705 Advanced Preparation and Special Postage Payment Systems
3.0 Optional Procedure Mailing System
5.0 First-Class Mail or Standard Mail Mailings With Different Payment Methods
6.0 Combining Mailings of Standard Mail and Package Services Parcels
7.0 Combining Package Services Parcels for Destination Entry
9.0 Preparation for Cotraying and Cosacking Bundles of Automation and Presorted Flats
10.0 Preparation for Merged Containerization of Bundles of Flats Using City State Product
11.0 Preparation of Cobundled Automation Rate and Presorted Rate Flats
12.0 Preparation of Merged Palletization of Bundles of Flats Using a 5% Threshold
13.0 Preparation of Merged Palletization of Bundles of Flats Using the City State Product and a 5% Threshold
14.0 Preparation for Plant Load Mailings
15.0 Plant-Verified Drop Shipment
16.0 Express Mail Open and Distribute and Priority Mail Open and Distribute
1.0 Customized MarketMail
1.1 Basic Standards
1.1.1 General
Customized MarketMail (CMM) is an option for mailing nonrectangular and irregular-shaped Regular Standard Mail and Nonprofit Standard Mail pieces if the pieces weigh 3.3 ounces or less and meet the physical characteristics and the dimensional requirements in 1.1.3 and the mail preparation standards in 1.4. Other Regular and Nonprofit Standard Mail pieces measuring 3/4 inch thick or less and meeting the applicable standards in 1.0 may be entered as CMM at the mailer's option. CMM must be entered directly at a destination delivery unit (DDU).
1.1.2 Eligibility Standards
All pieces in a CMM mailing must:
a. Meet the basic standards for Standard Mail in 243.2.0, Content Standards for Standard Mail Letters through 243.4.0, Rate Eligibility for Standard Mail and, for Nonprofit Standard Mail, the additional standards in 703.1.0.
b. Be part of a single mailing of at least 200 addressed pieces. All pieces must be identical in size, shape, and weight unless excepted by standard under an approved postage payment system.
c. Bear a complete delivery address using the general addressing formats in 602.1.0 or the exceptional or occupant address formats in 602.3.0, Use of Alternative Addressing, with the correct ZIP Code or ZIP+4 code. Each piece also must bear a carrier release endorsement as specified in 508.1.0, Recipient Options. These additional addressing standards apply:
1. Detached address labels (DALs) under 602.4.0, Detached Address Labels (DAL) are not permitted.
2. Ancillary service endorsements under 507.1.0, Treatment of Mail, are not permitted.
3. The ZIP Code accuracy standard in 243.3.8 must be met.
4. At the mailer's option, a carrier route information line under 708.6.0 may be added. If this option is used, a carrier route code must be applied to every piece in the mailing and must meet the carrier route accuracy standard in 243.6.2.
d. Be marked, sorted, and documented as specified in 1.4.
e. Be entered at the destination delivery unit appropriate to the delivery address on the corresponding mail, as a mailing subject to the applicable requirements in 243.2.0 through 243.4.0, Rate Eligibility for Standard Mail and 246.2.0 through 246.5.0 in Enter and Deposit, as a mailing using Express Mail or Priority Mail drop shipment under 16.4 and 16.6, or as a plant-verified drop shipment (PVDS) mailing under 15.0. Minimum volumes per destination are not required.
1.1.3 Physical Standards
Mailpieces prepared as Customized MarketMail (CMM) under 1.0 must meet these additional standards and physical characteristics:
a. The material used for constructing the pieces must be free of sharp edges, protrusions, and other design elements that could cause harm or injury to USPS personnel handling these pieces.
b. The dimensions of the pieces must not be smaller than the minimum dimensions for letter-size mail in 201 or greater than the maximum dimensions for flat-size mail in 301. Length and height are defined as follows:
1. The length and the axis of length are determined by drawing a straight line between the two outer points most distant from each other.
2. The height is determined by drawing perpendicular lines to the points that are the greatest distance above and below the axis of length. The sum of these two lines defines the height.
c. The maximum weight may not exceed 3.3 ounces.
d. Pieces may be rectangular or nonrectangular, may be uniform or nonuniform in thickness, and may include die cuts, holes, and voids.
e. Pieces must be flexible enough to fit inside a minimum-size mail receptacle measuring 4-7/8 inches wide, 14-7/8 inches high, and 5-7/8 inches long (deep).
f. Design approval by the district business mail entry manager is not required, but it is recommended.
1.2 Rates
Each piece in a CMM mailing is subject to the Presorted Regular or Nonprofit Standard Mail nondestination entry basic nonletter rate plus the residual shape surcharge. CMM pieces are not eligible for any discount including the parcel barcode discount in 443.5.5. CMM pieces are not subject to the nonmachinable surcharge for letters.
1.3 Extra Services
CMM is not eligible for any extra service.
