708 Technical Specifications

1.0 Standardized Documentation for First-Class Mail, Periodicals, Standard Mail, and Flat-Size Bound Printed Matter

1.1 Basic Standards

For First-Class Mail, Periodicals, Standard Mail, and flat-size Bound Printed Matter, documentation must be produced by software certified under the Presort Accuracy Validation and Evaluation (PAVE) program or the Manifest Analysis and Certification (MAC) program, appropriate for the accompanying class of mail and price claimed, or the documentation must be prepared as standardized documentation according to this section. Standardized documentation contains the elements described in 1.2 through 1.8, as applicable. Documentation produced by PAVE-certified or MAC-certified software is considered standardized documentation.

1.2 Format and Content

For First-Class Mail, Periodicals, Standard Mail, and flat-size Bound Printed Matter, standardized documentation includes:

a. A heading identifying the listing as a "USPS Qualification Report" appearing at the top of each page. The heading must contain these elements:

1. For First-Class Mail and Standard Mail, the name of the mailer and the mailing, a mailing identification code corresponding to the postage statement, the date (e.g., the date when the list was processed or the documentation was produced), the class of mail, and either the DMM standard under which the mail was prepared (e.g., 245.5.0 for letters, 345.5.0 for flats, and 445.5.0 for parcels or 234.4.0 and 235.6.0 for First-Class Mail Letters, and 244.4.0 and 245.7.0 for Standard Mail Letters) or the type of prices claimed.

2. For Periodicals, each publication title and publication number corresponding to the postage statement and entry office, the date (e.g., the date when the list was processed or the documentation was produced), the class of mail, and either the DMM standard under which the mail was prepared (e.g., 707.22.0, Preparing Nonbarcoded (Presorted) Periodicals, 707.23.0, Preparing Carrier Route Periodicals, or 707.24.0, Preparing Letter-Size Barcoded (Automation) Periodicals) or the type of prices claimed. For publications that are combined or copalletized and represented on the same documentation, all publication titles and publication numbers are required to be listed in the header only on the first page.

b. Sequential page numbers in the body of the listing.

c. For mail in trays or sacks, the body of the listing reporting these required elements:

1. Tray/sack sortation level. Mailers must note with an asterisk ("*") all trays containing overflow mail moved into that tray under 235.6.6 and 245.7.5.

2. Tray/sack destination ZIP Code (use destination on top line of tray/sack label except that, for 3-digit carrier routes trays, list the individual 5-digit ZIP Codes contained in each tray).

3. The number of pieces for each 5-digit ZIP Code in 5-digit/scheme bundles or trays; for each 3-digit ZIP Code in 3-digit/scheme bundles or trays; for each 3-digit/scheme in (A)ADC bundles or trays; for each (A)ADC in mixed (A)ADC bundles or trays (or, for Periodicals, origin mixed ADC trays). For automation-price mailings prepared under the reduced overflow option, the number of pieces in the next higher level tray in lieu of overflow trays. For ECR letters prepared under 245.6.0, the number of pieces in carrier routes within full trays. For automation and nonautomation mail, and ECR Standard Mail, the number of pieces in each bundle level and presort destination.

4. Separate columns for each price reported in the mailing, with pieces reported in the appropriate column, and a running total of pieces mailed that is continuous for each mailing (group information either in ZIP Code order and by sortation level or by sortation level and within each sortation level, by ZIP Code; report trays and sacks on pallets by pallet level and destination; include all information required in 1.2c. for mail in trays or sacks). Pieces prepared in 5-digit scheme bundles (Periodicals, Standard Mail, and Bound Printed Matter flats) must be listed by individual 5-digit ZIP Code within the 5-digit scheme bundle. Pieces prepared in 3-digit scheme bundles (Periodicals, Standard Mail, and Bound Printed Matter flats) must be listed by individual 3-digit ZIP Code within the 3-digit scheme bundle. Pieces prepared as firm bundles (Periodicals) may be listed in a separate firm bundle column or in the appropriate column based on container level. Document SCF or BMC pallets created as a result of bundle reallocation under 705.8.11 or 705.8.13 on the USPS Qualification Report by designating the protected pallet with an identifier of "PSCF" (for an SCF pallet) or "PBMC" (for a BMC pallet). These identifiers are required only on the USPS Qualification Report; they are not required on pallet labels or on any other mailing documentation.

5. A running total of pieces mailed that is continuous for each mailing.

6. The tray identification number and tray size (1-foot or 2-foot) if available for letter mail in trays. The tray identification number is optional for tray-based automation flats.

7. Separate columns for each price reported in the mailing, with pieces reported in the appropriate column (group information either in ZIP Code order and by sortation level or by sortation level and within each sortation level, by ZIP Code).

8. For all Periodicals mailings, include a separate "Zone" column. If all copies for a specific tray destination (automation letters only), group destination, or bundle destination are subject to the same zone price or entry discount, show the applicable zone or destination entry discount for those copies using the zone abbreviations in 1.6.3. If copies for a bundle destination or pieces for a tray destination (barcoded letters only) are for multiple zones, show all zones included (e.g., "3/4/6") or show "Mixed" (or the authorized abbreviation "M") in the "Zone" column.

