliance with the minimum print contrast ratio.

543.34 Opacity.
Envelope material, insert material as viewed through an envelope window, or
the outermost sheet of a mailpiece, as applicable, must have sufficient
opacity to prevent nonaddress printing from "showing through" to the extent
that it interferes with postal equipment that reads the barcode.  The print
contrast ratio of print (other than the barcode) that shows through the
barcode clear zone or the barcode area in the address block must not exceed
15% when measured in the red and green spectra.

543.35 Dark Fibers and Background Patterns.
The material on which the delivery address is to appear (envelope, card,
insert material, or outermost sheet) must not contain dark fibers or
background patterns (e.g., checks, etc.) that produce a print contrast ratio
of more than 15% when measured in the red and green spectra. If material on
which the delivery address is to appear is printed in a "halftone screen," it
must not contain fewer than 200 lines per inch (dot size) or be printed with
more than a 20% screen.

544 Additional Requirements for Envelopes With Address Windows and Address
Inserts

544.1 Clear Space.
A clear space of at least 1/8 inch is required between the address block
and the top, bottom, and side edges of the address window. This clear space
must remain even when the insert is moved to its full limits in each direction
within the envelope. The bottom edge of the address window must not extend
more than 1/8 inch into the barcode clear zone (see 545).

544.2 Window Cover Material

544.21 Type of Material.
Address windows, if covered, must be covered with a nontinted clear or
transparent material. The recommended window cover material is cellophane or
polystyrene.

544.22 Glassine.
Although glassine is a permissible address window cover, it is somewhat
opaque and a higher print contrast ratio is needed to assure OCR readability
of the address through this material. Therefore, glassine may be used for
window cover material only if the address information measured through the
glassine meets a print contrast ratio of 45% when measured as described in
543.3.

544.23 Attachment.
All edges of the window covering material must be glued securely to the
envelope.

544.3 Print Contrast Ratio.
As viewed through the window material, the address must meet the minimum
print contrast ratios described in 543.

545 Barcode Clear Zone

545.1 Requirement.
Each piece in the mailing must contain a barcode clear zone.

545.2 Dimensions.
The barcode clear zone (see Exhibit 542.1) *viewer dm324c.pcx*
is a rectangular area formed inside the following boundaries on the mailpiece:

a.  Left.
4-1/2 inches from the right edge.

b.  Right.
Right edge.

c. Bottom.
Bottom edge.

d. Top.
5/8 inch from bottom edge.

545.3 Reflectance.
The barcode clear zone is subject to the reflectance requirements in
551.4.

545.4 What May Appear in the Barcode Clear Zone.
Except for a barcode that has been properly prepared in accordance with
550, no printing, markings, tabs, or wafer seals may appear in the
barcode clear zone, unless they meet the requirements of 551.4.

545.5 Address Windows.
The bottom edge of an address window must be at least 1/2 inch from the
bottom edge of the envelope. See 521.52 for additional requirements
concerning tabs or wafer seals in the barcode clear zone.

545.6 Notice of Impact of Advanced Barcode System.
Upon deployment of the Advanced Bar Code (ABC) system, the Postal Service
plans to move the barcode clear zone and read area 1/4 inch farther to the
left for those mailers printing barcodes in the lower right corner of the
mailpiece.  At that time, the barcode clear zone will extend 4-3/4 inches from
the right edge of the mailpiece, and the leftmost bar of the barcode will have
to begin between 4-1/4 and 3-1/2 inches from the right edge of the mailpiece.

545.7  Barcode Windows in Lower Right Corner.
Pieces prepared with barcode windows through which either a 5-digit barcode
or no barcode appears are not eligible for any automation-based rates (see
552.32).

546 Ability to Accept USPS Water-Based Barcode Ink

546.1 General Requirement.
The paper or other material used for the envelope or outermost sheet of the
address side of mailpieces claimed at a ZIP+4 rate must allow USPS ink jet
printers used with optical character reader (OCR) equipment to print a ZIP+4
barcode on the piece without smearing.

546.2 Drying Time.
The paper or other material must allow water-based ink applied by ink jet
to dry within 1 second without smearing.

546.3 Nonpaper Materials.
Certain nonpaper, plastic-like materials, such as spun bonded Olefin, are
not acceptable for mailpieces claimed at a ZIP+4 rate because they do not
allow water-based USPS ink jet applied barcode ink to dry without smearing.
Nonpaper materials are acceptable for mailpieces claimed at a ZIP+4 rate only
if that material is approved by the Postal Service Engineering and Development
Center (EDC) (see 546.5).

546.4 Glossy and Coated Paper.
Coatings applied to paper, particularly glossy coatings, may prevent quick
drying of the water-based ink used by USPS ink jet printer to apply barcodes.
Glossy and coated paper may be sent for testing by the EDC (see
546.5).

546.5 Material Testing Procedures

546.51 What to Submit.
Mailers wishing to have material tested to determine its ability to accept
ink without smearing as specified in 546.1 through 546.2
must submit at least 50 sample mailpieces and a letter of request. To assist
the EDC in evaluating the sample material in the context of its intended use,
the letter must describe the material to be used for producing the mailpieces,
including type of mailpiece and its contents and construction, number of
pieces, and intended level of mail preparation (e.g., presort).

546.52 Where to Submit.
Requests for testing must be sent to the Engineering and Development
Center, U.S. Postal Service (for address, see Address List in
Appendices).

546.53 When to Submit.
Requests for testing must be submitted at least 6 weeks prior to the date
of mailing.

546.54 Testing.
The EDC determines  whether the material used in the sample mailpiece meets
the requirements prescribed in 546.1 through 546.4.
Approval is granted only if testing shows that the material can allow
water-based USPS ink jet applied ink to dry within 1 second.

546.55 Results.
The mailer must receive written notification of the EDC's test results. If
the mailpiece is found to meet the requirements of 546.1 through
546.4, the EDC's letter of approval must include a unique number
referring to the specific mailpiece represented by the samples tested. The
letter must include one or more of the sample pieces originally submitted by
the mailer, and each must bear the unique number contained in the letter.

546.56 Use of Approval.
The EDC's letter of approval (showing the unique number) serves as evidence
that the material meets the requirements of 546.1 through
546.4. A copy of that letter must be an attachment to each mailing
statement submitted for mailings using the tested material.

546.57 Mailing.
Post offices must accept the EDC's letter as evidence of compliance with
546.1 through 546.4. However, the mailer must be prepared
to demonstrate that the mailpieces presented for mailing are the same as those
described in the letter requesting EDC testing if directed by the office where
the pieces are verified before acceptance.  To expedite acceptance, mailers
whose pieces are questioned in this regard may pay the next higher rate for
which their mailings may qualify and, upon successful completion of an appeal
under 133, may seek a refund as appropriate.

550 Requirements for Barcoded Pieces

551 ZIP+4 Barcode Requirements

551.1 Barcode Format

551.11 ZIP+4 Barcode Format.
A ZIP+4 barcode is made up of a single field of 52 bars. The information
content of the barcode is distinguished by the height of the bars, either tall
(full) or short (half) bars, which represent a "one" or a "zero" to a USPS
barcode sorter. These bars, when separated into groups of 5, represent each of
the 9 digits of a ZIP+4 code, plus a tenth digit designated as the "correction
digit." The first and last bars of the barcode are "frame bars" and must
always be full bars (see Exhibit 551.1). *viewer dmm305.pcx*  The
sequence of bars must represent the ZIP+4 code (including the appropriate
correction character) in the address of the piece, according to the code
defined in Exhibit 551.1. *viewer dmm305.pcx*

Exhibit 551.1 ZIP+4 BARCODE
(NOT SHOWN)

DMM305
Exhibit 551.1,  ZIP+4 Barcode
DMM547
Exhibit 551.122, Delivery Point Barcode]

551.12 Delivery Point Barcode Format

551.121 Unique 5-Digit ZIP Code.
The correct delivery point barcode (DPBC) for a customer assigned a unique
5-digit ZIP Code represents the addition of either the Postal Service-assigned
-0001 to the unique 5-digit ZIP Code (or, if the customer has assigned 4-digit
add-ons to internal separations, the correct four digits applicable to the
point of delivery), followed by the last two digits of the primary street
number derived from the standardized address returned by the CASS-certified
ZIP+4 address matching process.  (For example, for a customer receiving
mail through post office box 8430 and assigned unique 5-digit ZIP Code 20299,
but who does not assign any 4-digit add-ons for internal separations, the DPBC
consists of the 5-digit ZIP Code 20299, the 4-digit add-on 0001, and the
additional digits 30 from the post office box number.)  The correct DPBC
must be derived as specified in Exhibit 551.121, which provides rules for the
most frequently used addresses as well as unusual or anomalous address
formats.  See Exhibit 551.122 *viewer dmm547.pcx* for the proper
format of the DPBC and Exhibit 551.1 *viewer dmm305.pcx* for an
explanation of how to compute the correction digit.

551.122 Firm ZIP+4 Code.
The correct DPBC for a business customer assigned a unique ZIP+4 code
represents the addition of the last two digits of the primary street number
followed by the last two digits of the primary street number derived from
the standardized address returned by the CASS-certified ZIP+4 address matching
process.  (For example, for a customer receiving mail through post office
box 5906 and assigned unique ZIP+4 code 20260-5906, the DPBC consists of the
5-digit ZIP Code 20260, the 4-digit add-on 5906, and the additional digits 06
from the box post box number.)  The correct DPBC must be derived as
specified in Exhibit 551.121, which provides rules for the most frequently
used addresses as well as unusual or anomalous address formats.  See Exhibit
551.122 *viewer dmm547.pcx* for the proper format of the DPBC and
Exhibit 551.1 *viewer dmm305.pcx* for an explanation of how to
compute the correction digit.

551.123 Other ZIP+4 Codes.
A DPBC (see 515) is formed by adding 10 bars to the complete
applicable ZIP+4 barcode (see 551.11) to represent the last two
digits of the primary street number or post office box number.  (For example,
for the address 4670 Main Street, Williamstown MA 01267-9098, the DPBC
consists of the 5-digit ZIP Code 01267, the 4-digit add-on 9098, and the two
additional digits 70 from the street number.)  The correct DPBC must be
derived as specified in Exhibit 551.121, which provides rules for the most
frequently used addresses as well as unusual or anomalous address formats.
See Exhibit 551.122 *viewer dmm547.pcx* for the proper format of the
DPBC and Exhibit 551.1 *viewer dmm305.pcx* for an explanation of how
to compute the correction digit.

Note: To obtain information on the requirements for CASS-certified
delivery point coding software, mailers should contact the National Address
Information Center as provided in 533.

EXHIBIT 551.122 DELIVERY POINT BARCODE
(NOT SHOWN)

EXHIBIT 551.122 HAS BEEN INCLUDED IN THE CODE STRING FOR EXHIBIT 551.1


Exhibit 551.121 DPBC Derivation and Address Anomaly Rules


DMM550
Exhibit 551.121, DPBC Derivation and Address Anomaly Rules]

EXHIBIT 551.2 BARCODE READ AREA
(NOT SHOWN)

DMM306
Exhibit 551.2,  Barcode Read Area
Note:  Not drawn to scale.]

551.2 Barcode Location

551.21 General.
The ZIP+4 barcode or delivery point barcode must be located either within
the barcode read area in the lower right corner of the address side of the
mailpiece within the barcode clear zone subject to 551.22 through
551.24, or within the address block subject to 551.25.

551.22 Barcode Clear Zone (Lower Right Corner)

551.221 Dimensions.
The barcode clear zone (see Exhibit 542.1) *viewer dm324c.pcx*
is a rectangular area on the address side of the mailpiece formed by the
following boundaries:

a.  Left.
4-3/4 inches from the right edge.

b.  Right.
Right edge.

c. Bottom.
Bottom edge.

d. Top.
5/8 inch from bottom edge.

551.222 What May Appear in the Barcode Clear Zone.
Except for a barcode that has been properly prepared in accordance with
550, no printing, markings, tabs, or wafer seals that would lower
the reflectance to less than 50% in the red and 45% in the green portions of
the optical spectrum (see 551.4) can be placed within the barcode
clear zone.

551.223 Color and Printing.
The barcode clear zone may contain colors and printing, such as logos, as
long as this area meets the requirements in 551.42 and
551.422.

551.23 Placement of Barcodes (Lower Right Corner)

551.231 Barcodes Printed Directly on Mailpieces.
When the barcode is printed directly on the mailpiece in the lower right
corner, the entire ZIP+4 barcode or delivery point barcode must be completely
contained within the barcode read area (see Exhibit 551.2).  *viewer
dmm306.pcx*   The barcode read area is formed by the following limits:

a. First Bar Location.
Within the barcode clear zone, the leftmost bar of the barcode must be
located between 3-1/2 inches and 4-1/4 inches from the right edge of the
mailpiece (the horizontal position of the barcode).  The preferred start
location is between 4-1/8 and 4-1/4 inches from the right edge of the
mailpiece if printed directly on the mailpiece.

b. Vertical Location.
The vertical position of the barcode must be in the area between 3/16 inch
and 7/16 inch from the bottom of the mailpiece. The bottom of the bars must be
positioned 1/4 inch 1/16 inch from the bottom edge of the mailpiece (see
Exhibit 551.2). *viewer dmm306.pcx*

551.232 Barcodes Printed on Inserts.
When the barcode is printed on an insert to appear through a window in the
lower right corner of an envelope, in addition to meeting all the
specifications in 551.7, the entire ZIP+4 barcode or delivery point
barcode must be completely contained within the barcode clear zone (see
551.22 and Exhibit 551.2). *viewer dmm306.pcx*  The barcode
need not be contained within the barcode read area.  The following criteria
must also be met:

a. Insert Shift.
The barcode must remain in the barcode clear zone throughout the insert's
full range of motion.

b. Window Edge Spacing.
The barcode must maintain the clear space requirement of 551.732
throughout the insert's full range of motion.

551.24 (Reserved)

551.25 Placement of ZIP+4 or Delivery Point Barcode in Address Block

551.251 General.
The ZIP+4 barcode or delivery point barcode may be located in the address
block if the barcode meets the requirements of 551.252 (see Exhibit
551.251). *viewer dmm549.pcx*

551.252 Location.
When placed in the address block, the ZIP+4 barcode or delivery point
barcode must meet all the following requirements (see Exhibit 551.251):
*viewer dmm549.pcx*

a.
The barcode must be placed in one of the following four locations: (1)
above the top line of the address (the preferred location); (2) below the
city, state, and ZIP Code line; (3) above or below the keyline information; or
(4) above or below the optional endorsement line.

b.
Printing of the barcode anywhere between the name of the recipient and the
city, state, and ZIP Code line is prohibited.

c.
The rightmost bar must be more than 1/2 inch from the right edge of the
mailpiece, and the leftmost bar must be less than 10-1/2 inches from the right
edge of the mailpiece and more than 1/2 inch from the left edge of the
mailpiece.

d.
The clearance between the leftmost or rightmost bar and any printing or
window edges must be at least 1/8 inch, and the clearance between the barcode
and the top and bottom window edges must be at least 1/25 inch.

e.
The minimum clearance between the barcode and any information line located
above or below it within the address block must be at least 1/25 inch, and the
separation between the barcode and top line or bottom line of the address
block must not exceed 5/8 inch.

f.
A clear space of at least 1/8 inch must be left between the barcode and the
left and right edges of the address label, and the clearance between the
barcode and the top and bottom edges of the address label must be at least
1/25 inch.

g.
The top of any bar in the address block barcode must be less than 4 inches
from the bottom edge of the mailpiece.

h.
The bottom line of the address block, including the barcode, must be at
least 5/8 inch from the bottom of the mailpiece.

i.
If printed on an insert in a windowed envelope, the clearance between the
barcode and the window (see 551.252d above) must be maintained when
the insert is shifted fully to the extremes of the envelope (left, right,
upper, and lower edges).

j.
If the window is covered on an envelop that shows a barcode in the address
block, the requirements of 551.723 must be met.  (The window on an
envelope that shows a barcode in the address block does not have to be
covered.)

EXHIBIT 551.251 LOCATIONS FOR BARCODES
(NOT SHOWN)


DMM549
Exhibit 551.251, Locations for Barcodes]

551.3 Barcode Dimensions and Spacing
See Exhibit  551.3. *viewer dmm551.pcx*

EXHIBIT 551.3 BARCODE DIMENSIONS AND SPACING
(NOT SHOWN)


DMM551
Exhibit 551.3, Barcode Dimensions and Spacing]

551.31 Full Bar Height.
A full bar must be 0.1250.010 inch high.

551.32 Half Bar Height.
A half bar must be 0.0500.010 inch high.

551.33 Bar Width.
The width of all bars must be equal and must be 0.0200.005 inch.

551.34 Horizontal Spacing.
Horizontal spacing of the bars must be 222 bars per inch. Pitch (a
bar and a space) must be at least 0.0416 inch and no greater than 0.05 inch.
The spacing (a clear vertical column) between bars must never be less than
0.012 inch.  To accommodate variations in printing, a maximum space between
bars of 0.04 inch is permitted.