1.4 Preparation Standards
1.4.1 All Mailings
All mailings and all pieces in each mailing prepared as Customized MarketMail (CMM) are subject to specific preparation standards in 1.4 and to these general standards:
a. All pieces must meet the standards for basic eligibility in 243.2.0 through 243.4.0 in Rates and Eligibility and specific eligibility in 246.2.0 through 246.5.0 in Enter and Deposit. Nonprofit Standard Mail pieces must meet the additional eligibility standards in 703.1.0.
b. CMM pieces must not be part of a mailing containing any other type of Standard Mail pieces.
c. Each mailing must meet the applicable standards for mail preparation in 245.1.0 and 245.2.0 and the following:
1. Subject to the marking standards in 202, Regular Standard Mail pieces must be marked "Presorted Standard" (or "PRSRT STD") and Nonprofit Standard Mail pieces must be marked "Nonprofit Organization" (or "Nonprofit Org." or "Nonprofit"). All pieces must also be marked "Customized MarketMail," "CUST MKTMAIL," or "CMM."
2. At the mailer's option, a carrier route information line under 708.6.0 may be added. If this option is used, a carrier route code must be applied to every piece in the mailing and must be applied using CASS-certified software and the current USPS Carrier Route File scheme, printed Carrier Route Files, or another AIS product containing carrier route information, subject to 509.1.0, Address Information System Products, and 708.3.0, Coding Accuracy Support System (CASS). Carrier route information must be updated within 90 days before the mailing date.
d. Pieces are subject to the rate eligibility specified in 1.0, Customized MarketMail.
1.4.2 Required Endorsement
Any matter mailed as Customized MarketMail must bear the endorsement "Carrier—Leave If No Response" placed directly below the return address. If any other endorsement is used, the carrier route release endorsement must be separated by the equivalent of one blank line of the type size used.
1.4.3 Postage
CMM is subject to the same options of postage payment (precanceled stamps, metered postage, or permit imprint) for Standard Mail pieces as permitted under 244, Postage Payment and Documentation.
1.4.4 Documentation
A complete, signed postage statement, using the correct USPS form or an approved facsimile with the residual shape surcharge, must accompany each mailing. The mailer must also provide an extra copy of the postage statement and a sample of the CMM mailpiece. The sample and the copy postage statement are then forwarded by the USPS to the PCSC (see 608.8.4 for address). Mailings of nonidentical-weight pieces or mailings using more than three different types of containers must also be supported by standardized documentation meeting the standards in 708.1.0. Documentation for nonidentical-weight pieces is not required if the correct rate is affixed to each piece.
1.4.5 Required Bundling
Bundling is required before sacking, traying, or filling other types of mailing containers. A bundle must be prepared when two or more addressed pieces are destined to the same 5-digit ZIP Code or to the same carrier route if the optional carrier route presort level is used. The maximum weight for any bundle is 20 pounds. Pieces of irregular thickness must be counterstacked as provided in 245.2.0. At the mailer's option, facing slips, optional endorsement lines, or pressure-sensitive bundle labels may be used on bundles. CMM pieces prepared in optional carrier route bundles are subject to 243.6.0 but are not required to meet any minimum number of pieces per route.
1.4.6 Bundling and Labeling
Preparation sequence, bundle size, and labeling:
a. Carrier route (optional), no minimum; and carrier route information line (required).
b. 5-digit (required), no minimum; and facing slip (optional), red Label 5 (optional), or optional endorsement line (OEL).
1.4.7 Required Containerizing
The following standards apply to containerizing CMM bundles:
a. Bundles and single pieces to a destination must be prepared in 5-digit containers or optionally in 5-digit scheme under L606, carrier route, or 5-digit carrier routes containers, with no minimum volume (piece or weight) required for an individual container.
b. Bundles for PVDS drop shipment mailings or non-PVDS mailings under 246.2.0 through 246.5.0 must be placed in letter trays, flat trays, or sacks. Bundles in Priority Mail and Express Mail drop shipments under 16.4 may be placed in USPS-supplied or mailer-supplied mailing containers.
c. The container size must be appropriate to the dimensions of the pieces, and the number of containers must be appropriate to the volume of pieces in the mailing.
d. If more than three types of containers are used, the mailing must be prepared using an approved manifest mailing system (MMS), unless the manager, Business Mailer Support approves another postage payment system. Each mailing presented in mailer-supplied containers must include sample containers for tare weight calculations.
1.4.8 Containerizing and Labeling
Containers are prepared and labeled as follows:
a. PVDS drop shipments and non-PVDS mailings under 246.2.0 through 246.5.0, Destination Delivery Unit (DDU) Entry must be prepared in 5-digit trays or sacks, or as an option, in 5-digit scheme (under L606, Column B), carrier route, or 5-digit carrier routes trays or sacks, labeled as follows:
1. Line 1: For 5-digit, carrier route, 5-digit carrier routes, city, state, and 5-digit ZIP Code on mail; for 5-digit scheme (optional), L606.
2. Line 2: "DEL LTR STD CMM MAN" (for letter trays); "DEL FLTS STD CMM MAN" (for flat trays); "DEL STD CMM MAN" (for sacks).
3. Line 3: Office of mailing or mailer information (see 707.21.0, Sack and Tray Labels).
b. Express Mail and Priority Mail drop shipments must be prepared in USPS-provided Express Mail or Priority Mail containers (pouches, sacks, cartons, or envelopes) or in mailer-supplied containers, labeled under 16.4.