9. For Periodicals mailings that contain both In-County and Outside-County pieces, the body of the listing may include a separate "Container Charge" and "Bundle Charge" column. Indicate which trays, sacks, and bundles are subject to the container or bundle charges and a total or, optionally, a running total.

d. For bundles on pallets, the body of the listing reporting these required elements:

1. Pallet sortation level.

2. Pallet destination ZIP Code (use destination on top line of pallet label).

3. For each bundle, the sortation level and number of pieces claimed at each price.

4. Separate columns for each price reported in the mailing, with pieces reported in the appropriate column, and a running total of pieces mailed that is continuous for each mailing (group information either in ZIP Code order and by sortation level or by sortation level and within each sortation level, by ZIP Code; report trays and sacks on pallets by pallet level and destination; include all information required in 1.2c. for mail in trays or sacks). Pieces prepared as firm bundles (Periodicals) may be listed in a separate firm bundle column or in the appropriate column based on container level. Document SCF, ADC, or BMC pallets created as a result of bundle reallocation under 705.8.11, 705.8.12, or 705.8.13 on the USPS Qualification Report by designating the protected pallet with an identifier of "PSCF" (for an SCF pallet), "PADC" (for an ADC pallet), or "PBMC" (for a BMC pallet). These identifiers are required to appear only on the USPS Qualification Report; they are not required to appear on pallet labels or on any other mailing documentation.

5. For mailings prepared as bundles on pallets under 705.12.0 and 705.13.0, a separate 5% threshold summary must appear beneath the pallet price summary for the last physical pallet of each logical merged 5-digit scheme pallet and logical merged 5-digit pallet as provided in 705.12.1, 705.12.2, 705.13.1, or 705.13.2, as applicable.

6. For all Periodicals mailings, include a separate "Zone" column. If all copies for a specific bundle destination are subject to the same zone price or entry discount, show the applicable zone or destination entry discount for those copies using the zone abbreviations in 707.17.6.3. If copies for a bundle destination are for multiple zones, show all zones included (e.g., "3/4/6") or show "Mixed" (or the authorized abbreviation "M") in the "Zone" column. Report foreign copies separately.

7. For Periodicals mailings that contain both In-County and Outside-County pieces, the body of the listing may include a separate "Container Charge" and "Bundle Charge" column. Indicate which pallets and bundles are subject to the container or bundle charges and a total or, optionally, a running total.

8. At the end of the listing, a summary report of the total number of pieces claimed at each postage price on the pallet by postage payment method, and the total number of pieces and the total weight of the mail on the pallet.

e. At the end of the documentation, a summary report of the total number of pieces mailed at each postage price for each mailing reported on the listing by postage payment method (and by entry point for drop shipment mailings) and the total number of pieces in each mailing. This information must correspond to the information reported on the postage statement(s) for the pieces reported. For Periodicals mailings, documentation also must provide:

1. A summary of the total number of each type of bundle in the mailing and, optionally, the total bundle charge paid. Report only bundles subject to the Outside-County bundle price under 707.1.1.3.

2. A summary of the total number of each type of container in the mailing and, optionally, the total container charge paid. Report only trays, sacks, and pallets subject to the Outside-County container prices under 707.1.1.4.

3. For combined mailings, a summary by individual mailer of the number of each type of bundle and container in the mailing and, optionally, the bundle and container price paid. Report only bundles, trays, sacks, and pallets subject to the Outside-County bundle and container prices under 707.1.1.3 and 707.1.1.4.

4. A summary of the total number of copies for each zone, including In-County, DDU, SCF, and ADC prices. A separate summary report is not required if a PAVE-certified postage statement facsimile generated by the presort software used to prepare the standardized documentation is presented for each mailing.

1.3 Price Level Column Headings

The actual name of the price level (or corresponding abbreviation) is used for column headings required by 1.2, Format and Content, and shown below:

a. Automation First-Class Mail, Standard Mail, and barcoded Periodicals:

Price	Abbreviation
5‑Digit [First-Class Mail letters and flats, Periodicals letters and flats, and Standard Mail letters and flats]	5B
3‑Digit [First-Class Mail letters and flats, Periodicals letters and flats, and Standard Mail letters and flats]	3B
AADC [First-Class Mail, Periodicals, and Standard Mail letters]	AB
ADC [First-Class Mail, Periodicals, and Standard Mail Flats]	AB
Mixed AADC [First-Class Mail, Periodicals, and Standard Mail letters]	MB
Mixed ADC [First-Class Mail, Periodicals, and Standard Mail flats]	MB
Basic [In-County Periodicals]	BB
Firm [Outside-County Periodicals]	FB

b. Presorted First-Class Mail, barcoded and nonbarcoded Periodicals flats, nonbarcoded Periodicals letters, and machinable and nonmachinable Standard Mail:

