[Federal Register Volume 59, Number 49 (Monday, March 14, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-5866]
[[Page Unknown]]
[Federal Register: March 14, 1994]
_______________________________________________________________________
Part V
Postal Service
_______________________________________________________________________
39 CFR Part 111
Preparation Requirements for Letter-Size ZIP+4 and Barcodes Rate
Mailings; Final Rule
POSTAL SERVICE
39 CFR Part 111
Preparation Requirements for Letter-Size ZIP+4 and Barcoded Rate
Mailings
AGENCY: Postal Service.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: This final rule amends the Domestic Mail Manual (DMM)
requirements governing the preparation of the residual portion of
second- and third-class letter-size automation rate mailings. This rule
also includes an optional procedure for preparing the residual portion
of First-Class ZIP+4 and barcoded letter-size mail and changes to Line
2 of AADC tray labels for letter-size mail.
EFFECTIVE DATE: May 8, 1994.
FOR FURTHER INFORMATION CONTACT: Mr. Joe Alexandrovich, (202) 268-2260.
SUPPLEMENTARY INFORMATION:
Background
On September 22, 1993, the Postal Service published a proposed rule
in the Federal Register (58 FR 49402-49415) to require that the
residual portion of second- and third-class letter-size automation rate
mailings be sorted to the automated area distribution center (AADC)
level.
As explained in the proposed rule, this change was needed to
correct the processing problem that resulted when the requirement for a
states and mixed-states presort of second- and third-class residual
mail was eliminated as part of a larger change in preparation
requirements that took effect March 21, 1993. At the time, the Postal
Service did not anticipate the magnitude of the resulting increase in
residual mail that must be processed at origin. This increase in non-
presorted residual mail has exceeded the Postal Service's processing
capabilities at many facilities, leading to considerable problems.
The proposed rule also introduced an additional preparation option
for the residual portion of First-Class letter-size automation rate
mailings and changed the tray labeling requirement for Line 2 of AADC
trays of letter-size mail.
This final rule is intended to address the specific processing
problem discussed in the proposed rule. As part of the ongoing process
of re-examining the mailing standards in the DMM, the Postal Service
plans to take a more comprehensive look at the standards for automation
rate mail later this year, with a view to simplifying those standards.
Evaluation of Comments Received
The Postal Service received eight comments on the proposed rule,
including five from mailing-related businesses, two from companies or
corporations, and one from an individual. These comments are discussed
below.
Package Size
Four commenters raised concerns relative to the preparation and
processing of small packages. The original proposal did not contain a
minimum package size for presortation of the residual portion of the
mailing. Instead, it stated that residual packages must be prepared if
two or more pieces in a mailing destinate to an AADC area. The
commenters claimed that the creation of such small packages was
burdensome to mailers and inefficient for the Postal Service. One
mailer also stated that banding small packages results in damage to the
mailpieces that may render them unsuitable for automated processing.
The Postal Service shares the commenters' concerns about package
size. After consideration of the comments received, a decision was
reached to require packaging of residual pieces only if 10 or more
pieces destinate to an AADC area. The 10-piece minimum (which was
formerly the minimum for state packages) balances concerns about
extremely small packages against the Postal Service's need to reduce
piece handlings of residual mail at origin. Residual pieces not meeting
the 10-piece package minimum are to be placed in a working tray in AADC
sequence.
Processing Efficiency of Packages
Three comments were received concerning the relative efficiency of
processing residual AADC packages instead of full, unpackaged residual
trays. The commenters suggested that the costs associated with
unbanding residual packages prior to processing on automated equipment
may outweigh any benefits the Postal Service receives through
presorting. These mailers stated that mail in full trays is more
suitable for induction into high-speed automated equipment than is mail
in bundles. The commenters argued that the Postal Service might
actually realize increased processing costs for the residual portion of
mailings as a result of the proposed preparation changes.
The Postal Service has determined that presortation of the residual
portion of a mailing will improve overall operating efficiency for the
Postal Service relative to nonpresorted residual trays. Mixed-AADC
trays will contain AADC packages that must be distributed at origin.
However, no piece processing will be performed on this mail at the
origin facility. Piece processing of residual mail at origin will be
limited to working trays containing pieces that do not meet the 10-
piece minimum to an AADC area. Thus, presortation of residual mail will
virtually eliminate piece processing of this mail at the origin
facility. Although there is some cost to handle packages, the Postal
Service has concluded that this cost is outweighed by the need to
correct the processing problems currently presented by piece handling
of residual mail, as described in the proposed rule. Moreover, a
significant proportion of the packages will not be handled at origin;
for example, all residual mail in AADC trays will be routed directly to
destination. Also, the new requirements allow for the creation of full
AADC trays of residual mail that is not packaged.
Additional Mailer Operating Costs
Five commenters stated that the proposed changes would increase
their operating costs. Two of these mailers remarked that the Postal
Service is essentially transferring costs from mail processing plants
to mailer plants. Two of the commenters expressed concerns about the
costs of training their workers on the new requirements. One mailer
commented that the proposed changes were incompatible with his
operation and would require substantial and costly changes to his
production processes.
The residual preparation requirements in this rule are comparable
to those in effect prior to March 21, 1993, for automated rate second-
and third-class letters prepared in sacks, and those still in effect
for nonautomated presort second- and third-class letters. Prior to the
March 21, 1993, change, mailers were required to prepare packages of
residual second- and third-class automated rate letters and place them
in state and mixed-states sacks. State sacks were then routed to a
destination SDC for processing while mixed-states sacks were, in most
cases, processed at the origin SCF.
This rule will require similar presortation of the residual portion
of second- and third-class automated rate letter mailings. Like state
packages and sacks, residual AADC packages and trays involve
presortation of the residual portion of a mailing in order to bypass
outgoing processing operations at the origin facility. Only mail in
working trays will be processed at the origin SCF, as was mixed-states
mail under the previous preparation requirements.
Requiring this presortation of the residual portion of a second- or
third-class mailing is justified by the fact that some degree of
worksharing is assumed in the basic rate paid for second- and third-
class residual letters, a rate that is substantially reduced from the
single-piece rate.
One commenter expressed concern about being required to prepare a
large number of less-than-full residual AADC trays, which would be a
waste of time and space. This final rule, which permits AADC packages
of 10 or more pieces to be placed in a mixed-AADC tray if a full AADC
tray cannot be prepared, and allows groups of fewer than 10 pieces to
an AADC to be placed in working trays, avoids the potential problem
raised by this commenter.
Creation of Nonuniform Preparation Standards for Different Classes of
Automated Mail
One commenter stated that the proposed changes represented a
retreat from the Postal Service's declared goal of simplified and
standardized mail preparation requirements. This mailer remarked that
adopting the proposed changes would necessitate the retraining of his
workforce and lead to verification problems for the Postal Service.
Although the changes in this rule will make the required
preparation of the residual portion of second- and third-class
automated rate letters different from that for First-Class Mail, the
Postal Service believes these changes are appropriate given the
processing problems that led to the proposed rule and the discount
mailers receive for basic rate mail in second- and third-class
mailings. Furthermore, the final regulations are modified to allow
First-Class mailers the option of preparing residual mail according to
the residual sortation options required for second- and third-class
mail. This modification will allow mailers the opportunity to presort
first-, second-, and third-class mailings in a uniform manner.
Lower Minimum for 3-Digit Packages
One commenter recommended that the Postal Service reduce or
eliminate the 50-piece minimum for qualifying 3-digit mail as a way to
reduce the residual volume. This mailer proposed that the Postal
Service eliminate the 3-digit qualifying minimum for automated mail if
it is prepared in trays on SCF pallets and reduce the minimum to 10
pieces for mail that is 100 percent delivery point barcoded. The
result, according to this mailer, would be a significant reduction in
the amount of residual mail requiring processing at the origin plant.
Relaxation of the 50-piece minimum for qualifying 3-digit mail
under package-based preparation is not being considered at the present
time. Under tray-based preparation options, second- and third-class
mail in SCF trays is not required to meet a 50-piece minimum for a 3-
digit area. However, this rule gives mailers an option to prepare the
residual portion of package-based mailings by 3-digit area with no
minimum package size.