2.0 Manifest Mailing System
2.1 Description
2.1.1 Using an MMS
[1-4-07] A manifest mailing system (MMS) is a method of verifying postage payment of permit imprint mailings, as an alternative to weight verification. The MMS is an automated system that allows a mailer to document postage and fees for all pieces in First-Class Mail, Standard Mail, Package Services, and international permit imprint mailings. Each piece is assigned a unique identification number that is listed on the manifest along with pertinent information about the mailpiece. The USPS randomly selects pieces from the mailing and compares them to the manifest to determine if postage was accurately reported. The standards in 2.2 describe how to mail using an MMS.
2.1.2 Electronic Verification System
[1-4-07] Mailers using MMS when presenting Parcel Select mailings under 456.2.0 or, if authorized, commingled parcel mailings under 6.0 or 7.0 may document and pay postage using the Electronic Verification System (eVS) (see 2.9). Business Mailer Support (BMS), USPS Headquarters, must approve these systems. Unless authorized by Business Mailer Support, mailers may not commingle eVS mail with non-eVS mail within the same mailing or place eVS mail and non-eVS mail in or on the same mailing container.
2.2 Basic Standards
2.2.1 Service Agreement
A service agreement must be signed by the mailer and a USPS representative. The agreement contains provisions regarding mailer and USPS responsibilities, including document retention, quality control, and the duration of the agreement.
2.2.2 Mailer System
The mailer must have an automated system that produces mail consistent with postal standards and calculates postage accurately. For presorted mail, the system also must determine the qualifying presort level and the correct rate of postage for each piece and perform the presort routines. The mailer must assign a unique identification number to each piece. Letter- and flat-size mail produced using batch processing must bear the keyline information in 2.3. The system must produce a manifest for each mailing that allows USPS verification of the postage and levels of presort. The manifest must account for every piece in the mailing, as follows:
a. For presorted letter- and flat-size mail produced using batch processing, the manifest must list destination ZIP Codes, presort categories, batch number ranges, postage amounts, and cumulative postage amounts.
b. For mail produced using itemized processing, the manifest must list the postage for each piece and those factors used to calculate the correct amount of postage, such as the destination postal zone and piece weight. Each page of the manifest must show cumulative postage totals.
c. When extra services are used, the manifest must include the fees for each piece.
d. A summary listing the required information on the postage statement must be included as the last page of the manifest unless the MMS produces a computer-generated postage statement facsimile and postage is reported on one postage statement only.
e. A separate summary and register of mailings is required for all plant-verified drop shipment (PVDS) mailings.
2.2.3 Manifest Format
The two basic manifest formats are:
a. Itemized processing. Each piece of mail is individually listed by unique identification number, weight, and other pertinent information. Publication 401, Guide to the Manifest Mailing System, contains specific formats for manifests using itemized processing.
b. Batch processing. The mailing is divided into groups of mailpieces with consecutive identification numbers. Only the identification numbers of the first and last pieces of each group are listed, along with the piece count and the total postage charges for the entire batch. This method is limited to piece rate letter- and flat-size mailings. Publication 401 contains specific formats for manifests using batch processing.
2.2.4 Mailer Quality Control
The mailer must implement a quality control program that ensures proper mail preparation and provides accurate documentation. The service agreement must detail the USPS-approved quality control procedures.
2.2.5 Permit Imprint
Mailings deposited under the MMS program must meet the standards for permit imprint mail in 604.5.0, except that presorted letter-size or flat-size mail produced using batch processing must include the qualified rate abbreviation in the keyline.
2.2.6 Marking
MMS mailings must meet the marking standards for the rate claimed. Markings on presorted letter-size and flat-size mail produced using batch processing are placed in the keyline as described in 2.3.3. Markings on itemized mailpieces may be:
a. Incorporated as part of the permit imprint.
b. Printed or rubber-stamped above the address and immediately below or to the left of the permit imprint.
c. Produced as otherwise specified in the MMS authorization.
d. Provided in an endorsement line in the address area, directly above the top line of the address, if no additional information except carrier route information appears on the endorsement line.
2.2.7 Postage Statement
The mailer must submit a complete postage statement with each mailing. If the entry office postmaster approves, mailers may submit a computerized facsimile of the applicable USPS postage statement. Data fields may be omitted on facsimile if they pertain to rates not claimed in the mailing.
2.2.8 Manifest Adjustments
When mailpieces are mutilated, spoiled, or destroyed during normal operations and cannot be presented as part of the mailing, a method of adjusting the manifest and postage statement that has been approved by the USPS must be used. Whether the method in 2.2.8a or 2.2.8b is used, the total number of pieces must be deducted at the end of the manifest and the postage statement adjusted. Use one of the following methods:
a. For manifests using itemized processing, line out the identification number, weight, and postage information (if applicable, also line out the piece on Form 3877) or write the unique identification number, piece weight, and postage (and, if applicable, the fee amount) on a separate listing. Deduct the total number of pieces, piece weights, and postage and fees from the totals shown on the manifest, summary, and postage statement.
b. For manifests using batch processing, write the adjustments directly on the manifest listing showing the consecutive serial number, weight increment, rate category, and postage of each item next to the batch that includes the serial number. Alternatively, a separate list may be prepared as an attachment to the manifest showing, for each spoiled piece, the consecutive serial number, weight increment, rate category, and postage. The total number of pieces, piece weight, and postage must be deducted from the batch, manifest summary, and postage statement.