Price	Abbreviation
Presorted [First-Class Mail letters/cards, flats, and parcels]	Presort
5‑Digit [First-Class Mail parcels, all Standard Mail, and Periodicals letters]	5D
3‑Digit [First-Class Mail parcels, all Standard Mail and Periodicals letters]	3D
AADC [Standard Mail machinable letters]	AB
ADC [First-Class Mail parcels, Standard Mail nonmachinable letters, flats, irregular parcels and NFMs; and all Periodicals]	AD
Basic [In-County Periodicals]	BS
Mixed AADC [Standard Mail machinable letters]	MB
Mixed ADC [Standard Mail nonmachinable letters, flats, irregular parcels and NFMs; and all Periodicals]	MD
Mixed ADC [First-Class Mail parcels]	SP
BMC [Standard Mail machinable parcels and NFMs 6 ounces and over]	BMC
Mixed BMC [Standard Mail machinable parcels and NFMs 6 ounces and over]	MBMC
Firm [Outside-County Periodicals]	FB

c. Carrier Route Periodicals and Enhanced Carrier Route Standard Mail:

Price	Abbreviation
Saturation [letters, flats, and irregular parcels]	WS
High Density [letters, flats, and irregular parcels]	HD
Basic [letters, flats, and irregular parcels]	CR
Firm [Outside-County Periodicals]	FB

1.4 Sortation Level

The actual sortation level (or corresponding abbreviation) is used for the bundle, tray, sack, or pallet levels required by 1.2 and shown below:

Sortation level	Abbreviation
Carrier Route	CRD
5‑Digit Carrier Routes	CR5
5‑Digit Scheme Carrier Routes [sacks and pallets, Periodicals flats and irregular parcels, Standard Mail flats]	CR5S
5‑Digit Scheme [barcoded and machinable letters]	5DGS
5‑Digit Scheme [pallets, Periodicals flats and irregular parcels, Standard Mail flats]	5DGS
Merged 5‑Digit [sacks and pallets, Periodicals flats and irregular parcels, Standard Mail flats]	M5D
Merged 5‑Digit Scheme [sacks and pallets, Periodicals flats and irregular parcels, Standard Mail flats]	M5DS
5‑Digit	5DG
5‑Digit Metro [pallets only, for Periodicals flats and irregular parcels, Standard Mail flats, and Bound Printed Matter flats]	MET
3‑Digit Carrier Routes	CR3
3‑Digit Scheme [barcoded letters, barcoded and cobundled flats]	3DGS
Merged 3-Digit [sacks, Periodicals flats and irregular parcels]	M3D
3‑Digit	3DG
ADC	ADC
ADC [pallets created from bundle reallocation]	PADC
AADC	AADC
Mixed ADC	MADC
Origin Mixed ADC	OMX
Mixed AADC	MAAD
SCF [pallets, Periodicals flats, Bound Printed Matter]	SCF
SCF [pallets created from bundle reallocation]	PSCF
BMC	BMC
ASF	ASF
BMC [pallets created from bundle reallocation]	PBMC
Mixed BMC [working]	MBMC

1.5 Combined, Copalletized, and Merged Mailings

For combined or copalletized mailings of Periodicals and Standard Mail prepared under 705.8.0, 705.10.0, 705.12.0, or 705.13.0, the listing must show this additional information:

a. For mailings that require a separate postage statement, a column that further identifies the contents of all trays/bundles by product or edition code. The applicable prices for each product or edition must be shown in the correct "Price" column and must be summarized for each tray, sack, or pallet and for the entire mailing. For Periodicals, when copies of multiple editions or publications are combined in a firm bundle claimed as one piece, report "0" in the "Product/Edition Code" column for all but one edition or publication contained in the firm bundle, report "1" in the appropriate associated "Piece Price" column for that edition or publication, and report "0" in the "Piece Price" column for the other editions or publications contained in the firm bundle.

b. For large-volume mailing jobs reported on a single listing, the mailer may provide abbreviated documentation that shows full bundle detail for the first 20 pallets/sacks and every twentieth pallet/sack after that if the mailer keeps full bundle detail (by product or edition code and price) for the entire mailing job for 90 days and can provide it to the USPS on request within 3 working days. Abbreviated documentation must include the price summary by product or edition for each pallet/sack, including those for which full detail bundle listings are not reported.

1.6 Detailed Zone Listing for Periodicals

1.6.1 Definition and Retention

The publisher must be able to present documentation to support the actual number of copies of each edition of an issue, by entry point, mailed to each zone, at DDU, DSCF, DADC, DBMC, and In-County prices. This listing is separate from the standardized documentation required under 1.0 to support presort. This listing may be submitted with each mailing, or, as an alternative, a publisher may keep records supporting zone and destination entry information reported on the postage statement for each mailing. Records must be kept for 2 months after the mailing date. A publisher must be able to submit detailed zone listings for specific mailings when requested in advance by the USPS.