Limit Residual Preparation to Full AADC Trays
One commenter suggested that the Postal Service test the
feasibility of limiting the preparation of residual mail to full AADC
trays. Residual mail that remained after full AADC trays were prepared
would not require sortation. The commenter contended that this limited
approach might solve the processing problems caused by residual mail
volumes.
Limiting residual preparation to full AADC trays would not
adequately address the problem of excessive volumes of working residual
mail at origin. Most AADC areas contain five or fewer 3-digit ZIP Code
areas, making it very unlikely that full trays of residual mail could
be prepared for these AADCs given that 3-digit packages must be
prepared at 50 pieces. In order to relieve the problems associated with
processing residual mail at origin, a more substantial presortation of
the residual portion of a mailing than that suggested by this commenter
is necessary.
Allocate Barcode Sorters to Residual Mail Processing
One commenter suggested that each of the 10 processing and
distribution areas set up a centralized facility for processing
residual mail. Under this scenario, origin processing plants would
divert the residual portion of automation rate mailings to this
centralized site for processing.
Equipment deployment decisions are based on originating and
destinating volumes for all classes of mail within a processing and
distribution plant's service area. Allocating equipment based on
originating residual volumes of second- and third-class letters would
result in sub-optimal utilization of automated equipment. The Postal
Service believes that presortation of residual volumes, as described in
this rule, is a reasonable and effective way to deal with the
processing problems caused by piece processing of residual mail.
Summary of Changes
The following is a summary of the changes, by preparation option in
DMM Module M.
ZIP+4 Presort and Barcoded Tray-Based Mailings (DMM M812 and M814)
This rule will require presortation of the residual portion of
second- and third-class mailings by AADC area. These changes are
optional for First-Class mailings. Changes in residual preparation are
as follows:
Full AADC trays must be prepared if enough pieces exist to
fill a tray. Packaging is not required in full AADC trays.
AADC packages must be prepared if 10 or more residual
pieces destinate to an AADC area.
Less-than-full AADC trays are not permitted except for
optional overflow trays.
AADC packages of 10 or more pieces not placed in a full
AADC tray must be banded, labeled, and placed in a mixed-AADC tray.
AADC packages must bear a pink Label A or optional
endorsement line (OEL).
AADC packages must be banded, except when placed in full
AADC trays. Separator cards are not allowed in overflow AADC trays or
in mixed-AADC trays.
Mail remaining after preparing AADC packages must be
placed in working trays in AADC sequence.
ZIP+4 Presort and Barcoded Package-Based Mailings (DMM M813, M815, and
M816)
This rule will require that the residual portion of second- and
third-class package-based mailings be prepared under one of the two
options described below. Both options require presortation of residual
pieces by AADC area. First-Class mailings may be prepared under either
of these options, which together will replace the current AADC tray
option, or under the existing ZIP Code sequencing and listing option or
the physical separation option.
SCF/AADC Preparation Option
Under this option, the residual and qualifying portions of the
mailing may be combined in SCF and AADC trays. Residual pieces must be
sorted into AADC packages if 10 or more pieces destinate to an AADC
area. All pieces that do not meet the 10-piece minimum are placed in
working trays. In addition, mailers have the option of preparing
residual mail into 3-digit packages prior to preparing required AADC
packages. Three-digit residual packages must be labeled (green Label 3
or OEL or separator card label) and placed in SCF trays. AADC packages
must be packaged and labeled (pink Label A or OEL) and placed in AADC
trays and mixed-AADC trays, except that pieces in full AADC trays
containing only residual mail need not be packaged and labeled. AADC
trays must be prepared if enough pieces exist to fill a tray. Less-
than-full AADC trays are permitted. Mixed-AADC trays must be prepared
unless all residual mail is trayed to the AADC level. Mixed-AADC trays
are limited to AADC packages of residual mail. Pieces remaining after
preparing and traying AADC packages are working mail and must be placed
in working trays in AADC sequence. In barcoded three-tier package-based
mailings prepared under M816, residual mail is not permitted in the 5-
digit tier.
Separate AADC Sortation
Under this option, the residual portion of the mailing is presented
separately from the qualifying portion in AADC, mixed-AADC, and working
trays. AADC packages must be prepared if 10 or more pieces destinate to
an AADC area, except that pieces in full AADC trays need not be
packaged. AADC trays must be prepared if enough pieces exist to fill a
tray. Less-than-full AADC trays are permitted. Remaining AADC packages
must be placed in mixed-AADC trays. AADC packages must be labeled with
a pink Label A or OEL. All pieces that do not meet the 10-piece minimum
per AADC are placed in separate working trays in AADC sequence.
Labeling Changes
The AADC tray label for two-tier package-based preparation under
DMM M815 is revised to change the position of the term ``LTRS'' on the
second line so that it is consistent with other tray labels. The AADC
tray label for 3-tier package-based preparation under DMM M816 is
revised to delete the term ``3D'' when SCF/AADC residual preparation is
used. Since these trays will contain both 3-digit and AADC packages,
the description ``3D'' is no longer appropriate.
In addition, the labeling format for mixed-AADC and working trays
is as follows:
ZIP+4 mixed-AADC trays: On Line 1 use ``MXD'' followed by
the applicable origin SCF name, state, and ZIP Code from L002, Column A
(facilities identified with three bullets), or Column B, except use
L805 for second- and third-class mail entered by the mailer at a BMC/
ASF. On Line 2 use class followed by ZIP+4 PRESORT PKGS.
ZIP+4 working trays: On Line 1 use ``MXD'' followed by the
applicable origin SCF name, state, and ZIP Code from L002, Column A
(facilities identified with three bullets), or Column B, except use
L805 for second- and third-class mail entered by the mailer at a BMC/
ASF. On Line 2 use class followed by ZIP+4 WORKING or ZIP+4 WKG.
Barcoded mixed-AADC trays: On Line 1 use ``MXD'' followed
by the applicable origin SCF name, state, and ZIP Code from L002,
Column A (facilities identified with three bullets), or Column B,
except use L805 for second- and third-class mail entered by the mailer
at a BMC/ASF. On Line 2 use class followed by LTRS BARCODED PKGS.
Barcoded working trays: On Line 1 use ``MXD'' followed by
the applicable origin SCF name, state, and ZIP Code from L002, Column A
(facilities identified with three bullets), or Column B, except use
L805 for second- and third-class mail entered by the mailer at a BMC/
ASF. On Line 2 use class followed by LTRS BARCODED WKG.
In view of the considerations discussed above, the Postal Service
hereby adopts the following amendments to the Domestic Mail Manual,
which is incorporated by reference in the Code of Federal Regulations
(see 39 CFR 111.1).
A transmittal letter making these changes in the pages of the
Domestic Mail Manual will be published and will be transmitted to
subscribers automatically. Notice of issuance will be published in the
Federal Register as provided by 39 CFR 111.3.
Stanley F. Mires,
Chief Counsel, Legislative.
List of Subjects in 39 CFR Part 111
Postal service.
PART 111--[AMENDED]
1. The authority citation for 39 CFR part 111 continues to read as
follows:
Authority: 5 U.S.C. 522(a); 39 U.S.C. 101, 401, 403, 404, 3001-
3011, 3201-3219, 3403-3406, 3621, 5001.
Module E: Eligibility
2. Make the following changes to Domestic Mail Manual (DMM) Module
E.
* * * * *
E200 Second-Class Mail
* * * * *
E242 ZIP+4 Discounts
* * * * *
2.0 Qualifying Presort
2.1 Tray-Based
* * * * *
d. In AADC, mixed-AADC, and working trays, ZIP+4 coded or delivery
point barcoded pieces can qualify for the A/G/J1 ZIP+4 rates; other
pieces can qualify for the A/G/J1 presort rates.