2.3 Keyline
2.3.1 Batch Mailings
The keyline printed on each piece of presorted letter- or flat-size First-Class Mail or Standard Mail produced using batch processing must contain, in order, the consecutive unique piece number, the weight increment (First-Class Mail only), the rate category for which the piece qualifies, and the postage paid by weight and rate category (see Exhibit 2.3.1).
Exhibit 2.3.1 Letter-Size Keyline Information
2.3.2 Mailer Codes
Codes for internal mailer use may be printed to the right of the postage-paid information, if at least two spaces separate the postage paid and any internal code information.
2.3.3 Rate Category Abbreviations
Keylines on First-Class Mail or Standard Mail may use only the rate category abbreviations in Exhibit 2.3.3a or Exhibit 2.3.3b, respectively. All pieces that qualify for more than one postage rate must show each rate category abbreviation, separated by a "/" (slash) (e.g., EB/DS).
Exhibit 2.3.3a Rate Category Abbreviations—First-Class Mail
|
Single-Piece Rate (when fewer than 500 pieces accompany automation rate mail) |
Exhibit 2.3.3b Rate Category Abbreviations—Standard Mail
2.3.4 Keyline Location—Batch Mailings
The keyline must be readily identifiable and placed anywhere on the address side that does not conflict with other standards (see Exhibit 2.3.1 for examples). On letter-size mail, the keyline must not interfere with the OCR read area (see 202.2.1) or barcode clear zone (see 202.5.1). If printed on an insert, the keyline must conform to 202.5.0.
2.3.5 Unique ID Number Location—Itemized Mailings
The unique identification number must be printed on the address side of each itemized piece. It may be a product number or any other number that is not duplicated within the mailing. The numbers must be printed in overall ascending order, or in ascending order within each zone or 5-digit, 3-digit, or BMC ZIP Code area on the manifest list.
2.4 Authorization
2.4.1 Application
[1-4-07] The mailer must submit an MMS application and supporting documentation as specified on the application to the postmaster of each post office where mailings will be deposited. Publication 401 contains an application to mail using an MMS. Application procedures for mailers who want to manifest and pay postage for Express Mail using an Express Mail Manifesting System are outlined in 2.6. Publication 205, Electronic Verification System Technical Guide, provides the eVS application procedures for mailers.
2.4.2 Approval Review
After the mailer completes the development and installation of the MMS, the USPS will review the system and give temporary approval if the system is functioning as required. A final review will be conducted within 90 days of the temporary approval, and final approval will be given if the system is functioning as required.
2.4.3 General Requirements for Authorization
[1-4-07] General requirements for authorization are as follows:
a. Verification samples are deemed representative of the entire mailing, and postage adjustment calculations are applied to the total mailing. The mailer must pay additional postage for any underpayments identified during USPS verification. A mailer may elect to overpay postage for pieces that are borderline weight or rate increments to avoid postage underpayment adjustments.
b. If the total postage or the total weight of pieces sampled during a verification results in an underpayment by more than 1.5%, total postage for the mailing is adjusted.
c. For eVS mailings prepared under 2.9, USPS charges eVS mailers for postage due for any underpaid, un-manifested, or mis-shipped parcels at the end of the review period following the mailing period as follows:
1. If the total postage of pieces sampled during verification indicates that the mailer underpaid postage by more than 1.5% when compared with the mailer's manifest, USPS adjusts the total postage using the procedures in Publication 205.
2. USPS charges eVS mailers for any parcels not listed on the mailer's manifest but identified by USPS processing scans as being mailed. USPS removes these un-manifested parcels from any sampling adjustments.
3. USPS charges eVS mailers the appropriate single-piece rate for mis-shipped parcels (parcels deposited at incorrect destination facilities). USPS transports these mis-shipped parcels to the correct destination.
d. An MMS is authorized for no more than 2 years.
e. The mailer must notify the USPS in writing of any system change that affects postage calculation, generation of required documentation, or mail presorting before the mailing is presented.
f. Postage must be paid by an advance deposit account from which funds may be deducted by the USPS to cover any deficiency discovered after acceptance of the mail.
2.4.4 Approval Authority
[1-4-07] The final authority for manifest mailing approval is as follows:
a. The district Customer Service and Sales manager approves systems that produce separate or mixed mailings of single-piece rate First-Class Mail, Package Services, or international mail, including mailings with extra services and predetermined weights.
b. The Business Mailer Support manager, USPS Headquarters, approves manifest mailing systems, including eVS, that produce presorted First-Class Mail and Standard Mail mailings, Package Services mailings, and PVDS mailings.
2.4.5 Denial
If an MMS application is denied final approval, then the mailer may appeal the decision as follows:
a. For MMS authorizations denied final approval by the district Customer Service and Sales manager, the mailer may, within 15 days from the receipt of the notice, file a written appeal, including additional evidence showing why the MMS should be authorized. The appeal is sent to the Business Mailer Support manager, USPS Headquarters, who issues the final agency decision.
b. For MMS authorizations denied final approval by the Business Mailer Support manager, the mailer may, within 15 days from the receipt of the notice, file a written appeal, including additional evidence showing why the MMS should be authorized. The appeal is sent to the Business Mail Acceptance manager, USPS Headquarters, who issues the final agency decision (see 608.8.0 for address).