1.6.2 Characteristics

Report the number of copies mailed to each 3-digit ZIP Code area at applicable zone prices using one of the following formats:

a. Report copies by 3-digit ZIP Code, listed in ascending numeric order, for all ZIP Codes in the mailing. The listing must include the following columns: 3-digit ZIP Code, zone, and number of copies (for the zone). Include a summary of the number of copies at each zone price at the end of the report. A 3-digit ZIP Code may appear more than once if there are copies at different zone prices for that ZIP Code (e.g., In-County and outside-county price copies within the same 3-digit ZIP Code area).

b. Report copies by zone (In-County DDU, In-County others, Outside-County DDU, Outside-County DSCF, and Outside-County DADC) and by 3-digit ZIP Code, listed in ascending numeric order, for each zone. For each zone, the listing must include the following columns: 3-digit ZIP Code and number of copies (for each zone) in the mailing. Include a summary of the total number of copies for each zone at the end of each zone listing. A 3-digit ZIP Code may appear under more than one zone if there are copies at different zone prices for that ZIP Code (e.g., In-County and outside-county price copies within the same 3-digit ZIP Code area).

1.6.3 Zone Abbreviations

Use the actual price name or the authorized zone abbreviation in the listings in 1.0 and 707.17.6.2:

Zone Abbreviation	Rate Equivalent
ICD	In-County, DDU
IC	In-County, Others
DDU	Outside-County, DDU
SCF	Outside-County, DSCF
ADC	Outside-County, DADC
1-2 or 1/2	zones 1 and 2
3, 4, 5, 6, 7, 8 (as applicable)	zones 3 through 8 (as applicable)
M	mixed zones

1.7 Bundle and Container Reports for Outside-County Periodicals Mail

A mailer must present documentation to support the actual number of bundles and containers of each edition of an issue as explained in 1.7.1 and 1.7.2 below.

1.7.1 Outside-County Bundle Report

The bundle report must contain, at a minimum, the following elements:

a. Container identification number.

b. Container type.

c. Container presort level.

d. Bundle ZIP Code.

e. Bundle level.

f. Price category.

g. Number of copies by version in the bundle.

h. An indicator showing which bundles are subject to the bundle charge.

1.7.2 Outside-County Container Report

The container report must contain, at a minimum, the following elements:

a. Container identification number.

b. Container type.

c. Container level.

d. Container entry level (origin, DDU, DSCF, DADC, or DBMC).

e. An indicator showing which containers are subject to the container charge.

1.8 Optional Information

Standardized documentation may include additional information about the pieces mailed (such as individual tray or sack total piece counts, optional identification codes, bundle weights) if this information does not conflict with the information required under 1.2 through 1.7.

2.0 Presort Accuracy Validation and Evaluation (PAVE)

2.1 Presort Accuracy Validation and Evaluation (PAVE)

2.1.1 Basic Information

The Presort Accuracy Validation and Evaluation (PAVE) program is a process to evaluate presort software and determine its accuracy in sorting address files under DMM standards. PAVE is available only to software and hardware manufacturers (i.e., companies that develop presort software or manufacture presorting equipment). PAVE certification does not guarantee acceptance of customer mail prepared with PAVE-validated hardware/software.

2.1.2 Process

PAVE evaluates the accuracy of presort products by providing test address files to vendors. Vendors process the test file(s) through their presort software or hardware and return the resulting postage statement facsimile(s) and other presort documentation to the USPS National Customer Support Center (NCSC) for evaluation of the answers. Each test file is evaluated for its accuracy of presort, compliance with current DMM standards, accuracy of sack/tray/pallet tag labels, and general acceptability of computer-generated facsimiles of postage statements and other presort documentation. If the answers are accurate, the vendor's presort product is validated for a 12-month period or until the end of the current annual period.

2.1.3 Participation

For information on participation in PAVE, presort product developers may request the PAVE Program Technical Guide from the NCSC by calling 1-800-238-3150. Participants may use the PAVE form included in that guide to order PAVE test files.

3.0 Coding Accuracy Support System (CASS)

3.1 Basic Information

3.1.1 Purpose

The Coding Accuracy Support System (CASS) improves the accuracy of delivery point codes, ZIP+4 codes, 5-digit ZIP Codes, and carrier route codes on mailpieces. CASS provides a common platform to measure the quality of address matching software and to diagnose and correct software problems.

3.1.2 Requirement

Any mailing claimed at an automation price must be produced from address lists properly matched and coded with CASS-certified address matching methods listed below. A mailer using multiline optical character readers (MLOCRs) to print delivery point barcodes on mailpieces (or for flats, ZIP+4 barcodes) must also obtain CASS certification (including Multiline Accuracy Support System (MASS)) for the address matching software used on the MLOCRs.

3.1.3 Methods

Delivery point or ZIP+4 coding may be obtained by using the CASS-certified DPC address matching software with components DPV and LACSLink; CASS-certified Z4CHANGE process; CASS-certified DirectDPV process; NCOALink; or DSF2 process.