* * * * *
E244 Barcoded Discounts (Letter-Sized Pieces)
* * * * *
2.0 Qualifying Presort
2.1 Tray-Based
* * * * *
d. In AADC, mixed-AADC, and working trays, delivery point barcoded
pieces can qualify for the A/G/J1 Barcoded rates; subject to the
applicable standards in C830 or C840, ZIP+4 coded non-delivery point
barcoded pieces can qualify for the A/G/J1 ZIP+4 rates; other pieces
qualify for the A/G/J1 presort rates.
* * * * *
E300 Third-Class Mail
* * * * *
E342 ZIP+4 Discounts
* * * * *
2.0 Qualifying Presort
2.1 Tray-Based
In tray-based presort mailings under M812, ZIP+4 coded or delivery
point barcoded pieces in full or overflow 5-digit, 3-digit, and SCF
trays can qualify for the 3/5 ZIP+4 rate; other pieces can qualify for
the 3/5 presort rate. One less-than-full SCF tray for the origin SCF is
permitted. ZIP+4 coded or delivery point barcoded pieces in AADC,
mixed-AADC, or working residual trays can qualify for the basic ZIP+4
rate; other pieces can qualify for the basic presort rate.
* * * * *
E344 Barcoded Discounts (Letter-Sized Pieces)
* * * * *
2.0 Qualifying Presort
2.1 Tray-Based
* * * * *
c. In AADC, mixed-AADC, and working trays, delivery point barcoded
pieces can qualify for the basic Barcoded rate; subject to the
applicable standards in C830 or C840, ZIP+4 coded non-delivery point
barcoded pieces can qualify for the basic ZIP+4 rate; other pieces
qualify for the basic presort rates.
* * * * *
E350 Destination Entry Discounts
* * * * *
5.0 BMC Discount
* * * * *
5.3 Separate Sacks
Separate ADC, AADC, mixed-AADC, working, or residual trays; or
separate SDC, state, and mixed-states sacks must be prepared for pieces
eligible for the DBMC rate if the mailer includes them in that portion
of the mailing claimed at the DBMC rate, and the facility to which the
sacks, trays, or pallets are labeled is within the DBMC service area,
except that, machinable parcels claimed at the DBMC rate and deposited
at the corresponding facility may be placed in the same sack or on the
same pallet as other correctly presorted machinable parcels not
eligible for or not claimed at the DBMC rate.
* * * * *
Module M: Mail Preparation and Sortation
3. Make the following changes to DMM Module M.
M000 General Preparation Standards
* * * * *
M013 Optional Endorsement Lines
1.0 Use
1.1 Address Block, Label
[Revise the illustration to include AADC packages as shown below:]
On FIRM PACKAGES use
FIRM 12345
On CARRIER ROUTE
use
CAR-RT-SORT**B-001
On 5-DIGIT PACKAGES use
5-DIGIT 12345
On OPTIONAL CITY PACKAGES use
MIXED CITY 12345
(Use lowest 5-digit ZIP Code assigned to that city.)
On 3-DIGIT PACKAGES use
3-DIGIT 771
On SCF PACKAGES use
SCF 750
(Use correct 3-digit SCF code as shown in L002, Column B.)
On OPTIONAL SDC PACKAGES
use
ALL FOR SDC
On STATE PACKAGES
use
ALL FOR STATE
On MIXED-STATES PACKAGES
use
MIXED STATES
On AADC PACKAGES use
ALL FOR AADC
On RESIDUAL PACKAGES use
WORKING
* * * * *
2.0 Format
* * * * *
2.6 ZIP Code
Except for carrier route packages (all classes), state distribution
center (SDC), state, and mixed-states packages (second- and third-
class), and AADC and working residual packages (automation rate mail),
the optional endorsement line must include the applicable ZIP Code
information. Mixed-states bundles of fourth-class bound printed matter
must have facing slips as specified in M407.
* * * * *
M020 Packages and Bundles
* * * * *
3.0 Additional Standards--Automation Rate Mailings
* * * * *
3.3 Prohibited
Packages must not be prepared in full trays in tray-based mailings
of larger than postcard-size pieces except in AADC and mixed-AADC trays
and as permitted by standard for oversize pieces.
* * * * *
3.6 Separator Cards
Separator cards:
a. Must be used for First-Class Mail to delineate groups of 100
pieces within trays of residual mail if the physical separation option
is chosen.
* * * * *
3.7 Identification
[Revise the last sentence to read as follows:]
Residual pieces of First-Class Mail may be prepared using separator
cards as permitted by standard.
* * * * *
M800 Automation-Compatible Mail
M810 Letter-Size Mail
M812 ZIP+4 Presort--Tray-Based Mailings
1.0 Basic Standards
* * * * *
1.3 Grouping
[Insert the following at the end of this section:]
c. For pieces for the same AADC area in working trays.
* * * * *
1.5 Packaging
Separator cards are permitted only under 4.4. Packaging is
required:
a. For mailings consisting entirely of pieces that qualify by size
for First-Class card rates, regardless of the actual rate claimed or
class of mail. Package labels are required in less-than-full trays.
b. For mail in overflow AADC trays, in mixed-AADC trays, and in a
less-than-full working tray. Appropriate package labels are required in
these trays.
1.6 No Packaging
Packaging may not be used for larger than card-size pieces, except
that:
* * * * *
[Delete current 1.6c and replace with the following:]
c. Mail in AADC trays may be packaged and mail in mixed-AADC trays
must be packaged into AADC packages.
d. Mail in a less-than-full working tray under 4.2 or First-Class
residual tray under 4.3 or 4.4 must be packaged.
* * * * *
4.0 Residual Mail
4.1 Definition, Standards
Pieces remaining after packages and trays are prepared under 2.0 or
3.0 are residual (nonqualifying) mail. Residual second- or third-class
mail must be prepared under 4.2. Residual First-Class Mail must be
prepared under 4.2, 4.3, or 4.4 except that preparation may be finer
than those standards, by agreement between the mailer and the entry
post office for multiple acceptance times. All residual mail must be
presented under 4.5.
4.2 AADC Sortation
Prepare residual pieces as follows:
a. All pieces must be sorted by AADC area using L804 (or, for
automated site mailings, L803).
b. Quantities of 10 or more pieces for an AADC area must be
prepared as an AADC package (or, if possible, a full AADC tray).
Packaging is not required in full AADC trays. AADC packages of fewer
than 10 pieces are not permitted.
c. All AADC packages must be trayed in AADC or mixed-AADC trays.
Pieces remaining after preparing full AADC trays and AADC packages must
be placed in separate working trays.
d. Pieces in less-than-full AADC overflow trays and in all mixed-
AADC trays must be packaged and labeled as AADC packages using a pink
Label A or OEL. Separator cards are not permitted.
e. Pieces in working trays must be grouped by AADC area. Pieces in
a less-than-full working tray must be prepared in working packages up
to 6 inches thick making as few packages as possible without regard to
AADC breaks. Separator cards are not permitted. Label packages in less-
than-full working trays with either a facing slip marked ``WORKING'' or
``WKG'' or the optional endorsement line ``WORKING.''
f. A piece count listing must be provided for all residual pieces
that shows by tray level and AADC area (listed by numeric AADC code
from the labeling list in L804 or, for automated site mailings, L803)
the number of pieces eligible for each rate and the number of pieces
with and without a ZIP+4 code.
g. Tray size:
(1) AADC: required full trays; one less-than-full overflow tray
permitted per destination per mailing.
(2) Mixed-AADC: required full trays; one less-than-full tray
permitted.
(3) Working: required full trays; one less-than-full tray
permitted.
h. Residual presort sequence and Line 1 labeling:
(1) AADC (required); use L804 (or, for automated site mailings,
L803) on Line 1.
(2) Mixed-AADC (required); on Line 1 use ``MXD'' followed by the
applicable origin SCF name, state, and SCF code from L002, Column A
(facilities identified with three bullets), or Column B, except use
L805 for second- and third-class mail entered by the mailer at an ASF
or BMC.