2.4.6 Renewal
An MMS authorization may be renewed before its expiration date after a review. The district Customer Service and Sales manager will review systems originally given final approval by that office. The Business Mailer Support manager reviews systems originally given final approval by that office. If the system remains qualified, the following applies:
a. When the review determines that the system remains qualified, without any modifications, the existing service agreement is extended for 2 years. Approval to extend the existing agreement is sent in writing from the authorized USPS manager.
b. When the review determines that the system was modified but continues to remain qualified, a new service agreement that details the changes to the system must be prepared. The revised service agreement must be signed by the authorized USPS manager and by the mailer.
c. When the review determines that modifications are needed before renewal, the mailer is informed in writing of the necessary modifications. If the mailer chooses to make the modifications, the system is reviewed again under 2.4.6b.
2.5 Revocation
2.5.1 Revocation Authority
The revocation authority for MMS is as follows:
a. The district Customer Service and Sales manager may revoke a mailer's MMS authorization that was originally given final approval by that office.
b. The Business Mailer Support manager may revoke an MMS authorization originally given final approval by that office or by the district Customer Service and Sales manager.
2.5.2 Reasons for Revocation
An MMS authorization may be revoked if:
a. The mailer provides incorrect data on the manifest list and appears unable or unwilling to correct the problems.
b. The mailer is not properly completing the required quality control procedures.
c. The mailings no longer meet MMS criteria established by this standard and in the MMS service agreement.
d. The mailer does not present mailings under MMS for more than 6 months (except as noted in the service agreement).
e. The mailer continues to present mailings that are improperly prepared and proper postage is not being paid.
2.5.3 Corrective Action
After a notice of revocation is issued, the mailer and the USPS determine corrective actions, including an implementation schedule. At the conclusion, the USPS reexamines the mailer's system. Failure to correct identified problems is sufficient grounds to revoke the mailer's MMS authorization.
2.5.4 Appeal of Revocation
After initial notice of revocation is received, the mailer may appeal. The mailer can continue to mail under the MMS during the appeal process. Appeals are handled as follows:
a. For MMS authorizations given final approval by the district Customer Service and Sales manager, the mailer has 15 days from date of receipt of the notice to file a written appeal with the Business Mailer Support manager. The appeal must include the reason why the MMS authorization should not be revoked. The Business Mailer Support manager issues the final agency decision. The final revocation decision takes effect 15 days after receipt by the mailer.
b. For MMS authorizations given final approval by the Business Mailer Support manager, the mailer has 15 days from the date of receipt of the notice to file a written appeal with the Business Mail Acceptance manager, USPS Headquarters. The appeal must include the reason why the MMS authorization should not be revoked. The Business Mail Acceptance manager issues the final agency decision. The final revocation decision takes effect 15 days after receipt by the mailer.
2.6 Express Mail Manifesting Agreements
2.6.1 Description
Express Mail Manifesting (EMM) is an automated system that allows a mailer to document postage and fees for all pieces in an Express Mail mailing by transmitting an electronic file to the USPS.
2.6.2 What May Be Manifested
EMM may be used to pay postage for domestic Express Mail items and Global Express Mail items as well as any extra service fees. Postage for other classes of mail cannot be paid through EMM. Custom-designed service and mailings to military (APO/FPO) addresses may not be mailed using EMM.
2.6.3 Service Guarantee
Express Mail items mailed using an EMM are covered by current Express Mail service and postage guarantees. Refunds for service failures are subject to the standards in 604.9.5. Reimbursements are paid under 604.9.5.7.
2.6.4 Postage Payment
Postage for EMM is paid through an Express Mail corporate account (EMCA) using the information in the mailer's electronic file. Mailers wishing to mail using an EMM system must apply for an EMCA using the procedures in 114 before an EMM agreement will be authorized.
2.6.5 Mail Volume
EMM is designed for large volume mailings; however, there are no minimum volume requirements.
2.7 Basic Standards
2.7.1 Mailer Participation Requirements
To participate in Express Mail Manifesting, mailers must:
a. Develop or purchase computer software that will meet the EMM technical requirements outlined in Publication 97, Express Mail Manifesting Technical Guide.
b. Obtain a DUNSŪ number for each mailing location.
c. Obtain USPS certification that the mailer's software and barcoded labels meet EMM requirements.
d. Develop and administer effective quality control procedures that will ensure the integrity of the system.
e. Use one-ply Express Mail labels that meet the requirements in Publication 97.
f. Be able to have the USPS accept and dispatch EMM items from their company or a postal facility at the times approved by the district marketing manager.
g. Receive authorization to mail items using EMM under 2.8.
2.7.2 Mailer Quality Control
The mailer must implement a quality control program that ensures proper mail preparation and provides accurate documentation. The service agreement must detail the USPS-approved quality control procedures.
2.7.3 Mailer System Accuracy/Manifest Adjustments
The USPS verifies the accuracy of the EMM system by selecting mailpieces at random and comparing them to a verification manifest. If the sampling indicates that the total postage (for the sample mailpieces) is understated by more than 1.5%, the mailer must either withdraw the mailing or pay postage at an adjusted rate. Specific procedures are outlined in Publication 97.