3.2 Software Certification

3.2.1 General

Any user of address matching software that applies ZIP+4 codes to address lists to obtain an automation price must use address matching software that is 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 submitted for coding may also be returned. The CASS-certified address matching software must be used according to specific parameter settings (configurations) as described below.

3.2.2 Software Configuration

All address lists used to produce mailings for automation prices must be matched and ZIP+4 coded with current CASS-certified software in line with the configuration standards shown below. Summary output reports or computer-generated facsimile Forms 3553 must contain information about the configuration used when processing the address list on the CASS-certified address matching software.

3.2.3 Permissible Configurations

These are permissible configurations for address matching software:

a. Vendor-Supplied Software With Vendor CASS-certified Software Configurations. The software vendor is CASS-certified for specific configurations. The user is using that software as prescribed by the vendor and with the CASS-certified configurations obtained by the vendor.

b. Vendor-Supplied Software With User CASS-certified Software Configurations. The software user is using vendor-supplied software in a configuration not CASS-certified by the vendor but by the user.

c. User-Developed Software for Which User Obtained CASS Certification. The software user obtained individual user CASS certification for self-developed software and is using it as certified.

3.2.4 Use

When used for ZIP+4 or delivery point barcoding, the address matching software and coding methods must have a valid CASS certification and use the current USPS ZIP+4 Product updated to include all applicable change transaction files.

3.3 Date of Address Matching and Coding

3.3.1 Update Standards

Unless Z4CHANGE or DirectDPV is used, all automation and carrier route mailings bearing addresses coded by any AIS product must be coded with current CASS-certified software and the current USPS database. Coding must be done within 90 days before the mailing date for all carrier route mailings and within 180 days before the mailing date for all non-carrier route automation price mailings. All AIS products may be used immediately on release. New product releases must be included in address matching systems no later than 45 days after the release date. The overlap in dates for product use allows mailers adequate time to install the new data files and test their systems. Mailers are expected to update their systems with the latest data files as soon as practicable and need not wait until the "last permissible use" date. The mailer's signature on the postage statement certifies that this standard has been met when the corresponding mail is presented to the USPS. The "current USPS database" product cycle is defined by the following table.

File Release Use of file released on...	Required Use Must begin no later than...	Last Permissible USe And must end no later than...
February 15	April 1	May 31
April 15	June 1	July 31
June 15	August 1	September 30
August 15	October 1	November 30
October 15	December 1	January 31
December 15	February 1	March 31

3.3.2 Z4CHANGE List Matching

When using Z4CHANGE to match and code address lists for automation price mailings:

a. The entire address list must first be matched and ZIP+4 coded with current CASS-certified software and the current USPS ZIP+4 Product.

b. Every 60 days after the first matching, the address list must be processed through Z4CHANGE using USPS-certified software to identify changed records since the last update.

c. The changed records identified through the Z4CHANGE processing must then be matched and coded using current CASS-certified address matching software and the current ZIP+4 Product.

d. The entire address list must be rematched and ZIP+4 coded every 3 years using current CASS-certified software and the current USPS ZIP+4 Product.

3.3.3 DirectDPV List Matching

When using DirectDPV to match and code address lists for automation price mailings:

a. The entire address list must first be matched and ZIP+4 coded with Cycle L (or later) CASS-certified software and the current USPS ZIP+4 product.

b. Every 180 days after the initial matching, the address list must be processed through DirectDPV using Cycle L (or later) CASS-certified address matching software to identify changed records since the last update.

c. If an address record was previously ZIP+4 coded and that ZIP+4 code is not in DirectDPV, it does not need to be run through CASS-certified address matching software until the annual run. Address records identified as changed through DirectDPV that have a valid converted 11-digit record require additional processing. These records can either be reconstructed using the 11-digit code provided or reprocessed through CASS-certified software. Address records identified as changed through DirectDPV that have a zero 11-digit code must then be matched and coded using Cycle L (or later) CASS-certified address matching software and the current USPS ZIP+4 product.

d. The entire address list must be processed once a year using current CASS-certified address matching software and the current USPS ZIP+4 product.

3.4 Definitions—Mailing and Address Lists

For this section, mailing list or address list is the group of names and addresses to which mailpieces in the corresponding mailing are addressed. Whether the addresses used in a mailing are obtained from a single list or from two or more lists (whole lists or extracts of those lists), each list used to produce a mailing claimed at an automation price must meet the standards in 3.0.

3.5 Documentation

3.5.1 Form 3553

Unless excepted by standard, the mailer must complete a Form 3553 for each mailing claimed at all automation prices and all carrier route prices. A computer-generated facsimile may be used if it contains the required data elements in a format similar to the USPS form. The data recorded on Form 3553 must refer only to the address list used to produce the mailing with which it is presented. The postage statement must be annotated in the block(s) provided to reflect the date when address matching and coding were performed. When a mailing is produced using multiple lists, the mailer must show the earliest (oldest) date of address matching and coding (shown on Form 3553, section B2). The mailer certifies compliance with this standard when signing the corresponding postage statement.