(3) Working (required); on Line 1 use ``MXD'' followed by the
applicable origin SCF name, state, and ZIP Code from L002, Column A
(facilities identified with three bullets), or Column B, except use
L805 for second- and third-class mail entered by the mailer at an ASF
or BMC.
i. On Line 2: class (FCM, 2C, NEWS, or 3C), followed by:
(1) For AADC trays: AADC ZIP+4 PRESORT.
(2) For mixed-AADC trays: ZIP+4 PRESORT PKGS.
(3) For working trays: ZIP+4 WORKING or ZIP+4 WKG.
4.3 Sequencing, Listing--First-Class Mail Only
[Insert current M812.4.2 and renumber as M812.4.3. Revise the first
sentence to read as follows:]
First-Class residual pieces may be sequenced by ZIP Code and
presented with a listing:
[Delete renumbered 4.3f; reletter 4.3g and h as 4.3f and g. Revise
renumbered and relettered 4.3g to read:]
g. For Line 2: FCM LTRS followed by either ZIP+4 WORKING or ZIP+4
WKG.
4.4 Separation by Rate--First-Class Mail Only
[Insert current M812.4.3 and renumber as M812.4.4. Revise the first
sentence to read as follows:]
First-Class residual pieces may be separated by rate qualification:
[Delete ``First-Class'' in renumbered 4.4a(1) and 4.4a(3). Delete
renumbered 4.4a(4) and a(5). Revised renumbered 4.4d to read:]
d. For Line 2: FCM followed by:
(1) On trays of ZIP+4 mail: ZIP+4 WORKING or ZIP+4 WKG.
(2) On trays of other mail: WORKING or WKG.
4.5 Presentation
When presented to the USPS, trays of residual mail prepared under
4.3 or 4.4 must be separate from trays of qualifying mail.
5.0 Documentation
* * * * *
5.4 Standards. [In current 812.5.4, change the reference ``4.2''
to ``4.2 or 4.3'' and change the reference ``4.3'' to ``4.4.'']
* * * * *
5.6 ZIP Code Option
Under the ZIP Code option, individual entries for each type of tray
destination must be listed sequentially by ZIP Code: by 5-digit ZIP
Code for 5-digit trays; by lowest assigned 5-digit ZIP Code for city
trays (second-class only); by 3-digit ZIP Code for 3-digit, SCF, and
First-Class residual trays under 4.3; by the 3-digit AADC code
(preceded by ``AADC'') in L804 (or L803 for automated sites) for AADC,
mixed-AADC, and working trays under 4.2. Volume in overflow trays must
be included in the corresponding entry even though there is a list of
overflow trays.
5.7 Tray Label Option
Under the tray label option, individual entries for each tray must
be listed sequentially by the unique tray number on each label or by
Line 1 on the label. The contents of each overflow tray is reported as
an individual entry even though there is a list of overflow trays. Each
tray entry must be subdivided as needed to report volume sequentially
by ZIP Code in the tray: by 5-digit ZIP Code for 5-digit trays; by
lowest assigned 5-digit ZIP Code for city trays (second-class only); by
3-digit ZIP Code for 3-digit, SCF, and First-Class residual trays under
4.3; by the 3-digit AADC code (preceded by ``AADC'') in L804 (or L803
for automated sites) for AADC, mixed-AADC, and working trays under 4.2.
* * * * *
M813 ZIP+4 Presort--Package-Based Mailings
1.0 Basic Standards
* * * * *
1.3 Packaging
[Add the following sentence to the end of this section:]
Packaging (no separator cards) is required in AADC trays (except
for full AADC trays containing only residual packages), mixed-AADC
trays, and less-than-full working or residual trays.
1.4 No Packaging
Packages or separator cards are not required for larger than card-
size pieces in full 5-digit trays, full AADC trays containing only
residual AADC packages, full working trays under 5.2 and 5.3, and full
First-Class residual trays under 5.4.
* * * * *
1.5 Separator Cards
Separator cards may not be used in a less-than-full tray for the
entry SCF, in AADC trays, in mixed-AADC trays, in working trays, or in
residual trays unless permitted by 5.0.
* * * * *
5.0 Residual Mail
5.1 Definition
Pieces remaining after packages and trays are prepared under 2.0
through 4.0 are residual (nonqualifying) mail. Residual second- and
third-class mail must be prepared under an option in 5.2 and 5.3.
Residual First-Class Mail must be prepared under 5.2 and 5.3, or 5.4,
or 5.5, except that preparation may be finer than those standards, by
agreement between the mailer and the entry post office for multiple
acceptance times. Residual mail from automated site mailings under 4.0
is subject to specific instructions where applicable. All residual mail
must be presented under 5.6.
5.2 AADC Residual Preparation Options
Residual second- and third-class mail must be prepared under one of
these options and in accordance with 5.3. First-Class Mail may be
prepared under one of these options and 5.3 if not prepared under 5.4
or 5.5.
a. Separate AADC Preparation. Residual mail is trayed separately
from qualifying mail. Groups of 10 or more residual pieces to an AADC
area in L804 (or L803 or automated site preparation) are placed in AADC
trays and mixed-AADC trays. AADC trays are required if there are enough
pieces to fill a tray, but less-than-full AADC trays are permitted.
Residual pieces in mixed-AADC trays and in less-than-full AADC trays
must be prepared and labeled as AADC packages. Remaining groups of
fewer than 10 pieces to an AADC are placed in separate working trays.
Packages and trays must be prepared under 5.3.
b. Intermixed SCF/AADC Preparation. Some residual mail is trayed
with qualifying mail. Groups of 10 or more residual pieces to the same
AADC area in L804 (or L803 for automated site preparation) are packaged
by AADC and placed in AADC trays (with qualifying mail) and in mixed-
AADC trays. AADC trays are required if there are enough pieces to fill
a tray, but less-than-full AADC trays are permitted. AADC trays
containing only residual AADC packages are allowed. Mixed-AADC trays
are limited to residual AADC packages. At the mailer's option, residual
mail may be packaged by 3-digit ZIP Code and placed in SCF trays
(remaining pieces sorted by AADC). A less-than-full tray for the origin
SCF containing only residual packages is allowed. Remaining groups of
fewer than 10 pieces to an AADC are placed in separate working trays.
Packages and trays must be prepared under 5.3. First-Class automated
site mailings in which the residual portion contains pieces not listed
in L801 must not use this option.
5.3 AADC Residual Preparation
Subject to 5.1 and 5.2, residual mail must be prepared as follows:
a. Package size:
(1) 3-digit (option 5.2b only): optional with no minimum for
residual pieces in single- or multi-3-digit SCF trays.
(2) AADC: required at 10 pieces for residual pieces in mixed-AADC
trays, in less-than-full AADC trays, and in AADC trays (under option
5.2b) that also contain qualifying mail. Packages of fewer pieces not
permitted. Use L804 (or L803 for automated site preparation).
(3) Working: required grouping of pieces by AADC in working trays.
Use L804 (or L803 for automated site preparation). Packaging required
only in a less-than-full working tray as follows: Prepare as few
packages as possible, each not more than 6 inches thick, without regard
to AADC breaks.
b. Package presort and labeling:
(1) Optional 3-digit (only for option 5.2b): use green Label 3 or
OEL.
(2) AADC (required, except in full residual AADC trays): use pink
Label A or OEL.
(3) Working (required in less-than-full working tray): use facing
slip marked ``WORKING'' or ``WKG'' or the optional endorsement line
``WORKING.''
c. Tray size:
(1) Optional 3-digit (only for single 3-digit SCFs in L002, Column
A, identified with three bullets and prepared under option 5.2b):
required full trays; less-than-full and overflow trays prohibited,
except for one less-than-full tray for the single 3-digit origin SCF.
This tray is not available for residual of automated site mailings.
(2) Optional SCF (only for option 5.2b): required full trays; less-
than-full and overflow trays prohibited, except for one less-than-full
tray for the origin SCF. (For automated site mailings, one less-than-
full tray for the origin SCF is permitted only if the origin SCF is
listed in L802; see 4.5b.)