2.7.4 Markings, Label Specifications, and Barcodes
No special rate markings are required on EMM items. However, barcoded EMM labels are required on all EMM mailpieces, and specific label formats must be followed. Detailed barcode and Express Mail label specifications and options are published in Publication 97. The labels are subject to approval by Product Information Requirements, Product Development, USPS Headquarters, and the National Customer Support Center (NCSC). Mailers must follow the specific certification procedures outlined in Publication 97.
2.7.5 Mail Entry
Mailers must present a photocopy or facsimile of Form 3152-E and a verification manifest with each mailing.
2.7.6 Manifest Data Edit Error/Warning Listing
Mailers must retrieve and retain the Manifest Data Edit Error/Warning Listing for each mailing that will be made available by the host computer. The listing confirms whether an electronic transmission was successful or contained errors or warnings. Specific information about this requirement is included in Publication 97 and in the mailer's EMM agreement.
2.7.7 Form 3152-E for Postage Payment
Form 3152-E is presented with each mailing. There is no postage affixed to the mailpieces and no postage statement presented with mailings. Postage payment is completed by electronic withdrawal of funds from a mailer's Express Mail corporate account. Form 3152-E must include the following information:
a. Number of pieces in the mailing.
b. Total weight of pieces in the mailing.
c. Total postage and extra service fees, if applicable, for the mailing.
e. Electronic file number from header record positions 4-25.
2.8 Applications, Agreement Renewals, Modifications, Suspensions, and Cancellations
2.8.1 Applications
Mailers must apply to use an EMM system by completing the application in Publication 97. The application must be sent to the USPS sales representative at the post office where the items will be accepted as mail. After the application and other documentation has been received and reviewed, the application and Form 1357-S is faxed to Product Information, Product Requirements, USPS Headquarters. This office will send the contact page of the application to the Postal NCSC Delivery Confirmation Office. The Delivery Confirmation Office will send a test kit to the applicant via electronic mail to test the electronic file transmission accuracy. The application for EMM must be accompanied by the following:
b. A copy of Form 5637 showing that an Express Mail corporate account has been established.
c. A DUNSŪ number for each mailing location.
d. Sample copies of a verification manifest created from the mailer's EMM software.
f. A rate matrix, if applicable.
2.8.2 Approval
A temporary service agreement will be issued by the district marketing manager through the Business Mail Entry Office for 90 days at the location where the mailings will be verified and accepted when a review of the mailer's application and mailing operation indicates the mailer meets the eligibility requirements for entry of Express Mail items using an EMM system. Prior to the end of the 90 day temporary agreement the district business mail entry manager will conduct a final review to ensure that the system continues to meet standards. Upon a successful review, the district Customer Sales and Service manager gives final approval of the EMM system. Publication 97-A, Express Mail Manifesting Implementation and Administration Guide, outlines the specific responsibilities of the various USPS departments in approval process.
2.8.3 Denial
If an application for EMM is denied by the district marketing manager, the denial is effective 15 days from the mailer's receipt of the notice unless a written appeal is filed within that time to the Business Mailer Support manager, USPS Headquarters, who issues the final agency decision on the application.
2.8.4 Changes, Additions, or Modifications to the Service Agreement
If a mailer proposes to change the method of presenting or documenting mailings from the method specified in the agreement, or the mailer is no longer able to comply with the standards that apply to the authorization, the mailer must immediately notify the district marketing manager.
2.8.5 Renewal
EMM agreements are valid for 2 years. The district Customer Service and Sales manager, USPS Headquarters, will conduct renewal reviews.
2.8.6 USPS Suspension
The district Customer Service and Sales manager may suspend an EMM agreement at any time, pending review, when there is an indication that postal revenue is not fully protected. The district Customer Service and Sales manager will notify the mailer of the decision in writing. The suspension becomes effective upon the mailer's receipt of the notification.
2.8.7 USPS Cancellation
The district Customer Service and Sales manager may cancel an EMM agreement upon 15 days notice if:
a. The mailer fails to provide a manifest with correct data.
b. The required quality control procedures described in the EMM agreement are not properly performed.
c. The EMM does not comply with USPS requirements.
d. Mailings are presented that are not properly prepared or paid.
e. No Express Mail manifest mailings are presented for more than 6 months (unless approved by the Business Mailer Support manager).
f. The mailer has relocated or has changed ownership without notification.
g. The 2-year renewal review reveals that the EMM agreement should no longer be authorized or the mailer is not complying with the agreement.
2.8.8 Cancellation Notice and Appeal
The cancellation takes effect 15 days from the mailer's receipt of the notice unless, within that time, the mailer files a written appeal with the Business Mailer Support manager. The appeal must present additional information explaining why the EMM agreement should not be canceled. The Business Mailer Support manager will issue the final agency decision.
2.9 Electronic Verification System
2.9.1 Description
[1-4-07] The Electronic Verification System (eVS) is a manifest mailing system that allows parcel mailers to document and pay postage and extra services fees by transmitting electronic files to the Postal Service without generating paper manifests, postage statements, or clearance documents, with the following principal features:
a. File Creation. eVS requires the creation of an electronic file containing specific data records organized into manifests. Each manifest within the file corresponds to a data record for each destination entry facility or each origin/entry Post Office, with records for the parcels grouped under the record for the entry facility or entry Post Office. Successfully accepted files and the records within those files are used by eVS to generate electronic postage statements for automatic debiting of the mailer's postage payment account. Files must be prepared as specified in Publication 205, Electronic Verification System Technical Guide.
b. Daily Mailing and Presort Eligibility. A mailing, which is determined by all file transmissions received from the eVS mailer within a 24-hour cycle, must meet all presort and volume requirements for the class of mail and rate category claimed. The 24-hour cycle begins at 2:00:00 a.m. and ends at 1:59:59 a.m. Central Time.
c. Sampling. eVS sampling data, which are used to monitor postage and preparation accuracy, is primarily captured after the mailer deposits the mailing at a destination entry facility.
d. Monthly Data Reconciliation. eVS sampling data are reconciled against all the mailer's manifests received during a calendar month rather than against each individual mailing. All mailings entered during a calendar month are treated as a single mailing for the purpose of reconciliation and the collection of any postage due.
2.9.2 Availability
eVS may be used only for parcel mail paid with a permit imprint and only for the following classes and subclasses of mail, rate categories, and mail processing categories:
a. First-Class Mail. Effective April 1, 2007, single-piece rate; all parcel processing categories.
b. Priority Mail. Effective April 1, 2007, single-piece rate, flat-rate envelope, and flat-rate box; all parcel processing categories.
c. Regular Standard Mail. Basic and 3/5-digit presorted, destination bulk mail center (DBMC), and destination sectional center facility (DSCF) rates; machinable parcels and irregular parcels.
d. Parcel Post. Inter-BMC and intra-BMC rates; machinable parcels and nonmachinable parcels. Origin BMC and BMC Presort discounts are not available. Parcel Select. DBMC, DSCF, and destination delivery unit (DDU) rates; machinable parcels and nonmachinable parcels.
e. Bound Printed Matter. Single-piece, presorted, DBMC, DSCF, and DDU rates; machinable parcels and, for single-piece and DDU rates only, irregular parcels.
f. Media Mail. Single-piece, basic, and 5-digit rates; machinable parcels and irregular parcels.
g. Library Mail. Single-piece, basic, and 5-digit rates; machinable parcels and irregular parcels.
2.9.3 Extra Services
The following extra services are available for eVS:
c. Insurance, if Form 3877 is used.
d. Collect on Delivery, if Form 3877 is used.
f. Return Receipt for Merchandise.
2.9.4 Optional and Required Use
Mailers depositing permit imprint parcels for those classes of mail and rate categories specified in 2.9.2 may document and pay postage using eVS. Mailers authorized to commingle Standard Mail machinable parcels or Package Services parcels under 6.0 and 7.0 also may use eVS to document and pay postage for all parcels in the mailing for those mail classes and subclasses available under 2.9.2. Effective August 1, 2007, mailers must use eVS for all permit imprint Parcel Select parcels and for permit imprint parcels authorized under 6.0 and 7.0 to be commingled with Parcel Select.
2.9.5 General Requirements
General requirements for participation are as follows:
a. Permit Account Number. The mailer must have or establish a single permit account number for eVS at the business mail entry unit designated by the administering district manager. The Post Office where the business mail entry unit is located is generally considered the Post Office of Account for the eVS mailer. The eVS permit account number is to be used exclusively for eVS mailings. No other permit number may be used for eVS mailings.
b. Postage Payment Account. The mailer must have or establish a PostalOne! postage payment debit account for the withdrawal of funds from postage statements generated by eVS from the electronic files transmitted by the mailer.
c. Annual Mailing Fees. The mailer must pay all applicable presort and destination entry mailing fees at the administering district business mail entry unit.
d. Customer Identification Number. The mailer must have or obtain a DUNS number from Dun and Bradstreet or a unique identification number from the Postal Service. This customer identification number must be registered with the Postal Service and used to identify all electronic manifests transmitted by the mailer for eVS mailings. The mailer may use the same customer identification number in the Package Identification Code (PIC) or different numbers in the PIC if these additional numbers are also registered with the Postal Service. The mailer is required to keep the Postal Service updated on changes and additions to customer identification numbers.
e. Application. The mailer must complete and submit the eVS application available from the Postal Service.
f. Computer Access. The mailer must obtain computer access to eVS and, if necessary, to PostalOne!
g. File Transfer. The mailer must complete and submit Form 1357-S to set up the file transfer mechanism with the Postal Service. Form 1357-S is not required for Electronic Data Interchange (EDI).
h. Software. The mailer must develop or obtain computer software that meets eVS electronic file specifications for manifesting parcels and the barcode specifications for producing accurate and scannable barcodes used on the parcel mailing labels.
i. File and Label Certification. The mailer must have electronic files and barcodes certified by the Postal Service.
j. Quality Assurance. The mailer must develop and administer effective quality assurance procedures to ensure the integrity and accuracy of the mailer's mail production, postage payment, and file transmissions.
k. Mailing Test. The mailer must complete a test during which eVS manifest files are transmitted and mailings are made to determine the accuracy of the mailer's system.
l. Mailing Agreement. The mailer must enter into an eVS manifest mailing agreement with the Postal Service.