3.5.2 Retention Period

Form 3553 and other documentation must be retained by the mailer or the mailer's agent for 1 year from the date of mailing and be made available to the USPS on 24-hour notice.

3.5.3 Using Output Information

The data recorded on Form 3553 is taken from the summary output report generated by the computer process by which address lists are matched and ZIP+4 coded using CASS-certified software. The summary output information may also be generated as a facsimile Form 3553. Form 3553 may show summary output information for a single address list or consolidate summary output information from multiple address lists combined to produce a single mailing. Figures on Form 3553 are not required to match total mailpiece figures on the corresponding postage statement.

3.5.4 Providing Required Data

Summary output reports or computer-generated Forms 3553 must contain this information:

a. CASS-certified company name as it appears on the CASS certificate; name and software version that received CASS certification; and the software configuration used when processing the address list.

b. Name of the list processor using the CASS-certified software to match and code the address list, the date the address list was processed, the date of the USPS database used to code the address list, the address list name or identification number, the total number of address records on the list submitted for coding, the total number of address records successfully coded to the appropriate depth of code, and the valid dates for the records successfully coded.

3.5.5 Using a Single List

When a mailing is produced using all or part of a single address list, the mailer must retain one Form 3553 and other required documentation reflecting the summary output information for the entire list, as obtained when the list was coded. When the same address list is used for other mailings within 180 days of the date it was matched and coded, a copy of the Form 3553 must be retained with the documentation for each mailing.

3.5.6 Using Multiple Lists

When a mailing is produced using multiple address lists, the mailer must retain a consolidated Form 3553 summarizing the individual summary output and/or facsimile Forms 3553 for each list used (and other required documentation). As an alternative, the mailer may combine the addresses selected from the multiple lists into a single new list, reprocess the addresses using CASS-certified address matching software, and retain one Form 3553 for the summary output generated by that process.

3.5.7 Using CASS Certificate

If the name of the CASS-certified company entered on Form 3553 does not appear on the list published by the USPS, a copy of the CASS certificate for the software used also must be retained by the mailer with the documentation.

3.6 CASS Certification

3.6.1 Testing Arrangements

To obtain information on standards and arrange for testing of carrier route, ZIP+4, or delivery point address matching software, contact the National Customer Support Center by calling 1-800-238-3150, or by writing to the CASS Certification Department, National Customer Support Center (see 608.8.0 for address).

3.6.2 CASS Stage I

The CASS certification process is a two-stage procedure. Stage I is a test file with answers supplied on request to customers wanting to certify an address matching software product. The Stage I file contains fabricated sample addresses from address ranges across the country with missing or incorrect address elements. The correct answers supplied on this Stage I test file allow self-assessment of address matching software/hardware accuracy so that software/hardware vendors or users can predetermine product readiness for the actual test.

3.6.3 CASS Stage II

The Stage II file is the actual test without answers. This test measures the accuracy of address matching software/hardware. Similar to the Stage I file, the Stage II file contains fabricated sample addresses from address ranges across the country with missing or incorrect address elements that the address matching software must correct. Software vendors or users process the Stage II file against their address matching products, appending the correct or missing information in each address record. After completing the test, the vendor or user returns the Stage II file to the USPS for analysis, scoring, and, if qualified, certification. For multiline optical character readers (MLOCRs) and encoding stations, CASS certification is obtained by barcoding sample mailpieces in a test deck. After completing the test, the vendor or user returns the test deck to the USPS for analysis, scoring, and, if qualified, certification.

3.6.4 Certification Standards

To be CASS-certified:

a. Delivery point code address matching software/hardware must correctly ZIP+4 code the addresses in the Stage II file or test deck with an accuracy rate determined by the CASS Certification Department and must correctly append the additional two digits of the delivery point code (plus a check digit) to the Stage II file or test deck with 100% accuracy.

b. A 2-digit utility (separate or stand-alone address matching software that appends only the correct 2-digit DP9019C information) must use the standardized address information returned by DPC address matching software when determining the correct delivery point code. A 2-digit utility must assign the 2-digit delivery point code (plus a check digit) to the addresses in the Stage II file with 100% accuracy.

c. Address matching software used to assign 5-digit ZIP Codes and carrier route codes must assign the appropriate codes to the Stage II file with an accuracy rate determined by the CASS Certification Department.

3.6.5 Customer Notification

The USPS sends written notice informing the customer of the results of the analysis and the product certification status. Follow-up notification is mailed to remind previously certified vendors and users of the next certification.

4.0 Standards for POSTNET and Intelligent Mail Barcodes

4.1 General

POSTNET (Postal Numeric Encoding Technique) and Intelligent Mail barcodes are USPS-developed methods to encode ZIP Code information on mail that can be read for sorting by automated machines. Intelligent Mail barcodes also encode other tracking information.