(3) AADC: required if enough pieces to fill tray; less-than-full
and overflow trays permitted.
(4) Mixed-AADC: required full trays; one less-than-full tray
permitted.
(5) Working: required full trays; one less-than-full tray
permitted.
d. Tray presort sequence and Line 1 labeling:
(1) Optional 3-digit (only for single 3-digit SCFs under option
5.2b); use L002, Column A (facilities identified with three bullets),
on Line 1. This tray is not available for the residual mail of
automated site mailings.
(2) Optional SCF (only for option 5.2b); use L802 on Line 1 for
automated site mailings; for other mailings use L002, Column B, on Line
1 for 3-digit areas listed in Column C.
(3) AADC (required); use L803 on Line 1 for automated site
mailings; for other mailings, use L804 on Line 1.
(4) Mixed-AADC (required); on Line 1 use ``MXD'' followed by the
applicable origin SCF name, state, and SCF code from L002, Column A
(facilities identified with three bullets), or Column B, except use
L805 for second- and third-class mail entered by the mailer at an ASF
or BMC.
(5) Working (required); on Line 1 use ``MXD'' followed by the
applicable origin SCF name, state, and SCF code from L002, Column A
(facilities identified with three bullets), or Column B, except use
L805 for second- and third-class mail entered by the mailer at an ASF
or BMC.
e. Line 2: class (FCM, 2C, NEWS, or 3C), followed by:
(1) On 3-digit and SCF trays (option 5.2b only): ZIP+4 PRESORT.
(2) On AADC trays: AADC ZIP+4 PRESORT.
(3) On mixed-AADC trays: ZIP+4 PRESORT PKGS.
(4) On working trays: ZIP+4 WORKING or ZIP+4 WKG.
5.4 Sequencing, Grouping--First-Class Mail Only
[Insert text of current 5.2 and renumber as 5.4. Revise the first
sentence to read as follows:]
First-Class residual pieces may be sequenced by ZIP Code and
presented with a listing:
[Delete renumbered 5.4f; reletter 5.4g and h as 5.4f and g. Revise
renumbered and relettered 4.3g to read:]
g. For Line 2: FCM LTRS followed by ZIP+4 WORKING or ZIP+4 WKG.
5.5 Separation by Rate--First-Class Mail Only
[Insert text of current 5.3 and renumber as 5.5. Revise the first
sentence to read as follows:]
First-Class residual pieces may be separated by rate qualification:
[Delete the phrase ``First-Class'' in renumbered 5.5a(1) and
5.5a(3). Delete renumbered 5.5a(4) and 5.5a(5). Revise renumbered 5.5d
as follows:]
d. For Line 2: FCM followed by:
(1) On trays of ZIP+4 mail: ZIP+4 WORKING or ZIP+4 WKG.
(2) On trays of other mail: WORKING or WKG.
5.6 Presentation
When presented to the USPS, trays of residual mail must be separate
from trays of qualifying mail except that when prepared under 5.2b, 3-
digit, SCF and AADC trays containing both qualifying and residual
pieces are grouped with trays of qualifying mail.
6.0 Documentation
* * * * *
6.3 Standards
Documentation must meet the basic standards in P012 and those
below. Residual mail is included in the documentation if prepared under
5.2 and 5.3, or 5.4, or in the summary alone if prepared under 5.5.
Abbreviated documentation may be provided under M817. Combined mailings
of second-class publications must be documented under E238.
6.4 Segmentation, Labeling
Documentation must be segmented and labeled by qualification tier
(e.g., presort and residual). A residual segment is not required for
First-Class Mail prepared under 5.5. Each tier must be further
segmented by type of package/grouping (5-digit, 3-digit, AADC, as
applicable) under 6.5, or have all represented 3- and 5-digit ZIP Codes
(and AADC codes for residual mail under 5.2 and 5.3) reported in a
continuous sequential list under 6.6 within each tier listing. Under
either option, data must be presented as shown in 6.7 and 6.8.
6.5 Type of Package Option
If the report is segmented by type of package, for each type,
individual entries for each destination must be ordered sequentially by
ZIP Code: by 5-digit ZIP Code for 5-digit packages; by lowest assigned
5-digit ZIP Code for city packages (second-class only); by 3-digit ZIP
Code for 3-digit packages and First-Class residual mail prepared under
5.4; and, for AADC packages and AADC groups (in working trays) under
5.2 and 5.3, by the applicable 3-digit AADC code in L803 (for automated
site mailings) or L804 (AADC entries must be preceded by ``AADC'').
6.6 Sequential List Option
If the report is a sequential list, individual entries for each
destination must be ordered sequentially by ZIP Code within each tier,
regardless of package type: by 5-digit ZIP Code for 5-digit packages;
by lowest assigned 5-digit ZIP Code for city packages (second-class
only); by 3-digit ZIP Code for 3-digit packages and First-Class
residual mail prepared under 5.4; and, for AADC packages and AADC
groups (in working trays) under 5.2 and 5.3, by the applicable 3-digit
AADC code in L803 (for automated site mailings) or L804. AADC entries
must be preceded by the prefix ``AADC.'' For second-class only,
listings for 5-digit, city, and 3-digit packages must be preceded by
the prefixes 5DG, CTY, and 3DG, respectively.
* * * * *
M814 Barcoded--Tray-Based Mailings
1.0 Basic Standards
* * * * *
1.2 Grouping
[Add the following at the end of this section:]
c. For pieces for the same AADC area in working trays under 3.2.
* * * * *
1.4 Packaging
Separator cards are permitted only under 3.4. Packaging is
required:
a. For mailings consisting entirely of pieces that qualify by size
for First-Class card rates, regardless of the actual rate claimed or
class of mail. Package labels are required in less-than-full trays.
b. For mail in overflow AADC trays, in mixed-AADC trays, and in a
less-than-full working tray. Appropriate package labels are required.
1.5 No Packaging
Packaging may not be used for larger than card-size pieces, except
that:
* * * * *
[Delete current 1.5c and replace with the following:]
c. Mail in AADC trays may be packaged and mail in mixed-AADC trays
must be packaged into AADC packages.
d. Mail in a less-than-full working tray under 3.2 or First-Class
residual tray under 3.3 or 3.4 must be packaged.
* * * * *
3.0 Residual Mail
3.1 Definition, Standards
Pieces remaining after packages and trays are prepared under 2.0
are residual (nonqualifying) mail. Residual second- or third-class mail
must be prepared under 3.2. Residual First-Class Mail must be prepared
under 3.2, 3.3 or 3.4, except that preparation may be finer than those
standards, by agreement between the mailer and the entry post office
for multiple acceptance times. All residual mail must be presented
under 3.5.
3.2 AADC Sortation
Prepare residual pieces as follows:
a. All pieces must be sorted by AADC area using L804.
b. Quantities of 10 or more pieces for an AADC area must be
prepared as an AADC package (or, if possible, a full AADC tray).
Packaging is not required in full AADC trays. AADC packages of fewer
than 10 pieces are not permitted.
c. All AADC packages must be trayed in AADC or mixed-AADC trays.
Pieces remaining after preparing full AADC trays and AADC packages must
be placed in separate working trays.
d. Pieces in less-than-full AADC overflow trays and in all mixed-
AADC trays must be packaged and labeled as AADC packages using a pink
Label A or OEL. Separator cards are not permitted.
e. Pieces in working trays must be grouped by AADC area. Pieces in
a less-than-full working tray must be prepared in working packages up
to 6 inches thick making as few packages as possible without regard to
AADC breaks. Separator cards are not permitted. Label packages in less-
than-full working trays with either a facing slip marked ``WORKING'' or
``WKG'' or the optional endorsement line ``WORKING.''
f. A piece count listing must be provided for all residual pieces
that shows by tray level and AADC area (listed by numeric AADC code
from the labeling list in L804) the number of pieces eligible for each
rate and the number of pieces with a delivery point barcode, the number
of pieces without a delivery point barcode that qualify for ZIP+4
rates, and the number of other pieces.
g. Tray size:
(1) AADC: required full trays; one less-than-full overflow tray
permitted per destination per mailing.
(2) Mixed-AADC: required full trays; one less-than-full tray
permitted.
(3) Working: required full trays; one less-than-full tray
permitted.
h. Residual presort sequence and Line 1 labeling:
(1) AADC (required); use L804 on Line 1.
(2) Mixed-AADC (required); on Line 1 use ``MXD'' followed by the
applicable origin SCF name, state, and SCF code from L002, Column A
(facilities identified with three bullets), or Column B, except use
L805 for second- and third-class mail entered by the mailer at an ASF
or BMC.
(3) Working (required); on Line 1 use ``MXD'' followed by the
applicable origin SCF name, state, and ZIP Code from L002, Column A
(facilities identified with three bullets), or Column B, except use
L805 for second- and third-class mail entered by the mailer at an ASF
or BMC.
i. On Line 2: class (FCM, 2C, NEWS, or 3C), followed by:
(1) For AADC trays: LTRS AADC BARCODED.
(2) For mixed-AADC trays: LTRS BARCODED PKGS.
(3) For working trays: LTRS BARCODED WKG.
3.3 Sequencing, Grouping--First-Class Mail Only
[Insert current M814.3.2 and renumber as M814.3.3. Revise the first
sentence to read as follows:]
First-Class residual pieces may be sequenced by ZIP Code and
presented with a listing:
[Delete renumbered 3.3f; reletter 3.3g and 3.3h as 3.3f and 3.3g,
respectively. Revise renumbered and relettered 3.3g to read:]
g. For Line 2: FCM LTRS BARCODED WKG.
3.4 Separation by Rate--First-Class Mail Only
[Insert current M814.3.3 and renumber as M814.3.4. Revise the first
sentence to read as follows:]
First-Class residual pieces may be separated by rate qualification.
[Delete ``First-Class'' in renumbered 3.4a(1) and 3.4a(3). Delete
renumbered 3.4a(4) and 3.4a(5). Revise renumbered 3.4d to read:]
d. For Line 2: FCM followed by:
(1) On trays of delivery point barcoded mail: LTRS BARCODED WKG.
(2) On trays of ZIP+4 mail: ZIP+4 WORKING or ZIP+4 WKG.
(3) On trays of other mail: WORKING or WKG.
3.5 Presentation
When presented to the USPS, trays of residual mail prepared under
3.3 or 3.4 must be separate from trays of qualifying mail.
4.0 Documentation
* * * * *
4.4 Standards
[In current 814.4.4, change the reference ``3.2'' to ``3.2 or
3.3,'' and change the reference ``3.3'' to ``3.4.'']
4.5 Segmentation, Labeling
[In the last sentence, replace ``3.2,'' with ``4.6''; replace
``3.3'' with ``4.7''; replace ``5.8 and 5.9'' with ``4.8 and 4.9.'']
4.6 ZIP Code Option
Under the ZIP Code option, individual entries for each type of tray
destination must be listed sequentially by ZIP Code: by 5-digit ZIP
Code for 5-digit trays; by lowest assigned 5-digit ZIP Code for city
trays (second-class only); by 3-digit ZIP Code for 3-digit, SCF, and
First-Class residual trays under 3.3; by the 3-digit AADC code
(preceded by ``AADC'') in L804 for AADC, mixed-AADC, and working trays
under 3.2. Volume in overflow trays must be included in the
corresponding entry even though there is a list of overflow trays.
4.7 Tray Label Option
Under the tray label option, individual entries for each tray must
be listed sequentially by the unique tray number on each label or by
Line 1 on the label. The contents of each overflow tray is reported as
an individual entry even though there is a list of overflow trays. Each
tray entry must be subdivided as needed to report volume sequentially
by ZIP Code in the tray: by 5-digit ZIP Code for 5-digit trays; by
lowest assigned 5-digit ZIP Code for city trays (second-class only); by
3-digit ZIP Code for 3-digit, SCF, and First-Class residual trays under
3.3; by the 3-digit AADC code (preceded by ``AADC'') in L804 for AADC,
mixed-AADC, and working trays under 3.2.
* * * * *
M815 Barcoded--Two-Tier Package-Based Mailings
1.0 Basic Standards
* * * * *
1.2 Packaging
[Add the following sentence to the end of this section:]
Packaging (no separator cards) is required in AADC trays (except
for full AADC trays containing only residual packages), mixed-AADC
trays, and less-than-full working or residual trays.
1.3 No Packaging
Packages or separator cards are not required for larger than card-
size pieces in full 5-digit trays, full AADC trays containing only
residual AADC packages, full working trays under 4.2 and 4.3, and full
First-Class residual trays under 4.4.
* * * * *
1.5 Separator Cards
Separator cards must not be used in a less-than-full tray for the
entry SCF, in AADC trays, in mixed-AADC trays, in working trays, or in
residual trays unless permitted by 5.0.
* * * * *
4.0 Residual Mail
4.1 Definition
Pieces remaining after packages and trays are prepared under 2.0
and 3.0 are residual (nonqualifying) mail. Residual second- and third-
class mail must be prepared under an option in 4.2 and 4.3. Residual
First-Class Mail must be prepared under 4.2 and 4.3, or 4.4, or 4.5,
except that preparation may be finer than those standards, by agreement
between the mailer and the entry post office for multiple acceptance
times. All residual mail must be presented under 4.6.
4.2 AADC Residual Preparation Options
Residual second- and third-class mail must be prepared under one of
these options and in accordance with 4.3. First-Class Mail may be
prepared under one of these options and 4.3 if not prepared under 4.4
or 4.5.
a. Separate AADC Preparation. Residual mail is trayed separately
from qualifying mail. Groups of 10 or more residual pieces to an AADC
area in L804 are placed in AADC trays and mixed-AADC trays. AADC trays
are required if there are enough pieces to fill a tray, but less-than-
full AADC trays are permitted. Residual pieces in mixed-AADC trays and
in less-than-full AADC trays must be prepared and labeled as AADC
packages. Remaining groups of fewer than 10 pieces to an AADC are
placed in separate working trays. Packages and trays must be prepared
under 4.3.
b. Intermixed SCF/AADC Preparation. Some residual mail is trayed
with qualifying mail. Groups of 10 or more residual pieces to the same
AADC area in L804 are packaged by AADC and placed in AADC trays (with
qualifying mail) and in mixed-AADC trays. AADC trays are required if
there are enough pieces to fill a tray, but less-than-full AADC trays
are permitted. AADC trays containing only residual AADC packages are
allowed. Mixed-AADC trays are limited to residual AADC packages. At the
mailer's option, residual mail may be packaged by 3-digit ZIP Code and
placed in SCF trays (remaining pieces sorted by AADC). A less-than-full
tray for the origin SCF containing only residual packages is allowed.
Remaining groups of fewer than 10 pieces to an AADC are placed in
separate working trays. Packages and trays must be prepared under 4.3.
4.3 AADC Residual Preparation
Subject to 4.1 and 4.2, residual mail must be prepared as follows:
a. Package size:
(1) 3-digit (option 4.2b only): optional with no minimum for
residual pieces in single- or multi-3-digit SCF trays.
(2) AADC: required at 10 pieces per AADC (use L804) for residual
pieces in mixed-AADC trays, in less-than-full AADC trays, and in AADC
trays (under option 4.2b) that also contain qualifying mail. Packages
of fewer pieces not permitted.
(3) Working: required grouping of pieces by AADC (use L804) in
working trays. Packaging required only in a less-than-full working tray
as follows: prepare as few packages as possible, each not more than 6
inches thick, without regard to AADC breaks.
b. Package presort and labeling:
(1) Optional 3-digit (only for option 4.2b): use green Label 3 or
OEL.
(2) AADC (required, except in full residual AADC trays): use pink
Label A or OEL.
(3) Working (required in less-than-full working tray): use facing
slip marked ``WORKING'' or ``WKG'' or the optional endorsement line
``WORKING.''
c. Tray size:
(1) Optional 3-digit (only for single 3-digit SCFs in L002, Column
A, identified with three bullets and prepared under option 4.2b):
required full trays; less-than-full and overflow trays prohibited,
except for one less-than-full tray for the single 3-digit origin SCF.
(2) Optional SCF (only for option 4.2b): required full trays; less-
than-full and overflow trays prohibited, except for one less-than-full
tray for the origin SCF.
(3) AADC: required if enough pieces to fill tray; less-than-full
and overflow trays permitted.
(4) Mixed-AADC: required full trays; one less-than-full tray
permitted.
(5) Working: required full trays; one less-than-full tray
permitted.
d. Tray presort sequence and Line 1 labeling:
(1) Optional 3-digit (only for single 3-digit SCFs under option
4.2b); use L002, Column A (facilities identified with three bullets),
on Line 1.
(2) Optional SCF (only for option 4.2b); use L002, Column B, on
Line 1 for 3-digit areas listed in Column C.
(3) AADC (required); use L804 on Line 1.
(4) Mixed-AADC (required); on Line 1 use ``MXD'' followed by the
applicable origin SCF name, state, and SCF code from L002, Column A
(facilities identified with three bullets), or Column B, except use
L805 for second- and third-class mail entered by the mailer at an ASF
or BMC.
(5) Working (required); on Line 1 use ``MXD'' followed by the
applicable origin SCF name, state, and SCF code from L002, Column A
(facilities identified with three bullets), or Column B, except use
L805 for second- and third-class mail entered by the mailer at an ASF
or BMC.
e. Line 2: class (FCM, 2C, NEWS, or 3C), followed by LTRS and:
(1) On 3-digit trays (only single 3-digit SCFs under option 4.2b)
and SCF trays (option 4.2b only): BARCODED.
(2) On AADC trays: AADC BARCODED.
(3) On mixed-AADC trays: BARCODED PKGS.
(4) On working trays: BARCODED WKG.
4.4 Sequencing, Grouping--First-Class Mail Only
[Insert text of current 4.2 and renumber as 4.4. Revise the first
sentence to read as follows:]
First-Class residual pieces may be sequenced by ZIP Code and
presented with a listing:
[Delete renumbered 4.4f. Reletter 4.4g and h as 4.4f and g. Revise
renumbered and relettered 4.4g to read:]
g. For Line 2: FCM LTRS BARCODED WKG.
4.5 Separation by Rate--First-Class Mail Only
[Insert text of current 4.3 and renumber as 4.5. Revise the first
sentence to read as follows:]
First-Class residual pieces may be separated by rate qualification:
[Delete the phrase ``First-Class'' in renumbered 4.5a(1) and
4.5a(3). Delete renumbered 4.5a(4) and 4.5a(5). Revise renumbered 4.5d
as follows:]
d. For Line 2: FCM followed by:
(1) On trays of delivery point barcoded mail: LTRS BARCODED WKG.
(2) On trays of ZIP+4 mail: ZIP+4 WORKING or ZIP+4 WKG.
(3) On trays of other mail: WORKING or WKG.
4.6 Presentation
When presented to the USPS, trays of residual mail must be separate
from trays of qualifying mail except that when prepared under 4.2b, 3-
digit, SCF, and AADC trays containing both qualifying and residual
pieces are grouped with trays of qualifying mail.
5.0 Documentation
* * * * *
5.2 Standards
[In current M815.5.2, revise the second sentence to read as
follows:]
Residual pieces are included in the documentation if prepared under
4.2 and 4.3, or under 4.4, and included in the summary alone if
prepared under 4.5.
* * * * *
5.4 Segmentation, Labeling
Documentation must be segmented and labeled by qualification tier
(e.g., presort and residual). A residual segment is not required for
First-Class Mail prepared under 4.5. Each tier must be further
segmented by type of package/grouping (5-digit, 3-digit, AADC, as
applicable) under 5.5, or have all represented 3- and 5-digit ZIP Codes
(and AADC codes for residual mail under 4.2 and 4.3) reported in a
continuous sequential list under 5.6 within each tier listing. Under
either option, data must be presented as shown in 5.7 and 5.8.
5.5 Type of Package Option
If the report is segmented by type of package, for each type,
individual entries for each destination must be ordered sequentially by
ZIP Code: by 5-digit ZIP Code for 5-digit packages; by lowest assigned
5-digit ZIP Code for city packages (second-class only); by 3-digit ZIP
Code for 3-digit packages and First-Class residual mail prepared under
4.4; and, for AADC packages and AADC groups (in working trays) under
4.2 and 4.3, by the applicable 3-digit AADC code in L804 (AADC entries
must be preceded by ``AADC'').
5.6 Sequential List Option
If the report is a sequential list, individual entries for each
destination must be ordered sequentially by ZIP Code within each tier,
regardless of package type: by 5-digit ZIP Code for 5-digit packages;
by lowest assigned 5-digit ZIP Code for city packages (second-class
only); by 3-digit ZIP Code for 3-digit packages and First-Class
residual mail prepared under 4.4; and, for AADC packages and AADC
groups (in working trays) under 4.2 and 4.3, by the applicable 3-digit
AADC code in L804 (AADC entries must be preceded by ``AADC''). For
second-class only, listings for 5-digit, city, and 3-digit packages
must be preceded by the prefixes 5DG, CTY, and 3DG, respectively.
* * * * *
M816 Barcoded--Three-Tier Package-Based Mailings
1.0 Basic Standards
* * * * *
1.2 Packaging
[Replace the last sentence with the following:]
Packaging or separator cards are required for other pieces placed
in city, 3-digit, or SCF trays except as provided under 1.3 for 3-digit
tier preparation. Packaging (no separator cards) is required in AADC
trays except for full AADC trays in the 3-digit presort tier containing
only residual packages, mixed-AADC trays, and in less-than-full working
or residual trays.
1.3 No Packaging
Packaging or separator cards are not required for larger than card-
size pieces in full 5-digit trays in the 5-digit tier; nor in the 3-
digit tier in full city, full 3-digit, full SCF, and full AADC trays
containing only residual AADC packages; nor in full working trays under
6.2 and 6.3, and full First-Class residual trays under 6.4.
* * * * *
1.4 Separator Cards
Separator cards must not be used in a less-than-full tray for the
origin SCF, in AADC trays, in mixed-AADC trays, in working trays, or in
residual trays unless permitted by 6.0.
* * * * *
4.0 Package Preparation--3-Digit Tier
* * * * *
4.2 Presort and Labeling
Package presort sequence and labeling:
a. City (optional; for second-class only): package labels not
required except that package labels required in AADC trays if residual
is prepared under 6.2b (use yellow Label C or OEL).
b. 3-digit (required: optional for First-Class Mail not claimed at
the 3-digit Barcoded rate): package labels not required except that
package labels required in AADC trays if residual is prepared under
6.2b (use green Label 3 or OEL).
* * * * *
5.0 Tray Preparation--3-Digit Tier
* * * * *
5.4 Line 2
Line 2: class of mail and:
* * * * *
c. On AADC trays: LTR AADC 3D BARCODE, except for mailings in which
residual mail is prepared under 6.2b use LTRS AADC BARCODED.
* * * * *
6.0 Residual Mail
6.1 Definition
Pieces remaining after packages and trays are prepared under 2.0
through 5.0 are residual (nonqualifying) mail. Residual second- and
third-class mail must be prepared under an option in 6.2 and 6.3.
Residual First-Class Mail must be prepared under 6.2 and 6.3, or 6.4,
or 6.5, except that preparation may be finer than those standards, by
agreement between the mailer and the entry post office for multiple
acceptance times. All residual mail must be presented under 6.6.
6.2 AADC Residual Preparation Options
Residual second- and third-class mail must be prepared under one of
these options and in accordance with 6.3. First-Class Mail may be
prepared under one of these options and 6.3 if not prepared under 6.4
or 6.5.
a. Separate AADC Preparation. Residual mail is trayed separately
from qualifying mail. Groups of 10 or more residual pieces to an AADC
area in L804 are placed in AADC trays and mixed-AADC trays. AADC trays
are required if there are enough pieces to fill a tray, but less-than-
full AADC trays are permitted. Residual pieces in mixed-AADC trays and
in less-than-full AADC trays must be prepared and labeled as AADC
packages. Remaining groups of fewer than 10 pieces to an AADC are
placed in separate working trays. Packages and trays must be prepared
under 6.3.
b. Intermixed SCF/AADC Preparation. Some residual mail is trayed
with qualifying mail in the 3-digit tier. Groups of 10 or more residual
pieces to the same AADC area in L804 are packaged by AADC and placed in
AADC trays (with qualifying mail) in the 3-digit tier and in separate
mixed-AADC trays. AADC trays are required if there are enough pieces to
fill a tray, but less-than-full AADC trays are permitted. AADC trays
containing only residual AADC packages are allowed. Mixed-AADC trays
are limited to residual AADC packages. At the mailer's option, residual
mail may be packaged by 3-digit ZIP Code and placed in SCF trays within
the 3-digit tier (remaining pieces sorted by AADC). A less-than-full
tray for the origin SCF in the 3-digit tier containing only residual
packages is allowed. Remaining groups of fewer than 10 pieces to an
AADC are placed in separate working trays. Packages and trays must be
prepared under 6.3.
6.3 AADC Residual Preparation
Subject to 6.1 and 6.2, residual mail must be prepared as follows:
a. Package size:
(1) 3-digit (option 6.2b only): optional with no minimum for
residual pieces in single- or multi-3-digit SCF trays in the 3-digit
presort tier.
(2) AADC: required at 10 pieces per AADC (use L804) for residual
pieces in mixed-AADC trays, in less-than-full AADC trays, and in AADC
trays (under option 6.2b) that also contain qualifying mail. Packages
of fewer pieces not permitted.
(3) Working: required grouping of pieces by AADC (use L804) in
working trays. Packaging required only in a less-than-full working tray
as follows: prepare as few packages as possible, each not more than 6
inches thick, without regard to AADC breaks.
b. Package presort and labeling:
(1) Optional 3-digit (only for option 6.2b): use green Label 3 or
OEL.
(2) AADC (required except in full residual AADC trays): use pink
Label A or OEL.
(3) Working (required in less-than-full working tray): use facing
slip marked ``WORKING'' or ``WKG'' or the optional endorsement line
``WORKING.''
c. Tray size:
(1) Optional 3-digit (only for single 3-digit SCFs in L002, Column
A, identified with three bullets and prepared under option 6.2b):
required full trays; less-than-full and overflow trays prohibited,
except for one less-than-full tray for the single 3-digit origin SCF.
(2) Optional SCF (only for option 6.2b): required full trays; less-
than-full and overflow trays prohibited, except for one less-than-full
tray for the origin SCF.
(3) AADC: required if enough pieces to fill tray; less-than-full
and overflow trays permitted.
(4) Mixed-AADC: required full trays; one less-than-full tray
permitted.
(5) Working: required full trays; one less-than-full tray
permitted.
d. Tray presort sequence and Line 1 labeling:
(1) Optional 3-digit (only for single 3-digit SCFs under option
6.2b); use L002, Column A (facilities identified with three bullets),
on Line 1.
(2) Optional SCF (only for option 6.2b); use L002, Column B, on
Line 1 for 3-digit areas listed in Column C.
(3) AADC (required); use L804 on Line 1.
(4) Mixed-AADC (required); on Line 1 use ``MXD'' followed by the
applicable origin SCF name, state, and SCF code from L002, Column A
(facilities identified with three bullets), or Column B, except use
L805 for second- and third-class mail entered by the mailer at an ASF
or BMC.
(5) Working (required); on Line 1 use ``MXD'' followed by the
applicable origin SCF name, state, and SCF code from L002, Column A
(facilities identified with three bullets), or Column B, except use
L805 for second- and third-class mail entered by the mailer at an ASF
or BMC.
e. Line 2: class (FCM, 2C, NEWS, or 3C), followed by LTRS and:
(1) On 3-digit trays (only single 3-digit SCFs under option 6.2b)
and SCF trays (option 6.2b only): 3DG BARCODED.
(2) On AADC trays: AADC BARCODED.
(3) On mixed-AADC trays: BARCODED PKGS.
(4) On working trays: BARCODED WKG.
6.4 Sequencing, Grouping--First-Class Mail Only
[Insert text of current 6.2 renumber as 6.4. Revise the first
sentence to read:]
First-Class residual pieces may be sequenced by ZIP Code and
prepared with a listing:
[Delete renumbered 6.4f. Reletter 6.4 g and h as 6.4 f and g.
Revise renumbered and relettered 6.4g to read:]
g. For Line 2: FCM LTRS BARCODED WKG.
6.5 Separation by Rate--First-Class Mail Only
[Insert text of current 6.3 and renumber as 6.5. Revise the first
sentence to read as follows:]
First-Class residual pieces may be separated by rate qualification:
[Delete the phrase ``First-Class'' in renumbered 6.5a(1) and
6.5a(3). Delete renumbered 6.5a(4) and 6.5a(5). Revise renumbered 6.5d
as follows:]
d. For Line 2: FCM followed by:
(1) On trays of delivery point barcoded mail: LTRS BARCODED WKG.
(2) On trays of ZIP+4 mail: ZIP+4 WORKING or ZIP+4 WKG.
(3) On trays of other mail: WORKING or WKG.
6.6 Presentation
When presented to the USPS, trays of residual mail must be separate
from trays of qualifying mail except that when prepared under 6.2b, 3-
digit, SCF, and AADC trays in the 3-digit presort tier that contain
both qualifying and residual pieces are grouped with trays of
qualifying mail.
7.0 Documentation
* * * * *
7.3 Standards
Documentation must meet the basic standards in P012 and those
below. Residual mail is included in the documentation if prepared under
6.2 and 6.3, or 6.4, or in the summary alone if prepared under 6.5.
Abbreviated documentation may be provided under M817. Combined mailings
of second-class publications must be documented under E238.
7.4 Segmentation, Labeling
Documentation must be segmented and labeled by qualification tier
(e.g., presort and residual). A residual segment is not required for
First-Class Mail if separated under 6.5. Each tier must be further
segmented by type of package/grouping (5-digit, 3-digit, AADC, as
applicable) under 7.5, or have all represented 3- and 5-digit ZIP Codes
(and AADC codes for residual mail under 6.2 and 6.3) reported in a
continuous sequential list under 7.6 within each tier listing. Under
either option, data must be presented as shown in 7.7 and 7.8.
7.5 Type of Package Option
If the report is segmented by type of package, for each type,
individual entries for each destination must be ordered sequentially by
ZIP Code: by 5-digit ZIP Code for 5-digit packages; by lowest assigned
5-digit ZIP Code for city packages (second-class only); by 3-digit ZIP
Code for 3-digit packages and First-Class residual mail prepared under
6.4; and, for AADC packages and AADC groups (in working trays) by the
applicable 3-digit AADC code in L804 (AADC entries must be preceded by
``AADC'').
7.6 Sequential List Option
If the report is a sequential list, individual entries for each
destination must be ordered sequentially by ZIP Code within each
qualification tier, regardless of package type: by 5-digit ZIP Code for
5-digit packages; by lowest assigned 5-digit ZIP Code for city packages
(second-class only); by 3-digit ZIP Code for 3-digit packages and
First-Class residual mail prepared under 6.5; and, for AADC packages
and AADC groups (in working trays) under 6.2 and 6.3, by the applicable
3-digit AADC code in L804 (AADC entries must be preceded by ``AADC'').
For second-class only, listings for 5-digit, city, and 3-digit packages
must be preceded by the prefixes 5DG, CTY, and 3DG, respectively.
* * * * *
[FR Doc. 94-5866 Filed 3-11-94; 8:45 am]
BILLING CODE 7710-12-U