551.4 Reflectance

551.41 Background Reflectance

551.411 Pieces Barcoded in Lower Right Corner

a. Pieces Bearing ZIP+4 or Delivery Point Barcode.
The material (envelope, card, insert, or outermost sheet) in the barcode
clear zone (see 551.22) must produce a background reflectance of at
least 50% in the red and 45% in the green portions of the optical spectrum
when measured with a USPS or USPS-licensed envelope reflectance meter.  White
and pastel colors generally satisfy this requirement.

b. Pieces Not Bearing ZIP+4 or Delivery Point Barcode.
It is strongly recommended that pieces in a ZIP+4 Barcoded rate mailing
that do not bear a ZIP+4 or delivery point barcode include a barcode clear
zone in the lower right corner of the address side as specified in
551.22 that meets the background reflectance requirements of
551.411a.  Effective September 20, 1992, all pieces in ZIP+4
Barcoded rate mailings that do not bear a ZIP+4 or delivery point barcode must
contain a barcode clear zone as specified in 551.22 that meets the
requirements of 551.411a.

551.412 Pieces Barcoded in Address Block

a. Pieces Bearing ZIP+4 or Delivery Point Barcode.
If the barcode is placed in the address block, the background reflectance
of the area surrounding the address block barcode, and within 1/8 inch of the
leftmost and rightmost bars and 1/25 inch above and below the barcode, must
produce a background reflectance of at least 50% in the red and 45% in the
green portions of the optical spectrum when measured with a USPS or
USPS-licensed envelope reflectance meter.

b.  Pieces Not Bearing ZIP+4 or Delivery Point Barcode.
It is strongly recommended that pieces in an address block barcoded ZIP+4
Barcoded rate mailing that do not bear a ZIP+4 or delivery point barcode
include a barcode clear zone in the lower right corner of the address side as
specified in 551.22 that meets the background reflectance
requirements of 551.411a.  Effective September 20, 1992, all pieces
in ZIP+4 Barcoded rate mailings that do not bear a ZIP+4 or delivery point
barcode must contain a barcode clear zone as specified in 551.22 that
meets the requirements of 551.411a.

551.42 Print Reflectance Difference.
A print reflectance difference (PRD) of at least 30% is required between
the background material of the mailpiece and the barcode in both the red and
green portions of the optical spectrum.  This requirement is generally
satisfied by using black or dark ink on a white or pastel background.  Other
color combinations should be measured to ensure compliance with the minimum
PRD.  The PRD expressed as a percentage equals the reflectance of the
background minus the reflectance of the ink, multiplied by 100.  Reflectance
measurements must be made with a USPS or USPS-licensed envelope reflectance
meter.

551.43 Opacity.
Envelope material, insert material viewed through a window, or the
outermost sheet of a mailpiece, as applicable, must have sufficient opacity to
prevent printing from "showing through" to the extent that it interferes with
postal equipment that reads the barcode.  The print contrast ratio of print
(other than the barcode) that shows through the barcode clear zone or the
barcode area in the address block must not exceed 15% when measured in the red
and green spectra.

551.44 Dark Fibers and Background Patterns

551.441 Pieces Bearing ZIP+4 or Delivery Point Barcode.
The material in the address block or the barcode clear zone on which the
barcode is to appear (envelope, card, insert, or outermost sheet) must not
contain dark fibers or background patterns (e.g., checks, etc.) that produce a
print contrast ratio of more than 15% when measured in the red and green
spectra.

551.442 Pieces Not Bearing ZIP+4 or Delivery Point Barcode.
It is strongly recommended that pieces in a ZIP+4 Barcoded rate mailing
that do not bear a ZIP+4 or delivery point barcode include a barcode clear
zone as specified in 551.22 that meets the requirements for dark
fibers and background patterns in 551.441.  Effective September 20,
1992, all pieces in a ZIP+4 Barcoded rate mailing that do not bear a ZIP+4 or
delivery point barcode must contain a barcode clear zone as specified in
551.22 that meets the requirements of 551.441.

551.5 Skew and Baseline Shift.
The combined effects of positional and rotational skew (slant) of the
barcode must be limited to a maximum rotation of the bars of 5 degrees
from a perpendicular to the bottom edge of the mailpiece.  The baseline of the
bars must not be vertically offset more than 0.015 inch from the bottom of
each adjacent bar.

551.6 Printing Irregularities.
Extraneous ink or ink voids must not cause any bar to fail to meet the
dimension and spacing requirements in 551.3.

551.7 Additional Requirements for Barcodes on Inserts that Appear Through
Windows

551.71 General.
In addition to the requirements in 551.1 through 551.6,
a barcode printed on an insert and appearing through a window in the barcode
clear zone must meet the conditions in 551.72 and 551.73.

551.72 Barcode Window Specifications

551.721 Window Dimensions

a.
The right edge of the window must be at least 1/4 inch from the right edge
of the envelope.

b.
The left edge of the window must be at least 4-1/2 inches from the right
edge of the envelope.

c.
The top edge of the window must be at least 5/8 inch from the bottom of the
mailpiece.

d.
The bottom edge of the window must form part of the bottom edge of the
envelope (see 551.722).

551.722 Window Construction

a.
Windows must extend fully to the lower edge of the envelopes and must be of
wrap-around construction.

b.
Windows must be covered with a clear plastic material (see
551.723).

c.
All edges of the window covering material must be glued securely to the
envelope.

551.723 Window Cover Material.
Barcode windows must be covered with a nontinted clear or transparent
material. The recommended window cover material is cellophane or polystyrene.
(Glassine is a permissible barcode window cover but is somewhat opaque.) As
viewed through the window material, the barcode must meet the minimum
reflectance requirements in 551.4.

551.73 ZIP+4 Barcode Location Requirements

551.731 Movement of Insert.
The barcode must stay within the location requirements of 551.232
when the insert is moved to any of its limits within the envelope.

551.732 Clear Space -- Barcode in Lower Right Corner.
A clear space of at least 1/8 inch must be maintained between the barcode
and the left and right edges of the window.  In addition, a clear space of at
least 1/25 inch must be maintained between the barcode and the top edge of the
window and between the barcode and the bottom edge of the mailpiece.  This
clear space must remain when the insert showing through the window is moved to
any of its limits within the envelope.

551.733 Clear Space -- Window Envelopes and Labels -- Barcode in Address
Block.
A clear space of at least 1/8 inch must remain between the barcode and the
left and right edges of the window or label, and a clear space of at least
1/25 inch must be maintained between the top and bottom edges of the window or
label.  This clear space must remain when the insert showing through the
window is moved to any of its limits within the envelope.

552 Five-Digit Barcode Requirements

552.1 General.
Pieces in ZIP+4 Barcoded rate mailings may contain 5-digit barcodes,
provided at least 85% of the pieces in the mailing contain a ZIP+4 barcode or
delivery point barcode as required by 325.3, 424.631, and
628.312. All 5-digit barcodes must meet the requirements of
551.3 through 551.7, 552.2 and 552.3.

552.2 Barcode Format.
The 5-digit barcode must be prepared as described in 551.1,
except that there must be a single field of 32 bars consisting of a frame bar,
a series of bars that represents the correct 5-digit ZIP Code for the address
on the piece (see Exhibit 551.1), *viewer dmm305.pcx*  a correction
digit, and a final frame bar. The correction digit can be determined by adding
the numbers in the 5-digit ZIP Code and determining what single-digit number
must be added to that sum to make the total a multiple of 10 (a number that
ends with a zero).

552.3 Barcode Location

552.31 Barcodes Printed Directly on Mailpieces.
The 5-digit barcode printed directly on a mailpiece must be located on the
mailpiece as required by 551.2.  For barcodes located within the
barcode clear zone, however, the leftmost bar of the barcode must be located
between 4-1/8 and 4-1/4 inches from the right edge of the mailpiece (see
Exhibit 552.31). *viewer dmm308.pcx*

EXHIBIT 552.31 BARCODE LOCATION 5-DIGIT PRINTED BARCODE
(NOT SHOWN)


DMM308
Exhibit 552.31, Barcode Location -- 5-Digit Barcode Printed
Directly on Mailpieces
Note:  Not drawn to scale.]

552.32 Barcodes Printed on Inserts.
The 5-digit barcodes printed on inserts that appear through a barcode
window must be located as required by 551.232 or 552.31.
Pieces prepared with 5-digit barcodes that appear through windows, and pieces
prepared with barcode windows through which no barcode appears are not
eligible for any automation-based rates.

560 Presort Requirements

561 General

561.1 Explanation of Presort Options

561.11  Presort Under Chapters 3, 4, and 6.
Mailers may prepare mailings under the presort requirements for ZIP+4 and
ZIP+4 Barcoded rates set forth in Chapter 3 for First-Class Mail, Chapter 4
for second-class mail, and Chapter 6 for third-class mail.  However, as
indicated in 513, the Postal Service plans to make the presort
options in 560 the only presort options available to mailers in the future.

561.12 Presort Under Chapter 5

561.121  Classes of Mail.
Each mailing presented under Chapter 5 presort rules must be composed of
pieces qualifying for the same class of mail.  Mixing pieces of different mail
classes in the same mailing is prohibited.

561.122 Presorted ZIP+4 Mailings.
For presorted ZIP+4 rate mailings, there is only one method of presort:
tray-based (see 562.2).

Note:  Mailings must also meet the other specific eligibility and
preparation requirements prescribed for ZIP+4 rates in Chapters 3, 4, or 6, as
applicable (see 512).

561.123 ZIP+4 Barcoded Rate Mailings.
ZIP+4 Barcoded rate mailings may be presorted using either a tray-based
method (see 563.2) or a package-based method (see 564).

Note:  Mailings must also meet the other specific eligibility and
preparation requirements prescribed for ZIP+4 Barcoded rates in Chapters 3, 4,
or 6, as applicable (see 512).

561.2  Packages

561.21  Use of Packages.
The requirements of this section apply whenever packages are prepared.  The
regulations governing when packaging is required and when packaging is
prohibited for mailings are in 562.231, 563.231,
564.32, 564.42, and 564.52.

561.22  General Requirements for Labeling and Securing Packages

561.221  Securing Packages.
Packages should measure approximately 4 inches in thickness.  The maximum
permissible thickness is 6 inches.  All packages must be secured with either
rubber bands, the preferred material, or approved elastic strapping.  Elastic
strapping must not be used unless it has been approved by the Engineering and
Development Center prior to use (see 561.223) to ensure that it can
adequately keep the packages intact during Postal Service handling, that it
can stretch and then resume its original shape, and that it can be easily
removed by stretching.  Packages up to 1 inch thick must be secured with at
least one rubber band or elastic strap around the girth.  Packages thicker
than 1 inch must be secured with at least two rubber bands or elastic straps.
The first rubber band or elastic strap must be placed around the length and
the second, around the girth so that it crosses over the first.  Rubber bands
or elastic straps should be positioned as near as possible to the center of
the mailpiece to provide the greatest stability during transit and handling.
More than two rubber bands or elastic straps may be used to secure a package,
but rubber bands or elastic strapping must never lie along the outer 1 inch of
any edge.

561.222 Labeling Packages.
Where 5-digit packages are required to be labeled, the lower left corner of
the top piece in each package must bear a red D pressure-sensitive package
label. Where 3-digit packages are required to be labeled, the lower left
corner of the top piece in each package must bear a green 3 pressure-sensitive
package label.  For second-class mailings where optional city packages, if
prepared, are required to be labeled, the lower left corner of the top piece
in each package must bear a yellow C pressure-sensitive package label.
Pressure-sensitive labels are provided by the Postal Service.  Alternatively,
the applicable 5-digit or 3-digit (or, for secondclass, optional city)
optional endorsement package label line may be used as specified in
369, 441.232, or 642.3.

561.223 Testing of Elastic Strapping Material

a.  Submission of Request.
Mailers wishing to have elastic strapping material tested to determine its
acceptability for securing packages of automation-compatible mail must submit
a letter of request with sample packages of mail that are secured with the
material to be tested under 561.221.  The material is tested to make
sure that it can adequately keep the packages intact during Postal Service
handling, it can stretch and then resume its original shape, and it can easily
be removed by stretching.  Five sample packages in each of the following
thicknesses must be submitted for each material to be tested (25 packages
total):  6 inches, 4 inches, 2 inches, 1 inch, and 10  pieces.  The letter of
request and sample packages must be submitted to the following address at
least 6 weeks before the planned date of mailing:

ELASTIC STRAPPING TEST
CONTAINER AND MATERIAL HANDLING DIVISION
ENGINEERING AND DEVELOPMENT CENTER
US POSTAL SERVICE
8403 LEE HIGHWAY
MERRIFIELD VA  22082-8142

b.  Results.
The mailer is notified in writing of the EDC's test results.  If the
strapping material is found to meet the requirements of 561.223a,
the EDC's letter of approval includes a unique number referring to the
specific strapping material represented by the samples tested and the specific
mailer.  The letter is accompanied by one or more of the sample packages
originally submitted by the mailer, and each bears the unique number contained
in the letter.

c.  Use of Approval.
The EDC's letter of approval (showing the unique number) serves as evidence
that the mailpiece meets the requirements of 561.223a.  A copy of
that letter must be attached to each mailing statement submitted for mailings
using the tested strapping material.

d.  Mailing.
Post offices must accept the EDC's letter as evidence of compliance with
561.223a.  However, the mailer must be prepared to demonstrate that
the strapping material used to prepare the mailing presented is the same as
that submitted for testing if requested to do so by the office where the
mailing is verified prior to acceptance.  To expedite acceptance, mailers
whose mailings are questioned in this regard may pay the next higher rate for
which their mailings may qualify and, upon successful completion of an appeal
under 133, may seek a refund as appropriate.

561.3  Separator Cards

561.31  Use of Separator Cards.
Separator cards are strongly recommended as an alternative to packaging for
the 5-digit presort tier of package-based ZIP+4 barcoded mailings (see
564.322).  Separator cards must also be used to delineate groups of
100 pieces of residual mail in the physical separation by rate category
options in 562.2, 563.2, and 564.5.

561.32  Physical Requirements for Separator Cards.
Separator cards may be prepared from any paper or card stock and must be at
least 1/4 inch higher than the highest piece in the mailing.  It is
recommended that they be prepared of card stock, be of a color different from
the mailpieces, and meet the physical characteristics for
automation-compatible mailpieces in 520.

561.4  Trays

561.41  Use of Trays Required.
All letter-size mailings prepared under Chapter 5 must be prepared in trays.

561.42  Placement of Pieces in Trays

561.421  Trays Containing Only Pieces Not Exceeding Width of Trays.
All pieces in each tray must be faced in the same direction.  The pieces
must be placed upright in the tray with the address right side up and facing
the front (labeled end) of the tray.  Pieces that exceed the height of trays
may be tilted toward the back (unlabeled end) of the tray so that a sleeve may
be placed on the tray.  See Exhibit 561.421a *viewer dm561a.pcx*
for pieces that fit trays and Exhibit 561.421b *viewer dm561b.pcx*
for pieces that exceed the height but not the width of trays.


DM561A
Exhibit 561.421a, Pieces That Fit Trays

DM561B
Exhibit 561.421b, Pieces Exceeding Height of Trays]

DM561X
Exhibit 561.422a, Pieces Exceeding Width But Not Height of
Trays
DM561Y
Exhibit 561.422b, Pieces Exceeding Width and Height of
Trays]

DM561D
Exhibit 561.431, Full Tray (Pieces Not Exceeding Height or
Width of Trays)]

DM561E
Exhibit 561.432, Full Tray (Pieces Exceeding Width But Not
Height of Trays)]

561.422  Trays Containing Pieces Exceeding Width of Trays.
All pieces in each tray must be placed upright in the tray with the address
right side up and facing the long (2-foot) side of the tray that is to the
right of the front (labeled end) of the tray.  The pieces must be placed in
two rows within the trays if there are enough pieces to do so.  (For certain
tray levels, full trays (see 561.43) with two rows of pieces within
the trays are required.)  In full trays, mailers must either place cardboard
separators or other stiff material that is the same height and width as the
tray between the rows of pieces in the tray, or secure the pieces together
into packages with rubber bands or elastic strapping to maintain the
orientation of the pieces in the tray during transit.  See 561.22 for
further information on packaging requirements.  Pieces placed in trays that
are less than full must be packaged.  In both full and less than full trays,
pieces that exceed the height of trays may be tilted toward the back
(unlabeled end) of the tray so that a sleeve may be placed on the tray.  See
Exhibit 561.422a *viewer dm561x.pcx*  for pieces that exceed the
width, but not the height of trays and Exhibit 561.422b *viewer
dm561y.pcx*  for pieces that exceed both the width and the height of
trays.

561.43  Definition of Full Tray

561.431  Pieces Not Exceeding Height or Width of Trays.
For purposes of 560, a full tray is at least 3/4 full of mail
when the bottom long edges of the tray are placed at no less than a 45 degree
angle to a level horizontal surface and the contents of the tray are
compressed by their own weight.  See Exhibit 561.431. *viewer dm561d.pcx*


561.432  Pieces Exceeding Width of Trays But Not Height.
For purposes of 560, a full tray contains at least two rows of
pieces as described in 561.422, and each row fills at least 3/4 of
the dimension of the short edges of the tray when the bottom short edges of
the tray are placed at no less than a 45 degree angle to a level horizontal
surface and the contents of the tray are compressed by their own weight.  See
Exhibit 561.432. *viewer dm561e.pcx*

561.433  Pieces Exceeding Height of Trays But Not Width.
For purposes of 560, a full tray contains enough pieces to allow
the contents to remain faced and not lose their orientation in the tray after
they are tilted toward the back of the tray.  The pieces are tilted to allow
the sleeve to be placed on the tray.

561.434  Pieces Exceeding Both Height and Width of Trays.
For purposes of 560, a full tray contains at least two rows of
pieces as described in 561.422, and each row contains enough pieces
to allow the pieces to remain faced and not lose their orientation in the tray
after they are tilted toward the long side of the tray.  The pieces are tilted
to allow the sleeve to be placed on the tray.

561.44  Volume Per Tray--Preparation of Overflow Trays

561.441  When Overflow Trays Not Permitted.
Overflow trays are not permitted in package-based mailings prepared under
564 except for SCF trays.

561.442 When Overflow Trays Permitted.
Overflow trays are permitted in all tray levels (5-digit, optional city
(for second-class mailings only), 3-digit, and SCF trays) in mailings prepared
under 562.2 and 563.2.

561.443 Requirements for Preparation of Overflow Trays.
Mailers must distribute the volume among trays when more than one tray is
prepared for the same destination to ensure that the maximum number of full
(as defined in 561.43) 5-digit, optional city (second-class mailings
only), 3-digit, and SCF trays are prepared.  After this step, the remaining
pieces for a 5-digit, optional city (second-class mailings only), 3-digit, or
SCF destination may be placed in an overflow tray that is less than full,
provided the pieces in the overflow tray are packaged.  In tray-based ZIP+4
and ZIP+4 Barcoded rate mailings (see 562.2 and 563.2),
packages in overflow trays must also be labeled as 5-digit packages (in
5-digit trays), optional city packages (in second-class optional city trays),
or 3-digit packages (in 3-digit and SCF trays).  See 561.222 for
labeling requirements.  Only one overflow tray for a particular 5-digit,
optional city (second-class mailings only), 3-digit, or SCF destination may be
prepared in a mailing.  To allow accurate verification of the mailing by
postal acceptance personnel, the mailer must provide a listing of all overflow
trays (except for overflow SCF trays prepared under 562.2 and
564) in addition to the other documentation required for the
preparation option used.

Note:  Since SCF trays in tray-based ZIP+4 Presort mailings prepared
under 562.2 and in packaged-based ZIP+4 barcoded mailings prepared
under 564 may be less than full, overflow SCF trays in these mailings
must be included in the regular documentation required by 562.25 or
564.62 and must not be separately documented as overflow trays.

561.45  Sleeving and Banding.
To ensure the integrity of the mail in transit, each tray must be enclosed
in a sleeve.  Trays that are transported directly from the mailer's plant to a
BMC, ASF, or AMF (either on Postal Service transportation or mailer
transportation) must also be secured by a plastic strap placed tightly around
the length of the tray.  It is strongly recommended, but not required, that
all trays of mail (other than those for distribution at the post office of
origin) be secured by a plastic strap placed tightly around the length of the
tray.

561.46  Size and Availability of Trays

561.461  Tray-Based ZIP+4 and ZIP+4 Barcoded Rate Mailings (562 and 563).
Only 2-foot trays may be used to prepare mailings, except that until
December 20, 1992, tray-based mailings may be prepared using 1-foot trays (if
they are available as they are being phased out by the Postal Service).  The
Postal Service will provide 2-foot trays and sleeves and will provide 1-foot
trays and sleeves as available.  Mailers may only use trays provided by the
Postal Service.  However, the Postal Service will no longer procure 1-foot
trays and does not guarantee that they will be available during this phase-out
period.

561.462  Package-Based ZIP+4 Barcoded Rate Mailings (564).
Only 2-foot trays may be used to prepare package-based ZIP+4 barcoded rate
mailings under 564.

561.47  Tray Labels

561.471  General.
A tray label must be securely placed in the tray label holder at the end of
each tray.  Tray labels must not be taped to the end of each tray.  Tray
labels are subject to the same requirements specified for sack labels in
441.32, except for 441.321a (color) and 441.321b
(size).  In addition, no extraneous information may appear above Line 1
of tray labels and the information that is required to appear on Lines 1, 2,
and 3 of the tray labels is the information specified in 562.232,
563.232, 564.33, 564.43, or 564.52, as
applicable.

561.472  Color.
The color of tray labels for Firstand third-class mail must be white or
manila.  The color of tray labels for second-class mail must be pink.

561.473  Size.
Tray labels must fall within the following tolerances:

a.  Length.
Minimum 3-1/4 inches; maximum 3-3/8 inches.

b.  Height.
Minimum 1-7/8 inches; maximum 1-15/16 inches.
562  Presorted ZIP+4 Mail

562.1  (Reserved)

562.2  Requirements

562.21  85% Requirement.
At least 85% of the total pieces in a ZIP+4 rate mailing must bear the
correct ZIP+4 code (see 530).  All remaining pieces must bear the
correct 5-digit ZIP Code.  If the correct ZIP+4 barcode or delivery point
barcode (prepared as required by 530 and 550) is used to
satisfy the requirement for a ZIP+4 code, the correct numeric ZIP+4 code or
correct 5-digit ZIP Code must also appear in the address.

562.22  Rate Eligibility

562.221  First-Class Mail

a.  5-Digit, 3-Digit, and SCF Trays.
ZIP+4 coded pieces in  5-digit, 3-digit, and SCF trays may qualify for the
ZIP+4 Presort rate.  Other pieces in these trays may qualify for the Presorted
First-Class rate.  Both 5-digit and 3-digit trays must be full trays (see
561.43) or overflow trays (see 561.44).  In 3-digit and
SCF trays, there must be at least 50 pieces for each 3-digit ZIP Code area.

b.  Residual Trays.
Residual pieces (pieces remaining after preparing full and overflow 5-digit
and 3-digit trays, and SCF trays with at least 50 pieces per 3-digit ZIP Code
area) may qualify for the nonpresorted ZIP+4 rate (if ZIP+4 coded) or the
single-piece First-Class rate.

562.222 Second-Class Mail

a. 5-Digit Trays.
ZIP+4 coded pieces in 5-digit trays may qualify for the level B5/H5/J5
ZIP+4 rates.  Other pieces in 5- digit trays may qualify for the level
B5/H5/J5 rates.  These trays must be full trays (see 561.43) or
overflow trays (see 561.44).

b. Optional City Trays.
ZIP+4 coded pieces in optional city trays for a city listed in Exhibit
122.63a may qualify for the level B3/H3/J3 ZIP+4 rates.  Other pieces in
optional city trays may qualify for the level B3/H3/J3 rates.  These trays
must be full trays (see 561.43) or overflow trays (see
561.44).

c. 3-Digit Trays

(1) Unique 3-Digit Trays.
ZIP+4 coded pieces in 3-digit trays for a unique 3-digit ZIP Code listed in
Exhibit 122.63b may qualify for the level B3/H3/J3 ZIP+4 rates.
Other pieces in unique 3-digit trays may qualify for the level B3/H3/J3 rates.
 These trays must be full trays (see 561.43) or overflow trays (see
561.44).

(2) Non-Unique 3-Digit Trays.
ZIP+4 coded pieces in nonunique 3-digit trays may qualify for the level
A/G/J1 ZIP+4 rates. Other pieces may qualify for the level A/G/J1 rates.
These trays must be full trays (see 561.43) or overflow trays (see
561.44).

d. SCF Trays.
ZIP+4 coded pieces in SCF trays may qualify for the level A/G/J1 ZIP+4
rates.  Other pieces in SCF trays may qualify for the level A/G/J1 rates.
There is no minimum quantity for SCF trays.  All pieces in second-class ZIP+4
mailings must be sorted to at least the SCF level.

Note:  Even though a less than full SCF tray that contains mail for
only one 3-digit area must be labeled as a 3-digit tray (or may be labeled as
an optional city tray if the tray contains mail for only one optional city) in
accordance with 562.232b(2), 562.232b(3), and
562.233, such a tray is considered an SCF tray for rate purposes.  A
less than full SCF tray is different from an optional city or a 3-digit
overflow tray.  An optional city overflow tray contains mail left over after
filling at least one other tray for that optional city.  A 3-digit overflow
tray contains mail left over after filling at least one other tray for that
3-digit destination.  Overflow optional city trays and overflow 3-digit trays
are subject to the rates for optional city and 3-digit trays described in
562.222b and 562.222c.  These overflow trays must be
separately documented as required in 561.44.

e. Residual Trays.
There are no residual trays in secondclass mailings.

562.223 Third-Class Mail

a. 5-Digit and 3-Digit Trays.
ZIP+4 coded pieces in 5-digit and 3-digit trays may qualify for the 3/5
ZIP+4 rates.  Other pieces in these trays may qualify for the 3/5 presort
rates.  These trays must be full trays (see 561.43) or overflow
trays (see 561.44).

b. SCF Trays.
ZIP+4 coded pieces in SCF trays may qualify for the basic ZIP+4 rate.
Other pieces in SCF trays may qualify for the basic presort rate.  There is no
minimum quantity for SCF trays.  All pieces in third-class ZIP+4 mailings must
be sorted to at least the SCF level.

Note:  Even though less than full trays that contain mail for only one
3-digit area must be labeled under the requirements for 3-digit trays (see
562.232b(2) and 562.232b(3)), such a tray is considered an
SCF tray for rate purposes, except when it is an overflow 3-digit tray.  A
less than full tray for a particular 3-digit destination may be considered an
overflow 3-digit tray only when there is at least one other full tray in the
mailing for that same 3-digit destination (see 561.44).  Overflow
3-digit trays must also be separately documented as required in
561.44.

c.  Residual Trays.
There are no residual trays in third-class mailings.

562.23 Sortation Requirements

562.231 ZIP Code Grouping and Packaging Requirements

a. Grouping and Packaging in 5-Digit and 3-Digit Trays

(1) Full Trays.
There are no ZIP Code grouping requirements for 5-digit, optional city (for
second-class mail only), and 3- digit trays.  Packaging is not permitted in
full 5-digit, optional city (second-class only), and 3-digit trays when pieces
do not exceed the width of trays.  Packaging is permitted for pieces that
exceed the width of trays when used to maintain the orientation of the pieces
within the trays as described in 561.422.  Package labels are not
required for this packaging.

Note:  5-digit and 3-digit trays, as well as second-class optional
city trays, are required to be full (see 562.232b(1),
562.232b(2), 562.233, and 561.43) except that
less than full overflow trays are permitted as described in 561.44.
In First-Class mailings, there must be at least 50 pieces for each 3-digit
ZIP Code area.  If less than 50 pieces fill a tray (pieces exceeding the
height and width of trays), the remaining pieces to that 3-digit ZIP Code area
must be placed in a 3-digit overflow tray or in an SCF tray.

(2) Overflow Trays.
The pieces in overflow trays to 5- digit and 3-digit destinations, as well
as pieces in overflow trays to second-class optional city destinations, must
be packaged to maintain their orientation.  Overflow trays are less than full
by definition (see 561.44).  All packages in overflow trays must be
labeled as 5-digit packages, 3-digit packages, or (within second-class
mailings only) optional city packages, as appropriate.  See 561.22
for other requirements on securing and labeling packages.

b. Grouping/Packaging in SCF Trays

(1) First-Class Mailings.
There must be at least 50 pieces for each 3-digit ZIP Code area within SCF
trays.  Within SCF trays for SCFs serving more than one 3-digit ZIP Code area,
pieces for the same 3-digit ZIP Code area must be grouped together.  Although
it is recommended that groups of 50 or more pieces for the same 3-digit area
be placed in the trays in numeric sequence, this is not required.  For
example, in a tray containing pieces for 023 and 024 for the Brockton, MA SCF,
it is permissible for all the pieces for 024 to be grouped together in front
of the pieces for 023; but it is recommended that the pieces for 024 be placed
behind the pieces for 023.  Packaging is not permitted in full SCF trays of
pieces that do not exceed the width of trays.  Packaging is permitted for
pieces that exceed the width of trays when it is used to maintain the
orientation of the pieces within the trays as described in 561.422.
Package labels are not required for this packaging in full trays.  In less
than full SCF trays, the pieces must be packaged to maintain their orientation
in the tray and labeled.  Each package in a less than full SCF tray must
contain mail for only one 3-digit area and must be labeled as a 3-digit
package.  See 561.22 for further requirements on securing and
labeling packages.

Note:  Where less than 50 pieces fill a tray, or in other situations
where a group of 50 or more pieces for the same 3-digit ZIP Code area will not
fit in the same SCF tray, the remaining pieces for the SCF area must be placed
in another SCF tray.

(2)  Secondand Third-Class Mailings.
There is no minimum quantity of pieces required in SCF trays of secondand
third-class mail.  Within SCF trays for SCFs serving more than one 3-digit
ZIP Code area, pieces for the same 3-digit ZIP Code area must be grouped
together.  Although it is recommended that groups of pieces for the same
3-digit area be placed in the trays in numeric sequence, this is not required.
 For example, in a tray containing pieces for 023 and 024 for the Brockton, MA
SCF, it is permissible for all the pieces for 024 to be grouped together in
front of the pieces for 023; but it is recommended that the pieces for 024 be
placed behind the pieces for 023.  Packaging is not permitted in full SCF
trays of pieces that do not exceed the width of trays.  Packaging is permitted
for pieces that exceed the width of trays when it is used to maintain the
orientation of the pieces within the trays as described in 561.422.
Package labels are not required for this packaging in full trays.  In less
than full SCF trays, the pieces must be packaged to maintain their orientation
in the tray and labeled.  Each package in a less than full SCF tray must
contain mail for only one 3-digit ZIP Code area and must be labeled as a
3-digit package, except that in second-class mailings the package may be
labeled as an optional city package if each piece in the package is for one of
the optional cities listed in Exhibit 122.63a.  See
561.22 for further requirements on securing and labeling packages.

Note:  Even though a less than full SCF tray that contains mail
for only one 3-digit area must be labeled as a 3-digit tray (or for
second-class mail may be labeled as an optional city tray if the tray contains
mail for only one optional city) in accordance with 562.232b(2),
562.232b(3), and 562.233, such a tray is considered an SCF
tray for rate purposes.  A less than full SCF tray is different from an
optional city or a 3-digit overflow tray.  An optional city overflow tray
contains mail left over after filling at least one other tray for that
optional city.  A 3-digit overflow tray contains mail left over after filling
at least one other tray for that 3-digit destination.  Overflow optional city
trays (second-class mail only) and overflow 3-digit trays are subject to the
rates for optional city and 3-digit trays described in 562.222b,
562.222c, 562.223b, and 562.223c, as appropriate
for the class of mail.  These overflow trays must be separately documented as
required in 561.44.

c.  Grouping/Packaging in Residual Trays (First-Class Mail Only).
See 562.24.

562.232  Traying Requirements

a. General.
The requirements in 561.4 must be met.

b. Required Tray Sortation

(1)  5-Digit Trays.
When there are enough pieces to the same 5-digit destination to fill a
tray, a 5-digit tray must be prepared for that destination.  Trays that are
not full are prohibited, except that one overflow tray per 5-digit ZIP Code
area is permitted as provided in 561.44.  Trays must be labeled as
follows:




Line 1:City, two-letter state abbreviation, and 5-digit ZIP Code
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "ZIP+4 PRESORT"
Line 3:Name of the mailer and the city and two-letter state
abbreviation of the mailer's location


Example:

DETROIT MI      48235
FCM ZIP+4 PRESORT
NB COMPANY UNION SC



Exception:  Preparation of 5-digit trays is not required if the
qualifying portion of the mailing includes only mail for the 3-digit areas
designated as automated sites in Exhibit 122.63m trayed in 3-digit
and SCF trays.  Although secondand third-class automated site mailings
are limited strictly to mailpieces for automated sites in Exhibit
122.63m, pieces in residual trays in automated site First-Class mailings
may contain mail for any ZIP Code area in the nation since single piece rates
are paid on First-Class residual mail.  Optional city trays are not permitted
in second-class mailings prepared according to this optional automated site
preparation option.

(2) 3-Digit Trays.
If, after preparing all possible full 5-digit trays (and, at the mailer's
option, overflow 5-digit trays), there are sufficient pieces remaining to fill
a tray for a 3-digit ZIP Code destination, a 3-digit tray must be prepared.
For First-Class Mail, there must be at least 50 pieces per 3-digit ZIP Code
area.  (See the note in 562.231a(1) for instructions concerning
First-Class mailings where a full tray may contain less than 50 pieces for a
3-digit ZIP Code area.)  In second-class mailings the mailer may elect to
prepare optional city trays to obtain the level B3/H3/J3 ZIP+4 rates (see
562.233); if so, optional city trays must be prepared before
preparing 3-digit trays.  For all classes of mail, trays that are not full
are prohibited, except that one overflow tray per 3-digit ZIP Code area is
permitted as provided in 561.44.  Three-digit trays must be labeled
as follows:

(a)  Unique 3-Digit ZIP Code Prefixes




Line 1:City, two-letter state abbreviation, and unique 3-digit
prefix listed in Exhibit 122.63b
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "ZIP+4 PRESORT"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

PHILADELPHIA PA      191
3C ZIP+4 PRESORT
XYZ CORP ROCHESTER NY



(b)  Other 3-Digit ZIP Code Prefixes




Line 1:Name of SCF and two-letter state abbreviation of SCF,
followed by 3-digit prefix of pieces in tray (see
Exhibit 122.63c or Exhibit 122.63d for
name of SCF serving 3-digit ZIP Code area)
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "ZIP+4 PRESORT"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

NORTHERN VIRGINIA VA    221
3C ZIP+4 PRESORT
ACE CNSTR CO ROCHESTER NY



Exception:  If the qualifying portion of the mailing includes only
mail for automated sites listed in Exhibit 122.63m within 3-digit and
SCF trays, preparation of 5-digit trays is not required.  See the exception to
562.232b(1).  For these automated site mailings, Line 1 of the tray
label must contain the information indicated in Exhibit 122.63m.

(3) SCF Trays

(a) Trays for SCFs Serving a Single 3-Digit Area.
If, after preparing all possible full 5-digit trays, full optional city
trays (if applicable - see 562.233), and full 3-digit trays (and, at
the mailer's option, overflow trays to those destinations), there are pieces
remaining for a single 3-digit SCF listed in Exhibit 122.63c that are
not sufficient to fill a tray, they must be placed in a single 3-digit SCF
tray.  The pieces in the tray must be rubber-banded or otherwise secured into
packages and labeled as described in 562.231b and 561.22.
There is no minimum quantity for single 3-digit SCF trays, except for those in
First-Class mailings, which must contain at least 50 pieces for each 3-digit
ZIP Code area.  (See also the note in 562.231a(1) for instructions
concerning First-Class mailings where fewer than 50 pieces fill a tray.)  If a
second-class single 3-digit SCF tray contains pieces for only one optional
city listed in Exhibit 122.63a, the tray may be labeled as an
optional city tray under 562.233.  Other trays containing mail for
an SCF serving a single 3-digit area must be labeled as follows:




Line 1:Name of SCF, two-letter state abbreviation, followed by
3-digit ZIP Code prefix of pieces in tray (see Exhibit
122.63c)
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "ZIP+4 PRESORT"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:


MID-FLORIDA FL     327
FCM ZIP+4 PRESORT
FIRST BIOMDCL FAIRFAX VA



(b) Trays for SCFs Serving Multiple 3-Digit Areas.
If, after preparing all possible full 5-digit trays, full optional city
trays (if applicable - see 562.233), and full 3-digit trays (and, at
the mailer's option, overflow trays to those destinations), there are pieces
remaining for one of the SCFs that serve more than one 3-digit area (listed in
Exhibit 122.63d), an SCF tray must be prepared.  There is no minimum
quantity for these SCF trays, except for those in First-Class mailings, which
must contain at least 50 pieces for each 3-digit ZIP Code area contained in
the tray.  (See also the note in 562.231b(1) for instructions
concerning First-Class mailings where a full tray may contain less than 50
pieces for a 3-digit ZIP Code area.)  For all classes of mail, pieces must be
grouped by 3-digit area within the tray.  When there is less than a full tray,
the pieces in the tray must be packaged and labeled as described in
562.231b and 561.22.  Packages must contain mail for only
one 3-digit ZIP Code area.  If the tray contains pieces for only one 3-digit
ZIP Code area served by the SCF the tray must be labeled as a 3-digit tray
under 562.232b(2), except that if a second-class SCF tray contains
pieces for only one optional city listed in Exhibit 122.63a, the
tray may be labeled as an optional city tray under 562.233.  Trays
containing pieces for multiple 3-digit areas must be labeled as follows:




Line 1:Letters "SCF" followed by name of SCF, two-letter state
abbreviation of SCF, and 3-digit SCF code shown in
Exhibit 122.63d
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "ZIP+4 PRESORT"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:


SCF SAN ANTONIO TX  780
3C ZIP+4 PRESORT
DR PATERNO BIGFOOT TX



Exception:  If the qualifying portion of the mailing includes only
mail for automated sites listed in Exhibit 122.63m, within 3-digit
and SCF trays, preparation of 5-digit trays is not required.  See the
exception to 562.232b(1).  For these automated site mailings, Line 1
of the tray label must contain the information indicated in Exhibit
122.63n.  Where there is no SCF listed for a given 3-digit area in
Exhibit 122.63n, the mailer may prepare a less than full tray for that
3-digit area labeled as a 3-digit tray under 562.232b(2), except
that line 1 must show the information in Exhibit 122.63m.  The
pieces in these less than full trays must be packaged and labeled as 3-digit
packages as described in 561.22.  For second-class mailings
prepared under this automated site option, optional city trays are not
permitted.

562.233  Optional Tray Sortation for Second-Class Mailings Only

a. General.
The requirements in 561.4 must be met.

b. Second-Class Optional City Trays.
After preparing all possible full 5-digit trays (and, at the mailer's
option,overflow 5-digit trays), and before preparing 3-digit trays,
second-class mailers may prepare optional city trays for the multi-ZIP Coded
cities listed in Exhibit 122.63a.  Trays that are not full are
prohibited, except that one overflow tray per optional city is permitted as
provided in 561.44.  Trays must be labeled as follows:




Line 1:Name of optional city in Exhibit 122.63a,
two-letter state abbreviation, and lowest 5-digit ZIP Code
served by city
Line 2:Contents (2C or NEWS) followed by "ZIP+4 PRESORT" and
directly under ZIP Code on Line 1 "CITY"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location

Example:


LA JOLLA CA           92037
NEWS ZIP+4 PRESORT   CITY
DEUCE MAILING CO BIGFOOT TX



Note:  For mailings prepared under the automated site option (see
exception to 562.232b(3)(b), preparation of optional city trays is
not permitted.

562.24  Residual Mail

562.241  General.
There is no residual mail for secondand third-class mailings.
Residual mail for First-Class mailings consists of those pieces that
cannot be placed in full 5-digit or 3-digit trays, are not placed in overflow
trays, and are not of sufficient quantity to be part of a group of 50 or more
pieces to a 3-digit ZIP Code area within an SCF tray.

562.242  Preparation of First-Class Residual Pieces.
Residual pieces must be placed in trays that are separate from trays of
qualifying pieces.  The pieces in residual trays in First-Class mailings must
be prepared in one of the following two ways:

a.  ZIP Code Sequence and Listing Option.
Under this option, residual pieces must be placed in residual trays in
3-digit ZIP Code sequence.  When a tray is less than full, the pieces in the
tray must be packaged by 3-digit area and labeled as described in
561.22.  Mailers must provide a listing by 3-digit area of the
number of pieces that bear a correct ZIP+4 code (see 530) and the
number of pieces that do not as described in 562.25.  Trays must be
labeled as follows:




Line 1:Word "RESIDUAL" followed by 3-digit ZIP Code range of
pieces in tray
Line 2:Words "FCM ZIP+4"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

RESIDUAL 010-590
FCM ZIP+4
XYZ CORP BIGFOOT TX



b.  Physical Separation Option.
Under this option, residual pieces bearing correct ZIP+4 codes (see
530) must be separately trayed from residual pieces bearing 5-digit
ZIP Codes.  Within each tray, the pieces must be separated into groups of 100
pieces.  The groups of 100 must be separated by separator cards.  When the
tray is full, no further preparation is required.  When the tray is less than
full, pieces must also be secured into packages as described in
561.221 within each group of 100 pieces.  When there are less than
100 pieces in a group at the end of the last tray for either of the two types
of trays (those containing pieces with correct ZIP+4 codes and those
containing pieces with correct 5-digit ZIP Codes) the actual number of pieces
in the group must be written on the separator card.  The total number of
residual pieces that bear correct ZIP+4 codes (see 530) and the
total number of pieces that do not must be added to the summary portion of the
documentation required in 562.252a(3) or 562.252b(3).
Residual trays must be labeled as follows:

(1)  Trays Containing ZIP+4 Coded Pieces




Line 1:Word "RESIDUAL"
Line 2:FCM ZIP+4
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

RESIDUAL
FCM ZIP+4
XYZ CORP BIGFOOT TX



(2)  Trays Containing Pieces Not ZIP+4 Coded




Line 1:Word "RESIDUAL"
Line 2:FCM
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

RESIDUAL
FCM
XYZ CORP BIGFOOT TX



562.25  Documentation

562.251  When Not Required.
The documentation described in 562.252 is not required when every
piece in the mailing bears the correct ZIP+4 code and every piece in the
mailing bears the correct postage at the rate for which it qualifies.
However, a listing of overflow trays, as required by 561.44, must be
provided if applicable.

562.252  Information Required

a.  Tray Label Option

(1)  Sequence.
The documentation must be sequenced by level of sortation (5-digit,
second-class optional city if applicable, 3-digit, and SCF) and must show, for
each tray in each group, a unique tray number or the exact top line of the
tray label.  In the 5-digit portion and second-class optional city portion,
the contents of each tray must be detailed by 5-digit ZIP Code.  In both
the 3-digit portion and the SCF portion the contents of each tray must be
detailed by 3-digit ZIP Code prefix.  For First-Class mailings having residual
pieces prepared under 562.242a, the documentation must also include
a residual section that lists the residual portion by unique tray number or
the exact top line of the tray label, and details the contents of each
residual tray by 3-digit ZIP Code prefix.

(2) Information.
Each ZIP Code entry must describe the number of pieces qualifying for each
rate category and the number of pieces prepared with a correct ZIP+4 code.
For optional city (second-class only), 3-digit, and SCF trays (and for
First-Class residual trays prepared under 562.242a), the
documentation must show a subtotal for the number of pieces at each rate
category, the number of pieces with a correct ZIP+4 code, and the total number
of pieces in the tray.

(3) Summary.
For the entire mailing, the listing must be summarized to show the total
number of pieces in each rate category, the number prepared with a correct
ZIP+4 code, the total number of pieces in the mailing, and the total postage
(or additional postage due) for the mailing.  When the physical separation
option in 562.242b is used to prepare residual mail, the summary must
also include the number of residual pieces in each rate category, and the
number of residual pieces prepared with a correct ZIP+4 code, from the
hand-counted residual portion of the mailing.  The summary may also include
the listing of overflow trays required by 561.44, if applicable.

(4)  Presentation of Trays.
With this option, the trays do not have to be presented for acceptance in
any particular order.

b.  ZIP Code Option

(1) Sequence.
The documentation must be sequenced by level of sortation (5-digit,
second-class optional city if applicable, 3-digit, and SCF).  In the 5-digit
portion and second-class optional city portion, the entries must be listed by
5-digit ZIP Code.  In both the 3-digit portion and the SCF portion, the
entries must be listed by 3-digit ZIP Code prefix.  For First-Class mailings
having residual pieces prepared under 562.242a, the documentation
must also include a residual section, which lists the contents of First-Class
residual trays by 3-digit ZIP Code prefix.

(2)  Information.
For each entry, the documentation must show the number of pieces in each
rate category, the number of pieces prepared with a correct ZIP+4 code, and
the total number of pieces.

(3)  Summary.
For the entire mailing, the listing must be summarized to show the total
number of pieces in each rate category, the total number of pieces prepared
with a ZIP+4 code, the total number of pieces in the mailing, and the total
postage (or additional postage due) for the mailing.  When the physical
separation option in 562.242b is used to prepare residual mail, the
summary must also include the number of residual pieces in each rate category,
and the number of residual pieces prepared with a correct ZIP+4 code, from the
hand-counted residual portion of the mailing.  The summary may also include
the listing of overflow trays required by 561.44, if applicable.

(4)  Presentation of Trays.
With this option, the trays must be separated by level of sortation and,
within each, grouped by destination, when presented for acceptance.

563  Presorted ZIP+4 Barcoded Mail Tray-Based Preparation Requirements

563.1  (Reserved)

563.2 Requirements

563.21  Required Percentage of ZIP+4 Barcoded Pieces

563.211  85% Requirement for the Entire Mailing.
At least 85% of the total number of pieces in a tray-based ZIP+4 Barcoded
rate mailing must bear the correct ZIP+4 barcode or correct delivery point
barcode prepared as required by 530 and 550.  The barcodes
may be placed either in the address block or in the lower right corner of the
mailpiece as required by 550.  All pieces must also bear the correct
numeric ZIP+4 code or correct numeric 5-digit ZIP Code in the address.

563.212  100% Requirement for the Pieces in 5-Digit Trays.
Except as provided in 563.213, each piece placed in a 5-digit
tray must bear the correct ZIP+4 barcode or correct delivery point barcode
prepared as required by 530 and 550.  Each piece must also
bear either the correct numeric ZIP+4 code or correct numeric 5-digit ZIP Code
in the address.

Note:  The 5-digit trays are optional, and need be prepared only if
the mailer wishes to qualify pieces for the 5-digit ZIP+4 Barcoded rates.

563.213  Limited Exception to 100% Requirement in 5-Digit Trays.
Until December 20, 1992, mailers are not required to meet the requirement
of 563.212.  The overall 85% requirement in 563.211,
however, must be met for all mailings.

563.22  Rate Eligibility

563.221  First-Class Mail

a. 5-Digit Trays

(1)  5-Digit Trays Meeting 100% ZIP+4 or Delivery Point Barcoded
Requirement.
In 5-digit trays meeting the 100% ZIP+4 barcoded or delivery point barcoded
requirement of 563.212, each piece may qualify for the 5-digit ZIP+4
Barcoded rate.  All 5-digit trays must be full trays (see 561.43) or
overflow trays (see 561.44).

(2) 5-Digit Trays Submitted Under Limited Exception in 563.213.
Pieces that bear the correct ZIP+4 barcode or correct delivery point
barcode may qualify for the 5-digit ZIP+4 Barcoded rate.  Pieces without a
ZIP+4 barcode or delivery point barcode may qualify for the ZIP+4 Presort rate
if they bear the correct numeric ZIP+4 code in the address and meet the
requirements of 540.  Other pieces qualify for the Presorted
First-Class rate.  All 5-digit trays must be full trays (see 561.43) or
overflow trays (see 561.44).

b.  3-Digit and SCF Trays.
Pieces that bear the correct ZIP+4 barcode or correct delivery point
barcode in 3-digit and SCF trays may qualify for the 3-digit ZIP+4 Barcoded
rate.  Pieces without a ZIP+4 barcode or delivery point barcode may qualify
for the ZIP+4 Presort rate if they bear the correct numeric ZIP+4 code in the
address and meet the requirements of 540.  Other pieces qualify for
the Presorted First-Class rate.  In 3-digit and SCF trays, there must be at
least 50 pieces for each 3-digit ZIP Code destination.  All 3-digit and SCF
trays must be full trays (see 561.43) or overflow trays (see
561.44).

c.  Residual Trays.
Pieces that bear the correct ZIP+4 barcode or correct delivery point
barcode in residual trays may qualify for the nonpresorted ZIP+4 Barcoded rate
if the pieces are eligible for the card rates or the nonpresorted ZIP+4 rates
if the pieces are other than cards.  Residual pieces that do not bear a ZIP+4
barcode or delivery point barcode may qualify for the nonpresorted ZIP+4 rate
if they bear a correct numeric ZIP+4 code in the address and meet the
requirements of 540.  Other pieces qualify for the single-piece
First-Class rate.

563.222  Second-Class Mail

a. 5-Digit Trays

(1) 5-Digit Trays Meeting 100% ZIP+4 or Delivery Point Barcoded
Requirement.
In 5-digit trays, each piece may qualify for the level B5/H5/J5 ZIP+4
Barcoded rates.  All 5-digit trays must be full trays (see 561.43)
or overflow trays (see 561.44) and must be 100% ZIP+4 barcoded or
delivery point barcoded.

(2) 5-Digit Trays Submitted Under Limited Exception in 563.213.
Pieces that bear the correct ZIP+4 barcode or correct delivery point
barcode may qualify for the level B5/H5/J5 ZIP+4 Barcoded rate.  Pieces
without a ZIP+4 barcode or delivery point barcode may qualify for the level
B5/H5/J5 ZIP+4 rate if they bear the correct numeric ZIP+4 code in the address
and meet the requirements of 540.  Other pieces qualify for the
level B5/H5/J5 presort rates.  All 5-digit trays must be full trays (see
561.43) or overflow trays (see 561.44).

b. Optional City Trays.
Pieces that bear the correct ZIP+4 barcode or correct delivery point
barcode in trays for an optional city listed in Exhibit 122.63a may
qualify for the level B3/H3/J3 ZIP+4 Barcoded rates.  Pieces without a ZIP+4
barcode or delivery point barcode may qualify for the level B3/H3/J3 ZIP+4
rates if they bear the correct numeric ZIP+4 code in the address and meet the
requirements of 540.  Other pieces qualify for the level B3/H3/J3
presort rates.  Optional city trays must be full trays (see 561.43)
or overflow trays (see 561.44).

c. 3-Digit Trays

(1) Unique 3-Digit Trays.
Pieces that bear the correct ZIP+4 barcode or correct delivery point
barcode in unique 3-digit trays may qualify for the level B3/H3/J3 ZIP+4
Barcoded rates.  Pieces without a ZIP+4 barcode or delivery point barcode may
qualify for the level B3/H3/J3 ZIP+4 rates if they bear the correct numeric
ZIP+4 code in the address and meet the requirements of 540.  Other
pieces qualify for the level B3/H3/J3 presort rates.  Unique 3-digit trays
must be full trays (see 561.43) or overflow trays (see
561.44).

(2) Non-Unique 3-Digit Trays.
Pieces that bear the correct ZIP+4 barcode or correct delivery point
barcode in non-unique 3- digit trays may qualify for the level A/G/J1 ZIP+4
Barcoded rates.  Pieces without a ZIP+4 barcode or delivery point barcode may
qualify for the level A/G/J1 ZIP+4 rates if they bear a correct numeric ZIP+4
code in the address and meet the requirements of 540.  Other pieces
qualify for the level A/G/J1 presort rates.  All 3-digit trays must be full
trays (see 561.43) or overflow trays (see 561.44).

c. SCF Trays.
Pieces that bear the correct ZIP+4 barcode or correct delivery point
barcode in SCF trays may qualify for the level A/G/J1 ZIP+4 Barcoded rates.
Pieces without a ZIP+4 barcode or delivery point barcode may qualify for the
level A/G/J1 ZIP+4 rates if they bear a correct numeric ZIP+4 code in the
address and meet the requirements of 540.  Other pieces qualify for
the level A/G/J1 presort rates.  All SCF trays must be full trays (see
561.43) or overflow trays (see 561.44).

d. Residual Trays.
Pieces that bear the correct ZIP+4 barcode or correct delivery point
barcode in residual trays may qualify for the level A/G/J1 ZIP+4 Barcoded
rates.  Residual pieces without a ZIP+4 barcode or delivery point barcode may
qualify for the level A/G/J1 ZIP+4 rates if they bear a correct numeric ZIP+4
code in the address and meet the requirements of 540.  Other pieces
qualify for the level A/G/J1 presort rates.

563.223  Third-Class Mail

a.  5-Digit Trays

(1)  5-Digit Trays Meeting 100% ZIP+4 or Delivery Point Barcoded
Requirement.
In 5-digit trays meeting the 100% ZIP+4 barcoded or delivery point barcoded
requirement of 563.212, each piece may qualify for the 5-digit ZIP+4
Barcoded rate.  All 5-digit trays must be full trays (see 561.43) or
overflow trays (see 561.44).

(2)  5-Digit Trays Submitted Under Limited Exception in 563.213.
Pieces that bear the correct ZIP+4 barcode or correct delivery point
barcode may qualify for the 5-digit ZIP+4 Barcoded rate.  Pieces without a
ZIP+4 barcode or delivery point barcode may qualify for the 3/5 ZIP+4 rate if
they bear the correct numeric ZIP+4 code in the address and meet the
requirements of 540.  Other pieces qualify for the 3/5 presort rate.
 All 5-digit trays must be full trays (see 561.43) or overflow trays
(see 561.44).


b.  3-Digit and SCF Trays.
Pieces that bear the correct ZIP+4 barcode or correct delivery point
barcode in 3-digit and SCF trays may qualify for the 3-digit ZIP+4 Barcoded
rates.  Pieces without a ZIP+4 barcode or delivery point barcode may qualify
for the 3/5 ZIP+4 rates if they bear the correct numeric ZIP+4 code in the
address and meet the requirements of 540.  Other pieces qualify for
the 3/5 presort rate.  Both 3-digit and SCF trays must be full trays (see
561.43) or overflow trays (see 561.44).

c.  Residual Trays.
Pieces that bear the correct ZIP+4 barcode or correct delivery point
barcode in residual trays may qualify for the basic ZIP+4 Barcoded rates.
Residual pieces without a ZIP+4 barcode or delivery point barcode may qualify
for the basic ZIP+4 rates if they bear a correct numeric ZIP+4 code in the
address and meet the requirements of 540.  Other pieces qualify for
the basic presort rates.

563.23  Sortation Requirements

563.231 ZIP Code Grouping and Packaging

a. Grouping and Packaging in 5-Digit and 3-Digit Trays

(1)  Full Trays.
There are no ZIP Code grouping requirements for 5-digit, optional city
(second-class only), and 3-digit trays.  Packaging is not permitted in full
5-digit, optional city (secondclass mail only), and 3-digit trays containing
only pieces that do not exceed the width of trays.  Packaging is permitted
within trays containing pieces that exceed the width of trays when packaging
is required to maintain the orientation of the pieces within the trays as
described in 561.422.  Package labels are not required for this
packaging.

Note:  5-digit and 3-digit trays, as well as second-class optional
city trays, are required to be full (see 563.232b(1),
563.232b(2) and 563.233) except that less than full
overflow trays are permitted as provided in 561.44.  For First-Class
mailings, there must be at least 50 pieces for each 3- digit ZIP Code area.
If less than 50 pieces fill a 3-digit tray (pieces exceeding the height and
width of trays) the remaining pieces to that 3-digit ZIP Code area must be
placed in another full 3-digit tray if possible, a 3-digit overflow tray, or
an SCF tray.

(2)  Overflow Trays.
The pieces in overflow trays to 5-digit and 3-digit destinations, as well
as pieces in overflow trays to second-class optional city destinations, must
be packaged to maintain their orientation.  Overflow trays are less than full
by definition (see 561.44).  All packages in overflow trays must be
labeled as 5-digit, 3-digit, or (within second-class mailings only) optional
city packages as appropriate.  See 561.22 for other requirements on
securing and labeling packages.

b.  Grouping/Packaging in SCF Trays

(1)  First-Class Mailings

(a)  Full Trays.
There must be at least 50 pieces for each 3-digit ZIP Code area within SCF
trays.  SCF trays must be full (see 563.232b(3)) except for overflow
trays as provided in 561.44.  Within SCF trays for SCFs serving more
than 3-digit ZIP Code area, pieces for the same 3-digit ZIP Code area must be
grouped together.  Although it is recommended that groups of 50 or more pieces
for the same 3-digit area be placed in the trays in numeric sequence, this is
not required.  For example, in a tray containing pieces for 023 and 024 for
the Brockton, MA SCF, it is permissible for all the pieces for 024 to be
grouped together in front of the pieces for 023; but it is recommended that
the pieces for 024 be placed behind the pieces for 023.  Packaging is not
permitted in full SCF trays of pieces that do not exceed the width of trays.
Packaging is permitted for pieces that exceed the width of trays when it is
used to maintain the orientation of the pieces within the trays as described
in 561.422.  Package labels are not required for this packaging.

Note:  If less than 50 pieces fill a tray, or in other situations
where a group of 50 or more pieces for the same 3-digit ZIP Code area cannot
fit in the same SCF tray, the remaining pieces to that 3-digit ZIP Code area
must be placed in another full SCF tray or in an SCF overflow tray.

(b)  Overflow Trays.
The pieces in First-Class SCF overflow trays (less than full by definition)
must be packaged to maintain their orientation.  Such packages must contain
mail for only one 3-digit ZIP Code area and must be labeled as 3-digit
packages.  See 561.22 for further requirements on securing and
labeling packages.

(2)  Secondand Third-Class Mailings

(a) Full Trays.
There is no minimum quantity requirement for individual 3-digit ZIP Code
areas in SCF trays of secondand third-class mail.  However, SCF trays
must be full (except for overflow trays as provided in 561.44.)
Pieces for each 3-digit ZIP Code area contained within the tray must be
grouped together.  Although it is recommended that groups of pieces for the
same 3-digit area be placed in the trays in numeric sequence, this is not
required.  For example, in a tray containing pieces for 023 and 024 for the
Brockton, MA SCF, it is permissible for all the pieces for 024 to be grouped
together in front of the pieces for 023; but it is recommended that the pieces
for 024 be placed behind the pieces for 023.  Packaging is not permitted in
full SCF trays that contain only pieces that do not exceed the width of trays.
 Packaging is permitted within full SCF trays containing pieces that exceed
the width of trays when packaging is used to maintain the orientation of the
pieces within the trays as described in 561.422.  Package labels are
not required for this packaging.

(b) Overflow Trays.
The pieces in secondand third-class SCF overflow trays (which are less
than full by definition) must be packaged to maintain their orientation in the
tray.  Each package must contain mail for only one 3-digit ZIP Code area and
must be labeled as a 3-digit package, except that in second-class mailings the
package may be labeled as an optional city package if each piece in the
package is for one of the optional cities listed in Exhibit
122.63a.

c.  Grouping/Packaging in Residual Trays.
See 563.232c.

563.232 Traying Requirements

a.  General.
The requirements in 561.2 must be met.

b.  Required Tray Sortation--Qualifying Pieces

(1)  5-Digit Trays.
If there are enough pieces to the same 5- digit destination to fill a tray,
a 5-digit tray may be prepared for that destination.  Preparation of 5-digit
trays is required only if the Firstor third-class 5-digit ZIP+4 Barcoded
rates or second-class level B5/H5/J5 ZIP+4 Barcoded rates are claimed.  Trays
that are not full are prohibited, except for overflow trays as provided in
561.44.  All 5-digit trays must be labeled as follows:




Line 1:City, two-letter state abbreviation, and 5-digit ZIP Code
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "Z+4 BARCODED" or "Z+4 B/C"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:


DETROIT MI      48235
FCM Z+4 BARCODED
NB COMPANY UNION SC



(2)  3-Digit Trays.
If there are enough pieces to fill a tray for a 3-digit ZIP Code area, a
3-digit tray must be prepared for that destination.  For First-Class Mail,
there must be at least 50 pieces for each 3-digit ZIP Code area.  For all
classes of mail, 3- digit trays that are not full are prohibited, except for
overflow trays as provided in 561.44.  (See also the note in
563.231a(1) for instructions concerning First-Class mailings where a
full tray may contain less than 50 pieces.)  Within mailings in which the
Firstor third-class 5-digit ZIP+4 Barcoded rates or second-class level
B5/H5/J5 rates are claimed, 3-digit trays may be prepared only after all
possible 5-digit trays have been prepared.  In second-class mailings the
mailer may elect to prepare optional city trays to obtain the level B3/H3/J3
ZIP+4 Barcoded rates (see 563.233); if so, optional city trays must
be prepared before preparing 3-digit trays.  All 3-digit trays must be labeled
as follows:

(a)  Unique 3-Digit ZIP Code Prefixes




Line 1:City, two-letter state abbreviation, and unique 3-digit
prefix listed in Exhibit 122.63b
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "Z+4 BARCODED" or "Z+4 B/C"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

PHILADELPHIA PA    191
3C Z+4 BARCODED
ROCKET CO ROCHESTER NY



(b)  Other 3-Digit ZIP Code Prefixes




Line 1:Name of SCF and two-letter state abbreviation of SCF,
followed by 3-digit prefix of pieces in tray (see
Exhibit 122.63c or Exhibit 122.63d for
name of SCF serving 3-digit ZIP Code area)
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "Z+4 BARCODED" or "Z+4 B/C"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

NORTHERN VIRGINIA VA   221
NEWS Z+4 BARCODED
ABC MAILING CO ROCHESTER NY



(3)  SCF Trays.
After traying mail to 5-digit areas under 563.232b(1) (if
applicable), to optional cities under 563.233 (if applicable for
second-class mailings), and to 3- digit areas under 563.232b(2), if
there are enough pieces to fill a tray for one of the SCF areas listed in
Exhibit 122.63d, an SCF tray must be prepared for that destination.
For First-Class Mail, there must be at least 50 pieces for each 3-digit ZIP
Code area.  For all classes of mail, pieces for the same 3-digit area must be
grouped together within the tray.  SCF trays that are not full are prohibited,
except for overflow trays as provided in 561.44.  (See also the note
in 563.231b(1) for instructions concerning First-Class mailings
where a full tray may contain less than 50 pieces for a 3-digit area.)  SCF
trays must be labeled as follows:




Line 1:Letters "SCF," followed by name of SCF, two-letter state
abbreviation of SCF, and 3-digit ZIP Code prefix for SCF
shown in Exhibit 122.63d
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "Z+4 BARCODED" or "Z+4 B/C"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

SCF SAN ANTONIO TX   780
3C Z+4 B/C
DR PATERNO BIGFOOT TX



Note:  An overflow SCF tray that contains pieces for only one
3-digit ZIP Code area must be labeled as a 3-digit tray as described in
563.232b(2), except that an SCF tray in a secondclass mailing which
contains pieces for only one optional city listed in Exhibit 122.63a
may be labeled as an optional city tray as described in 563.233.
c.  Tray Sortation--Residual Pieces.
Residual pieces are those that cannot be trayed as required by
563.232b.  Residual pieces must be placed in trays that are separate
from trays of qualifying pieces.  The pieces in residual trays must be
prepared in one of the following ways:

(1)  Option 1:  ZIP Code Sequencing and Listing.
Residual pieces must be placed in residual trays in 3-digit ZIP Code
sequence.  Pieces in less than full residual trays must be packaged by 3-digit
area and labeled as 3-digit packages.  Each package must contain mail for only
one 3-digit area.  See 561.22 for further requirements on securing
and labeling packages.  Mailers must provide a listing by 3-digit area of the
various rate qualification categories as described in 563.242.
Trays must be labeled as follows:




Line 1:Word RESIDUAL followed by 3-digit ZIP Code range  of
pieces in tray
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C LTRS) followed by "ZIP+4 BARCODED"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

RESIDUAL 010-590
FCM ZIP+4 BARCODED
XYZ CORP BIGFOOT TX



(2)  Option 2: Physical Separation.
Residual pieces that bear correct ZIP+4 or delivery point barcodes must be
separately trayed from those residual pieces that do not.  Pieces that do not
bear ZIP+4 barcodes or delivery point barcodes must be further separated so
that pieces bearing a correct numeric ZIP+4 code in the address and meeting
the requirements of 540, are separately trayed from other pieces.
Within each of the resulting trays, the pieces must be separated into groups
of 100 pieces.  The groups of 100 must be delineated by separator tabs.  When
the tray is full, nothing further is required.  When the tray is less than
full, pieces must also be secured into packages as described in
561.221 within each group of 100 pieces.  When there are less than
100 pieces in a group at the end of the last tray for any of the three types
of trays (those containing ZIP+4 or delivery point barcoded pieces, those
containing the pieces with correct numeric ZIP+4 codes meeting the
requirements of 540, and those containing other pieces) the actual
number of pieces in the group must be written on the separator card.  The
total number of residual pieces in each rate category must be added to the
summary portion of the documentation required in 563.242.  Option 2
residual trays must be labeled as follows:

(a)  Trays Containing ZIP+4 or Delivery Point Barcoded Mail




Line 1:Word "RESIDUAL"
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C LTRS) followed by "ZIP+4 BARCODED"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

RESIDUAL
FCM ZIP+4 BARCODED
XYZ CORP AUSTIN TX



(b)  Trays Containing Pieces Not ZIP+4 or Delivery Point Barcoded Bearing
Correct Numeric ZIP+4 Code in Address and Meeting Requirements of 540




Line 1:Word "RESIDUAL"
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C LTRS) followed by "ZIP+4 BARCODED"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

RESIDUAL
FCM ZIP+4
XYZ CORP AUSTIN TX



(c)  Trays Containing Other Pieces




Line 1:Word "RESIDUAL"
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C LTRS) followed by "ZIP+4 BARCODED"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

RESIDUAL
FCM
XYZ CORP AUSTIN TX


563.233 Optional Tray Sortation for Second-Class Mailings Only

a.  General.
The requirements in 561.4 must be met.

b.  Second-Class Optional City Trays.
Before preparing 3- digit trays, second-class mailers may prepare optional
city trays for the multi-ZIP Coded cities listed in Exhibit 122.63a.
 If the mailer chooses to prepare 5-digit trays, optional city trays may only
be prepared after preparing all possible full 5-digit trays.  Optional city
trays that are not full are prohibited, except that one overflow tray per
optional city is permitted as provided in 561.44.  Trays must be
labeled as follows:




Line 1:Name of optional city in Exhibit 122.63a,
two-letter state abbreviation, and lowest 5-digit ZIP Code
served by city
Line 2:Contents (2C or NEWS) followed by "ZIP+4 BARCODED" OR "Z
+ 4 BARCODED" and directly under ZIP Code on Line 1 "CITY"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location

Example:


LA JOLLA CA                      92037
NEWS ZIP+4 BARCODED              CITY
DEUCE MAILING CO BIGFOOT TX



563.24  Documentation

563.241  When Not Required.
The documentation described in 563.242 is not required when every
piece in the mailing bears the correct ZIP+4 barcode and each piece in the
mailing bears the correct postage at the rate for which it qualifies.
However, a listing of overflow trays, as required by 561.44, must be
provided if applicable.

563.242  Information Required

a.  Tray Label Option

(1)  Sequence.
The documentation must be sequenced by level of sortation (5-digit,
second-class optional city if applicable, 3-digit, and SCF) and must show, for
each tray in each group, a unique tray number or the exact top line of the
tray label.  For the 5-digit portion and second-class optional city portion,
the contents of each tray must be detailed by 5-digit ZIP Code.  For both
the 3-digit portion and the SCF portion, the contents of each tray must be
detailed by 3-digit ZIP Code prefix.  When residual mail is prepared under
Option 1: ZIP Code Sequencing and Listing, set forth in 563.232c(1),
the documentation must also include a residual section that lists residual
trays by unique tray number or by the exact top line of the tray label, and
the contents of residual trays must be detailed by 3-digit ZIP Code prefix.

(2)  Information.
Each ZIP Code entry must describe the number of pieces qualifying for each
rate category and the number of pieces prepared with a correct ZIP+4 barcode
or delivery point barcode.  For 3-digit and SCF trays, and second-class
optional city trays (if applicable), the documentation must show a subtotal
for the number of pieces at each rate category, the number of pieces with a
correct ZIP+4 barcode or delivery point barcode, and the total number of
pieces in the tray.  For residual mail prepared under Option 1: ZIP Code
Sequencing and Listing, set forth in 563.232c(1), the documentation
must show a subtotal for the number of pieces at each rate category, the
number of pieces with a ZIP+4 barcode, and the total number of pieces in the
tray.

(3)  Summary.
For the entire mailing, the listing must be summarized to show the total
number of pieces in each rate category, the number prepared with a correct
ZIP+4 barcode or delivery point barcode, the total number of pieces in the
mailing, and the total postage (or additional postage due) for the mailing.
When Option 2: Physical Separation, in 563.232c(2), is used to
prepare residual mail, the summary must also include the number of residual
pieces in each rate category, and the number of residual pieces prepared with
a ZIP+4 barcode from the hand-counted residual portion of the mailing.  The
summary may also include the listing of overflow trays required by
561.44, if applicable.

(4)  Presentation of Trays.
With this option, the trays do not have to be presented for acceptance in
any particular order.

b.  ZIP Code Option

(1)  Sequence.
The documentation must be sequenced by level of sortation (5-digit,
second-class optional city if applicable, 3-digit, and SCF).  For the 5-digit
portion and second-class optional city portion, the entries must be listed by
5-digit ZIP Code.  For both the 3-digit portion and the SCF portion, the
entries must be listed by 3-digit ZIP Code prefix.  When residual mail is
prepared under Option 1: ZIP Code Sequencing and Listing, set forth in
563.232c(1), the documentation must also include a residual section,
which lists the contents of residual trays by 3-digit ZIP Code prefix.

(2)  Information.
For each entry, the documentation must show the number of pieces in each
rate category, the total number of pieces prepared with a ZIP+4 barcode, and
the total number of pieces.

(3)  Summary.
For the entire mailing, the listing must be summarized to show the total
number of pieces in each rate category, the total number of pieces prepared
with a ZIP+4 barcode, the total number of pieces in the mailing, and the total
postage (or additional postage due) for the mailing.  When Option 2: Physical
Separation, in 563.232c(2), is used to prepare residual mail, the
summary must also include the number of residual pieces in each rate category,
and the number of residual pieces prepared with a ZIP+4 barcode from the
hand-counted residual portion of the mailing.  The summary may also  include
the listing of overflow trays required by 561.44, if applicable.

(4)  Presentation of Trays.
With this option, the trays must be separated by level of sortation when
presented for acceptance.

564  Package-Based Preparation Requirements--ZIP+4 Barcoded Rate
Mailings

564.1  General Requirements

564.11  Description of a Mailing.
A single ZIP+4 Barcoded rate mailing prepared under this section may be
made up of three presort tiers, the 5-digit presort tier, the 3-digit presort
tier, and the residual/basic presort tier.  Rates for pieces in the mailing
are based on the presort tier in which they appear (see 564.2).
Mailers may:

a.
Include all three presort tiers in a single mailing.   That is, submit the
5-digit, 3-digit, and residual/basic  presort tiers in a single mailing,
provided the mailing is presorted for the 5-digit tier before presorting to
the 3-digit tier;

b.
Submit the 5-digit presort tier as a separate mailing; or

c.
Submit a 3-digit and residual/basic portion as a single mailing.
Mailings must be presorted to the 3-digit tier before preparing the
residual/basic portion.  Mailers may not submit a mailing that consists of
only a residual/basic presort tier, if the mailing includes any pieces that
are eligible for the 3-digit presort tier.


564.12  Description of Presort Tiers

564.121  5-Digit Presort Tier.
The 5-digit presort tier consists of groups of 10 or more pieces per
5-digit area, sorted as required by 564.3 and placed in 5-digit,
3-digit, or SCF trays.  Both 5-digit and 3-digit trays must be full; SCF trays
may be less than full.  The 10-piece minimum per 5-digit area applies to all
classes of mail.  All pieces in the 5-digit presort tier must contain the
correct ZIP+4 barcode or delivery point barcode (see 564.132).

Note:  The 5-digit presort tier is required only if 5-digit ZIP+4
Barcoded rates are claimed.

564.122  3-Digit Presort Tier.
The 3-digit presort tier consists of groups of 50 or more pieces per
3-digit area, sorted as required by 564.4 and placed in 3-digit or
SCF trays.  All 3-digit trays must be full; SCF trays may be less than full.
The 50-piece minimum per 3-digit area applies to all classes of mail.

564.123  Residual Presort Tier.
The residual presort tier consists of pieces remaining after performing
5-digit sortations under 564.3 (if applicable) and 3-digit sortations
under 564.4.  The residual tier must be sorted to one of the
following three options:

a.
Trayed separately in 3-digit ZIP Code sequence as described in
564.521.

b.
Packaged, labeled, and placed in SCF trays with qualifying pieces in the
3-digit tier of the mailing as described in 564.522.

c.
Physically separated by rate category as described in 564.523.

564.13  Required Percentage of ZIP+4 Barcoded Pieces

564.131  85% Requirement for the Entire Mailing.
At least 85% of the total number of pieces in a packaged-based ZIP+4
Barcoded rate mailing must bear the correct ZIP+4 barcode or delivery point
barcode prepared as required by 530 and 550.  The barcodes
may be placed in either the address block or the lower right corner of the
mailpiece as required by 550.  Each piece must also bear either the
correct numeric ZIP+4 code or correct numeric 5-digit ZIP Code in the address.

564.132  100% Requirement for Pieces in 5-Digit Presort Tier.
All pieces within the 5-digit presort tier (see 564.211 and
564.3) must bear the correct ZIP+4 barcode or delivery point barcode
prepared as required by 530 and 550.  Each piece must also
bear either the correct numeric ZIP+4 code or correct numeric 5-digit ZIP Code
in the address.

564.2  Rate Eligibility

564.21  First-Class Mailings

564.211  5-Digit Presort Tier (Groups of 10 or More Pieces Per 5-Digit
Area in 5-Digit, 3-Digit, and SCF Trays).
All pieces within the 5-digit presort tier prepared under 564.3
can qualify for the 5-digit ZIP+4 Barcoded rate.  Only pieces bearing a
correct ZIP+4 barcode or delivery point barcode may be included in this
presort tier.

564.212  3-Digit Presort Tier (Qualifying Groups of 50 or More Pieces Per
3-Digit Area in 3-Digit and SCF Trays).
Within the 3-digit presort tier prepared under 564.4, pieces that
bear the correct ZIP+4 barcode or delivery point barcode and meet the
requirements of 550 can qualify for the 3-Digit ZIP+4 Barcoded rate;
pieces that do not bear a ZIP+4 barcode or delivery point barcode but bear the
correct numeric ZIP+4 code in the address and meet the requirements of
540 can qualify for the ZIP+4 Presort rate; and other pieces qualify
for the Presorted First-Class rate.

564.213  Residual Presort Tier.
Within the residual presort tier prepared under 564.5, pieces
that bear the correct ZIP+4 barcode or delivery point barcode and meet the
requirements of 550 can qualify for the nonpresorted ZIP+4 Barcoded
rates if they also meet the requirements for the card rates (see
311.11, 322, and 328), otherwise they can
qualify for the nonpresorted ZIP+4 rate; pieces that do not bear a ZIP+4
barcode or delivery point barcode but bear the correct numeric ZIP+4 code in
the address and meet the requirements of 540 can qualify for the
nonpresorted ZIP+4 rate; and other pieces qualify for the single-piece
First-Class rates.

564.22  Second-Class Mailings

564.221  Five-Digit Presort Tier (Groups of 10 or More Pieces Per 5-Digit
Area in 5-Digit, 3-Digit, and SCF trays).
All pieces within the 5-digit presort tier prepared in accordance with
564.3 may qualify for the level B5/H5/J5 ZIP+4 Barcoded rates.  Only
pieces bearing a correct ZIP+4 barcode or delivery point barcode may be
included in this presort tier.

564.222  Three-Digit Presort Tier (Groups of 50 or More Pieces Per 3-Digit
Area or per Optional City in Optional City, 3-Digit, and SCF Trays)

a.  Unique 3-Digit Packages and Optional City Packages.
Within the 3-digit presort tier, groups of 50 or more pieces for a unique
3-digit ZIP Code area listed in Exhibit 122.63b and groups of 50 or
more pieces for a multicoded city listed in Exhibit 122.63a can
qualify for rates as follows:  (1) pieces that bear the correct ZIP+4 barcode
or delivery point barcode and meet the requirements of 550 can
qualify for the level B3/H3/J3 ZIP+4 Barcoded rates; (2) pieces that do not
bear a ZIP+4 barcode or delivery point barcode that bear the correct numeric
ZIP+4 code in the address and meet the requirements of 540 can
qualify for the level B3/H3/J3 ZIP+4 rates; (3) other pieces qualify for the
level B3/H3/J3 presort rates.

b. Non-Unique 3-Digit Packages.
Within the 3-digit presort tier, groups of 50 or more pieces to a
non-unique 3-digit ZIP Code area that are not part of a group of 50 or more
pieces for an optional city listed in Exhibit 122.63a will qualify
for rates as follows:  (1) pieces that bear the correct ZIP+4 barcode or
correct delivery point barcode can qualify for the level A/G/J1 ZIP+4 Barcoded
rates; (2) pieces without a ZIP+4 barcode or delivery point barcode can
qualify for the level A/G/J1 ZIP+4 rates if they bear a correct numeric ZIP+4
code in the address and meet the requirements of 540; (3) other
pieces qualify for the level A/G/J1 presort rates.

Note:  The 3-digit presort tier can contain pieces at both level
B3/H3/J3 and A/G/J1 rates.  The documentation must properly reflect the
applicable rates as described in 564.62.

564.223 Residual Presort Tier.
Within the residual presort tier prepared under 564.5, pieces
that bear the correct ZIP+4 barcode or correct delivery point barcode can
qualify for the level A/G/J1 ZIP+4 Barcoded rates; pieces without a ZIP+4
barcode or delivery point barcode can qualify for the level A/G/J1 ZIP+4 rates
if they bear a correct numeric ZIP+4 code in the address and meet the
requirements of 540; and other pieces qualify for the level A/G/J1
presort rates.

564.23  Third-Class Mailings

564.231  5-Digit Presort Tier (Groups of 10 or More Pieces Per 5-Digit
Area in 5-Digit, 3-Digit, and SCF Trays).
All pieces within the 5-digit presort tier prepared under 564.3
can qualify for the 5-digit ZIP+4 Barcoded rate.  Only pieces bearing a
correct ZIP+4 barcode or delivery point barcode may be included in this
presort tier.

564.232  3-Digit Presort Tier (Qualifying Groups of 50 or More Pieces Per
3-Digit Area in 3-Digit and SCF Trays).
Within the 3-digit presort tier prepared under 564.4, pieces that
bear the correct ZIP+4 barcode or delivery point barcode and meet the
requirements of 550 can qualify for the 3-digit ZIP+4 Barcoded rate;
pieces that do not bear a correct ZIP+4 barcode or delivery point barcode but
bear the correct numeric ZIP+4 code in the address and meet the requirements
of 540 can qualify for the 3/5 ZIP+4 rates; and other pieces qualify
for the 3/5 presort rates.

564.233 Residual/Basic Presort Tier.
Within the residual presort tier prepared under 564.5, pieces
that bear the correct ZIP+4 barcode or delivery point barcode and meet the
requirements of 550 can qualify for the basic ZIP+4 Barcoded rates;
pieces that do not bear a ZIP+4 barcode or delivery point barcode but bear the
correct numeric ZIP+4 code in the address and meet the requirements of
540 can qualify for the basic ZIP+4 rates; and other pieces qualify
for the basic presort rates.

564.3 Sortation Requirements--5-Digit Presort Tier

564.31  Minimum Quantity Per 5-Digit Area.
There must be at least 10 ZIP+4 barcoded or delivery point barcoded pieces
for each 5-digit ZIP Code area in the 5-digit presort tier.  Only pieces with
a correct ZIP+4 barcode or delivery point barcode are permitted in the 5-digit
presort tier.  When there are fewer than 10 pieces for a 5-digit ZIP Code
area, the pieces for that 5-digit area must be placed in the 3-digit presort
tier or residual/basic presort tier of the mailing, or be submitted in a
separate mailing.

564.32  Grouping and Packaging Requirements

564.321  Grouping/Packaging in Full 5-Digit Trays.
There are no ZIP Code grouping or packaging requirements for full 5-digit
trays except for pieces that exceed the width of trays where packaging may be
used as the method to maintain the orientation of the pieces within the trays
as described in 561.422.  It is recommended that mail in full
5-digit trays not be packaged, except as provided in 561.422.
However, mailers are permitted to package pieces in full 5-digit trays as
provided in 561.22.  If packages are prepared, no package labels are
required.

564.322  Grouping/Packaging in Full 3-Digit and Full SCF Trays.
Within full 3-digit and full SCF trays, pieces for each 5-digit ZIP Code
area contained in the tray must be grouped together.  Although it is
recommended that groups of pieces for 5-digit ZIP Code areas be placed in
trays in numeric sequence it is not required (e.g., in a tray containing
pieces for ZIP Codes 12345 and 12346, all pieces for 12346 may be grouped in
front of the pieces for 12345, but it is preferred that all pieces for 12346
be placed behind the pieces for 12345).  The groups of pieces for different
5-digit areas must be delineated by either separator cards or by packaging.
Separator cards are the preferred method.  For pieces exceeding the width of
trays prepared under 561.422, however, separator tabs may be used
only if cardboard separators are used to maintain the orientation of pieces in
the trays.  If packages are prepared, each package must contain only mail for
a single 5-digit area.  Package labels are not required in full 3-digit and
full SCF trays.

564.323  Grouping/Packaging in Less Than Full SCF Trays.
Within less than full SCF trays, groups of pieces for each 5-digit ZIP Code
area must be secured together into packages as described in 561.22.
Each package must contain only mail for a single 5-digit area and must be
labeled as a 5-digit package as described in 561.222.  Packages for
the same 5-digit ZIP Code area must be grouped together in the tray.  It is
recommended that groups of packages for 5-digit areas be placed in trays in
numeric ZIP Code sequence.

564.33 Traying Requirements--5-Digit Presort Tier

564.331  General.
The requirements in 561.4 must be met.

564.332  Tray Sortation

a.  5-Digit Trays.
When there are enough pieces to the same 5-digit destination to fill a tray
(see 561.43), a 5-digit tray must be prepared for that destination.
Trays that are not full are prohibited.  Trays must be labeled as follows:



Line 1:City, two-letter state abbreviation, and 5-digit ZIP Code
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "5DG Z+4 BARCODED" or "5DG Z+4
B/C"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

DETROIT MI     48235
FCM 5DG Z+4 BARCODED
NB COMPANY UNION SC



b.  3-Digit Trays.
If, after preparing all possible full 5-digit trays, there are enough
pieces remaining to fill a tray for a 3-digit ZIP Code destination, a 3-digit
tray must be prepared.  Groups of pieces for each 5-digit ZIP Code area within
the tray must be delineated by separator tabs or packaging as set forth in
564.322.  Trays that are not full as described in 561.43
are prohibited.  Trays must be labeled as follows:

(1)  Unique 3-Digit ZIP Code Prefixes




Line 1:City, two-letter state abbreviation, and unique 3-digit
prefix listed in Exhibit 122.63b
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "5DG Z+4 BARCODED" or "5DG Z+4
B/C"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

PHILADELPHIA PA     191
3C 5DG Z+4 BARCODED
ROCKET CO ROCHESTER NY



(2)  Other 3-Digit ZIP Code Prefixes




Line 1:Name of SCF and two-letter state abbreviation of SCF,
followed by 3-digit prefix of pieces in tray (see
Exhibit 122.63c or Exhibit 122.63d for
name of SCF serving 3-digit ZIP Code area)
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "5DG Z+4 BARCODED" or "5DG Z+4
B/C"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

NORTHERN VIRGINIA VA    221
NEWS 5DG Z+4 BARCODED
ABC MAILING CO ROCHESTER NY



c.  SCF Trays

(1)  Trays for SCFs Serving Single 3-Digit Area.
If, after preparing all possible full 5-digit and full 3-digit trays, there
are pieces remaining for an SCF serving a single 3-digit area listed in
Exhibit 122.63c, that are not sufficient to fill a tray, they must
be placed in a single 3-digit SCF tray.  The minimum quantity of mail for a
single 3-digit SCF tray is 10 pieces for a 5-digit ZIP Code area (see
564.31).  The pieces in the tray must be secured into packages for
5-digit areas and labeled as described in 564.323 and
561.22.  If the tray contains pieces for only one 5-digit ZIP Code
area served by the SCF, the tray must be labeled as a 5-digit tray under
564.332a.  Trays containing pieces for more than one 5-digit area
must be labeled as follows:




Line 1:Name of the SCF, two-letter state abbreviation, followed
by 3-digit ZIP Code prefix of pieces in tray (see
Exhibit 122.63c)
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "5DG Z+4 BARCODED" or "5DG Z+4
B/C"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

MID-FLORIDA FL     327
2C 5DG Z+4 BARCODED
ABC CO BAKERSFIELD CA



(2)  Trays for SCFs Serving Multiple 3-Digit Areas.
If, after preparing all possible full 5-digit and full 3-digit trays, there
are pieces remaining for one of the SCFs serving more than one 3-digit area in
Exhibit 122.63d, an SCF tray must be prepared.  The minimum quantity
of mail for SCF trays is 10 pieces for a 5-digit ZIP Code area (see
564.31).  Groups of 10 or more pieces per 5-digit ZIP Code area
within SCF trays must be delineated by either separator cards or packaging in
full trays (see 564.322), and must be packaged and labeled in less
than full trays (see 564.323 and 561.22).  If the tray
contains pieces for only one 3-digit ZIP Code area served by the SCF, the tray
must be labeled as a 3-digit tray under 564.332b.  If the tray
contains pieces for only one 5-digit ZIP Code area served by the SCF, the tray
must be labeled as a 5-digit tray under 564.332a.  Trays containing
pieces for multiple 3-digit areas served by the SCF must be labeled as follows:




Line 1:Letters "SCF," followed by name of SCF, two-letter state
abbreviation of SCF, and 3-digit ZIP Code prefix for SCF
shown in Exhibit 122.63d
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "5DG Z+4 BARCODED" or "5DG Z+4
B/C"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

SCF SAN ANTONIO TX   780
3C 5DG Z+4 B/C
DR PATERNO BIGFOOT TX



564.4 Sortation Requirements--3-Digit Presort Tier

564.41  Minimum Quantity Per 3-Digit Area.
There must be at least 50 pieces for each 3-digit ZIP Code area contained
in the 3-digit presort tier.  For second-class mailings, groups of 50 or
more pieces for an optional city in Exhibit 122.63a may be prepared
before preparing groups of 50 or more pieces for the same 3-digit ZIP Code
area.  Residual/basic packages containing fewer than 50 pieces per 3-digit
ZIP Code area may be trayed with qualifying mail in SCF trays as provided in
564.522.  Such residual/basic pieces are considered part of the
residual/basic presort tier for rate qualification and documentation purposes.

564.42 Grouping and Packaging Requirements

564.421  Grouping/Packaging in Optional City Trays (Second-Class
Mailings Only).
Second-class mailers may choose to prepare groups of 50 or more pieces for
the optional cities listed in Exhibit 122.63a to obtain the level
B3/H3/J3 rates as described in 564.222a, before going on to prepare
groups of 50 or more pieces for 3-digit ZIP Code areas.   If mailers choose to
claim the level B3/H3/J3/ rates for optional cities in this manner, and there
is a full tray of this mail for the same optional city, an optional city tray
must be prepared as described in 564.433.  There are no grouping or
packaging requirements for optional city trays except for pieces that exceed
the width of trays where packaging is used as the method to maintain the
orientation of the pieces within the trays as provided in 561.422.
It is recommended that mail in optional city trays not be packaged (except as
in 561.422).  However mailers are permitted to package pieces in
optional city trays as provided in 561.22.  If pieces are packaged,
package labels are not required.

Note:  All optional city trays must be full (see 564.433 and
561.43) and there must be at least 50 pieces for each optional city
(see 564.41).  If, due to the size of the mailpieces, a full tray
holds less than 50 pieces and it is not possible for all the pieces for the
same optional city to be placed in the same tray, the remaining pieces must be
placed in another full optional city tray if possible.  In all instances where
it is not possible to fill another optional city tray with the pieces
remaining from a full optional city tray, the remaining pieces must be placed
in a 3-digit tray if possible, or an SCF tray.

564.422 Grouping/Packaging in 3-Digit Trays

a.  Firstand Third-Class Mailings.
There are no grouping or packaging requirements for 3-digit trays except
for pieces that exceed the width of trays where packaging is used as the
method to maintain the orientation of the pieces within the trays as provided
in 561.422.  It is recommended that mail in 3-digit trays not be
packaged (except as in 561.422).  However, mailers are permitted to
package pieces in 3-digit trays as provided in 561.22.  If pieces
are packaged, package labels are not required.

Note:  All 3-digit trays must be full (see 564.432a and
561.43) and there must be at least 50 pieces for each 3-digit ZIP
Code area (see 564.41).  If, due to the size of the mailpieces, a
full tray holds less than 50 pieces and it is not possible for all the pieces
for the same 3-digit ZIP Code area to be placed in the same tray, the
remaining pieces must be placed in another full 3-digit tray if possible.  In
all instances where it is not possible to fill another 3-digit tray with the
pieces remaining from a full 3-digit tray, the remaining pieces must be placed
in an SCF tray.

b.  Second-Class Mailings.
There are no grouping or packaging requirements for 3-digit trays except
when mailers choose to perform optional city sortations as described in
564.421 and 564.433 in order to claim level B3/H3/J3 rates
under 564.222a.  When optional city sortations are made, groups of
50 or more pieces for an optional city must be grouped together within 3-digit
trays.  Any remaining group of 50 or more pieces for the 3-digit ZIP Code area
that is not related to an optional city must be grouped together in the tray.

Note:  All 3-digit trays must be full (see 564.432a and
561.43) and there must be at least 50 pieces for each optional city
or 3-digit ZIP Code area (see 564.41).  If, due to the size of the
mailpieces, a full tray holds less than 50 pieces and it is not possible for
all the pieces for the same 3-digit ZIP Code area to be placed in the same
tray, the remaining pieces must be placed in another full 3-digit tray if
possible.  In all instances where it is not possible to fill another 3-digit
tray with the pieces remaining from a full 3-digit tray (either groups for
optional cities or groups for 3-digit areas), the remaining pieces must be
placed in an SCF tray.

564.423 Grouping/Packaging in SCF Trays

a.  Full SCF Trays.
In full SCF trays, each group of 50 or more pieces for a 3-digit ZIP Code
area contained in the tray must be grouped together (see the note in
564.422b).  For second-class mailings in which level B3/H3/J3
rates are claimed for groups of 50 or more pieces for the same optional city
(see 564.222a and 564.421), the pieces for each optional
city must be grouped together separate from other groups of 50 or more pieces
for the 3-digit area. Although it is recommended that groups of pieces for
3-digit ZIP Code areas be placed in trays in numeric sequence, it is not
required (e.g., in a tray containing pieces for 137 and 138, it is permissible
for all the pieces for 138 to be grouped in front of the pieces for 137, but
it is recommended that the pieces for 138 be placed behind the pieces for
137).  For pieces that exceed the width of trays and for which packaging is
used to maintain the orientation of the pieces in the tray as described in
561.422, the pieces in the tray must be packaged so that only mail
for the same 3-digit ZIP Code area is within a package.  Otherwise, packaging
is permissible but not required.  Packages must contain only mail for a single
3-digit ZIP Code area.  Package labels are not required in full SCF trays.

b.  Less Than Full SCF Trays.
Within less than full SCF trays, the groups of pieces for each 3-digit ZIP
Code area contained in the tray must be secured together into packages as
described in 561.221.  Each package must contain only mail for a
single 3-digit area and must be labeled as a 3-digit package as described in
561.222.  Within second-class mailings where mailers have opted
to claim the level B3/H3/J3 rates for groups of 50 or more pieces for the same
optional city (see 564.222a and 564.421), the pieces for
each optional city within the tray for which level B3/H3/J3 rates are claimed
must be secured together into packages and labeled as optional city packages
as described in 561.222.  Each optional city package must contain
only mail for a single optional city.  Packages for the same 3-digit ZIP
Code area must be grouped together in the tray.  It is recommended that groups
of packages for 3-digit areas be placed in trays in numeric ZIP Code sequence.

Note:  There must be at least 50 pieces for each qualifying 3-digit
ZIP Code area (see 564.41) placed in SCF trays.  Mailers must
place groups of 50 or more pieces for the same 3-digit ZIP Code in the same
tray whenever possible.  If, due to the size of the mailpieces, a full
tray holds less than 50 pieces and it is not possible for all the pieces for
the same 3-digit ZIP Code area to be placed in the same tray, the group of 50
pieces may be split between trays.  Splitting of groups of 50 or more pieces
for a 3-digit area between different SCF trays when necessary to meet full
tray requirements in 564.432 is also permissible.  (For example,
where 450 pieces fill a tray, and there are 200 pieces for 137, 225 pieces for
138, and 55 pieces for 139, 25 pieces for ZIP Code 139 may be placed at the
end of one SCF tray and 30 pieces in another less than full SCF tray for 139.)

564.43 Traying Requirements

564.431  General.
The requirements in 561.2 must be met.

564.432  Tray Sortation

a. 3-Digit Trays.
When there are sufficient pieces for the same 3-digit ZIP Code area to fill
a tray, a 3-digit tray must be prepared.  Trays that are not full are
prohibited.  Each 3-digit tray must contain at least 50 pieces.  See also the
note in 564.421 concerning mailings where less than 50 pieces may
fill a tray.  Trays must be labeled as follows:

(1)  Unique 3-Digit ZIP Code Prefixes




Line 1:City, two-letter state abbreviation, and unique 3-digit
prefix listed in Exhibit 122.63b
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "3DG Z+4 BARCODED" or "3DG Z+4
B/C"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

BINGHAMTON NY      139
3C 3DG Z+4 BARCODED
ABC CO ROCHESTER NY



(2)  Other 3-Digit ZIP Code Prefixes




Line 1:Name of SCF and two-letter state abbreviation of SCF,
followed by 3-digit prefix of pieces in tray (see
Exhibit 122.63c or Exhibit 122.63d for
name of SCF serving 3-digit ZIP Code area)
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "3DG Z+4 BARCODED" or "3DG Z+4
B/C"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

NORTHERN VIRGINIA VA  221
NEWS 3DG Z+4 BARCODED
ABC MAILING CO ROCHESTER NY



b. SCF Trays

(1) SCF Trays for SCFs Serving Single 3-Digit Area.
If, after preparing all possible full 3-digit trays, there are pieces
remaining for an SCF serving a single 3-digit area listed in Exhibit
122.63c that are not sufficient to fill a tray, they must be placed in a
single 3-digit SCF tray.  For qualifying mail the minimum quantity of mail for
a single 3-digit SCF tray is 50 pieces (see 564.41).  See the note
in 564.422 for an exception to the requirement for 50 pieces in the
same tray.  The pieces in the tray must be secured into 3-digit packages
and labeled as described in 564.222 and 561.22, except
that, in second-class mailings where the mailer elects to prepare optional
city packages, groups of pieces for the same optional city may be prepared and
labeled as optional city packages as described in 564.222 and
561.22.  Single 3-digit SCF trays must be labeled as follows:




Line 1:Name of SCF, two-letter state abbreviation, followed by
3-digit ZIP Code prefix of pieces in tray (see Exhibit
122.63c)
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "3DG Z+4 BARCODED" or "3DG Z+4
B/C"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

MID-FLORIDA FL      327
FCM 3DG Z+4 BARCODED
NBT CO BAKERSFIELD CA



Note:  Single 3-digit SCF trays containing only residual/basic (basic
rated) pieces may contain fewer than 50 pieces when the residual preparation
option in 564.522 is used.

(2)  SCF Trays for SCFs Serving Multiple 3-Digit Areas.
If, after preparing all possible full 3-digit trays, there are pieces
remaining for one of the SCFs listed in Exhibit 122.63d serving more
than one 3-digit area, an SCF tray must be prepared.  The minimum quantity of
qualifying mail for an SCF tray is 50 pieces for a 3-digit area (see
564.41).  See the note in 564.422 and the note to this
section for exceptions to the requirement for 50 pieces per 3-digit area in
the same tray.  The pieces in less than full SCF trays must be
appropriately packaged and labeled as described in 564.423b.  If the
tray contains pieces for only one 3-digit ZIP Code area served by the SCF, the
tray must be labeled as if it were a 3-digit tray as specified in
564.432a.  If a less than full tray in a second-class mailing
contains pieces for only one optional city served by the SCF and the level
B3/H3/J3 rates are claimed for those pieces as described in 564.222a
and 564.421, the tray must be labeled as an optional city tray as
specified in 564.433.  Trays containing pieces for multiple 3-digit
areas served by the SCF must be labeled as follows:




Line 1:Letters "SCF," followed by name of SCF, two-letter state
abbreviation of SCF, and 3-digit ZIP Code prefix for SCF
shown in Exhibit 122.63d
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C) followed by "3DG Z+4 BARCODED" or "3DG Z+4
B/C"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

SCF SAN ANTONIO TX   780
2C 3DG Z+4 BARCODED
NBT CO BAKERSFIELD CA



Note:  When the residual preparation option in 564.522 is
used, SCF trays containing only residual/basic pieces may contain fewer than
50 pieces.

564.433 Optional Tray Sortation for Second-Class Mailings Only

a. General.
The requirements in 561.4 must be met.

b. Second-Class Optional City Trays.
Before preparing 3- digit trays, second-class mailers may prepare optional
city trays for the multi-ZIP Coded cities listed in Exhibit 122.63a.
 If mailers choose to prepare groups of 50 or more pieces for optional cities
as described in 564.421, and there is a full tray of this mail for
the same optional city, an optional city tray must be prepared.  Optional city
trays that are not full are prohibited, except that one overflow tray per
optional city is permitted as provided in 561.44.  Trays must be
labeled as follows:




Line 1:Name of optional city in Exhibit 122.63a,
two-letter state abbreviation, and lowest 5-digit ZIP Code
served by city
Line 2:Contents (2C or NEWS) followed by "ZIP+4 BARCODED" OR "Z
+ 4 BARCODED" and directly under ZIP Code on Line 1 "CITY"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location

Example:


LA JOLLA CA                         92037
NEWS ZIP+4 BARCODED                 CITY
DEUCE MAILING CO BIGFOOT TX


564.5  Sortation Requirements--Residual/Basic Presort Tier

564.51  Definition of Residual/Basic Pieces.
Residual/basic pieces are pieces remaining after performing sortations
under 564.3 (5-digit presort tier) and/or 564.4 (3-digit
presort tier).  Accordingly, there are always fewer than 50 pieces for the
same 3-digit ZIP Code area within the residual portion of the mailing.

564.52  Sortation Requirements for Residual/Basic Mail.
Residual/basic pieces must be prepared in one of the following three ways.

564.521  Option 1:  ZIP Code Sequencing and Listing.
Under this option, residual pieces must be placed in residual trays in
3-digit ZIP Code sequence.  Pieces in less than full residual trays must be
secured in 3-digit packages and labeled as a 3-digit package as provided in
561.22.  Mailers must provide a listing by 3-digit area of the
various rate qualification categories as described in 564.624a (see
also 564.2).  Trays must be labeled as follows:




Line 1:Word "RESIDUAL" followed by 3-digit ZIP Code range of pieces in
tray
Line 2:Appropriate class or contents designation (FCM, 2C, NEWS, or
3C LTRS) followed by "ZIP+4 BARCODED"
Line 3:Name of mailer and city and two-letter state abbreviation of
mailer's location


Example:

RESIDUAL 010-590
FCM ZIP+4 BARCODED
XYZ CORP BIGFOOT TX



564.522  Option 2:  Placement in SCF Trays with Qualifying Mail.
Under this option, whenever there is more than one piece to a 3-digit area,
residual pieces must be secured in 3-digit packages and labeled as 3-digit
packages as described in 561.22.  Residual 3-digit packages
(containing fewer than 50 pieces for a 3-digit area) and residual single
pieces must be placed in SCF trays containing qualifying 3-digit pieces
(groups of 50 or more pieces per 3-digit ZIP Code area) wherever possible.
Where there is no SCF tray containing qualifying 3-digit mail, an SCF tray
containing only a residual piece, package, or packages must be prepared.  SCF
trays containing only residual mail must be prepared and labeled in the same
way as SCF trays containing qualifying 3-digit mail as described in
564.432b.

564.523  Option 3:  Physical Separation by Rate Qualification.
Under this option, residual pieces bearing correct ZIP+4 barcodes or
delivery point barcodes must be separately trayed from residual pieces without
correct ZIP+4 or delivery point barcodes.  Pieces that do not bear ZIP+4
barcodes or delivery point barcodes must be further separated so that pieces
bearing a correct numeric ZIP+4 code in the address and meeting the
requirements of 540 are separately trayed from other pieces.  Within
each of the resulting trays, the pieces must be separated into groups of 100
pieces.  The groups of 100 must be delineated by separator cards (see
561.3).  When the tray is full, nothing further is required.  When
the tray is less than full, pieces must also be secured into packages in
accordance with 561.221 within each group of 100 pieces.  When there
are less than 100 pieces in a group at the end of the last tray for any of the
three types of trays (those containing the ZIP+4 barcoded or delivery point
barcoded pieces, those containing the pieces with correct numeric ZIP+4 codes
meeting the requirements of 540, and those containing other pieces)
the actual number of pieces in the group must be written on the separator
card.  The total number of residual pieces in each rate category must be added
to the summary portion of the documentation required in 564.625.
Option 3 residual trays must be labeled as follows:

a.  Trays Containing ZIP+4 or Delivery Point Barcoded Mail




Line 1:Word "RESIDUAL"
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C LTRS) followed by "ZIP+4 BARCODED"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

RESIDUAL
3C ZIP+4 BARCODED
XYZ CORP AUSTIN TX



b.  Trays Containing Pieces Not ZIP+4 or Delivery Point Barcoded But
Bearing Correct Numeric ZIP+4 Code in Address and Meeting Requirements of 540




Line 1:Word "RESIDUAL"
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C LTRS) followed by "ZIP+4"
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

RESIDUAL
FCM ZIP+4
XYZ CORP AUSTIN TX



c.  Trays Containing Pieces Not ZIP+4 or Delivery Point Barcoded and Not
Qualifying for ZIP+4 Rates




Line 1:Word "RESIDUAL"
Line 2:Appropriate class or contents designation (FCM, 2C,
NEWS, or 3C LTRS)
Line 3:Name of mailer and city and two-letter state
abbreviation of mailer's location


Example:

RESIDUAL
FCM
XYZ CORP AUSTIN TX



564.6  Documentation Requirements

564.61  When Not Required.
The documentation described in 564.62 is not required if every
piece in the mailing bears the correct ZIP+4 barcode or correct delivery point
barcode and either of the following applies:

a.
Postage is affixed to each piece at the exact rate of postage for which it
qualifies.

b.
Each piece in the mailing is of identical weight and the trays in each
presort tier are physically separated from each other at the time of mailing
to allow weight verification of postage.

Note:  This condition cannot apply if option 2 for preparation of
residual mail (564.522) is used.

564.62  When Required

564.621  Criteria.
Except for mailings described in 564.61, the following
information must be provided with each mailing.  The format detailed in
564.622, 564.623, 564.624, and 564.625
must be followed.  At the mailer's option, additional information showing the
trays in which the pieces appear may also be included.

564.622  Information Required for 5-Digit Presort Tier Sorted Under 564.3

a. Listing

(1)
The documentation must list the number of pieces to each 5-digit ZIP Code
area under a column heading that indicates the rate of postage for which the
pieces qualify based upon the class of mail (First-Class 5-digit ZIP+4
Barcoded rate, the second-class level B5/H5/J5 ZIP+4 Barcoded rate, or
third-class 5-digit ZIP+4 Barcoded rate).

(2)
The documentation must show a cumulative line total at the end of each
5-digit line listing.  This is the total of all pieces listed for the
particular 5-digit area plus all the pieces listed for preceding 5-digit areas.

b. Column Totals.
The total number of pieces listed in each of the 5-digit line listings must
be shown following the entry for the last 5-digit ZIP Code area in the 5-digit
presort tier of the mailing.

564.623  Information Required for 3-Digit Presort Tier Sorted Under
564.4

a. Listing.
For each group of 50 or more pieces per 3-digit area list the following by
3-digit ZIP Code, and if optional city groups were prepared for second-class
mail, list for each group of 50 or more pieces per optional city the following
by lowest 5-digit ZIP Code served by the city.

(1) Number of ZIP+4 Barcoded or Delivery Point Barcoded Pieces.
These must be listed under a column heading (or column headings for
second-class mail) that indicate(s) the rate for which they qualify based upon
the class of mail submitted(First-Class 3- digit ZIP+4 Barcoded rate,
second-class level B3/H3/J3 ZIP+4 Barcoded rate if for a unique 3-digit ZIP
Code or an optional city, second-class level A/G/J1 ZIP+4 Barcoded rate, or
third-class 3- digit ZIP+4 Barcoded rate).

(2) Number of Pieces Without a ZIP+4 Barcode or Delivery Point Barcode
Bearing a Correct Numeric ZIP+4 Code and Meeting the Requirements of
540.
These must be listed under a column heading (or column headings for
second-class mail) that indicate(s) the rate for which they qualify based upon
the class of mail submitted (First-Class ZIP+4 Presort rate, second-class
level B3/H3/J3 ZIP+4 rate if for an unique 3-digit ZIP Code or an optional
city, second-class level A/G/J1 ZIP+4 rate, or third-class 3/5 ZIP+4 rate).

(3) Number of Pieces Without ZIP+4 Barcode or Delivery Point Barcode Not
Qualifying for ZIP+4 Rates.
These must be listed under a column heading (or column headings for
second-class mail) that indicate(s) the rate for which they qualify based upon
the class of mail submitted (Presorted First-Class rate, second-class level
B3/H3/J3 presort rate if a unique 3-digit ZIP Code or an optional city,
second-class level A/G/J1 presort rate, or third-class 3/5 presort rate).

Note:  This column includes pieces with a 5-digit numeric ZIP Code as
well as pieces without a ZIP+4 or delivery point barcode that contain a
correct numeric ZIP+4 code, but do not meet the OCR readability requirements
in 540.

(4)  Cumulative Line Total.
This is the total of all pieces listed for the particular 3-digit area plus
all the pieces listed for preceding 3-digit areas.

b.  Column Totals.
The total number of pieces in each of the rate category column listings in
564.623a(1) through 564.623a(3) must be shown following the
entries for the last 3-digit ZIP Code area in the 3-digit presort tier of the
mailing.


564.624  Information Required for Residual/Basic Presort Tier Sorted Under
564.5

a.  Pieces Sorted Under Option 1:  ZIP Code Sequencing and Listing

(1)  Listing.
For each group of less than 50 pieces to a 3-digit ZIP Code area, mailers
must list by 3-digit ZIP Code:

(a) Number of ZIP+4 Barcoded or Delivery Point Barcoded Pieces.
These must be listed under a column heading that indicates the rate for
which they qualify based upon the class of mail (First-Class Nonpresorted
Barcoded rate if qualified for the card rate, or First-Class Nonpresorted
ZIP+4 rate if other than a card, second-class level A/G/J1 ZIP+4 Barcoded
rate; or third-class basic ZIP+4 Barcoded rate).

(b)  Number of Pieces Without ZIP+4 Barcode or Delivery Point Barcode
Bearing Correct ZIP+4 Numeric Code and Meeting Requirements of 540.
These must be listed under a column heading that indicates the rate for
which they qualify based upon the class of mail (First-Class Nonpresorted
ZIP+4 rate, second-class level A/G/J1 ZIP+4 rate, or third-class basic ZIP+4
rate).

(c)  Number of Pieces Without ZIP+4 Barcode or Delivery Point Barcode Not
Qualifying for ZIP+4 Rates.
These must be listed under a column heading that indicates the rate for
which they qualify based upon the class of mail (First-Class single-piece
rate, second-class A/G/J1 presort rate, or third-class basic presort rate).

Note:  This column includes pieces with a 5-digit numeric ZIP Code as
well as pieces without a ZIP+4 or delivery point barcode that contain a
correct numeric ZIP+4 code, but do not meet the OCR readability requirements
in 540.

(d)  Cumulative Line Totals.
This is the total of all pieces listed for the particular 3-digit area plus
all the pieces listed for preceding 3-digit areas.

(2) Column Totals.
The total number of pieces in each of the rate category column listings in
564.624a(1)(a) through 564.624a(1)(c) must be shown
following the entries for the last 3-digit ZIP Code area in the residual/basic
presort tier. See Exhibit 564.624a.

b. Pieces Sorted Under Option 2:  Placement in SCF Trays with Qualifying
Mail.
The 3-digit ZIP Code listing and the totals described in
564.624a, must be provided for the nonqualifying groups of less than
50 pieces for a 3-digit area that are placed in SCF trays (see
564.522).  This listing must either be presented in a separate,
residual/basic presort tier section of the documentation as illustrated in
Exhibit 564.624a, or be incorporated, in ZIP sequence, in a combined
3-digit and residual/basic presort tier section in the documentation as
illustrated in Exhibit 564.624b.

c. Pieces Sorted Under Option 3:  Physical Separation.
No listing is required for the residual portion prepared as described in
564.523.  The manual counts of pieces in the trays for each rate
category of residual, however, must be added to the summary section of the
documentation as described in 564.625.  See Exhibit
564.624c.

564.625 Summary

a.  Second-Class Mailings and Permit Imprint Mailings

(1)  Rate Summary.
This summary must list each rate category at which any pieces in the
mailing are claimed from the applicable column totals in the 5-digit, 3-digit,
and residual/basic presort tier documentation sections.  (For residual/basic
mail sorted under Option 3 (564.523), this information is obtained
from the manual counts of pieces in the separate trays for each rate
category.)  For each rate category listed, the summary must show: the total
number of pieces claimed; the applicable rate of postage; and the postage
charges for that rate category.  A grand total of the postage charges for all
the rate categories in the entire mailing must also be shown.  This grand
total shows the amount of postage to be deducted from the second-class account
or permit imprint account.

(2)  Percentage of Barcoded Pieces Summary.
The summary must list the total number of pieces in the mailing that bear a
ZIP+4 barcode or delivery point barcode meeting the requirements of
550 and show the total number pieces that do not.  The percentage of
ZIP+4 barcoded or delivery point barcoded pieces in the mailing must be shown.

b.  Firstand Third-Class Metered and Precanceled Stamp Mailings

(1)  Rate Summary.
This summary must list each rate category at which any pieces in the
mailing are claimed from the applicable column totals in the 5-digit, 3-digit,
and residual/basic presort tier documentation sections.  (For residual/basic
mail sorted under Option 3 (564.523), this information is obtained
from the manual counts of pieces in the separate trays for each rate
category.)  For each rate category listed the summary must show:  the total
number of pieces claimed; the amount of additional postage due for each piece
at that rate category (when the amount of postage affixed is less than the
rate of postage owed); and the total postage due for pieces claimed at that
rate (the total number of pieces at that rate category times the amount of
postage due per piece).  A grand total of the additional postage charges due
for all the rate categories in the entire mailing must also be shown.  This
grand total shows the amount of postage that must be affixed to the mailing
statement or paid through an advance deposit account.

(2)  Percentage of Barcoded Pieces Summary.
This summary must list the total number of pieces in the mailing that bear
a ZIP+4 barcode or delivery point barcode meeting the requirements of
550 and the total number pieces that do not.  The percentage of ZIP+4
barcoded or delivery point barcoded pieces in the mailing must also be shown.


570 Mailing
Automation-compatible mailings must be presented for acceptance by the
Postal Service as provided for the specific class of mail by 370,
450, and 650.

580 Postage Payment
Postage for automated mail must be paid as provided for the specific class
of mail by 380, 460, and 660.  Mailers must
annotate the mailing statement required to be submitted with each mailing with
the appropriate Chapter 5 section under which the mailing was prepared
(562.2, 563.2, or 564 as appropriate).  This
section number must be written in the upper right corner of the front of the
mailing statement.

590 Ancillary Services
Ancillary services are provided to automated mail as provided for the
specific class of mail by 390, 470, and 690.



Exhibit 564.624a
]
]
]


]


]HEADS FOR TABLE 5

]
]

]

Documentation
First-Class ZIP+4 Barcoded Rate
Permit Imprint
Package-Based Mailing

5-Digit Presort Tier

ZIP Codes
5-Digit ZIP+4 Barcoded Rate
(ZIP+4 Barcoded)
Cumulative Total
 

12345 454 454
16324 118 572
17303 111 683
30564 5221205
40231 4601665

Totals1665

3-Digit Presort Tier


ZIP Codes
3-Digit ZIP+4 Barcoded Rate
(ZIP+4 Barcoded)
ZIP+4 Presort Rate
(Not ZIP+4 Barcoded)*
Presort First-Class Rate
(Not ZIP+4 Barcoded)**
Cumulative
Total



155 410015 425
163 1050 4 534
304 3151 5 855
306 4541241334
401 3550321721


Totals1639280

Residual/Basic Tier


ZIP Codes
Nonpresorted ZIP+4 Rate
(ZIP+4 Barcoded)
Nonpresorted ZIP+4 Rate
(Not ZIP+4 Barcoded)*
Single-Piece First-Class Rate
(Not ZIP+4 Barcoded)**
Cumulative
Total



321360 238
402200 563
705231 794

Totals79114


Summary


Postage Rate
(Per Piece)
Postage Charges

Total 5-Digit ZIP+4 Barcoded Rate16650.233$387.945
Total 3-Digit ZIP+4 Barcoded Rate16390.239 391.721
Total ZIP+4 Presort Rate   20.242    .484
Total Presort First-Class Rate  800.248  19.840
Total Nonpresorted ZIP+4 Rate  800.276  22.080
Total Single-Piece Rate Pieces  140.290   4.060

Total Postage Due for Mailing$826.130


Total Pieces with ZIP+4 Barcode3383
Total Pieces without ZIP+4 Barcode  97

Total Pieces in Mailing3480


Percentage of ZIP+4 Barcoded Pieces97.21%

*  Does not include pieces prepared with a window in the
barcode clear zone.
** Includes pieces prepared with a window in the barcode clear zone.

Exhibit 564.624a, Option 1 and Option 2a: Residual
Sequencing and Listing]
]



Exhibit 564.624b

]


]

Documentation
First-Class ZIP + 4 Barcoded Rate
Permit Imprint
Package-Based Mailing

5-Digit Presort Tier



ZIP Codes
5-Digit ZIP+4
Barcoded Rate
(ZIP+4 Barcoded)
Cumulative
Total



12345454 454
16324118 572
17303111 683
305645221205
402314601665

Totals1665

3-Digit Presort Tier





ZIP Codes

3-Digit ZIP+4
Barcoded Rate
(ZIP+4 Barcoded)

Nonpresorted
ZIP+4 Rate
(ZIP+4 Barcoded)
ZIP+4 Presort Rate
(Not ZIP+4 Barcoded)*
Presorted First-Class
(Not ZIP+4 Barcoded)**
Nonpresorted ZIP+4 Rate
(Not ZIP+4 Barcoded)*
Single-Piece Rate
(Not ZIP+4 Barcoded)**


Cumulative
Total




155410 001500 425
163105 00 400 534
304315 01 500 855
306454 0124001334
321  0360 0021372
401355 0032001759
402  0200 0051784
705  0230 0171815



Totals163979280114

Summary


 
Postage Rate (Per Piece)
Postage
Charges



Total 5-Digit ZIP+4 Barcoded Rate16650.233$ 387.945
Total 3-Digit ZIP+4 Barcoded Rate16390.239  391.721
Total ZIP+4 Presort Rate   20.242     .484
Total Presorted First-Class Rate  800.248   19.840
Total Nonpresorted ZIP+4 Rate  800.276   22.080
Total Single-Piece Rate  140.290    4.060


Total Postage Due for Mailing$ 826.130

Total Pieces with ZIP+4 Barcode3383
Total Pieces without ZIP+4 Barcode  97

Total Pieces in Mailing3480

Percentage of ZIP+4 Barcoded Pieces in Mailing97.21%
*Does not include pieces prepared with a window in the barcode
clear zone.
**Includes pieces prepared with a window in the barcode clear zone.

Exhibit 564.624b, Option 2b: Listing of Residual in ZIP
Sequence with Qualifying Mail]
]


Exhibit 564.624c


Documentation
First-Class ZIP+4 Barcoded Rate
Permit Imprint
Package-Based Mailing

5-Digit Presort Tier

ZIP
Codes
5-Digit ZIP+4 Barcoded Rate
(ZIP + 4 Barcoded)
Cumulative
Total


12345 454 454
16324 118 572
17303 111 683
30564 5221205
40231 4601665


Totals1665

3-Digit Presort Tier


ZIP Codes3-Digit ZIP+4 Barcoded Rate (ZIP+4 Barcoded)
ZIP+4 Presort Rate
(Not ZIP+4 Barcoded)*
Presort First-Class Rate
(Not ZIP+4 Barcoded)**
Cumulative Total



155 410015 425
163 1050 4 534
304 3151 5 855
306 4541241334
401 3550321721


Totals1639280


Summary


Postage Rate
(Per Piece)
Postage Charges

Total 5-Digit ZIP+4 Barcoded Rate16650.233$387.945
Total 3-Digit ZIP+4 Barcoded Rate16390.239 391.721
Total ZIP+4 Presort Rate   20.242    .484
Total Presort First-Class Rate  800.248  19.840
Total Nonpresorted ZIP+4 Rate***  800.276  22.080
Total Single-Piece Rate Pieces***  140.290   4.060

Total Postage Due for Mailing$826.130
Total Pieces with ZIP+4 Barcode***3383
Total Pieces without ZIP+4 Barcode***  97

Total Pieces in Mailing***3480

Percentage of ZIP+4 Barcoded Pieces97.21%

*  Does not include pieces prepared with a window in the barcode clear
zone.
** Includes pieces prepared with a window in the barcode clear zone.
***Obtained from or includes manual counts of groups of 100 pieces as
described in DMM 564.523 and 564.624c.

Exhibit 564.624c, Option 3: Physical Separation of Residual]
]




EXHIBIT 523.23
EXHIBIT 524.4
EXHIBIT 532.2
EXHIBIT 542.1
EXHIBIT 542.32
EXHIBIT 542.41
EXHIBIT 551.1 & 551.122
EXHIBIT 551.121
EXHIBIT 551.2
EXHIBIT 551.251
EXHIBIT 551.3
EXHIBIT 552.31
EXHIBIT 561.421a
EXHIBIT 561.421b is part of E515
EXHIBIT 561.422a and b
EXHIBIT 561.431
EXHIBIT 561.432
EXHIBIT 564.624a
EXHIBIT 564.624b
EXHIBIT 564.624c