4.2 POSTNET Barcode

4.2.1 General

POSTNET (Postal Numeric Encoding Technique) is the USPS-developed barcode method to encode ZIP Code information on mail that can be read for sorting by automated machines. A POSTNET barcode can represent a 5-digit ZIP Code (32 bars), a 9-digit ZIP+4 code (52 bars), or an 11-digit delivery point code (62 bars). The information content of the barcode is based on the combination of tall (full) bars and short (half) bars. A tall bar represents "1," and a short bar represents "0." When separated into groups of five, these bars sequentially represent each of the digits of the ZIP Code (or ZIP+4 code or delivery point code) for the delivery address, plus an additional digit designated as the correction digit. The correction digit is derived from adding the numbers in the ZIP Code (or ZIP+4 or delivery point code) and determining which single-digit number must be added to that sum to make the total a multiple of 10. The first and last bars of the barcode are frame bars and must always be full bars.

4.2.2 5-Digit Barcode

A 5-digit barcode is a single field of 32 bars consisting of a frame bar, a series of 25 bars that represent the correct 5-digit ZIP Code for the address on the piece, 5 bars that represent the correction digit, and a final frame bar.

4.2.3 ZIP+4 Barcode

A ZIP+4 barcode is a single field of 52 bars consisting of a frame bar, a series of 45 bars that represent the correct ZIP+4 code for the address on the piece, 5 bars that represent the correction digit, and a final frame bar.

4.2.4 Delivery Point Barcode

A delivery point barcode (DPBC) is formed by adding 10 bars (representing two additional digits) to the ZIP+4 barcode. The correct DPBC must be derived from a CASS-certified delivery point code address matching process. To obtain information on the rules for delivery point code calculation, contact the National Customer Support Center by calling (toll-free) 1-800-642-2914, or by writing to CASS/ZIP+4 Matching, National Customer Support Center (see 608.8.0 for address). The following unique codes are also valid DPBCs:

a. For a firm (unique) 5-digit ZIP Code, the correct DPBC represents the 5-digit ZIP Code: either the USPS-assigned -0001 or (if the customer assigns four-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, Post Office box number, or rural/highway contract route box number derived from the standardized address returned by the CASS-certified ZIP+4 or delivery point code address matching process.

b. For an individual (unique) ZIP+4 code assigned to a business customer, the correct DPBC represents the ZIP+4 code followed by the last two digits of the primary street number derived from the standardized address returned by the CASS-certified ZIP+4 or delivery point address matching process.

4.2.5 POSTNET Barcode Dimensions and Spacing

POSTNET barcodes are subject to these standards for bar dimensions and spacing. Extraneous ink or ink voids must not cause any bar to fail to meet these standards:

a. A full bar must be 0.125 ±0.010 inch high.

b. A half bar must be 0.050 ±0.010 inch high.

c. All bars must be 0.020 ±0.005 inch wide.

d. Measured over any 1/2 inch, horizontal spacing of the bars must be 22 ±2 bars per inch, and pitch (a bar and a space) must average at least 0.0416 inch but no more than 0.05 inch. The clear vertical space between bars must not be less than 0.012 inch or more than 0.04 inch.

4.3 Intelligent Mail Barcodes

4.3.1 Definition

An Intelligent Mail barcode is the USPS-developed barcode that mailers use to encode routing and tracking information on mail that can be read by automated mail processing equipment to sort mail and to provide tracking information to the mailers. An Intelligent Mail barcode consists of 65 vertical bars, each representing one of four possible states: full bar, ascender, tracker, and descender. These 65 bars encode a string of 31 digits, divided into two parts: a 20-digit tracking code and an 11-digit routing code (when required). The 11-digit routing code may contain a ZIP Code, a ZIP+4 code, or a delivery point code, unless required to contain a certain level of code in specific applications; no correction digit is needed within an Intelligent Mail barcode. Mailers may use Intelligent Mail barcodes as follows:

a. When used on letters for automation-price eligibility purposes, the routing code must contain a delivery point code that accurately matches the delivery address.

b. When used on flat-size pieces for automation-price eligibility purposes, the barcode must contain either a ZIP+4 or a delivery point routing code that accurately matches the delivery address. When flat-size pieces bear an Intelligent Mail barcode for automation price eligibility, the barcode on a piece that contains an optional endorsement line (OEL) must contain OEL coding that includes information in Exhibit 7.1.1 corresponding to the correct sortation level of each bundle. The OEL information in the Intelligent Mail barcode is required in addition to a physical OEL. See the Intelligent Mail Barcode Resource Guide available at ribbs.usps.gov/OneCodeSOLUTION for more information on incorporating OELs in Intelligent Mail barcodes.

c. Mailers must incorporate the Mailer ID (MID) code in the Customer Identifier field. To obtain a MID, OneCode ACS subscribers can contact the ACS department at the National Customer Support Center at 1-800-331-5746. Confirm subscribers approved for OneCode Confirm must incorporate their Confirm Subscriber ID (which is their MID) when using Intelligent Mail barcodes. OneCode Confirm subscribers can contact Confirm Customer Assistance at 1-800-238-3150 or refer to Publication 197 for specific instructions. Mailers printing the Intelligent Mail barcode solely for automation price eligibility can contact the PostalOne! Help Desk at 1-800-522-9085 to obtain a MID.