2.9.6 System Requirements
A mailer using eVS must have or contract with a service provider that has an automated system that produces mail according to USPS standards and calculates postage and extra services fees accurately. The system used for eVS must:
a. Create and submit electronic manifest files as described in Publication 205 and assign a unique file number for each manifest file containing the mailer's customer identification number used for all file transmissions.
b. Produce a manifest file for each mailing or mailing segment deposited at a destination Postal Service facility or entry Post Office as identified by ZIP Code.
c. Provide all required data in each manifest record for each parcel for the destination Postal Service facility or entry Post Office.
d. Assign each parcel a unique package identification code used for producing a corresponding unique barcode containing a customer identification number.
e. Transmit electronic manifest files on or before the date of mailing.
2.9.7 Postage Payment
All eVS mailings must be paid with a permit imprint and meet the standards for permit imprint mail in 604.5.0. USPS calculates postage payment and electronically debits postage from the mailer's postage account based on information received from the mailer's electronic manifest and data collected through USPS operational and sampling scans. Mailers must pay for postage through a Centralized Account Payment System (CAPS) debit account.
2.9.8 Verification and Postage Adjustments
USPS randomly samples parcels and considers verification samples to be representative of the entire mailing period. Verification data is used to make the following monthly adjustments for postage due, collected on the 21st day after the last day of the month of mailing:
a. Postage Adjustment Factor (PAF) Payment. USPS applies postage adjustment calculations, based on verification samples, to all mailpieces mailed during the mailing period. A mailing period is defined as a calendar month for purposes of calculating adjustments in eVS. USPS adjusts the total postage for the mailing period if the total postage of the pieces sampled during the mailing period results in an underpayment greater than 1.5%. The mailer must pay postage for any underpayments identified by USPS verification. The mailer must maintain sufficient funds in the mailer's postage account to cover any underpayments discovered after acceptance of the mail.
b. Un-manifested and Mis-shipped Parcel Payment. The mailer is responsible for postage payment of un-manifested parcels and mis-shipped parcels. Un-manifested parcels are those parcels for which the Postal Service has obtained information from scanning operations but has not received or successfully processed manifest files and records corresponding to the parcels. Mis-shipped parcels are destination entry rate parcels delivered to the incorrect Postal Service facility by the mailer and transported by the Postal Service to the correct facility. The mailer must pay postage for un-manifested and mis-shipped parcels identified by USPS verification. The mailer must maintain sufficient funds in the mailer's postage account to cover postage due discovered after acceptance of the mail.
2.9.9 Authorization
Mailers must be authorized to participate in eVS according to the following procedures:
a. Mailers must meet the general requirements and system requirements for eVS and submit an eVS application and supporting documentation as specified in Publication 205, Electronic Verification System Technical Guide, to the Business Mailer Support manager, USPS Headquarters (see 608.8.0 for address).
b. After mailers successfully complete development and testing for eVS, the USPS grants temporary approval. USPS conducts a review within 90 days of the temporary approval and grants final approval if the mailer's system is working as required. The Business Mailer Support manager, USPS Headquarters, has final authority for eVS approval.
c. After receiving final authorization, the mailer and a USPS representative must sign a service agreement. The agreement contains provisions regarding mailer and USPS responsibilities, including electronic documentation, document retention, quality control, and the duration of the agreement.
2.9.10 Denial
If USPS denies an eVS application, the mailer may appeal the decision within 15 days from the receipt of the notice by filing a written appeal, including evidence showing why the mailer should be authorized to use eVS. The mailer sends the appeal to the Business Mail Acceptance manager, USPS Headquarters, who issues the final agency decision (see 608.8.0 for address).
2.9.11 Revocation
The Business Mailer Support manager may revoke authorization for eVS participation for any of the following reasons:
a. A mailer does not provide correct data in electronic manifests and is not able or willing to correct the problems.
b. A mailer does not properly complete the required quality control procedures.
c. A mailer does not produce mailings meeting eVS criteria established by this standard or in the mailer's eVS manifest mailing agreement.
d. A mailer does not present mailings using eVS for more than 6 months (except as noted in the service agreement).
e. A mailer does not present properly prepared mailings.
f. A mailer does not pay proper postage.
2.9.12 Corrective Action
After USPS issues a notice of revocation to a mailer, the mailer and the USPS determine corrective actions, including an implementation schedule. At the conclusion of the implementation period, the USPS reexamines the mailer's system to determine if it complies with the program requirements. Failure to correct identified problems is sufficient grounds to sustain revocation of the mailer's eVS authorization.
2.9.13 Appeal of Revocation
After receiving initial notice of revocation, a mailer has 15 days from the date of receipt of the revocation notice to file a written appeal with the Business Mail Acceptance manager, USPS Headquarters. The appeal must include the reason the eVS authorization should not be revoked. The mailer may continue to mail using eVS during the appeal process. The Business Mail Acceptance manager issues the final agency decision. The final revocation takes effect 15 days after the date of the final agency decision.
3.0 Optional Procedure Mailing System
3.1 Basic Information
3.1.1 Description
An Optional Procedure Mailing System is a method of verifying and accepting First-Class Ma