4.3.2 Specifications

Complete specifications for Intelligent Mail barcodes are defined in USPS publication USPS-B-3200, which is available at ribbs.usps.gov/OneCodeSOLUTION. This publication also provides details on how to encode the routing code and tracking code into an Intelligent Mail barcode, barcode dimensions and spacing, clear zone, skew and rotation tolerance, and print characteristics. The assignment of a Barcode Identifier, Service Type Identifier, and Mailer ID are described by the respective publications for each extra service. These publications are available at ribbs.usps.gov/OneCodeSOLUTION.

4.4 Reflectance

4.4.1 Background Reflectance

A background reflectance of at least 50% in the red portion and 45% in the green portion of the optical spectrum must be produced in the following locations when measured with a USPS or USPS-licensed envelope reflectance meter:

a. The barcode clear zone of a card-size or a letter-size piece barcoded in the lower right corner.

b. The area surrounding the barcode (within 1/8 inch of the leftmost and rightmost bars and 1/25 inch above and below the barcode) of a card-size, letter-size, or flat-size piece barcoded in the address block and of a flat-size, First-Class Mail parcel, or Not-Flat Machinable piece barcoded elsewhere.

4.4.2 Print Reflectance Difference

A print reflectance difference (PRD) of at least 30% in the red and green portions of the optical spectrum is required between the background material of the mailpiece and the barcode, when measured with a USPS or USPS-licensed envelope reflectance meter. (PRD equals the reflectance of the background minus the reflectance of the ink.)

4.4.3 Opacity

The material on which the barcode appears must have enough opacity to prevent printing from "showing through" to the extent that it interferes with postal equipment that reads the barcode. The print contrast ratio (PCR) 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 portions of the optical spectrum.

4.4.4 Dark Fibers and Background Patterns

Dark fibers or background patterns that produce a print contrast ratio of more than 15% when measured in the red and green portions of the optical spectrum are prohibited in these locations:

a. The area of the address block or the barcode clear zone where the barcode appears on a card-size or a letter-size piece mailed at automation prices or at Enhanced Carrier Route saturation or high density prices.

b. The area of the address block or the area of the mailpiece where the barcode appears on a flat-size piece in an automation price mailing or on a First-Class Mail parcel or a Not Flat-Machinable piece.

4.5 Skew and Baseline Shift

4.5.1 Card-Size and Letter-Size Pieces

For a barcode on a card-size or a letter-size piece, the combined effects of positional skew (slant or tilt of the entire barcode baseline) and rotational skew (slant or tilt of the individual barcode bars) must be limited to a maximum rotation of the bars of ±5 degrees from a perpendicular to the bottom edge of the piece. The individual bars of a barcode must not shift (be vertically offset) more than 0.015 inch from the average baseline of the barcode. For information on barcode placement for card-size and letter-size pieces, see 202.5.0.

4.5.2 Flat-Size Pieces, First-Class Mail Parcels, Standard Mail Irregular Parcels, and Not Flat-Machinable Pieces

The maximum rotational skew (slant or tilt of the individual barcode bars) for barcodes is ±10 degrees from a perpendicular to the baseline of the barcode. There is no positional skew requirement. The individual bars of a barcode must not shift (be vertically offset) more than 0.015 inch from the average baseline of the barcode. For information on barcode placement for flat-size pieces, see 302.4.0. For information on barcode placement on parcels and Not Flat-Machinable pieces weighing less than 6 ounces, see 402.4.0.

4.6 Barcode Software and Hardware Certification

4.6.1 Purpose

To help mailers evaluate the quality of their equipment producing barcodes, the USPS offers optional testing and certification to manufacturers of barcoding software and hardware. Certified barcoding equipment ensures that the equipment can produce dimensionally correct barcodes meeting postal specifications. Certification does not ensure that barcodes produced from that equipment can meet the requirements for automation prices because many other variables in barcode production (e.g., ink color and quality, paper color and contrast, equipment operation and maintenance) affect the quality of the barcodes printed on mailpieces.

4.6.2 Testing Arrangements

Manufacturers who want their products tested and mailers who want information on available certified products should contact the National Customer Support Center (see 608.8.0 for address).

5.0 Standards for Postal Routing Barcodes

5.1 Basic Requirements

Mailers may use a postal routing barcode on parcels and Not Flat-Machinable pieces that meet the eligibility requirements in 433.1.1 for First-Class Mail, 443.4.4 and 443.5.5 for Standard Mail, 453.3.1 for Parcel Select, 463.5.1 for Bound Printed Matter, 473.3.4 for Media Mail, or 483.3.4 for Library Mail. Each parcel must bear a properly prepared GS1-128 barcode symbology as described in 5.3 that accurately represents the correct ZIP Code or ZIP+4 code of the delivery address. For information on barcode placement for parcels, see 402.4.0.

5.2 Basic Elements of Postal Routing Barcodes

GS1-Code128 postal routing barcode data elements include: