Statistics and Accounting Guide
January 2017 edition
Contact: Mr Philippe Grondein ([email protected])
Remuneration Programme
Markets Development and Regulation Directorate
UPU International Bureau
This version of the guide includes changes to the UPU Convention decided upon by the 2012
Congress, as well as changes to the Letter Post Regulations decided upon by the Postal Operations
Council up to February 2016.
3
Table of contents
Page
CHAPTER I – TERMINAL DUES RATES AND TRANSIT CHARGES ..................................................................................... 5
1
THE TERMINAL DUES SYSTEM........................................................................................................................................ 5
1.1 Rates – Target system ...................................................................................................................................... 5
1.2 Rates – New target system .............................................................................................................................. 7
1.3 Rates – Transitional system ............................................................................................................................. 7
1.4 Exchange of format-separated mails ............................................................................................................... 8
1.5 Accession to the target system ........................................................................................................................ 9
1.6 Registered and insured items ........................................................................................................................... 9
1.7 M bags ............................................................................................................................................................. 9
1.8 Contributions to the Quality of Service Fund (QSF) .......................................................................................... 9
1.9 Bulk mail......................................................................................................................................................... 10
1.10
Link to quality of service ............................................................................................................................ 11
1.11
Direct access .............................................................................................................................................. 13
1.12
International business reply service (IBRS) ................................................................................................ 13
1.13
Advice of delivery service (AR) ................................................................................................................... 14
2
TRANSIT: CONVEYANCE AND CHARGES.......................................................................................................................... 14
2.1 Conveyance to the country of destination ..................................................................................................... 14
2.2 Transit of à découvert items and missent items ............................................................................................ 15
2.3 Return of empty bags ..................................................................................................................................... 17
3
EXEMPTION FROM TERMINAL DUES ............................................................................................................................. 19
CHAPTER II – STATISTICAL OPERATIONS RELATED TO TERMINAL DUES ..................................................................... 20
1
INTRODUCTION ....................................................................................................................................................... 20
1.1 The target country system ............................................................................................................................. 20
1.2 The revision mechanism ................................................................................................................................. 20
2
OVERVIEW OF THE STATISTICAL PROCESS ...................................................................................................................... 22
2.1 General principles .......................................................................................................................................... 22
2.2 Sample selection for target system DOs (RL 229) .......................................................................................... 22
2.3 Sample selection for the revision mechanism (RL 232) .................................................................................. 26
2.4 Data collection ............................................................................................................................................... 29
2.5 Estimation overview ....................................................................................................................................... 31
2.6 Notice of design decisions .............................................................................................................................. 32
2.7 Statistical counts not performed .................................................................................................................... 32
CHAPTER III – TERMINAL DUES SYSTEM OPERATIONS AND ACCOUNTING ................................................................ 43
1
OPERATIONS CONCERNING REGISTRATION OF WEIGHT AND NUMBER OF ORDINARY MAIL AND REGISTERED AND INSURED ITEMS
SUBJECT TO TERMINAL DUES ................................................................................................................................................ 43
2
3
4
5
6
1.1 Operations at the office of exchange of origin – CN 31 letter bill .................................................................. 43
1.2 Procedures for returning empty bags ............................................................................................................ 45
1.3 Operations at the office of exchange of destination ...................................................................................... 45
1.4 Operations at the central service of the designated operator of destination ................................................ 46
OPERATIONS CONCERNING BULK MAIL ......................................................................................................................... 47
2.1 Operations at the office of exchange of origin............................................................................................... 47
2.2 Operations at the office of exchange of destination ...................................................................................... 47
2.3 Accounting for bulk mail ................................................................................................................................ 48
ACCOUNTING FOR TERMINAL DUES .............................................................................................................................. 48
3.1 CN 61 detailed account .................................................................................................................................. 48
3.2 Time limit for submission of CN 61................................................................................................................. 49
3.3 Time limit for acceptance of CN 61 ................................................................................................................ 49
SETTLEMENT OF TERMINAL DUES ACCOUNTS ................................................................................................................. 49
4.1 CN 64 statement ............................................................................................................................................ 49
4.2 Time limit for acceptance of CN 64 ................................................................................................................ 49
PROVISIONAL PAYMENTS OF TERMINAL DUES................................................................................................................. 50
5.1 When and on what basis a provisional payment may be requested ............................................................. 50
5.2 Exchange rate to be applied........................................................................................................................... 50
QUALITY OF SERVICE FUND ACCOUNTING ..................................................................................................................... 50
4
6.1
6.2
Regular billing ................................................................................................................................................ 50
Time limit for payment ................................................................................................................................... 51
CHAPTER IV – TRANSIT OPERATIONS AND ACCOUNTING .......................................................................................... 60
1
2
3
4
5
REGISTRATION OF THE WEIGHT OF MAIL SUBJECT TO CLOSED TRANSIT CHARGES AND OF EMPTY RECEPTACLES ............................. 60
1.1 Operations at the office of exchange of origin............................................................................................... 60
1.2 Operations at the office of exchange of transit ............................................................................................. 60
DETERMINATION OF THE WEIGHT OF EMPTY RECEPTACLES................................................................................................ 61
2.1 CN 69 "empty receptacles" statements ......................................................................................................... 61
DETERMINATION OF THE WEIGHT OF À DÉCOUVERT (OPEN TRANSIT) ITEMS ......................................................................... 61
3.1 Operations at the office of exchange of origin............................................................................................... 61
3.2 Operations at the office of exchange of open transit .................................................................................... 63
PREPARATION OF DETAILED ACCOUNTS FOR TRANSIT (CLOSED AND OPEN TRANSIT) AND EMPTY BAGS ....................................... 63
4.1 Accounting for closed transit mail – surface .................................................................................................. 63
4.2 Accounting for closed transit mail by air........................................................................................................ 64
4.3 Accounting for empty receptacles.................................................................................................................. 64
4.4 Accounting for open transit mail.................................................................................................................... 64
4.5 Accounting for internal air conveyance ......................................................................................................... 65
4.6 Submission and acceptance of CN 51 accounts ............................................................................................. 65
SETTLEMENT OF TRANSIT CHARGES ACCOUNTS ............................................................................................................... 65
5.1 Settlement ...................................................................................................................................................... 65
5.2 Methods of payment ...................................................................................................................................... 65
5.3 Time limit for payment ................................................................................................................................... 65
APPENDIX A – STATISTICAL OPERATIONS RELATED TO TERMINAL DUES ................................................................... 84
1
OVERVIEW OF UPU SYSTEM SAMPLING REQUIREMENTS .................................................................................................. 84
1.1 Flat rate per kilogramme involving exchanges with transitional countries ................................................... 84
1.2 Target country system ................................................................................................................................... 84
1.3 Revision mechanism ....................................................................................................................................... 84
2
FORMULAE FOR ESTIMATION OF ANNUAL IPK AND ANNUAL ITEMS..................................................................................... 85
2.1 Formula by mail category .............................................................................................................................. 85
APPENDIX B – INFORMATION ON AIRMAIL ACCOUNTING......................................................................................... 87
1
2
3
4
5
6
THE BASIC AIRMAIL CONVEYANCE RATE......................................................................................................................... 87
DEFINITION OF TONNE-KILOMETRE AND KG-KILOMETRE ................................................................................................... 87
HOW WEIGHTS AND DISTANCES ARE MEASURED ............................................................................................................. 87
THE CN 38 DELIVERY BILL.......................................................................................................................................... 90
EMPTY BAG BILLING SCENARIOS .................................................................................................................................. 93
INTERNAL AIR CONVEYANCE ....................................................................................................................................... 94
APPENDIX C – OVERVIEW OF TERMINAL DUES TIMELINES ........................................................................................ 98
APPENDIX D – COUNTRY CLASSIFICATION ................................................................................................................. 99
Notes
1
References to RL relate to the Letter Post Regulations adopted by the 2013 POC.
International Bureau of the
Universal Postal Union
Berne, September 2013
5
Chapter I – Terminal dues rates and transit charges
1
The terminal dues system
1
Terminal dues were introduced by the 1969 Tokyo Congress as a means of compensating designated
operators for the costs incurred in handling mail received (i.e. costs relating to operations such as sorting,
conveyance to the delivery office, and delivery).
2
Between the single rate applicable to all mail adopted at the Tokyo Congress and the system adopted
by the 2012 Congress, several improvements had been made by successive Congresses with the aim of
making the system as fair as possible.
3
Major changes in the international postal environment have brought a certain complexity to the system
because of the need to prevent it from being circumvented and exploited to the prejudice of designated
operators.
4
As of 1 January 2014, when the Acts of the 25th Congress come into force, the principles of the terminal dues (TD) system (Convention articles 29 to 32) are as follows:
a
By virtue of Congress resolution C 77/2012, countries are classified in groups 1.1, 1.2, 2, 3, 4 and 5
(The list of countries in each group is included in Appendix D to this guide.):
–
group 1.1 comprises the countries in the target system prior to 2010;
–
group 1.2 and 2 countries joined the target system as of 2010 and 2012;
–
group 3 countries will join the target system in 2016;
–
group 4 and 5 countries will apply the transitional TD system for the 2014–2017 period.
b
The arrangements are transitional, moving toward a country-specific payment system.
c
Any country in the transitional system may opt to be treated as a target country under the terminal
dues provisions in the Convention and Letter Post Regulations (Convention article 29.13). Transition
countries can volunteer to be treated as target countries (1.1, 1.2 or 2). Target countries from groups
1.2 and 2 can volunteer to be treated as group 1.1 countries. Target countries from group 2 can volunteer to be treated as group 1.2 countries.
d
Access is opened to the rates, terms and conditions for the domestic services of each country in the
target system, and on a non-discriminatory basis to countries in the transitional system.
1.1
Rates – Target system
5
Countries in the target system prior to 2010 will pay each other country-specific rates based on 70% of
the domestic tariffs for a 20-gramme priority small letter (P) and a 175-gramme priority large letter (G),
subject to the following caps:
–
2014: 0.294 SDR per item and 2.294 SDR per kilogramme;
–
2015: 0.303 SDR per item and 2.363 SDR per kilogramme;
–
2016: 0.312 SDR per item and 2.434 SDR per kilogramme;
–
2017: 0.321 SDR per item and 2.507 SDR per kilogramme.
6
The rates may not be lower than:
–
2014: 0.203 SDR per item and 1.591 SDR per kilogramme;
–
2015: 0.209 SDR per item and 1.636 SDR per kilogramme;
–
2016: 0.215 SDR per item and 1.682 SDR per kilogramme;
–
2017: 0.221 SDR per item and 1.729 SDR per kilogramme.
6
7
Countries in the target system as from 2010 and 2012 will pay each other country-specific rates based
on 70% of the domestic tariffs for a 20-gramme priority small letter (P) and a 175-gramme priority large letter
(G), subject to the following caps:
–
2014: 0.209 SDR per item and 1.641 SDR per kilogramme;
–
2015: 0.222 SDR per item and 1.739 SDR per kilogramme;
–
2016: 0.235 SDR per item and 1.843 SDR per kilogramme;
–
2017: 0.249 SDR per item and 1.954 SDR per kilogramme.
8
The rates may not be lower than:
–
2014: 0.203 SDR per item and 1.591 SDR per kilogramme;
–
2015: 0.209 SDR per item and 1.636 SDR per kilogramme;
–
2016: 0.215 SDR per item and 1.682 SDR per kilogramme;
–
2017: 0.221 SDR per item and 1.729 SDR per kilogramme.
9
The rates applied for flows between countries in the target system in a given year shall not lead to an
increase of more than 13% in the base terminal dues revenue before quality of service adjustment for a
letter-post item of 81.8 grammes, compared with the previous year.
10
For flows under 75 tonnes per year between countries in the target system as from 2010 and
between these countries and countries in the target system prior to 2010, the per kilogramme and per item
components are converted into a total rate per kilogramme on the basis of the average of 12.23 items per
kilogramme.
11
Article RL 220 describes the steps to be followed for the calculation of the 2017 terminal dues rates
using the tariffs for a 20-gramme priority small letter and for a 175-gramme priority large letter in the domestic service.
1.1.1
Example of the calculation of terminal dues rates in the target system for the year 2017
12
A designated operator in the target system prior to 2010 notifies to the UPU International Bureau (IB)
the following domestic charges in force on 1 June 2016: 0.3 SDR for a 20-gramme priority small letter and
1.8 SDR for a 175-gramme priority large letter in the domestic service. The rates calculated for the previous
year are as follows: 2.25 SDR per kg and 0.25 SDR per item. On the basis of this information the rates for
2017 will be determined as below:
i
The applicable percentage of domestic charges is 70% (article 30.5). The minimum rates for 2017 are
0.221 SDR per item and 1.729 SDR per kg and the maximum rates are 0.321 SDR per item and 2.507
SDR per kg (article 30.8 and 9).
ii
Calculate the rate per kg before application of caps and floors, using the following formula: 70% x
(tariff at 175 g - tariff at 20 g)/(0.175 - 0.01); the resulting rate is 6.364 SDR per kg.
iii
Calculate the rate per item before application of caps and floors, using the following formula: 70% of
the 20 g tariff minus the rate per kg x 0.01; the resulting rate is 0.146 SDR per item.
iv
Calculate the following values for an 81.8-gramme item:
v
–
TD amount at 81.8 g before the application of caps and floors: 0.146 + 6.364 x 0.081.8 = 0.6669;
–
floor TD amount at 81.8 g: 0.221 + 1.729 x 0.0818 = 0.3624;
–
cap TD amount at 81.8 g: 0.321 + 2.507 x 0.0818 = 0.5261;
–
TD amount of the previous year at 81.8 g: 0.25 + 2.25 x 0.0818 = 0.4341.
Application of caps and floors and of the maximum yearly increase of 13%:
–
The final TD rates should lead to a TD amount at 81.8 g neither higher than the cap TD amount
nor higher than the TD amount of the previous year multiplied by 1.13.
7
1.2
–
The amount of 0.667 is higher than the cap TD amount of 0.526. The cap amount is 21% higher
than the amount of the previous year. In this case, the final rates will be calculated by increasing
the floor rates using the following ratio: 0.4341 x 1.13/0.3624 = 1.3536.
–
The final rate per item, rounded to three decimal places, will be 1.3536 x 0.221 = 0.299 SDR
–
The final rate per kg, rounded to three decimal places, will be 1.3536 x 1.729 = 2.340 SDR
Rates – New target system
13
Terminal dues to, from and between countries in the new target system (group 3 countries as of 2016
and any other transitional country upon voluntary accession) will be paid at the following rates:
–
2014: 0.203 SDR per item and 1.591 SDR per kilogramme;
–
2015: 0.209 SDR per item and 1.636 SDR per kilogramme;
–
2016: 0.215 SDR per item and 1.682 SDR per kilogramme;
–
2017: 0.221 SDR per item and 1.729 SDR per kilogramme.
14
For flows under 75 tonnes per year, the per-kilogramme and per-item components are converted into
a total rate per kilogramme on the basis of the average of 12.23 items per kilogramme.
1.3
Rates – Transitional system
15
Terminal dues to, from and between countries in the transitional system will be paid at the following
rates:
–
2014: 0.203 SDR per item and 1.591 SDR per kilogramme;
–
2015: 0.209 SDR per item and 1.636 SDR per kilogramme;
–
2016: 0.215 SDR per item and 1.682 SDR per kilogramme;
–
2017: 0.221 SDR per item and 1.729 SDR per kilogramme.
16
For flows under 75 tonnes per year, the per kilogramme and per item components are converted into a
total rate per kilogramme on the basis of the average of 12.23 items per kilogramme, except for the year
2014, for which the total rate per kilogramme of the year 2013 shall apply:
–
2014: 4.162 SDR per kilogramme;
–
2015: 4.192 SDR per kilogramme;
–
2016: 4.311 SDR per kilogramme;
–
2017: 4.432 SDR per kilogramme.
17
Countries in the target system will pay countries in the transitional system the same rates that countries in the transitional system pay each other.
1.3.1
Revision mechanism
18
Countries in the transitional system may pay or receive item-based rates on mail flows exceeding
75 tonnes per year exchanged with another transitional system country or with a target system country when
the average number of items per kg of mail is determined to be:
–
more than 15 (upward revision),
–
less than 10 (downward revision),
or has changed by more than 20% from the IPK previously used. Where the revision mechanism is
requested, the rates in article 31.3 shall apply.
8
19
The downward revision cannot be requested for mail flows to a transitional system country unless the
transitional system country has already invoked the downward revision on its own mail to the target system
country. The procedures for applying the revision mechanism are described in chapter II of this Guide.
1.4
Exchange of format-separated mails
20
As of 2014, designated operators in the target system are required (Convention article 30.3) to
exchange format-separated mails in accordance with the conditions laid down in the Regulations. Format
separation is optional for new target and transition designated operators.
21
Letter-post items are classified on the basis of their format into small letters (P), large letters (G) and
bulky letters (E). The limits of size and weight for each format are as follows (RL 122, RL 123 and RL 124):
–
small letters (P): minimum dimensions: 90 x 140 mm; maximum dimensions: 165 x 245 mm; maximum
weight: 100 g; maximum thickness: 5 mm.
–
large letters (G): items that cannot be classified as small letters and having minimum dimensions of 90
x 140 mm, maximum dimensions of 305 x 381 mm, maximum weight of 500 g and maximum thickness
of 20 mm.
–
bulky letters (E): items classified neither as small letters nor as large letters, with the following size and
weight limits: minimum dimensions: 90 x 140 mm; maximum dimensions: 900 mm for length, width and
depth combined, with the greatest dimension not exceeding 600 mm; maximum weight:
2 kg (5 kg for items containing books or pamphlets).
22
Pursuant to article RL 175, the separation of mail into three formats (P, G and E) is mandatory for the
group 1.1 designated operators for flows to other group 1.1 designated operators, in cases where such
annual flows are above 50 tonnes a year. The four most recent quarterly statements of weights should be
used as the best indication of mail volumes for the following year.
23
As the separation of mail into three formats (P, G and E) is mandatory for the group 1.1 designated
operators for flows to other group 1.1 designated operators, the separation of mail into at least two formats
(P/G and E) is mandatory for designated operators in groups 1.2 and 2 for flows to other designated
operators in groups 1.1, 1.2 and 2, and for designated operators in group 1.1 for flows to designated
operators in groups 1.2 and 2, in cases where such annual flows are above the following thresholds:
–
125 tonnes in 2014;
–
100 tonnes in 2015;
–
75 tonnes in 2016;
–
50 tonnes in 2017.
24
The separation of mail into three formats is optional for exchanges between group 1.2 and 2 designated operators and designated operators in groups 1.1, 1.2 and 2.
25
The separation of mail into two or three formats is optional for exchanges with future new target and
transition countries (article 31.7). If the designated operators concerned agree to send each other formatseparated mails, the per-item and per-kilogramme rates provided for in article 31.3 apply. The designated
operators will also have to agree on the average IPK values that will be used for each format: either the IPK
values fixed by the POC, or other values agreed bilaterally.
26 Designated operators allowed to separate mail into two formats (S and E) or three formats (P, G and E)
are not allowed to switch from one format-separation option to the other with a partner designated operator
in the same calendar year. If they wish to change from two to three formats or from three to two, they shall
inform the designated operator concerned by 30 September, for application on 1 January of the following
year.
27
The practical details (fulfilment of conditions/threshold, etc.) should be the subject of a mutual
agreement between the designated operators concerned.
9
1.5
Accession to the target system
28
According to article 29.13 of the UPU Convention, any country may join the target system. The designated operator of the country concerned has to send an official declaration to the International Bureau by
1 June of the year preceding its accession to the target system (RL 216.1), specifying which group it is
acceding to.
29
In its declaration, the designated operator should undertake to carry out all the statistical, accounting
and other operations involved in participation in the target system and indicate which sets of provisions of the
target system would apply: those applicable to countries in the target system prior to 2010, or those applying
to countries in the target system as of 2010, as of 2012 or as of 2014 (RL 216.2 and 3). When the sets of
provisions chosen entail the calculation of terminal dues rates on the basis of domestic charges, the
acceding designated operator should also notify the required domestic charges as per articles RL 220 and
RL 221.
1.6
Registered and insured items
30
In addition to terminal dues, all designated operators will pay delivering designated operators
0.617 SDR per item for 2014, 0.634 SDR per item for 2015, 0.652 SDR per item for 2016 and 0.670 SDR per
item for 2017 for each registered item they dispatch, and 1.234 SDR per item for 2014, 1.269 SDR per item
for 2015, 1.305 SDR per item for 2016 and 1.342 SDR per item for 2017 for each insured item they dispatch,
to cover the additional costs incurred in delivering these items.
31
For registered and insured items not carrying a barcode identifier or carrying a non-UPU S10 compliant identifier there will be an additional payment of 0.5 SDR per item, unless otherwise bilaterally agreed
(article 29.9). Details on the way this provision may be applied are given in chapter III.
32
Article RL 218 provides for supplementary remuneration of 0.5 SDR per item for additional service
features for registered, insured and express items. Details on the way these provisions may be applied are
given in the user manual for registered, insured and express services available on the UPU website.
1.7
M bags
33
The rates for M bags are the following:
–
for the year 2014, 0.815 SDR per kilogramme;
–
for the year 2015, 0.838 SDR per kilogramme;
–
for the year 2016, 0.861 SDR per kilogramme;
–
for the year 2017, 0.885 SDR per kilogramme.
34
However, M bags weighing less than 5 kg will be charged for terminal dues as if they weighed 5 kg
(Convention article 29.7).
1.8
Contributions to the Quality of Service Fund (QSF)
35
Countries in both the target and transitional systems will make an additional payment on the gross
terminal dues paid into the QSF account of each developing country that requests such payment. The additional payment will be based on the following percentages:
–
payments to group 5 countries (LDCs) will be made by all countries (excluding other LDCs) at the rate
of 20%;
–
payments to group 4 countries will be made by all target countries at the rate of 10%;
–
payments to group 3 countries will be made by target countries in groups 1.1 and 1.2 at the rate of 8%
for 2014 and 2015 and 6% for 2016 and 2017, and by target countries in group 2 at the rate of 2% for
2014 and 2015;
10
–
the combined terminal dues payable into the QSF to countries in groups 3, 4 and 5 will be subject to a
minimum of 20,000 SDR per annum for each beneficiary country. The calculation of this amount is
described in article RL 243. Examples for this calculation are also given in form CN 64ter.
36
Countries in the transitional system are exempt from paying the higher target system terminal dues
unless they dispatch bulk mail to a target system country.
1.9
Bulk mail
37
When a designated operator establishes that it has received bulk mail, it is authorized to request the
specific payment of terminal dues for this type of mail. Article RL 126.8 gives the characteristics of bulk mail,
in terms of number of items received in one or more dispatches per day or in the period of two weeks, posted
by the same sender.
38
The sender of bulk mail is considered to be the person or organization that actually posts the items
(RL 126.8.2). If need be, the sender may be identified by any common characteristic of the items or any
indication made on the items such as (RL 126.8.3):
–
the return address;
–
the name, mark or stamp of the sender;
–
the postal authorization number.
1.9.1
Rates applicable
39
The remuneration provided for this purpose is indicated in Convention articles 30.14, 30.15 and 31.8:
a
A designated operator in the target system (group 1.1) that receives bulk mail from any other designated operator may request a rate per item and a rate per kilogramme as provided for in Convention
article 30.5 to 9.
b
A designated operator in the target system (group 1.2 and 2) that receives bulk mail from any other
designated operator may request a rate per item and a rate per kilogramme as provided for in
Convention article 30.5, 30.10 and 30.11.
c
A new target system designated operator that receives bulk mail from any other designated operator
may request a rate per item and a rate per kilogramme as provided for in Convention article 30.9.
d
A designated operator in the transitional system that receives bulk mail from any other designated
operator may request a rate per item and a rate per kilogramme as provided for in Convention article
31.3.
40
If both designated operators concerned are in the quality of service link to terminal dues (QS Link), or
if they are in the target system and are therefore expected to participate in the QS Link as per article RL 221,
the bulk mail rates will be the terminal dues rates adjusted with the QS results as notified through IB
circulars. If one of the designated operators is not in the QS Link and it is not expected to participate in the
QS Link, the bulk mail rates will be the base terminal dues rates, before adjustment for quality of service.
1.9.2
Request for payment specific to bulk mail – three month pre-advice
41
A designated operator may claim to have received bulk mail when it establishes (RL 226.1):
–
the receipt, in the same mail or in one day when several mails are made up per day of at least
1,500 items posted by the same sender;
–
the receipt, in a period of two weeks, of at least 5,000 items posted by the same sender.
42
A designated operator of destination that wishes to apply the payment specific to bulk mail must notify
the designated operator of origin within two weeks of receiving a dispatch containing bulk mail (RL 226.2).
This notification must contain the dispatch number, date of dispatch, origin office of exchange, destination
office of exchange and a photocopy of a sample of the mail items in question. This notification must be sent
by fax or electronic means to the special address published in the Letter Post Compendium to which all the
forms relating to settlement of transit charges and terminal dues must be sent (RL 240).
11
43
The designated operator of destination must wait three months following notification to apply bulk mail
rates for qualifying items.
44
During the three months following notification, however, the designated operator of origin may advise
the designated operator of destination that it wishes to account for its bulk mail separately and have bulk
mail terminal dues applied to all of its bulk mail dispatches, unless the original request by the designated
operator of destination is withdrawn (RL 226.5). If the designated operator of origin chooses to account for its
bulk mail separately and later decides to terminate this accounting, it must notify the designated operator of
destination three months in advance of terminating its separate accounting. Alternatively, the decision to
terminate separate accounting for all bulk mail may be made by mutual consent (RL 226.6).
1.9.3
Request for payment specific to bulk mail – immediate application of the bulk mail rates
45
A designated operator may request payment of bulk mail rates with immediate effect, without waiting
three months, when (RL 226.3):
–
3,000 or more items posted by the same sender are received in the same dispatch, or in one day
when more than one dispatch is made up per day;
–
10,000 or more items posted by the same sender are received in a period of two weeks.
46
If a designated operator wishes immediate application of bulk mail rates to a mailing it receives, it
must notify the designated operator of origin within three days of receiving the bulk mailing. This notification
shall be made by CN 43 verification note, specifying the dispatch number, date of dispatch, origin office of
exchange, destination office of exchange and a photocopy of a sample of the mail items in question
(RL 226.4). This notification, accompanied by a replacement CN 32 letter bill, is to be sent by fax or electronic means to the special address published in the Letter Post Compendium to which all the forms relating
to settlement of transit charges and terminal dues must be sent (RL 240).
1.10 Link to quality of service
47
Terminal dues remuneration is based on quality of service performance in the country of destination
(Convention article 29.5). Designated operators of countries in the target system are expected to participate
in the quality of service link to terminal dues and their remuneration is based on TD rates adjusted on the
basis of the quality results. If a country in the target system does not put in place a UPU-agreed measurement system for the link to terminal dues remuneration, it will receive 100% of the TD rates but will pay quality-adjusted rates to the other designated operators in the QS Link.
48
Countries that join the target system from 2014 (new target countries) benefit from a two-year grace
period during which they may opt not to link the remuneration to the quality of service results (RL 222.8).
Those new target countries that have annual inbound flows lower than 100 tonnes and are not participating
in the QS Link will receive from, and pay to, all other DOs 100% of the base TD rates.
49
All countries participating in the QS Link will receive an incentive of 5% for their inward mail flow.
Penalties will also be applied for insufficient quality, but will not adjust the rate below the minimum remuneration provided for in the Convention. Subject to the floor in articles 30.9 and 31.3 of the Convention, countries
will be liable for a penalty of 1/3% of their terminal dues rate for each percentage of under-performance up to
a maximum of 10% (RL 222). Transitional countries may also participate in the quality measurement system
and the QS Link.
50
The basic information on how the quality of service link remuneration rules should apply to the
calculations of terminal dues adjusted for quality of service is provided below. The quality of service performance calculation is based on the fulfilment of delivery standards against quality of service performance
targets approved by the POC. Information on the quality of service standards and targets set by the POC is
presented in the GMS QLUG User Manual.
1.10.1 Adjustment of terminal dues rates based on actual quality of service performance – Description,
formula and examples of the calculation of quality of service-adjusted terminal dues rates
51
The principles for calculating the adjustment of terminal dues rates for quality of service performance
are as follows:
12
–
If the target is achieved, the quality of service link participant will have its base terminal dues rates
(100% of the rates calculated as described in the commentary relating to article RL 220) increased
by the 5% incentive for participation.
–
If the target is not achieved, the quality of service link participant will have its base terminal dues
rates multiplied by a "terminal dues adjustment percentage", which results from the application of the
5% incentive for participation in the quality of service link and of the penalty factor, corresponding to
one third of one percent (1/3% or 0.3333%) reduction for each 1% below the performance target.
–
The penalty factor will be applied in such a way that the reduction is no greater than 10% (the minimum applicable "terminal dues adjustment percentage" being 95% of the base terminal dues rates).
Furthermore, no quality of service link participant will receive less than the terminal dues floor rates.
1.10.2 Examples of the calculation and application of the "terminal dues adjustment percentage" using the
base terminal dues rates, the quality of service targets and the quality results
52
Example A: Participant in the QS Link in 2017 with base terminal dues rates of 0.256 SDR per item
and 2.000 SDR per kg, 88% target and 86% actual quality of service performance. "Terminal dues
adjustment percentage" = 100% + 5% - (88% - 86%) x 1/3 = 104.33%.
53
The quality of service-adjusted terminal dues rates would be:
–
per item = 104.33% x 0.256 SDR = 0.267 SDR;
–
per kg = 104.33% x 2.000 SDR = 2.087 SDR.
54
Example B: Participant in the QS Link in 2017 with base terminal dues rates of 0.225 per item and
1.764 SDR per kg, 88% target and 60% actual quality of service performance. "Terminal dues adjustment
percentage" = 100% + 5% - (88% - 60%) x 1/3 = 95.67%.
55
The quality of service-adjusted terminal dues rates would be:
–
per item = 95.67% x 0.225 SDR = 0.215 SDR;
–
per kg = 95.67% x 1.764 SDR = 1.688 SDR.
56
In this example, the terminal dues rates will be set at 0.221 SDR per item and 1.729 SDR per kg,
since the quality of service-adjusted rates cannot be lower than the floor rates.
1.10.3 Provisional QS-linked terminal dues rates
57
The International Bureau will publish, by 1 July of year Y-1, an IB circular with the provisional rates to
be applied to the calendar year Y. The provisional terminal dues rates applicable for year Y are based on the
domestic tariffs for a 20-gramme priority small letter (P) and the 175-gramme priority large letter (G) tariffs
valid at 1 June of year Y-1. The quality of service performance results relating to year Y-2 (or the latest
agreed available data) will be applied to adjust the terminal dues rates for quality performance. The IB
circular will indicate the following in a table:
–
the country name;
–
the ISO code of its currency;
–
the domestic rate for a 20-gramme priority small letter in national currency;
–
the domestic rate for a 20-gramme priority small letter in SDR;
–
the domestic rate for a 175-gramme priority large letter in national currency;
–
the domestic rate for a 175-gramme priority large letter in SDR;
–
the terminal dues rates per item and per kg in SDR before the addition of the quality of service
adjustment;
–
the quality of service-adjusted terminal dues rates per item and per kg in SDR.
1.10.4 Final QS-linked terminal dues rates
58
The International Bureau will publish an IB circular with the final terminal dues rates for year Y on
1 May of year Y+1. The bases for these calculations are the tariffs of year Y-1 and the quality of service
results for year Y. The IB circular will indicate the following in a table:
13
–
country name;
–
the ISO code of its currency;
–
the domestic rate for a 20-gramme priority small letter in national currency;
–
the domestic rate for a 20-gramme priority small letter in SDR;
–
the domestic rate for a 175-gramme priority large letter in national currency;
–
the domestic rate for a 175-gramme priority large letter in SDR;
–
the terminal dues rates per item and per kg in SDR before the addition of the quality of service
adjustment;
–
the final quality of service-adjusted terminal dues rates per item and per kg in SDR.
1.11 Direct access
1.11.1 Regulations and conditions
59
Direct access (access to the domestic service) is regulated by Convention article 29.4 and article RL 217 of the Letter Post Regulations. It is mandatory for DOs that were in the target system prior to
2010.
60
Countries joining the target system from 2010 may opt not to make available direct access to other
DOs, or to make direct access available to a limited number of designated operators for a trial period of two
years. If the DO of a country in the target system from 2010 requests the designated operators of other target system countries to provide direct access it should itself make direct access available to all other designated operators.
61
Transition system countries may opt not to make available direct access to other DOs, or to make
direct access available to a limited number of designated operators for a trial period of two years.
1.11.2 Direct access database and operational guide
62
The International Bureau maintains a Direct Access Database on the UPU website containing information on domestic tariffs, terms and access conditions. A Direct Access Operational Guide, containing
practical information on operations, documentation and accounting, is also available on the UPU website.
1.12 International business reply service (IBRS)
63
IBRS is regulated by article RL 144 of the Letter Post Regulations. Gross weight for receptacles and
net weight for bundles shall be taken into account. Unless the designated operators concerned decide
otherwise, IBRS charges shall not be paid when the aggregated annual number of IBRS items and CN 07
forms (advice of delivery) returned by each designated operator is equal to or lower than 1,000. When the
aggregated annual number of IBRS items and CN 07 forms returned exceeds 1,000 for one designated
operator, the amount paid shall take into account the aggregated number of IBRS items and CN 07 forms
returned by both designated operators. Designated operators returning IBRS items to other designated
operators are entitled to collect from those designated operators a charge per item and a charge per
kilogramme, calculated as follows:
–
charge per item: 80% of the terminal dues rates for bulk mails of the designated operator returning
the IBRS items, with a total annual floor charge of 0.150 SDR per item;
–
charge per kilogramme: calculated on the basis of the distance between the offices of exchange of
the two designated operators concerned, the basic air conveyance rate fixed by the POC for the year
in question and the weight of items, plus a rate for handling transit dispatches of 0.530 SDR per kg
as set in article RL 208.1.1.
1.12.1 Example of calculating IBRS rates
64
Designated operator A is returning 1,700 IBRS items weighing 25 kg to designated operator B in
2017. The distance between the offices of exchange of the two designated operators is 10,000 km.
Designated operator A is not part of the QS Link, but designated operator B is. In this case, the rates used
for the calculation of IBRS charges will be the base TD rates, prior to any adjustment for quality. The base
TD rates of designated operator A for the year concerned are 0.321 SDR per item and 2.507 SDR per kg.
14
65
The basic air conveyance rate for 2017 is 0.000597 SDR per kg and km.
66
The IBRS rates will be calculated as follows:
i
the base handling charge per item/kg will be: 80% x (0.321 x 1,700 items + 2.507 x 25 kg) =
487 SDR;
ii
the basic air conveyance charge per kg will be: 25 kg x (0.530 + 0.000597 x 10,000 km) =
162.500 SDR;
iii
the total amount due will be: 487 SDR + 162.500 SDR = 649.500 SDR.
67
The total amount due from designated operator B to designated operator A for the return of IBRS
items will be 649.500 SDR.
68
If both designated operators were in the QS Link, or if they were in the target system and expected
to participate in the QS Link, then the TD rates used as the basis for the calculation of IBRS charges per
item would have been those adjusted with the QS results.
1.13 Advice of delivery service (AR)
69
As from 1 January 2014, designated operators returning advices of delivery (CN 07 or the electronic
advice of delivery where this service is offered) to other designated operators will receive from the latter
remuneration for the costs incurred at the same level as for the IBRS items (RL 141.4). For accounting
purposes, the advice of delivery is recorded, combined with IBRS, on the CN 31.
2
Transit: conveyance and charges
2.1
Conveyance to the country of destination
70
When the designated operator of origin dispatches its mails to a country of destination, it may:
a
conclude direct agreements with carriers for conveyance to the country of destination; or
b
hand its mails over to an intermediate designated operator for forwarding to the country of destination.
2.1.1
Conveyance provided direct by a transport company
71
In the first case, the designated operator of origin pays the carrier (shipping line, road transport company, railway company or airline) for the transport performed. No intermediate designated operator is
involved, and no transit charges are payable. However, if another country is crossed in the course of conveyance, the designated operator of that country must be informed in advance (RL 174 and 176). Where
airmails are sent in transit via a third party by air and the transhipment is undertaken by the airline, no transit
charges are applicable.
2.1.2
Conveyance provided by another designated operator
72
In the case of transit services, the intermediate designated operator must be paid a rate for the cost
incurred by the services rendered (Convention article 33). The transit charges are specified below.
2.1.3
Charges for closed transit
73
For land transit, the distance traversed by mails whose onward transmission was provided by the
country of transit must first be determined by reference to the List of Kilometric Distances in the Transit
Manual; once the distance has been determined, the corresponding land transit charge is to be applied. The
land transit charge is composed of a handling rate per kg of 0.530 SDR (RL 208.1.1) plus a rate based on
distance set out in article RL 208.1.2.2. The sum of the two components is to be entered on the CN 62
detailed account.
15
74 For sea transit, the transit charge given in the List of Transit Services for Surface Mail (including S.A.L.)
in the Transit Manual is used. This charge is composed of the same handling rate as for land transit
(RL 208.1.1) plus the sea transport rate set out in article RL 208.1.2.3. The sum of the two components is to
be entered on the CN 62.
75
For transit by combined land and sea transport facilities and for reforwarding of S.A.L., the rate fixed
by bilateral agreement between the designated operator of transit and the designated operator of origin is
used (RL 210.2); in the absence of a rate fixed by bilateral agreement, the designated operator of transit
applies the rate given in the List of Transit Services for Surface Mail (including S.A.L.).
76
For air transit, the transit charge is composed of a handling rate per kg of 0.530 SDR (RL 208.1.1) plus
a conveyance rate per kg based on distance set out in article RL 208.1.2.1. The air conveyance rate per kg
and km should not be higher than the basic air conveyance rate calculated on the basis of article RL 244.2.
The distance is determined by reference to the List of Airmail Distances.
2.2
Transit of à découvert items and missent items
77
Items may be sent à découvert when the total weight of the items dispatched to a particular country of
destination is less than 3 kg per mail or per day. A closed transit dispatch must be made up if the mail
exceeds these limits or if several mails are received in a day (RL 176.1).
78
For items sent à découvert without prior consultation to an intermediate designated operator, destined
for countries other than those notified by the intermediate country in the Transit Compendium, the charges
provided for missent items may be applied (RL 176.4).
2.2.1
Charges for transit à découvert (open transit) items (RL 211)
79
Transit charges for items in transit à découvert consist of a handling rate per kg, a transport rate per kg
and terminal dues increments. The handling rates are those indicated in article RL 208.1.1. The transport
rates for items forwarded by surface are calculated, in principle, as indicated in article RL 208.1.2.2, according to the net weight. The transport rates for items forwarded by air are calculated, in principle, as indicated
in article RL 244.3, according to the net weight. Terminal dues increments are calculated based on average
differences between the terminal dues received by the DO of transit and those paid to the DO of destination.
The transit charges are fixed on the basis of no more than 10 average rates, each relating to a group of
countries of destination and fixed according to the conveyance and handling costs as well as terminal dues
increments for the different destinations within the group. The sum of these dues will be increased by 10%
for the surface transit items and by 5% for the air transit items (RL 211.1.4).
80
When S.A.L. items are forwarded by normal airmail they are governed by the provisions for à découvert airmail items and are thus subject to the payment of air conveyance dues calculated according to article
RL 211.1.3.2.
81
Amendments to rates and groups of destinations for transit à découvert purposes are notified in
accordance with article RL 249. The International Bureau should receive the notifications by 30 September
for publication in the transit manual by 1 December. The notified rates enter into force on 1 January of the
following year.
82
Examples of groupings of countries and calculation of transport rates for items received in transit à
découvert and forwarded by surface are given below.
83
The countries of destination for which the transit country is willing to handle à découvert items are as
follows:
16
Countries of
destination
Distance
(km or nautical
miles)
Type of conveyance
Transport rate per kg
according to article
RL 208 (SDR)
Yearly volume of mail
to each country on
basis of data
available
(in kg)
A
1,170
Land
0.230
300
B
2,620
Land
0.461
150
C
7,260
Land
1.015
250
D
2,730
Land
0.475
200
E
5,160
Land
0.805
120
F
2,480
Land
0.433
80
G
6,535
Land
0.945
70
H
4,650
Sea
0.192
270
I
7,240
Sea
0.250
320
J
3,270
Land
0.545
60
84
It is up to the postal operator of transit to decide on the number of groups. The criterion generally used
is similarity of transport charges. The groups should be formed in such a way that one or more groups
contain only target countries. In the example above, if the option involved three groups, these could be
formed as follows:
–
Group 1, consisting of countries A, H and I. The weighted average transport rate per kg of items
received in transit à découvert and forwarded to this group of countries will be:
(0.230 x 300 + 0.192 x 270 + 0.250 x 320)/(300 + 270 + 320) = 0.226 SDR.
–
Group 2, consisting of countries B, D, F and J. The weighted average transport rate per kg of items
received in transit à découvert and forwarded to this group of countries will be:
(0.461 x 150 + 0.475 x 200 + 0.433 x 80 + 0.545 x 60)/(150 + 200 + 80 + 60) = 0.472 SDR.
–
Group 3, consisting of countries C, E and G. The weighted average transport rate per kg of items
received in transit à découvert and forwarded to this group of countries will be:
(1.015 x 250 + 0.805 x 120 + 0.945 x 70)/(250 + 120 + 70) = 0.947 SDR.
85
Terminal dues increments for items in transit à découvert forwarded to countries of destination in the
target system are calculated as follows:
–
The terminal dues increment for mail received in transit à découvert from countries in the transitional
system is calculated as the difference between the average terminal dues rate per kg receivable for
mail in transit à découvert from transitional countries over a calendar year and the weighted average
terminal dues rate per kg payable for mail sent to the target countries.
–
The terminal dues increment for mail received in transit à découvert from countries in the target system
is calculated as the difference between the average terminal dues rate per kg receivable for mail in
transit à découvert from target countries over a calendar year and the weighted average terminal dues
rate per kg payable for mail sent to the target countries.
–
Weighting is based on the total volumes of mail sent to the respective destinations in the latest available year.
86
Every year the international Bureau notifies to member countries the maximum increment that can be
charged by a country of transit on the basis of the data from the IPK study and the TD rates applicable under
the UPU provisions.
2.2.2
Example of calculation of TD dues increments for 2014
87
The terminal dues rates used should be those of 2014, as indicated in International Bureau circular 111 of 1 July 2013.
17
Calculation of the average terminal dues rate receivable per kg of mail applicable in 2014
Country of origin
Volume structure of mail
received
(2012 or latest
year available)
Rate per item
(provisional
2014 rates in
SDR)
Rate per kg
(provisional
2014 rates in
SDR)
Average number of items per
kg (2012 or
latest year
available)
Terminal dues
rate receivable
per kg (SDR)
Transitional
countries
25%
–
–
–
4.162
Target countries
75%
0.257
2.010
14
5.608
Weighted
average terminal
dues rate
receivable per kg
(SDR)
100%
5.247
Calculation of the average terminal dues rate payable per kg of mail applicable in 2014
Country of
destination (target
countries only)
Volume structure of mail
sent
(2012 or latest
year available)
Rate per item
(provisional
2014 rates in
SDR)
Rate per kg
(provisional
2014 rates in
SDR)
Average number of items
per kg (2012 or
latest year
available)
Terminal dues
rate payable
per kg (SDR)
A
6%
0.294
2.294
18.6
7.762
B
25%
0.294
2.294
13
6.116
C
8%
0.288
2.252
21
8.300
D
8%
0.238
1.861
16
5.669
E
10%
0.264
2.059
20
7.339
F
13%
0.244
1.904
12
4.832
G
30%
0.277
2.162
13
5.763
Weighted average
terminal dues rate
payable per kg
(SDR)
100%
6.203
88
Calculation of the terminal dues increment rate to be charged by the transit designated operator
for items received in transit à découvert and forwarded to countries in the target system: 6.203 - 5.247 =
0.956 SDR
2.2.3
Charges for missent items (RL 211.1.5)
89
Designated operators forwarding missent items have the right to collect from the designated operator
of origin the charges for à découvert items calculated according to article RL 211.1.2 to RL 211.1.4, plus an
additional charge of 2 SDR/kg.
2.3
2.3.1
Return of empty bags
Rates for empty bags – surface
90
Mails of empty bags are subject to payment of 30% of the transit charges applicable to letter-post
mails, i.e. 30% of the transit charges in article RL 208 (RL 214.1).
18
91
Designated operators that return empty bags are entitled to the reimbursement of costs in their country
if the weighted average distance for the transport to the border exceeds 300 km. The transport charge, but
not the handling charge, is paid for the number of km exceeding 300 (RL 214.2).
92
The transport charge payable for transport within the country returning the bags is based on a single
price per kg. This single price includes the transport charge within the country, between the different offices
of exchange and borders. It is calculated on the basis of the rates actually paid for conveyance of the mail
within the country of destination, but not exceeding the transport charge defined in article RL 208. The
weighted average distance is calculated by the International Bureau in terms of the gross weight of all the
empty bag dispatches sent from the country concerned (RL 214.3).
93
Examples:
i
Situation of designated operator X:
–
900 kg empty bags are returned by ship from city A where the exchange office is situated, i.e. distance 0 for these bags.
–
800 kg empty bags are returned to the border of country B. The distance from city A to this border is
500 km.
–
300 kg empty bags are returned to the border of country C. The distance from city A to this border is
480 km.
The weighted average distance is 272 km and the country concerned will not be entitled to claim
reimbursement of costs of transportation back to the borders, see table below:
–
Total weighted average
distance
Mail volume – kg
Distance – km
Product of mail volume &
distance
900
0
0 (or 900 x 0)
800
500
400,000 (or 800 x 500)
300
480
144,000 (or 300 x 480)
2,000
272
544,000
(or 900 + 800 + 300)
(or 544,000/2,000)
(or 0 + 400,000 + 144,000)
ii
Situation of designated operator Y:
–
800 kg empty bags are returned from the exchange office in city A to the border of country B. The
distance from city A to this border is 500 km and the price actually paid to the transport company for
the conveyance is 0.150 SDR.
–
400 kg empty bags are returned to the border of country C. The distance from city A to this border is
800 km and the price actually paid to the transport company for the conveyance is 0.170 SDR.
–
The weighted average distance is 600 km. Thus the designated operator concerned will be entitled to
reimbursement of the transportation costs for 300 km. Since the weighted average price paid is higher
than the land transport rate according to article RL 208.1.2, it will be entitled to the latter rate, which for
the 201 to 300 km range is 0.050 SDR.
2.3.2
Rates for empty bags – air
94
Empty bags were transported free by airlines up to 31 December 2000. Since 1 January 2001, however, airlines may bill designated operators for transporting empty airmail bags back to the designated
operator that owns them.
95
The rate payable for their transport should be at most 30% of the basic airmail conveyance rate determined using the formula in RL 244.2.
96
Air conveyance dues for the transport of empty bags are payable by the designated operator owning
the bags (RL 214.1).
97
Examples:
19
a
The Senegal designated operator receives priority airmails from France. It must return the empty bags
to France. France, as the designated operator that owns the bags, must pay for their transport from
Senegal back to France.
b
The Indian designated operator has received priority airmails from Great Britain and must return the
empty airmail bags to Great Britain. India, in agreement with Great Britain, returns these bags in transit
via Zurich with direct transhipment at Zurich. The Swiss designated operator is not involved. Great
Britain will pay for the cost of returning these bags, i.e. pay for air transport from India to Switzerland
and from Switzerland to Great Britain.
(Should the Swiss designated operator be involved in handling the dispatch of empty bags, it will be
entitled to claim transit charges for handling the dispatch. Transit charges are dealt with separately in
this guide.)
3
Exemption from terminal dues
98
Letter-post items relating to the postal service (as defined in RL 110.2: items exchanged between
bodies of the Universal Postal Union and of the restricted unions, exchanged between bodies of those
unions, or sent by such bodies to designated operators or their offices), undelivered items returned to origin
in closed dispatches, mails of empty receptacles and IBRS and AR (CN 07) items are exempted from
terminal dues (RL 215.3) but not from transit charges.
20
Chapter II – Statistical operations related to terminal dues
1
Introduction
1
A statistical count of letter-post flows is required to determine the number of items in a mail flow for:
–
the target country system, which applies to flows between target countries, as defined by the
25th Congress (resolution C 77/2012) and listed in Appendix D;
–
the revision mechanism. This mechanism may be applied to flows between target and transitional
countries, or to flows between transitional countries. Target and transitional countries were defined by
the 25th Congress (resolution C 77/2012) and are listed in Appendix D.
2
For more detailed descriptions of these systems and their applicable terminal dues rates, please see
chapter
I.
1.1
The target country system
3
The target system requires designated operators to perform an ongoing statistical count to measure
the average number of items per kilogramme (IPK) specific to a letter-post mail flow (excluding M bags). This
IPK will be used to calculate the total number of items exchanged against which the target country system
terminal dues rate per item applies. The terminal dues rates under the target country system are provided in
Convention article 30 and in chapter I of this Guide.
4
For mail flows to, from, and between designated operators of countries in the target system as of 2010
and later, a statistical count shall be carried out above the threshold of 75 tonnes. The average number of
items per kilogramme applied between countries of the transition system shall be applied to mail flows below
the threshold of 75 tonnes (Convention article 30.13).
5
If target countries bilaterally agree that sampling mail is not cost effective, or that performing accurate
sampling is difficult, the average target country IPK fixed by the POC, and reflected in an International
Bureau circular for the related time period, may be used. Unless one or both designated operators insist on
sampling to know the exact number of items per kilogramme for exchanges of mixed mails in one or both
directions between countries in the target system prior to 2010, designated operators of countries in the
target system that receive the terminal dues rates provided for in article 30.8 of the Convention shall apply a
threshold of 25 tonnes to avoid sampling; the threshold of 45 tonnes to avoid sampling shall apply to the
other designated operators of countries in the target system prior to 2010;. Target countries may alternatively
agree on any other method to determine the IPK to be applied to the above-mentioned flows.
6
Target countries that currently sample and wish to cease sampling on one or more of their particular
flows must notify the corresponding target countries at least two months in advance of the beginning of the
year in question, in accordance with RL 229.
1.2
1.2.1
The revision mechanism
What is the revision mechanism?
7
The revision mechanism is a special statistical count to calculate the average number of items per
kilogramme (IPK) specific to a letter-post mail flow (excluding M bags). This IPK will be used to calculate a
revised terminal dues rate per kilogramme by applying the following formula (RL 225):
Revised rate = (IPK x rate per item provided for in article 31.3) + rate per kg provided for in article 31.3.
1.2.2
Triggering the mechanism
8
The revision mechanism may be applied when a given mail flow exceeds 75 tonnes per year if
(RL 225.1.2, 225.1.3, 225.1.5):
21
–
the average number of items (IPK) is more than 15 (upward revision);
–
the IPK is less than 10 (downward revision);
–
the IPK received from, or dispatched to, another designated operator has changed by more than 20%
from the original IPK used to establish a revised rate per kilogramme under a previous application of
the revision mechanism.
9
In cases where the number of items per kilogramme resulting from this revision falls between 10 and
15, the rate provided for in article 31.4 of the Convention will apply to the traffic in question. In addition, sampling for items per kilogramme will cease if the average number of items per kilogramme falls between 10
and 15, until such time as the conditions for sampling have been satisfied and sampling has been reactivated.
1.2.3
"Upward" revision mechanism
10
When the flow has an IPK over 15, it would be advisable for the receiving country of that flow to
request revision of the terminal dues rate to benefit from a revised rate higher than the rate provided for in
article 31.4 of the Convention. This is the "upward" revision. The upward revision mechanism may be applied
by either a target or transitional country to flows to or from a transitional country (RL 225.1.1 and RL 225.1.3).
1.2.4
"Downward" revision mechanism
11
When the flow has an IPK under 10, it would be advisable for the dispatching country of that flow to
request revision of the terminal dues rate to benefit from a revised rate lower than the rate provided for in
article 31.4 of the Convention. This is the "downward" revision.
12
The "downward" revision cannot be invoked by a target country for a flow destined for a transitional
country, unless the downward revision was invoked by the sending transitional country on its own mail to the
target system country (RL 225.1.2.1).
1.2.5
Conditions for request
13
The request for application of the revision mechanism must be based on preliminary statistical data
showing that the IPK of the flow in question is above 15 or below 10. These data must be obtained from a
sampling of at least six observation days over a period of one month (RL 225.4). In carrying out this sampling, invoking countries may refer to section 2 below, making appropriate adjustments as to the period of
the statistical operations.
1.2.6
Deadlines for request
14
The request for application of the revision mechanism may be made at any time of the year. However,
the invoking country intending to apply the revision mechanism must notify the corresponding country at
least three months in advance (RL 225.3). The statistical period commences at the beginning of a quarterly
accounting period and the new rate takes effect from that date (RL 225.5).
15
Example:
–
Request made on 15 February
–
End of three month notice: 15 May
–
Start of quarterly accounting period: 1 July
–
Date new rate takes effect: 1 July
1.2.7
Duration of new rate
16
The new revised rate remains in force for at least one year and until such time as a new revision is
requested by one of the countries concerned using the procedure described above (RL 225.5). In cases
where the IPK resulting from the revision falls between 10 and 15, the rate provided for in article 31.4 of the
Convention applies to the traffic in question (RL 225.7).
22
2
Overview of the statistical process
17
To establish the IPK of a mail flow under the target country system or under the revision mechanism,
a statistical count must be made. This statistical count consists of a sampling of the flow concerned
(RL 229.1, RL 225.2). Sampling is necessary since it is impractical to count the number of items contained in
every receptacle of mail in this flow.
2.1
General principles
18
Designated operators must adhere to certain principles for statistical sampling and IPK estimation for
the statistical results to be valid (RL 228). The requirements of RL 228 are restated below:
"1.1
Both sampling and estimation of the average number of items per kilogramme shall reflect the
composition of the mail. As the composition of the mail varies with transportation mode, format,
container type, time of the year (month), and day of week, the sample of the mail shall reflect
these variations and resemble, as closely as is practical, the entire mail flow. Likewise, the
method of estimation shall also reflect these variations." From this, it follows that stratified
sampling is to be applied. The mail flow to be sampled shall be divided into strata
(subpopulations) by quarter, mail category, and format. If appropriate, additional separation by
receptacle type and sending and receiving office of exchange might be applied. Sampling and
estimation is performed independently for each stratum.
"1.2
The statistical sampling programme shall be designed to achieve a target statistical precision
of ± 5% with 95% confidence and an estimate of IPK of the average number of items per kilogramme and of the number of items exchanged between designated operators." It is
recommended to apply the statistical precision of ± 7% and ± 15% with 95% confidence and
an estimate of IPK of the average number of items per kilogramme and the number of items
exchanged between designated operators for P/G format and E format, respectively. UR
dispatches of registered mail and express letter-post items designated by dispatch mail
subclass code UX shall be included in calculating the overall statistical precision. Sample
sizes per stratum should be either at least 30 receptacles or about one third of the total
number of receptacles of a stratum. This means that a DO is not obliged to sample more than
one out of three receptacles per stratum, which takes precedence over the 30 receptacles
where stratum volumes are small. For strata with a sampling rate greater than three it might
not be sufficient to have a sample size of 30 receptacles in order to achieve the accuracy
targets. The CN 54 and CN 54bis forms only cover quarters (and not months) for the sampling
period and estimates.
"1.2.1 This target statistical precision defines a goal that all designated operators which conduct
sampling should attempt to achieve through their designs. It does not define a minimum
precision requirement.
"1.3
The design of the sampling programme, the selection of the samples, the method of collecting
data and the estimation process shall conform to generally accepted principles of
mathematical statistics, probability sampling theory, and design of statistical surveys.
"1.4
Within the constraints of these principles, each designated operator has sufficient flexibility to
adapt the design of its sampling programme to the attributes of its mail flow and its resource
constraints. However, each designated operator must notify the corresponding designated
operator of its design decisions, including estimation approach, in advance of the observation
period."
19
There are three phases in the statistical process: sample selection, data collection and estimation. The
standard approach for these phases is summarized briefly below.
2.2
Sample selection for target system DOs (RL 229)
20
According to article RL 229, the statistical count can consist of either of the following:
— Designated operators may employ continuous sampling, in which a systematic or randomized
sample of receptacles is computer-selected for testing throughout the observation period. This method
is recommended. The designated operators concerned shall agree on the statistical forms to be used.
23
— Alternatively, for the years up to and including 2019, the statistical count may be carried out
employing 48 days of observation per year of sampling with four days per month. As it takes time to
implement new IT systems and some new countries joined the target system in 2016, it is proposed to
give a three-year grace period in which 48-day sampling can be used. The first year for mandatory
continuous sampling will be 2020. Within an observation day, designated operators may employ subsampling if it is not feasible to conduct a complete count of all the mail received during the day
concerned. The receiving designated operator shall not be required to notify the dispatching
designated operator in advance of the observation days or mail receptacles that are selected for
sampling. Examples of possible distributions of observation days across the year of sampling are
given in tables 1 and 2 below.
—
If an operator corrects the format, the same principles shall be followed for receptacles selected for
sampling and receptacles not selected for sampling (mislabelled by format).
Table 1: Structure for six-day operation from Monday to Saturday
Month
January
Monday
Tuesday
1
February
Wednesday
1
1
March
1
April
1
May
1
1
1
1
July
1
August
1
1
1
September
1
October
1
November
1
1
1
Total
observation days
per month
1
1
4
1
1
4
4
1
1
4
1
1
4
4
1
1
4
1
1
4
1
1
1
Saturday
1
1
1
Friday
1
1
1
June
Thursday
1
December
1
1
1
1
Number of
observations
of the day of
the week per
year
8
8
8
8
4
1
1
4
1
1
4
4
8
8
48
24
Table 2: Structure for a five-day operation from Monday to Friday
Month
Monday
Tuesday
Wednesday
January
1
1
1
February
1
1
March
1
1
April
1
May
June
1
July
1
August
1
1
4
1
4
1
1
1
4
1
1
1
1
4
1
1
1
1
1
1
4
1
1
1
1
4
1
1
1
October
1
1
1
November
1
1
9
Total observation
days per month
1
1
Number of
observations
of the day of
the week per
year
Friday
1
September
December
Thursday
4
4
4
1
4
1
1
4
1
1
1
1
4
10
10
10
9
48
21
It is strongly recommended to apply continuous sampling rather than using the "48 days sampling
method". In addition, a computerized sample receptacle selection process is preferable to a manual selection
process. A computerized sample receptacle selection process can be performed systematically or by
random selection.
22
Sampling is performed independently at least for each quarter, mail category (airmail, surface and
S.A.L.) and format within a flow.
23
The table below is provided as a simplified illustration of approximate rates of sampling based upon
the annual size of the flow across all mail categories. A strict use of this table may result in either less or
more sampling than necessary to obtain a reasonably accurate estimate; the statistical precision must be
monitored to fully determine the appropriate rate of sampling and to ensure representative results.
Annual weight (kg)
Sampling rate in case of
48-day sampling
Sampling rate in case of
continuous sampling
Below 25,000
Every receptacle
Every 3rd receptacle
25,000 to 50,000
Every receptacle
Every 4th receptacle
50,001 to 75,000
Every receptacle
Every 6th receptacle
75,001 to 100,000
Every receptacle
Every 7th receptacle
100,001 to 150,000
Every 2nd receptacle
Every 11th receptacle
150,001 to 250,000
Every 3rd receptacle
Every 19th receptacle
250,001 to 500,000
Every 6th receptacle
Every 38th receptacle
500,001 to 750,000
Every 9th receptacle
Every 56th receptacle
750,001 to 1,000,000
Every 11th receptacle
Every 75th receptacle
1,000,001 and above
Every 17th receptacle
Every 112th receptacle
25
Notes:
–
Sampling rates given in the tables may differ from those calculated by the SampleRatesModel.
–
Format separation is not covered in the given examples.
2.2.1
Example of sample selection
24
The DO of target system country A receives mail subject to sampling from the DO of target system
country B.
25
The DO of country A has six working days per week and 300 working days per year.
26
The weight and the number of receptacles of inward mail for the previous year by mail category are the
following:
Mail category
Weight per year (kg)
No. of receptacles per year
1,120,000
80,000
S.A.L.
195,000
15,000
Surface
300,000
20,000
1,615,000
115,000
Airmail
Total
27
In case of 48-day sampling, the following steps could be followed:
i
Determination of observation days: The DO could choose the distribution of observation days
presented in table 1 under paragraph 17 above (see paragraph 20).
ii
Determination of sampling rate: On the basis of the information on flows for the previous year and
using the illustrative sampling rates for the 48-day sampling provided above for the total weight of mail,
a sampling rate of one receptacle out of 17 may be applied (see paragraph 23).
iii
Determination of the minimum sample size per observation day: The number of receptacles that would
be received per day of observation is obtained by dividing the number of receptacles received during
the previous year by the number of working days.
28
The minimum number of receptacles to be sampled per day would be calculated by dividing the
number of receptacles to be received per day by the sampling rate (e.g. 17, as determined under ii. above).
No. of receptacles to be
received per day
No. of receptacles to be
sampled per day
Airmail
267
16
S.A.L.
50
3
Surface
67
4
383
23
Mail category
Total
29
This could result in the sampling of receptacles #1, #18, #35,….., #239, #256 for airmail, receptacles #1, #18, #35 for S.A.L., receptacles #1, #18, #35, #52 for surface. If mail is received at irregular
intervals and the minimum sample size cannot be reached during the observation day, the count may be
resumed in subsequent days until the minimum has been reached.
30
The minimum sample size for the 48 days of observation results from the number of receptacles
sampled per observation day multiplied by 48:
26
Mail category
No. of receptacles to be sampled over 48 days
Airmail
753
S.A.L.
141
Surface
188
Total
1,082
31
In case of continuous sampling, the following steps could be followed:
i
Determination of sampling rate: On the basis of the information on flows for the previous year and
using the illustrative sampling rates for continuous sampling provided above for the total weight of mail,
a sampling rate of one receptacle out of 112 may be applied (see paragraph 23).
ii
Determination of the minimum sample size per observation day: The number of receptacles that would
be received per day of observation is obtained by dividing the number of receptacles received during
the previous year by the number of working days.
32
The minimum number of receptacles to be sampled per day would be calculated by dividing the
number of receptacles to be received per day by the sampling rate (e.g. 112, as determined under ii above).
No. of receptacles to be
received per day
No. of receptacles to be
sampled per day
Airmail
267
2
S.A.L.
50
0.5 (1 receptacle every 2 days)
Surface
67
0.5 (1 receptacle every 2 days)
383
3
Mail category
Total
33
The minimum sample size for the year of observation (consisting of 300 working days) results from the
number of receptacles sampled per observation day multiplied by 300:
Mail category
No. of receptacles to be sampled over the year of
observation
Airmail
600
S.A.L.
150
Surface
150
Total
900
2.3
Sample selection for the revision mechanism (RL 232)
34
It is recommended that countries invoking the revision mechanism carry out the statistical count on the
basis of continuous sampling, in which a systematic or randomized sample of receptacles is computerselected for testing throughout the observation period (RL 232.1.1.1). Alternatively, they may carry out the
statistical count on the basis of at least 24 days of observation within a 12-month period, as described below
(RL 232.1.2):
i
Yearly basis: at least 24 days of observation within a 12-month period, with each working day of the
week observed at least once per quarter. Here again, it is recommended that designated operators
employ continuous sampling, in which a systematic or randomized sample of receptacles is computerselected every working day for testing throughout the observation period.
ii
Quarterly basis: sampling is conducted at least six observation days in the quarter, with each working
day of the week observed at least once per quarter.
iii
Monthly basis: all sampling is conducted within a single month over 24 observation days or, failing that,
all the working days for that month. Testing on a monthly basis will occur during May in 2015 and 2017
27
and during October in 2014 and 2016. This continues the past practice of scheduling sampling either in
May (in odd years) or October (in even years), to coincide with the statistical sampling required for
transit à découvert mail (RL 211.2.1).
35
Examples of possible distributions of observation days across the year of sampling in case of yearly or
quarterly sampling are given in tables 1 and 2 below.
Table 1: Structure for six-day operation from Monday to Saturday
Month
January
Monday
Tuesday
1
February
Wednesday
Thursday
1
1
1
1
1
1
November
1
4
1
1
4
1
4
2
2
December
Number of
observations
of the day of
the week per
year
2
1
1
2
2
September
October
1
1
1
2
2
1
August
1
2
June
July
2
1
1
Total
observation days
per month
2
1
May
Saturday
1
March
April
Friday
4
2
1
1
2
4
4
24
28
Table 2: Structure for a five-day operation from Monday to Friday
Month
Monday
January
Tuesday
1
February
Wednesday
Thursday
1
2
1
1
1
1
June
1
1
August
1
October
1
November
5
2
1
2
1
1
5
2
2
1
5
2
2
1
1
2
2
1
December
Number of
observations of
the day of the
week per year
1
1
1
September
2
1
May
July
Total observation
days per month
1
March
April
Friday
2
1
1
2
5
4
24
36
Sampling is performed independently for each mail category (airmail, surface and S.A.L.) and, where
format separation is applied, for each format, within a flow. Within an observation day (for a country and mail
category), sampling is performed either on all of the mail, or a sub-sample of receptacles.
37
The table below is provided as a simplified illustration of approximate rates of sampling based upon
the annual size of the flow across all mail categories. A strict use of this table may result in either less or
more sampling than necessary to obtain a reasonably accurate estimate; the statistical precision must be
monitored to fully determine the appropriate rate of sampling and to ensure representative results.
Annual weight (kilogrammes)
Sampling rate in the case of 24-day sampling
below 150,000
Every receptacle
150,001 to 250,000
Every 2nd receptacle
250,001 to 500,000
Every 3rd receptacle
500,001 to 750,000
Every 4th receptacle
750,001 to 1,000,000
Every 6th receptacle
1,000,001 and above
Every 9th receptacle
2.3.1
Example of sample selection
38
The DO of transition system country A receives mail subject to sampling for the revision mechanism
from the DO of country B.
39
The DO of country A has six working days per week and 300 working days per year.
40
The weight and number of receptacles of inward mail for the previous year by mail category are the
following:
29
Mail category
Weight per year (kg)
No. of receptacles per year
Airmail
420,000
30,000
S.A.L.
130,000
10,000
75,000
5,000
625,000
45,000
Surface
Total
41
In case of 24-day sampling, the following steps could be followed:
i
Determination of observation days: The DO could choose the distribution of observation days
presented in table 1 under paragraph 34 above.
ii
Determination of sampling rate: On the basis of the information on flows for the previous year and
using the illustrative sampling rates for the 24-day sampling provided above for the total weight of mail
(see paragraph 37), a sampling rate of one receptacle out of four may be applied.
iii
Determination of the minimum sample size per observation day: The number of receptacles that would
be received per day of observation is obtained by dividing the number of receptacles received during
the previous year by the number of working days.
42
The minimum number of receptacles to be sampled per day would be calculated by dividing the
number of receptacles to be received per day by the sampling rate (e.g. four, as determined under ii above).
No. of receptacles to be
received per day
No. of receptacles to be
sampled per day
Airmail
100
25
S.A.L.
33
8
Surface
17
4
150
37
Mail category
Total
43
This could result in the sampling of receptacles #1, #5, #9,…, #93, #97 for airmail, receptacles #1,
#5, …, #25 and #29 for S.A.L., receptacles #1, #5, #9 and #13 for surface. If mail is received at irregular
intervals and the minimum sample size cannot be reached during the observation day, the count may be
resumed in subsequent days until the minimum has been reached.
44
The minimum sample size for the 24 days of observation results from the number of receptacles
sampled per observation day multiplied by 24:
Mail category
No. of receptacles to be sampled over 24 days
Airmail
600
S.A.L.
192
Surface
96
Total
2.4
2.4.1
888
Data collection
Preliminary considerations
45
Before starting the statistical operations at the offices of exchange, the following points should be
borne in mind:
i
the sample must be taken, as applicable, from outward or inward international priority (or air) and nonpriority (or S.A.L. and surface, separately) mail;
30
ii
registered letter-post items designated by dispatch mail subclass code UR and express letter-post
items designated by dispatch mail subclass code UX shall be excluded from statistical sampling. The
statistical values shall instead be based on the actual counts of registered and express items recorded
on forms CN 31, CN 33, CN 55 and CN 56 (RL 229.8). This means that only registered and express
items dispatched in separate UR and UX dispatches will be excluded from sampling;
iii
for operational, statistical and accounting purposes, registered, insured and express items shall be
treated as bulky letters (E) regardless of their actual shape (RL 175.11);
iv
for operational, statistical and accounting purposes, items smaller than small letters (P) shall be
treated as small letters (P);
v
the sampling must cover only mails from/for the designated operator with which the target country
system or the revision mechanism applies. The sampling should take account of items sent in transit à
découvert (including missent items) in those mails;
vi
M bags have a payment per kilogramme separate from terminal dues and thus are not to be included
in the statistical operations; the same applies to empty receptacles and receptacles containing items
exempt from terminal dues (RL 215.3);
vii
for IBRS and AR items, remuneration is due by the destination country according to RL 144.4.1, and
they should not be included in the statistical operations. Where there are ordinary and IBRS and AR
items in a sampling receptacle, the number of IBRS and AR items and the IBRS and AR weight have
to be deducted from the weight and number of items reported on the CN 53, if identified on the bag
label as per article RL 184.2;
viii
remuneration specific to bulk mail is payable according to articles 30.14, 30.15 and 31.8 of the
Convention and RL 226 and should not be included in the statistical operations;
ix
on each observation day, the items received or dispatched, as applicable, during a period of 24 hours
must be analyzed, irrespective of the date on which the mails were made up. The 24-hour cycle is
determined by the characteristics of the office of exchange. It need not start at midnight; for instance, it
may start at 6.00 on one day and last until 6.00 on the next day;
x
the operations require accurate scales for weighing the items and receptacles. For weights up to 30 kg,
the scales must have a resolution of at least 10 g and at most 1 g. All weights in sampling must be
measured and displayed to either two or three decimal places.
2.4.2
Completing the CN 53 form
46
Separate CN 53 forms are used for each mail category (RL 233 and 234) and format, and within a mail
category and format separate forms are used for each day, each month or each quarter (depending on what
period breakdown is chosen for the CN 53). For designated operators applying the alternative approach, a
further CN 53 separation should be made by receptacle type. The operations require calibrated scales for
weighing the items and receptacle. For weights up to 30 kg, the scales must have a resolution of at least 10
g and at most 1 g. All weights in sampling must be measured and displayed to either two or three decimal
places.
47
For each receptacle that is sampled, the office will enter on the CN 53 the S9 receptacle identifier, the
receptacle type, the number of items, the gross weight (i.e. weight of items plus tare), and the net weight (i.e.
weight of items).
48
The instructions in the form completion instruction document (FCD) should be followed in order to
complete the CN 53 form. The FCD is a technical guide to help complete a UPU form. This FCD is available
on
the
UPU
website
(www.upu.int/en/resources/documentation-centre/forms/form-completioninstructions.html).
49
Once the statistical operations for the observation period are finished, the office of exchange sends its
central service the CN 53 statements it has prepared, separated by mail category and format. It is recommended that e53 data files be used instead of paper CN 53 statements. Detailed instructions are given in the
EDI Messaging Standards, M50-1, e53 – Electronic statement of sampling.
31
2.5
Estimation overview
50
Estimation of items and IPK is done independently for each quarter, mail category and format, where
applicable. Quarter refers either to the sampling date or to the dispatch date. Designated operators should
indicate which option has been chosen.
51
For a specific quarter, mail category and, where applicable, format, the total number of items is
estimated by:
–
summing sample items and sample gross weight for all CN 53 forms for all observation days within
that quarter, mail category and format;
–
dividing the total sample items by total sample gross weight to obtain an estimated IPK for that
quarter, mail category and format;
–
multiplying the estimated IPK by the total dispatched weight for that quarter and mail category to
develop an estimate of items for that quarter and mail category.
52
Designated operators with multiple offices of exchange may also wish to weight their estimates for a
given quarter, mail category and format according to the dispatched weight received at each office of
exchange for that quarter, mail category and format.
53
Designated operators applying the "alternative approach for statistical counts for exchanges of mail
between countries in the target system" (RL 231) should also weight their estimates of IPK by receptacle
type, if dispatch data is exchanged at this level.
54
The annual estimate of items is developed on the CN 54bis by multiplying the quarterly estimated IPKs
shown on the CN 54 by the applicable dispatched weights for the related quarter (information on CN 56) and
summing the quarterly estimate of items for the full year. The annual estimated IPK is the ratio of the annual
estimate of items divided by the annual dispatched weight.
55
The CN 54bis displays information on mail separated by format separately for each format. Mail not
separated by format is displayed in the section “Mixed mail”. The total weight and calculated number of items
by format are further consolidated to obtain the annual estimated IPK as the ratio of the annual estimate of
items across all formats divided by the annual dispatched weight.
2.5.1
Organization of CN 53 forms
56
The instructions on organization of CN 53 forms are in the form completion instruction document
(FCD). The FCD is a technical guide to help complete a UPU form. This FCD is available on the UPU
website (www.upu.int/en/resources/documentation-centre/forms/form-completion-instructions.html).
2.5.2
Completing the recapitulative statement of items (CN 54)
57
The instructions on how to complete a CN 54 form are in the form completion instruction document,
available on the UPU website (www.upu.int/en/resources/documentation-centre/forms/form-completioninstructions.html). When a CN 53 form is sent electronically with the e53 message (see § 49), it is not
necessary to generate a CN 54 form.
58
When paper CN 53 forms are sent, they are not sent individually. Instead, a CN 54 is generated to
summarize all sampling performed at operator level for a quarter, and all CN 53 forms for the quarter are
attached. The CN 54 only displays quarterly sampling totals per mail category and format (or provides
information in the section “Mixed mail” when mail is not separated by format), without displaying any
calculation detail. The Post receiving a CN 54 is therefore invited to verify that the totals appearing on the
CN 54 form correspond to the sum of sampling results appearing on the individual CN 53 forms for the
period – per sending office, mail category, month or quarter, format (if applicable) and receptacle type (if
applicable).
59
The CN 54 template covers the special case when part of the mail is separated by format and part of
the mail is not separated by format: lines “P or S”, “G” and “E” are completed for mail separated by format,
and the line “Mixed mail” is completed for mail not separated by format.
60
The CN 54 recapitulative statement must be sent, together with the CN 53 forms, to the other
designated operator concerned no later than three months after the dispatch or receipt of the last mail
32
included in the statistics for the target system sampling (RL 233.1.3) and no later than one month for the
revision mechanism sampling (RL 234.1.4).
61
The CN 54 recapitulative statements are considered fully accepted unless comments are received
from the corresponding designated operator within three months of receipt (RL 233.1.4 and RL 234.1.4).
2.5.3
Completing the annual recapitulative statement of items (CN 54bis)
62
The instructions on how to complete a CN 54bis form are in the form completion instruction document
available on the UPU website (www.upu.int/en/resources/documentation-centre/forms/form-completioninstructions.html). Based on the accepted CN 54 statement and related accepted CN 55 or CN 56
statements, the country performing the statistical count calculates the annual IPKs using the CN 54bis
annual recapitulative statement and, in the case of the revision mechanism, the new terminal dues rate (RL
233.2.1 and 234.2.2).
63
Within one month of the acceptance of the CN 56 for quarter 4, the creditor designated operator will
prepare and send to the debtor designated operator the CN 54bis and CN 61. The CN 54bis will apply the
accepted CN 54 IPK data to the accepted CN 55 or CN 56 weights, in order to calculate the overall number
of items exchanged and, in the case of the revision mechanism, the new terminal dues rate (RL 233.2 and
234.2).
64
To calculate the overall IPK, the creditor designated operator or designated operator requesting the
sample will enter on the CN 54bis the accepted CN 56 weights for the applicable quarter and the accepted
IPK for the sample period. Multiplying the accepted weights and IPKs across each quarter provides the total
number of items for the sample period.
65
The CN 54bis template covers both format-separated mails and mixed mails.
66
The CN 54bis annual statement should be sent within the required deadline of one month (RL 233.2.3)
after the CN 54 and CN 56 for the fourth quarter have been accepted. Accepted CN 54 statements do not
imply that the respective CN 54bis statements are automatically accepted as well; the sampling method can
still be discussed and objections to results are still possible (systematic differences and defects in sampling
may become apparent only after analyses over the whole year). CN 54bis statements are considered fully
accepted unless comments are received within one month of transmission (RL 233.2.4).
2.5.4
Application of estimates for terminal dues purposes
67
For the target country system, the total number of items and the average IPK are entered directly on
the CN 61.
68
For the revision mechanism, the overall IPK determined on the CN 54bis is used to establish a revised
terminal dues per kilogramme rate using the formula: (IPK x rate per item in article 31.3 + rate per kg in
article 31.3). This rate is then entered into the corresponding column of tables 2.1 and 2.2 on the CN 61.
69
Completed examples of the CN 53, CN 54, CN 54bis and CN 61 forms are given at the end of this
chapter.
2.6
Notice of design decisions
70
Each country must notify the corresponding country of its design decisions, including its sampling and
estimation approaches, at least two months in advance of the observation period. Nevertheless, the receiving country will not be required to notify the dispatching country in advance as to the observation days or
mail receptacles that are chosen to be sampled (RL 231.4 and RL 232.3).
2.7
Statistical counts not performed
71
Where sampling for items per kilogramme has not been performed or has not been submitted within
five months after the end of the fourth quarter, the other designated operator will have the right to submit its
own sampling for the missing data. Own sampling data can also be included in case of insufficient sample
size. The statistical sampling and estimation should conform to the principles set out in article RL 228, but
with a target precision of ± 7.5% instead of ± 5%. If no data are available, the lower of the last agreed aver-
33
age number of items per kilogramme or the average number of items per kilogramme agreed for target country flows will be used (RL 229.5 and 231.5).
72
These rules apply both when statistical counts or alternative approaches are normally applied between
designated operators.
34
Example 1: Set of forms with fictive contents illustrating sampling
This example comprises the following completed forms:
- CN 36 receptacle label for a receptacle of format P
-
CN 36 receptacle label for a receptacle of format G
-
CN 31 letter bill for the dispatch corresponding to the two receptacles above
-
CN 55 statement of mails for the quarter including the dispatch above
-
CN 56 recapitulative statement of mails for the same quarter
-
CN 53 statement of sampling for the same quarter
-
CN 54 recapitulative statement of sampling for the same quarter
-
CN 54bis annual recapitulative statement of sampling (2 pages)
-
CN 61 detailed account (2 pages)
35
G
JPTYOK (JPA)
TOKYO INT VB 1
Japan Post
82
BUN
2017-07-01
FRCDGA (FRA)
ROISSY CI
LA POSTE, France
3
BG
UN
15.0
JPTYOK FRCDGA BUN 7 0082 003 00 0150
01 NRT JL 0012 CDG
P
JPTYOK (JPA)
TOKYO INT VB 1
Japan Post
BUN
82
2017-07-01
BG
UN
9.4
CDG
F
FRCDGA (FRA)
ROISSY CI
LA POSTE, France
4
JPTYOK FRCDGA BUN 7 0082 004 10 0094
01 NRT JL 0012 CDG
CDG
36
JPA – Japan Post
FRA – LA POSTE, France
TOKYO INT VB 1
JPTYOK
ROISSI CI
S.A.L.
FRCDGA
B
UN
0082
7
2017-07-01
NRT JL 0012 CDG
1
3
1
1
3
46.2
1
15.0
61.2
A. Postman
3
4
1
37
FRA – LA POSTE, France
2017-10-21
FRA – LA POSTE, France
JPA – Japan Post
JPTYOK – TOKYO INT V BAG 1
B
FRCDGA – ROISSY COURRIER INTERNATIONAL
07-01
UN 7 0082
46.2
15.0
07-03
UN 7 0083
59.9
40.1
38.4
07-04
UN 7 0084
45.0
35.1
41.7
07-05
UN 7 0085
42.4
45.1
12.5
07-06
UN 7 0086
62.5
50.4
07-07
UN 7 0087
79.7
83.4
50.1
07-08
UN 7 0088
88.0
50.4
60.9
07-10
UN 7 0089
61.1
41.8
66.6
07-12
UN 7 0090
57.1
31.1
52.4
07-13
UN 7 0091
48.5
51.7
07-15
UN 7 0092
108.5
75.0
87.4
07-16
UN 7 0093
36.2
38.9
45.0
07-17
UN 7 0094
72.5
07-19
UN 7 0095
90.0
45.4
30.2
07-20
UN 7 0096
81.2
68.1
50.3
2
2017 Q-3
6.7
9.7
1
4.2
3
9.0
18.6
9.1
1
5
FRA – LA POSTE, France
2017-10-21
FRA – LA POSTE, France
JPA – Japan Post
JPKIXJ
FRCDGA
UN
1 813.5
2 001.3
1 555.5
JPKIXK
FRCDGA
UN
527.9
834.1
789.1
JPTYOJ
FRCDGA
UN
2 014.8
1 978.5
1 741.0
JPTYOK
FRCDGA
UN
1 150.0
1 164.2
890.1
5 506.2
5 978.1
4 975.7
B
4
22.1
42.1
8
44.2
84.2
17.4
116.3
3
A. Postman
2017 Q-3
1
1
38
FRA – LA POSTE, France
2017-08-15
2017-07
X
X
X
JPA – Japan Post
FRA – LA POSTE, France
TOKYO INT V BAG 1
ROISSY CI
JPTYOK
FRCDGA
S.A.L.
B
03
JPTYOK FRCDGA B UN 7 0081 001 00 0153
IL
131
9.3
04
JPTYOK FRCDGA B UN 7 0082 004 11 0094
BG
145
12.5
05
JPTYOK FRCDGA B UN 7 0083 002 00 0180
IL
148
11.9
05
JPTYOK FRCDGA B UN 7 0083 010 11 0089
BG
258
15.2
10
JPTYOK FRCDGA B UN 7 0086 002 00 0155
IL
70
13.3
14
JPTYOK FRCDGA B UN 7 0089 001 00 0170
IL
136
12.1
17
JPTYOK FRCDGA B UN 7 0091 001 00 0182
IL
259
15.2
19
JPTYOK FRCDGA B UN 7 0093 001 00 0146
IL
169
11.5
21
JPTYOK FRCDGA B UN 7 0095 002 00 0111
IL
125
11.1
24
JPTYOK FRCDGA B UN 7 0096 002 11 0079
BG
101
7.9
24
JPTYOK FRCDGA B UN 7 0097 002 00 0155
IL
238
15.5
28
JPTYOK FRCDGA B UN 7 0100 001 00 0170
IL
203
16.0
31
JPTYOK FRCDGA B UN 7 0103 001 00 0193
IL
121
9.9
2 104
161.4
752
A. Postman
2 215.3
Small
P
13
1
1
39
FRA – LA POSTE, France
2017-10-21
JPA – Japan Post
X
FRA – LA POSTE, France
2017 Q-3
974.100
18 125
18.6069
681.900
15 013
22.0164
210.700
3 120
14.8078
331.200
3 531
10.6612
291.500
4 010
13.7564
315.000
3 151
10.0032
473.400
2 518
5.3190
466.400
3 154
6.7624
514.500
2 989
5.8095
A. Postman
40
FRA – LA POSTE, France
2018-02-15
A. Postman
X
FRA – LA POSTE, France
JPA – Japan Post
2017
8 585.0
18.3650
157 664
6 118.1
19.3524
118 400
847.3
15.0255
12 731
8 478.5
18.8302
159 652
6 397.1
24.7244
158 164
762.6
15.9806
12 187
9 391.6
18.6069
174 749
5 506.2
22.0164
121 227
932.0
14.8078
13 801
13 251.0
17.8440
236 451
9 720.6
20.2111
196 464
1 419.2
13.5639
19 250
39 706.1
18.3477
728 516
27 742.0
21.4208
594 255
3 961.1
14.6346
57 969
6 098.3
11.7273
71 517
5 983.3
12.5183
74 901
721.6
8.9629
6 468
5 956.0
11.1943
66 673
5 262.9
12.3780
65 144
656.7
9.6331
6 326
6 241.6
10.6612
66 543
5 978.1
13.7564
82 237
810.4
10.0032
8 107
8 884.6
10.6505
94 625
8 966.6
14.3067
128 282
1 180.5
10.1332
11 962
27 180.5
11.0137
299 358
26 190.9
13.3850
350 564
3 369.2
9.7539
32 863
2 034.2
4.7461
9 655
4 105.8
5.7210
23 489
3 974.0
6.1987
24 634
2 009.0
5.2499
10 547
4 695.0
7.4386
34 924
3 616.3
5.2053
18 824
2 100.6
5.3190
11 173
4 975.7
6.7624
33 648
4 158.7
5.8095
24 160
3 293.5
5.4413
17 921
6 716.7
6.7692
45 467
6 861.9
4.4443
30 496
9 437.3
5.2235
49 296
20 493.2
6.7109
137 528
18 610.9
5.2719
98 114
116.8
665
241.6
2 377
285.2
2 342
502.2
3 572
1 145.8
8 956
71 409.2
1 380 740
19.3356
56 740.6
682 785
12.0334
48 541.4
284 938
5.8700
1 145.8
8 956
41
FRA – LA POSTE, France
2018-08-16
X
2017
JPA – Japan Post
8 585.0
6 118.1
847.3
6 098.3
5 983.3
721.6
2 034.2
4 105.8
3 974.0
116.8
160.2
121.1
1 377
189
8 478.5
6 397.1
762.6
5 956.0
5 262.9
656.7
2 009.0
4 695.0
3 616.3
241.6
176.2
105.7
1 597
221
9 391.6
5 506.2
932.0
6 241.6
5 978.1
810.4
2 100.6
4 975.7
4 158.7
285.2
193.8
116.3
1 853
259
13 251.0
9 720.6
1 419.2
8 884.6
8 966.6
1 180.5
3 293.5
6 716.7
6 861.9
502.2
368.2
220.9
3 335
492
46 507.2
212.3
71 409.2
6 315.7
4 421.0
56 740.6
3 646.8
2 735.1
46 294.9
1 602.6
1 089.8
1 145.8
130.6
1 462.4
137.3
82.4
8 162
568
1 161
157
6 947.3
4 863.1
4 376.2
3 282.2
1 843.0
1 253.2
156.7
151.0
90.6
659
184
7 642.0
5 349.4
5 251.4
3 938.6
2 119.5
1 441.3
188.0
166.1
99.7
764
215
12 227.2
8 559.0
8 927.4
6 695.6
3 179.3
2 161.9
357.2
210.7
315.6
86.0
1 375
409
1 043.2
1 128.7
3 366
965
14 690.6
245.0
56 324.7
38 853.3
14 445.6
42
71 409.2
2.245
160 314
23.1237
1651 245
0.135
222 918
56 740.6
2.245
127 383
12.4283
705 189
0.135
95 201
46 294.9
2.245
103 932
5.0062
231 762
0.135
31 288
1 145.8
2.245
2 572
8 956
0.135
1 209
1 462.4
0.885
1 294
8 162
0.670
5 469
1 161
1.342
1 558
395 495
357 643
56 324.7
2.250
126 731
22.0246
1240 529
0.150
186 079
38 853.3
2.250
87 420
11.3278
440 122
0.150
66 018
14 445.6
2.250
32 503
4.7807
69 060
0.150
10 359
1 043.2
2.250
2 347
6 210
0.150
932
1 128.7
0.885
999
3 366
0.670
2 255
965
1.342
1 295
250 000
266 938
395 495
357 643
753 138
250 000
266 938
516 938
236 200
A. Postman
43
Chapter III – Terminal dues system operations and accounting
1
Operations concerning registration of weight and number of ordinary mail and
registered and insured items subject to terminal dues
1
As described in chapter I, from 1 January 2014 format separation became mandatory for groups 1.1,
1.2 and 2 above certain thresholds.
2
The obligation of exchanging format-separated mail should be implemented in accordance with article
RL 175:
–
At the origin, the flows that are above the threshold are expected to be sent in format-separated dispatches.
–
For the application of the threshold the volumes of the previous year will be used. The four most recent
quarterly statements of weights should be used as the best indication of mail volumes for the following
year.
–
The practical details (fulfilment of conditions/threshold, start date, etc.) should be the subject of a
mutual agreement between the designated operators concerned.
–
Designated operators shall send the designated operators concerned the request for receiving or the
notification for sending format-separated mails by 30 September for application on 1 January of the
following year and subsequent years.
–
Designated operators allowed to separate mail into two formats (S and E) or three formats (P, G and
E), as provided for in § 3 below, are not allowed to switch from one format-separation option to the
other with a partner designated operator in the same calendar year. If they wish to change from two to
three formats or from three to two, they shall inform the designated operator concerned by 30
September, for application on 1 January of the following year.
–
The discontinuation of the making up of format-separated mails shall be notified by 30 November and
shall take effect on 1 January of the following year and subsequent years.
–
In case of receipt of mixed dispatches in a relation where the conditions are met or the agreement for
format-separated exchanges was made, the designated operator of destination shall be entitled to
segregate and sample the received mails by format or receptacle type, for sampling, calculation of
IPKs and accounting of TDs by format.
–
It may be mutually agreed that, in relations above the threshold, where there are low daily mail volumes from a specific exchange office, these may be made up in mixed dispatches. Daily mail volumes
of no more than two tonnes per year from a sending office of exchange to a receiving office of
exchange would be considered low. However, these dispatches will also be subject to format sampling
by the destination DO.
–
For operational, statistical and accounting purposes, registered, insured and express items shall be
treated as bulky letters (E) regardless of their actual shape.
3
The labels for receptacles shall also reflect information regarding the contents of the receptacle, such
as codes from UPU code lists 120 (format of contents) and 188 (special content codes). Trays must reflect
"P" or "G" (RL 188). Receptacles containing items of format P and G combined should be coded as "S".
1.1
Operations at the office of exchange of origin – CN 31 letter bill
4
The instructions for CN 31 forms are in the form completion instruction document (FCD). The FCD is a
technical guide to help complete a UPU form. This FCD is available on the UPU website
(www.upu.int/en/resources/documentation-centre/forms/form-completion-instructions.html). For each mail,
the office of exchange must complete a CN 31 letter bill, which is the basic document for determining the
annual weight of mail subject to terminal dues. A CN 31 letter bill shall accompany each dispatch, except for
bulk mail dispatches and dispatches intended for direct access mails (RL 179.1).
1.1.1
Entry of weight
44
5
The data necessary for establishing terminal dues and transit charges are given in table 2 of the CN 31
letter bill. This table is divided into four parts:
a
Number and weights of priority/non-priority or LC/AO bags and other receptacles, partly consisting of
five fields intended for the gross weights of the bags/other receptacles:
–
number and weights of receptacles containing small letters (P) or small and large letters (P/G)
subject to terminal dues;
–
number and weights of receptacles containing large letters (G) subject to terminal dues;
–
number and weights of receptacles containing bulky letters (E) subject to terminal dues;
–
number and weights of receptacles containing mixed letters (X) subject to terminal dues;
–
number and weights of receptacles containing letter post items exempt from terminal dues.
The weights to be entered are the sums of the weights given on the CN 34, CN 35 or CN 36 labels,
with the exception of M bags. The weights subject to transit charges and terminal dues include the
weight of IBRS included in the dispatch.
b
Data on dispatches of empty receptacles, which are exempt from terminal dues but not from transit
charges: the weight is given according to the rules mentioned under a.
c
Data on M bags: the weight of the M bags is given separately for bags up to five kilogrammes and for
bags of over five kilogrammes, according to the rules mentioned under a. The number of M bags
weighing less than five kilogrammes is also given.
d
Total weight of the mail: this is the sum of the weights of all the bags/receptacles making up the mail.
1.1.2
Use of sacs collecteurs
6
The use of sacs collecteurs for sending M bags weighing less than 5 kilogrammes (RL 178.5.2) does
not change the way of entering the number and the weight of the M bags. Thus, the number and the weight
of the M bags contained in the sacs collecteurs are given in tables 1 ("M bags" part) and 2 ("M bags up to
5 kg" part) of the letter bill.
1.1.3
Registered, insured and express items
7
The numbers of registered, insured and express items subject to terminal dues are to be entered in the
second-last column of table 3. Registered items should be entered individually on a CN 33 special list.
Insured items should be entered individually on a CN 16 special list.
8
Designated operators dispatching more than 100,000 registered or express items per year to a
destination designated operator must dispatch all of their registered or express items under a mail dispatch
series exclusively for registered or express items, i.e. by dispatch mail subclass UR for registered items and
dispatch mail subclass code UX for express letter-post items (RL 180.2; RL 183.2).
9
If registered, insured and/or express items are returned to origin as undeliverable, under the conditions
provided for in article RL 215.3, they should be entered in the last column of table 3 to ensure that they are
exempted from additional terminal dues for delivery of registered and/or insured items.
10
If registered items "on postal service" are included in the mail, their number should be entered in the
last column of table 3 to ensure that they are exempted from additional terminal dues.
1.1.4
Filing of CN 31
11
When CN 31 forms are completed manually, it is recommended that designated operators of origin file
copies of CN 31 letter bills according to each annual series, either at the office of exchange or at the central
service, in order to facilitate checking of the statements prepared by the designated operator of destination.
12
At the end of this chapter, you will find a properly completed example of the top part of the CN 31 letter
bill and of the CN 35 label.
45
1.2
Procedures for returning empty bags
13
The term "empty bags" is intended to mean receptacles of any kind used and owned by designated
postal operators for the carriage of mail.
14
The owning designated operator has the right to choose the route and the carrier for the return of the
bags. It can also stipulate details such as the timing, frequency and office of return for its empty bags. It
should seek bilateral rate and operational agreements with a given carrier or carriers and inform sending
designated operators and carriers about operational details.
15
Empty bags should in principle be returned to one office of exchange as stipulated in article RL 203.5
of the Letter Post Regulations, and as communicated by each designated operator via the UPU
Compendium of Letter Post Services.
16
A new heading labelled "Designated operator to which receptacles belong" has been created on the
CN 47 delivery bill for mails of empty bags. The returning (i.e. non-owning) designated operator will indicate
the designated operator owning the bags, and airlines transporting the bags will bill the owning designated
operator on this basis.
17
Bags returned by air will always be sent in separate dispatches and accompanied by the CN 47 and
CN 31. The airlines and designated operators concerned should mutually agree upon any other procedure.
18
Carriers will bill owning designated operators for the carriage of empty bags by listing the dates, serial
dispatch numbers and the designated operator of origin of the CN 47s to which each invoice refers so that
owning designated operators can account for their equipment.
19
Once the returning (non-owning) designated operator hands over a mail of empty bags to a carrier, the
mail should, where possible, be handled by the same carrier until it reaches the owning designated operator.
When this mail passes through any intermediate airport, direct inter- or intra-carrier transhipment will, in
principle, take place. As such, no transit designated operator will normally be involved in the process of
returning empty bags. Financial settlements will, therefore, usually be limited to bills sent by the participating
carrier(s) to the owning designated operator.
20
The owning designated operator will normally have an agreement with carriers used for the return of its
bags. In cases where there is no prior agreement and empty bags are carried by a non-contracted airline as
per instructions on the CN 47 issued by the sending designated operator, the non-contracted carrier will bill
the owning designated operator at the applicable carrier's rate. However, this rate will not exceed 30% of the
applicable UPU basic airmail conveyance rate.
21
If a transit designated operator is involved in handling an empty bag dispatch it will be entitled to claim
transit charges from the owning designated operator. The designated operator of transit will prepare the
CN 69 statement of closed transit mail based on the receptacles of empty bags handled in transit.
1.3
Operations at the office of exchange of destination
22
The office of exchange of destination checks, by sampling or systematically, the number of bags and
the weight entered on the bag labels. The data given by the office of origin are accepted as valid if they differ:
a
by 200 grammes or less in the case of bags of surface/S.A.L. mails or non-priority mails;
b
by 100 grammes or less in the case of bags of airmails, priority mails or bulk mail;
c
by 100 grammes or less or 20 items or fewer in the case of IBRS items (RL 197.2).
46
1.3.1
CN 43 verification note
23
If data do not match those entered on the letter bill, the office of exchange of destination immediately
reports the irregularities established to the office of exchange of origin by means of a CN 43 verification note
(RL 197.3). The instructions for CN 43 forms are in the form completion instruction document (FCD). The
FCD is a technical guide to help complete a UPU form. This FCD is available on the UPU website
(www.upu.int/en/resources/documentation-centre/forms/form-completion-instructions.html).
24
If the office of exchange of destination observes that there are registered, insured and/or express
items not carrying the UPU S10-compliant barcode identifier, it may establish a CN 43 verification note
indicating in section 5 (other irregularities) the number of non-compliant items. On the basis of this note the
destination DO may claim the additional payment of 0.5 SDR per item provided for in article 29.9.
25
Using the CN 61 detailed account the destination DO may:
–
add 0.5 SDR to the rates (article 29.8) provided for in section 2.1 of the CN 61 for registered and
insured items if none of the items sent by the corresponding origin DO are compliant;
–
issue an additional CN 61 detailed account for those registered and insured items that are not compliant. It is recommended that this separate account contain only the additional payment of 0.5 SDR per
item, the basic payment being charged through the regular CN 61.
1.3.2
CN 55 quarterly statement
26
As soon as possible after receipt of each quarter’s last mail dispatched by the office of exchange of
origin, the office of exchange of destination prepares, by type of mail and by format (where appropriate), a
CN 55 statement of mails received that are subject to terminal dues. The CN 55 is prepared from the
particulars on the CN 31 letter bills, including bulk mail and the number of registered and insured items. Mail
or items exempted from terminal dues are not included in the data entered on the CN 55.
27
If several forwarding routes are used between the two offices, separate statements are prepared for
each route to allow them to be used by the designated operators of transit as well (RL 235.2).
28
Where airmails are concerned, the statement of mails is prepared on form CN 55, which may also be
used for the settlement of air conveyance dues within the country of destination The CN 55 forms prepared
can therefore serve two purposes, provided that the terminal dues rates charged by the country of destination to origin are not based on cost or domestic rates (Convention article 34.6).
29
The CN 55 statement provides three columns for M bags. Column “Weight of bags up to 5 kg” is
provided for information only and is not used for terminal dues calculations (for these calculations, performed
on the CN 56, the number of M bags up to 5 kg is used, and these M bags are charged as if their weight
were 5 kg).
30
The office of exchange that prepares the CN 55 quarterly statements of mails received sends them to
the central service of its designated operator.
31
At the end of this chapter, you will find an example of a properly completed CN 55 statement.
1.4
Operations at the central service of the designated operator of destination
1.4.1
CN 56 quarterly statement
32
On the basis of the CN 55 quarterly statements of mails received per own office and partner office, the
relevant central service of the designated operator of destination prepares quarterly CN 56 statements of
mails (RL 235.2) covering all offices. The particulars of each CN 55 quarterly statement take up one line on
the CN 56 statement.
47
1.4.2
Transmission of CN 56 statements to the designated operator of origin
33
The CN 56 statements, as appropriate, are sent in duplicate to the designated operators of origin of
the mails as soon as possible, and not later than four months after the end of the quarter to which they relate
(RL 236.1). The CN 56 forms must be accompanied by the relevant CN 55 quarterly statements (RL 235.3).
1.4.3 Operations performed by the designated operator of origin of the mails. Supporting documents in the
event of a dispute
34
After acceptance of the CN 56 forms, as appropriate, the designated operator of origin of the mails
returns one copy. If the designated operator that prepared the forms has not received any notice of
amendment within two months of the date of dispatch, they are regarded as fully accepted. However, if the
designated operator of origin disputes the data entered on the CN 56 forms, it corrects them before
accepting them. It attaches the corrected CN 55 forms in support of the duly amended CN 56 forms. If the
designated operator of destination disputes these amendments, the designated operator of origin confirms
them by sending photocopies of the CN 31 forms drawn up by the office of origin upon dispatch of the
disputed mails (RL 236.2).
35
Designated operators may agree that the CN 55 and CN 56 forms are to be prepared by the
designated operator of origin of the mails, with corresponding reversal of the acceptance procedures (RL
236.3).
36
At the end of this chapter, you will find an example of a properly completed CN 56 statement.
2
Operations concerning bulk mail
2.1
Operations at the office of exchange of origin
37
If the designated operator of origin has opted to make up separate dispatches of bulk mails, each bulk
mail must be accompanied by a CN 32 letter bill (RL 186.1). The instructions for CN 32 forms are in the form
completion instruction document (FCD). The FCD is a technical guide to help complete a UPU form. This
FCD is available on the UPU website (www.upu.int/en/resources/documentation-centre/forms/formcompletion-instructions.html).
38
The number and weight of the bags making up the bulk mail and the number of items it contains are
indicated in table 1 of the CN 32 form (RL 186.2). These figures represent the sums of the data indicated on
the CN 34, CN 35 or CN 36 labels.
39
If designated operators have so agreed, the designated operator of origin may indicate the number
and weight of items according to their format (RL 186.2.1). In this case, the designated operators concerned
agree on how the CN 32 form is to be filled out.
40
Depending on the forwarding method to be used, the bags of bulk mails must bear a violet CN 34,
CN 35 or CN 36 label when they contain only ordinary items (RL 188.8). If, however, they contain the letter
bill or registered items, the bags of bulk mails must bear a red CN 34, CN 35 or CN 36 label (RL 188.3). The
weight of the bag and the number of items it contains must be mentioned on the label.
41
In the case of bulk mails, no bag is exempt from terminal dues.
2.2
Operations at the office of exchange of destination
42
If the office of origin has opted to make up its bulk mail in separate dispatches, the office of exchange
of destination checks, by sampling or systematically, the weight and number of items entered on the bag
labels. The data given by the office of origin are accepted as valid if they differ by 100 g or less from the
weights established (RL 197.2.2).
43
The office of exchange of destination then checks whether the details about the weight and number of
items correspond to those entered on the CN 32 letter bill. If not, it immediately reports the irregularities
48
noted to the office of exchange of origin by means of a CN 43 verification note. The observations made are
entered in part 3 of the form.
44
A CN 43 verification note is sent to the designated operator of origin, accompanied by a replacement
letter bill that includes the details of the bulk items received in the following cases (RL 197.6.1.1 to 6.1.3):
a
the designated operator of origin has opted to make up bulk mails separately and sends bulk items in
other mails;
b
the bulk mails are not accompanied by a CN 32 letter bill;
c
the designated operator of destination is either:
–
applying bulk mail provisions with immediate effect to dispatches of 3,000 or more items; or
–
has announced its intention to apply bulk mail provisions to dispatches of 1,500 or more items at
least three months earlier.
45
In these cases, the CN 31 letter bill of the mail containing the bulk items must be corrected accordingly
by subtracting the weight of the bulk mail. A copy of the corrected CN 31 letter bill accompanies the CN 43
verification note (RL 197.6.2). This procedure is necessary to avoid the double billing of terminal dues for
bulk mail.
2.3
Accounting for bulk mail
46
If the designated operator of destination has requested payment specific to bulk mail, the designated
operator of origin may send bulk items in specific mails, accompanied by the CN 32 letter bill. The data
regarding bulk mail shall be used for the quarterly preparation of the CN 56 recapitulative statement. In
cases where the data concerning bulk mail on the CN 55 statement differ, the designated operator of origin
shall transmit photocopies of the CN 32 letter bills regarding the disputed mails.
47
The designated operator of destination shall report all bulk mail received in a CN 57 quarterly account
on the basis of the data on the CN 32 letter bill.
48
In case of dispute, the designated operator of origin shall transmit copies of the CN 32 letter bills
regarding the disputed mails to the designated operator of destination, or give access to the corresponding
electronic data, if the CN 32 was exchanged electronically.
49
The designated operator of origin may refuse to check and accept any CN 57 account which has not
been presented within four months after the quarter concerned.
50
The CN 57 account shall be accepted and settled by the designated operator of origin within two
months after it is prepared.
3
Accounting for terminal dues
3.1
CN 61 detailed account
51
As soon as all the CN 56 statements and, where appropriate, the CN 54 statements for settlements
involving statistical results relating to the year concerned have been accepted, the creditor designated
operator prepares the CN 61 detailed account from the CN 56 forms. In the heading "Amount to be received",
decimals are ignored (RL 254.3). Except when a provisional payment has been made for terminal dues or
amounts are carried over from a previous period, the CN 61 may only serve as the basis of payment; the
method of settlement will be indicated on this form by the creditor designated operator (RL 241.1). If the
balance of a CN 61 account does not exceed 326.70 SDR, it shall be carried over to the next CN 64 account,
unless the designated operators concerned participate in the clearing system of the International Bureau (RL
241.8).
3.1.1
Possibility of preparing separate accounts for surface mail and airmail
49
52
Designated operators may agree to settle terminal dues accounts for surface mails and for airmails
separately. In that case, the designated operators concerned determine the procedures for preparing,
accepting and settling the accounts (RL 239.8).
3.1.2
Supplementary CN 61
53
As an exceptional measure, supplementary detailed accounts may be sent to the debtor designated
operator only if they complement accounts already submitted for the year in question. The time limits of
10 months from the end of the year concerned for dispatch of these accounts and two months for their
acceptance also apply to supplementary detailed accounts (RL 239.6).
3.2
Time limit for submission of CN 61
54
The debtor designated operator will not be obliged to accept CN 61 detailed accounts that are not sent
to it within 10 months of the end of the year concerned (RL 239.5). Appendix C provides the timeline of
terminal dues forms.
55
At the end of this chapter, you will find an example of a properly completed CN 61 detailed account.
3.3
Time limit for acceptance of CN 61
56
The debtor designated operator must approve and return the CN 61 detailed account within two
months of the date of dispatch of the account. If no notice of amendment is received within that time, the
creditor designated operator regards the account as fully accepted (RL 239.6). Furthermore, discrepancies
are disregarded unless they exceed a total of 9.80 SDR per account (RL 254.3).
4
Settlement of terminal dues accounts
4.1
CN 64 statement
57
If provisional payment has been made for terminal dues and the CN 64 is being used for final
settlement, as soon as the CN 61 (terminal dues) detailed account is accepted or regarded as fully accepted,
the creditor designated operator prepares and sends to the debtor designated operator the CN 64 statement
(RL 241.2). When the CN 64 statement is being prepared, account is taken of any provisional payments
made.
58
At the end of this chapter, you will find an example of a properly completed CN 64 statement.
4.2
Time limit for acceptance of CN 64
59
If the creditor designated operator has received no objection from the debtor designated operator
within one month of the date of dispatch or electronic transfer of the CN 64 statement, the statement is
regarded as fully accepted (RL 241.3 and 253.2).
4.2.1
Methods of payment
60
The amounts due under the CN 64 statement may be settled either directly between the two designated operators concerned (by general statement or direct payment) or, if they are both members of the
system, through the provisions of UPU*Clearing, the International Bureau's account clearing system
(RL 254.4, 255.1).
50
5
Provisional payments of terminal dues
5.1
When and on what basis a provisional payment may be requested
61
The CN 64 statement concerning the provisional payments laid down in RL 242.1 shall be sent by the
creditor designated operator to the debtor designated operator in the second calendar quarter of the year to
which it relates (RL 242.2).
62
This provisional account is based on the weight and statistical results (when applicable) of mail used
for the final settlement of the preceding year.
63
If these weights have not yet been established, the provisional payments are calculated on the basis of
the CN 56 recapitulative statements duly accepted for the last four quarters. If statistical results have not
been established, the provisional payments are based on the results of the most recent available year. The
terminal dues rates published for the year of payment should be used to calculate the SDR amount of the
provisional payment.
64
Provisional payment on this basis must be made no later than the end of July of the year in question
(RL 242.1). The forms and procedures involved are the same as those for final settlement.
65
If a creditor designated operator is in a "net debtor" position in relation to other accounts accepted
between two designated operators, the debtor designated operator may offset outstanding accepted debts
against the provisional payment. If the outstanding debt is greater than the requested provisional payment,
the debtor designated operator will not be required to make the provisional terminal dues payment for that
year. The creditor designated operator may also request that the debtor designated operator apply the provisional payment to outstanding debts between the two designated operators (RL 242.3).
5.2
Exchange rate to be applied
66
In the case of provisional payments involving currencies for which the SDR exchange rate is published
by the International Monetary Fund, the rate in force on 30 June of that year or on the next working day, if
30 June is a holiday, is used. In the case of other currencies, the conversion into an intermediate currency is
made at the last rate published in June of that year (RL 257.3.3).
6
Quality of Service Fund accounting
6.1
Regular billing
67
Contributions to the Fund are based on the amounts billed to the designated operator contributing to
the Quality of Service Fund by the designated operator benefiting from the Fund, as reported on CN 64
statements or CN 61 detailed accounts, as appropriate (RL 243.1). The Quality of Service Fund billing comprises an SDR amount subject to increases specified in article 32 of the Convention over the terminal dues
paid to the benefiting designated operator at the rates provided for in Convention article 31.3 and 4.
68
The weight of M bags and bulk mail will be excluded from this calculation.
69
An accepted CN 64 or, as appropriate, an accepted CN 61 will serve as the basic billing document. For
flows between a designated operator contributing to the Fund and a designated operator benefiting from the
Fund, the benefiting designated operator will send a copy of the CN 64 or CN 61 to the International Bureau,
which is responsible for billing the amounts due to the Fund (RL 241.5).
70
The International Bureau will prepare a CN 64bis form for each contributing debtor country listing
details of each benefiting creditor country, the amount in SDR subject to increases specified in article 32 of
the Convention (from the CN 64 or CN 61), the total amount to be paid by the designated operator. It will
also list the due date of the bill and bank payment details.
51
71
Once an annual CN 61 form for terminal dues has been accepted, the benefiting country will prepare a
CN 64 form showing only the weight of mail to which the terminal dues rates provided for in Convention
article 31.3 and 4 are applicable. The CN 64 will be sent to the contributing country.
72
The contributing country will have one month from the date of dispatch of the form to accept or dispute
the amount. If no objection has been received within the time frame, the account will be regarded as fully
accepted.
73
Upon receipt of the accepted CN 61/64 forms, the designated operator of the benefiting country will
send a copy to the International Bureau, which will prepare a CN 64bis form for each contributing country.
74
The International Bureau is not required to accept CN 61/64 forms received more than one year after
their acceptance. In the event of failure to comply with the deadline for transmitting CN 61/64 forms, that
country will forfeit the right to the QSF funds with the contributing country concerned, for the year in question
(RL 241.5.2).
75
Each contributing country will have one month from the date of dispatch of the CN 64bis to reject/
accept the amount.
76
Payment will be based on the difference between this final account less any "expedited billing" payments made for the same annual account.
6.2
Time limit for payment
77
The contributing country will have six weeks from the date of dispatch of the final accepted account in
which to make payment. After that period, the amounts due will be chargeable with interest at the rate of 6%
per annum reckoned from the day following the day of expiry of the six-week period (RL 257.10).
52
Example 2: Set of forms with fictive contents illustrating terminal dues, without format separation
This example comprises the following completed forms:
- CN 35 receptacle label
-
CN 31 letter bill for the dispatch corresponding to the receptacle above
-
CN 55 statement of mails for the quarter including the dispatch above (2 pages)
-
CN 56 recapitulative statement of mails for the same quarter
-
CN 61 detailed account (2 pages)
-
CN 64 statement, provisional
-
CN 64 statement, final
BDDACA (BDA)
DHAKA APT
BangladeshPO
AUN
12
2017-02-09
BG
UN
8.2
TZDARA (TZA)
DARES SALAAM
Tanzania PC
2
BDDACA TZDARA AUN 7 0012 002 00 0082
10 DAC EK 0585 DXB
10 DXB EK 0725 DAR
DAR
53
BDA – Bangladesh Post Office
TZA – Tanzania Postal Corporation
DHAKA APT
DAR ES SALAAM
Priority air
BDDACA
TZDARA
A
UN
7
0012
2017-02-09
DAC EK 0585 DXB, DXB EK 0725 DAR
1
2
3
3
3
3
3
36.2
36.2
1
A. Postman
1
12
12
54
TZA – Tanzania Postal Corporation
2017-05-21
BDA – Bangladesh Post Office
TZA – Tanzania Postal Corporation
BDDACA – DAKHA AIRPORT SORTING OFFICE
TZDARA – DAR ES SALAAM
01-02
UN 7 0001
17.5
01-05
UN 7 0002
16.0
01-09
UN 7 0003
8.9
01-12
UN 7 0004
12.4
01-16
UN 7 0005
22.5
01-19
UN 7 0006
9.7
01-23
UN 7 0007
18.0
01-26
UN 7 0008
31.1
01-30
UN 7 0009
37.1
01 (Jan) subtotal UN
(173.2)
02-02
UN 7 0010
28.5
02-06
UN 7 0011
18.5
02-09
UN 7 0012
36.2
02-13
UN 7 0013
32.8
02-16
UN 7 0014
10.0
A
2017 Q-1
31
1
3.2
4
16
8.3
17
1
4.1
(2)
(7.3)
5
9
8
14
(8.3)
(91)
(13)
31
9.1
43
12
VN #53 (resolved)
12
1
2
TZA – Tanzania Postal Corporation
2017-05-21
BDA – Bangladesh Post Office
TZA – Tanzania Postal Corporation
BDDACA – DAKHA AIRPORT SORTING OFFICE
TZDARA – DAR ES SALAAM
A
02-20
UN 7 0015
8.5
14
02-23
UN 7 0016
18.5
31
12
02-27
UN 7 0017
26.4
02 (Feb) subtotal UN
(179.4)
(131)
(24)
03-02
UN 7 0018
10.6
03-06
UN 7 0019
28.2
03-09
UN 7 0020
11.7
03-13
UN 7 0021
38.2
03-16
UN 7 0022
20.0
03-20
UN 7 0023
14.3
03-23
UN 7 0024
40.6
03-27
UN 7 0025
11.7
03 (Mar) subtotal UN
Total UN
(9.1)
2017 Q-1
VN #78 (resolved)
19
27
11
6
1
4.4
25
(175.3)
(1)
(4.4)
(80)
(17)
527.9
3
11.7
302
54
9
17.4
2
2
55
TZA – Tanzania Postal Corporation
2017-05-21
BDA – Bangladesh Post Office
TZA – Tanzania Postal Corporation
BDDACA
TZARKA
UN
134.7
BDDACA
TZDARA
UN
527.9
A
22
3
17.4
32.4
17.4
32.4
662.6
3
A. Postman
2017 Q-1
302
54
324
54
324
54
1
1
56
TZA – Tanzania Postal Corporation
2018-08-16
X
2017
BDA – Bangladesh Post Office
662.6
318.7
32.4
12.4
324
54
797.1
291.6
35.6
16.7
376
63
796.1
349.0
39.2
21.4
436
74
1 159.7
546.0
74.5
30.0
785
141
4 920.8
432.4
302.7
262.2
27.9
16.7
1 921
118
332
57
475.6
332.9
30.7
18.4
137
67
523.2
366.2
33.8
20.3
159
78
837.1
586.0
64.2
16.0
286
148
3 856.1
228.0
700
350
4 920.8
57
4 920.8
4.432
21 809
262.2
0.885
232
1 921
0.670
1 287
332
1.170
388
22 041
3 856.1
4.432
17 090
228.0
0.885
202
1 675
700
0.670
469
350
1.170
410
17 292
879
22 041
1 675
23 716
17 292
879
18 171
5 545
A. Postman
58
TZA – Tanzania Postal Corporation
2017-07-14
X
2017
X
TZA – Tanzania Postal Corporation
2 500
2 500
2 500
BDA – Bangladesh Post Office
59
TZA – Tanzania Postal Corporation
2018-08-16
X
2017
X
TZA – Tanzania Postal Corporation
BDA – Bangladesh Post Office
5 545
2 500
5 545
2 500
2 045
60
Chapter IV – Transit operations and accounting
1
Registration of the weight of mail subject to closed transit charges and of empty
receptacles
1.1
Operations at the office of exchange of origin
1.1.1
Entry of weight on CN 37, CN 38 and CN 41 delivery bills
1
The office of exchange of origin or another service of the designated operator of origin enters the sum
of the weights given on the CN 34, CN 35 or CN 36 bag labels on a delivery bill. The delivery bill is form
CN 37 for both the priority surface mails (the word "PRIOR" is indicated in the "Observations" column) and
also for the non-priority surface mails, CN 41 for S.A.L. mails and CN 38 for airmails. The delivery bill may
also include parcel mails. The delivery bill serves several purposes:
–
verification on arrival that all the mail is received;
–
source of data for payment of the carrier;
–
source of data for transit charges accounting.
2
Pursuant to RL 215.3, items exempted from terminal dues (letter-post items relating to the postal service and IBRS items) are not exempted from transit charges.
3
At the end of this chapter, you will find an example of a properly completed CN 37 delivery bill (the
CN 38 and CN 41 delivery bills should be used in an identical way).
1.2
1.2.1
Operations at the office of exchange of transit
Checking of individual receptacle weights
4
The intermediate office of exchange checks, by sampling or systematically, the weight entered on the
receptacle labels. The data given by the office of origin is accepted as valid if it differs:
–
by 200 g or less in the case of receptacles of surface mails or S.A.L. mails (RL 197.2.1);
–
by 100 g or less in the case of receptacles of airmails, priority mails or bulk mails (RL 197.2.2);
–
by 100 g or less in the case of IBRS (RL 197.2.3).
1.2.2
Checking of total weight of mail – CN 43 verification note
5
The intermediate office of exchange then checks whether the sum of the weights of receptacles, corrected if necessary, matches the weight entered on the delivery bill. If it does not, it immediately reports the
irregularities established to the office of exchange of origin by means of a CN 43 verification note (RL 197.3).
The findings made are entered in part 2 of the form.
1.2.3
CN 69 statements of transit mail
6
The designated operator of transit shall prepare a CN 69, by origin and destination office of exchange
and type of mail, based on its own record of the receptacles that it forwards as closed transit and in
accordance with the particulars contained in the CN 37 delivery bills that it prepares, during the quarter (RL
235.4).
7
When the designated operator concerned prepares the CN 69 statement, the weight of the bags of
letter post, comprising M bags and bags of priority/non-priority or LC/AO items, is indicated in column 6 of
the CN 69 statement. The CN 69 statement may also include parcel dispatches.
61
8
At the end of this chapter, you will find an example of a properly completed CN 69 statement prepared
by the designated operator of transit from the CN 37 delivery bills.
9
The CN 69 statements of closed transit mail shall be sent in duplicate to the origin designated
operator within four months at the latest after the end of the quarter to which they relate (RL 236.3bis).
10
After accepting a CN 69 statement, the designated operator of origin shall return one copy to the
designated operator which prepared it. If the designated operator which prepared it has not received any
notice of amendment within two months of the date of dispatch of the CN 69 form, it shall regard it as fully
accepted. The term “fully accepted” means accepted as rendered, with no changes or amendments.
2
Determination of the weight of empty receptacles
11
The designated operator of transit or destination may require that empty receptacles be returned in
separate dispatches (RL 203.4). They should then be documented on the CN 47 delivery bill and CN 31
letter bill.
12
On receiving dispatches of empty receptacles accompanied by a CN 47 delivery bill, the transit designated operator will complete a new CN 47 delivery bill for each further office of destination or of transit of the
empty receptacles and transmit this with each dispatch of empty receptacles.
13
If empty receptacles in transit are included with other mail on a CN 37 delivery bill, the transit designated operator may include the empty receptacles in its own CN 37 delivery bill for the office of destination or
of transit of the empty receptacles.
2.1
CN 69 "empty receptacles" statements
14
For surface transit mail, the designated operator of transit shall prepare a CN 69, by origin and
destination office of exchange and type of mail, based on its own record of the receptacles that it forwards as
closed transit and in accordance with the particulars contained in the CN 37 delivery bills that it prepares,
during the quarter (RL 235).
15
The CN 69 statements of closed transit mail shall be sent in duplicate to the designated operators of
destination within four months at the latest after the end of the quarter to which they relate (RL 236).
16
After accepting a CN 69 statement, the designated operator of destination shall return one copy to the
designated operator which prepared it. If the designated operator of transit has not received any notice of
amendment within two months of the date of dispatch, it shall regard it as fully accepted. The term “fully
accepted” means accepted as rendered, with no changes or amendments (RL 236).
3
Determination of the weight of à découvert (open transit) items
3.1
Operations at the office of exchange of origin
17
The transmission of à découvert items to an intermediate designated operator is to be strictly limited to
cases where the making up of closed mails for the country of destination is not justified. À découvert
transmission should not be used when the average weight of the mail regularly exceeds three kilogrammes
per mail or per day (where several dispatches are made in a day), and should not be used for M bags
(RL 176.1). The office of exchange should therefore contact its central administration if it observes an
increase in the quantity of mail to a country to which dispatches are not made, so that dispatches can be
introduced for the country concerned.
18
For items to countries for which closed dispatches are not justified, the dispatching designated operator will have consulted the intermediate designated operators as to the suitability of using them for
à découvert items to the destinations concerned. It will have notified the designated operators concerned of
the date on which dispatch of mail in transit à découvert commences, providing at the same time the estimated annual volumes for each final destination. Unless otherwise agreed bilaterally by the designated
operators concerned, this notification shall be renewed if, in a given statistical period (May or October) there
62
were no à découvert items observed and, consequently, no account had to be issued by the intermediate
designated operator. Items in transit à découvert should, as far as possible, be sent to a designated operator
that makes up mails for the designated operators of destination (RL 176.3).
19
For items sent à découvert without prior consultation to an intermediate designated operator (RL
176.4), destined for countries other than those notified by the intermediate country in the Transit
Compendium, the charge provided for in article RL 211.1.5 (charge for missent items) may be applied.
20
The designated operators willing to receive items in transit for other countries will have grouped the
countries of destination into a maximum of 10 groups for surface and a maximum of 10 groups for S.A.L.
mail and airmail (RL 211.1), which will be found in the Transit Compendium.
3.1.1
Bundling of à découvert items
21
In the absence of special agreement, à découvert items are to be separated by country of destination
(labelled with the name of each country in roman letters), or at least by group of countries of destination in
bundles identified by CN 26 labels (RL 176.7 and 176.8). The CN 26 labels are also used for S.A.L. items to
be forwarded by surface means and S.A.L., whereas CN 25 labels are used in cases where S.A.L. items are
to be forwarded from the transit designated operator by regular airmail.
3.1.2
CN 65 bill – Weight of à découvert items
22
Accounting for items in transit à découvert should, in principle, take place on the basis of the data of
statistical returns, except where the transit designated operator requests that accounting be based on actual
weight (RL 211.1.6). Information as to the choice made by the transit designated operator will be found in the
Transit Manual. Nonetheless, accounting should take place on the basis of actual weight in the case of
missent items and items posted on board ship, or sent at irregular intervals, or in quantities which vary
greatly, unless the intermediate designated operator accepts that it will not be paid for the transit service
rendered or agrees to base accounting for missent items on statistics (RL 211.1.7).
23
If accounting is to be carried out on the basis of statistics, à découvert transit items will be accompanied by CN 65 bills during the statistical period (RL 211.1.6). The statistical operations will be conducted
annually and alternately during May in odd years and October in even years (RL 211.2.1).
24
If accounting is to be conducted on the basis of actual weight, à découvert transit items should always
be accompanied by CN 65 bills (RL 211.4.1).
25
Weights should be shown separately for each group of countries of destination on the CN 65 bills.
These should be specially numbered in two consecutive series for surface/non-priority à découvert items,
including S.A.L. items to be forwarded by surface means or S.A.L., one for unregistered items and the other
for registered items. Separate series will be used for airmail/priority items, including S.A.L. items to be forwarded by regular airmail. The number of CN 65 bills should be entered in the corresponding item of table 4
of the CN 31 letter bill (table 3 of CN 32 letter bill). Transit designated operators may request the use of
special CN 65 bills listing in a set order the most important groups of countries. All CN 65 bills are to be
inserted into the bag containing the CN 31 letter bill (RL 211.3.1).
26
The weight of à découvert items for each group of countries is rounded up to the nearest decagramme
when the fraction of the decagramme is equal to or greater than 5 grammes; otherwise, it should be rounded
down to the nearest decagramme (RL 211.3.2).
27
When the transit designated operator accepts accounting based on statistics, the CN 26 bundle label
and the CN 65 bill should be overprinted (or at least marked clearly) with the letter "S" during the statistical
period. When there are no à découvert items, registered or unregistered, to be inserted in a mail which normally includes such items, one or two CN 65 bills, as necessary, endorsed "Néant" (Nil) should accompany
the letter bill of the mail (RL 211.2.2). All items in transit à découvert should be placed with the CN 65 delivery bill in a closed bag, which may be of transparent plastic, inserted in the bag containing the letter bill
(RL 211.2.3).
28
An example of a completed CN 65 delivery bill is provided at the end of this chapter.
63
3.2
Operations at the office of exchange of open transit
29
The intermediate office of exchange checks, by sampling or systematically, the weight entered on the
CN 65 bill. If it establishes that the actual weight of à découvert items differs by more than 20 grammes from
the weight recorded, it should amend the CN 65 bill and immediately notify the dispatching office of
exchange of the mistake by CN 43 verification note. If the discrepancy noted is within the above-mentioned
limits, the entries made by the dispatching office will hold good (RL 211.3.3).
30
In the absence of a CN 65 bill, the CN 65 bill will, in appropriate cases, be prepared routinely and the
irregularity pointed out to the office of origin by CN 43 note (RL 211.3.4). If the weight of missent items
originating at one and the same office of exchange and contained in a dispatch from that office does not
exceed 50 grammes, routine preparation of a CN 65 bill will not take place (RL 211.4.1).
3.2.1
Statement of weights received in open transit
31
For à découvert items, the creditor designated operator normally prepares a yearly CN 67 statement.
This shall be done at the end of each statistical period as laid down in article RL 211.2.1 and based on the
particulars appearing on the CN 65 bills prepared during that period. The total weights shall be multiplied by
12 on the CN 67 statement. If the accounts have to be prepared on the basis of the actual weight of all à
découvert items instead of the statistical period, CN 67 statements shall be drawn up monthly or quarterly as
preferred, on the basis of the corresponding CN 65 bills (RL 246).
4
Preparation of detailed accounts for transit (closed and open transit) and empty bags
4.1
Accounting for closed transit mail – surface
4.1.1
CN 62 detailed account
32
Designated operators that have taken part in surface transit of mails must, as creditor designated
operators, prepare a detailed account of transit charges for each designated operator of origin on form
CN 62 as soon as all the CN 56 statements relating to a year have been accepted.
33
The CN 62 form is also used for accounting of empty bags. The CN 62 detailed account is prepared
from the particulars on the CN 69 forms and sent to the debtor designated operator if the balance exceeds
the exemption threshold of 163.35 SDR (RL 241.7). In the heading "Total amount receivable", decimals are
ignored (RL 254.3).
34
The creditor designated operator should indicate the method of settlement on form CN 62 (RL 241.1).
35
As an exceptional measure, supplementary detailed accounts may be sent to the debtor designated
operator only if they complement accounts already submitted for the year in question. The time limits of
10 months from the end of the year concerned for dispatch of these accounts and two months for their
acceptance apply equally to supplementary detailed accounts (RL 239.5).
4.1.2
Acceptance of CN 62
36
The debtor designated operator must approve and return the CN 62 detailed account within two
months of the date of dispatch thereof (RL 239.6 and RL 253.2). If no notice of amendment has been
received within that time, the creditor designated operator will regard the account as fully accepted
(RL 239.6). Furthermore, discrepancies are disregarded unless they exceed a total of 9.80 SDR per account
(RL 254.3).
4.1.3
Time limit for submission of CN 62
37
The debtor designated operator is not obliged to accept CN 62 detailed accounts that are not sent to it
within 10 months of the end of the year to which they relate (RL 239.5).
38
At the end of this chapter, you will find an example of a properly completed CN 62 detailed account.
64
4.2
Accounting for closed transit mail by air
39
Accounting for air closed transit mail is identical to surface closed transit accounting, except that the
CN 51 (RL 170.4) detailed account form is used.
40 The basic document for the air transport of closed transit mail is the CN 38 delivery bill (RL 194.4bis.2).
Information from the CN 38 is consolidated by sector on a CN 66 (RL 246.1) statement of weights, with each
CN 66 giving the total weight of mail carried over a given sector. Information from the CN 66 is subsequently
consolidated on a CN 51 detailed account. The total weight carried over a given sector is multiplied by the
applicable rate to give the amount due for that sector. The amounts for the various sectors are then totalled.
41
The graphic below illustrates the different phases of the weight determination and accounting for
closed transit by air.
CN 38s for sector 1
CN 38
Total weight sector 1
CN 66
CN 38
CN 38s for sector 2
CN 38
Total weight sector 2
CN 66
CN 51
CN 38
Total amount
payable in period
CN 38s for sector 3
Total weight sector 3
CN 38
CN 66
CN 38
4.3
Total weight sector 1 x rate sector 1
+
Total weight sector 2 x rate sector 2
+
Total weight sector 3 x rate sector 3
Accounting for empty receptacles
42
Payment for the transport of empty airmail bags has been a requirement since 1 January 2001.
Airlines bill the designated operators owning the bags direct. Inter-designated operator accounts arising from
empty airmail bags will be limited to the settlement of transit charges when a transit designated operator
reforwards bags to the owning designated operator. Bags returned by air will be sent in separate dispatches
and documented on forms CN 47 and CN 31.
43
Detailed information on accounting for empty receptacles sent by air is given in Appendix B.
4.4
Accounting for open transit mail
44
The basic document for open transit and missent items is the CN 65 bill (RL 211.3). Information from
the CN 65 is consolidated by sector on a CN 67 statement of weights (RL 246.2). Based on this, the CN 51
account is issued.
65
4.5
Accounting for internal air conveyance
45
Airmail dues are also payable for internal air conveyance. Internal air conveyance dues are payable
when airmail of foreign origin destined for delivery in a given country is received at one or more of its principal airports and then reforwarded by air to other destinations within that country. These dues are intended to
offset the costs of air transmission within the country of destination.
46
Countries which receive terminal dues payments based on cost or domestic tariffs do not receive
internal air conveyance dues. Target countries are not entitled to charge other target countries internal air
conveyance dues. Countries which meet the eligibility criteria for internal air conveyance dues payments as
notified by the IB are entitled to charge internal air conveyance dues on incoming mail which is paid at the
rates provided for in Convention article 31.3 and 4.
47
Information from the CN 31 and CN 32 letter bills is consolidated in the CN 55 statement of mails
prepared quarterly for each originating exchange office. Information from the CN 55 statements can be
incorporated directly into a CN 51 detailed account, or can be further consolidated in CN 56 recapitulative
statements, which are then consolidated in the CN 51 detailed account.
4.6
Submission and acceptance of CN 51 accounts
48
The creditor designated operator should send CN 66 and CN 67 statements as well as the CN 51
detailed account to the debtor designated operator in duplicate as soon as possible, but no later than five
months after the end of the period to which it refers. The debtor designated operator may refuse to accept
accounts after this period (RL 248.1).
49
The debtor designated operator will verify these documents and return a copy of the CN 51 account
accompanied by the relevant CN 66 and 67 statements only if there is an amendment (RL 248.2).
50
If the creditor designated operator disputes this amendment, the debtor designated operator should
send it copies of the relevant CN 38 delivery bills.
51
Any dispute regarding amendments must be raised within two months of receipt of the amended statements and accounts. A creditor designated operator that has received no notice of amendment within two
months of the date of dispatch of the accounts will regard the accounts as fully accepted.
52
An example of a completed CN 51 form is given at the end of this chapter.
5
Settlement of transit charges accounts
5.1
Settlement
53
Settlement periods are shortened for closed transit charges as the closed transit operator needs to be
able to recover the costs for ongoing transport rapidly. As a consequence, provisional payment for surface
closed transit are discontinued. The CN 63 form is withdrawn as from 1 January 2016 (RL 241.2).
54
Settlement of transit charges accounts shall be made according to provisions related to accounting for
closed transit mail – surface (part 3.1, page 64).
5.2
Methods of payment
55
The amounts due on the CN 62 statement may be settled either directly between the two designated
operators concerned or, if they are both members of the system, through UPU*Clearing (RL 255).
5.3
Time limit for payment
56
In case of direct settlement, payment must be made as quickly as possible and at the latest within six
weeks from the date of acceptance or notification of official acceptance of the CN 62 statement. After that
66
period, the amounts due will be chargeable with interest at the rate of 6% per annum reckoned from the day
following the day of expiry of the six-week period (RL 257.10).
Example 3: Set of forms with fictive contents illustrating closed transit by surface
This example comprises the following completed forms:
- CN 34 receptacle label from Indonesia to France
-
CP 83 receptacle label from Indonesia to France
-
CN 37 delivery bill: consignment from Indonesia to the Netherlands (closed transit post) including the
dispatch above
-
CN 37 delivery bill: consignment from the Netherlands (closed transit post) to France (mail
destination)
-
CN 69 statement of closed transit mail, generated by the Netherlands for Indonesia, for the 4th
quarter 2017 (includes mail in CN 37 above)
-
CN 62 detailed account, transit charges – surface mail, closed transit, generated by the Netherlands
for Indonesia (corresponds to CN 69 above)
-
CN 69 empty: statement of empty bags handled in closed transit by the Netherlands for France, for
the 4th quarter 2017 (includes empty bags appearing in CN 37 above)
-
CN 62 detailed account, transit charges – surface mail, empty bags, generated by the Netherlands
for France (corresponds to CN 69 empty above)
67
IDJKTC (IDA)
MPC JAKARTA
PosIndonesia
CUN
67
2017-10-25
FRCDGA (FRA)
ROISSY CI
LA POSTE, FR
1
BG
UN
19.5
IDJKTC FRCDGA CUN 7 0067 001 00 0195
26 IDTPP MV 2 NLRTM
IDJKTC (IDA)
MPC JAKARTA
PosIndonesia
CCN
52
2017-10-25
BG
CN
14.6
NLRTM
FRCYMA (FRA)
CHILLY CEI
LA POSTE, FR
2
IDJKTC FRCYMA CCN 7 0052 002 00 0146
26 IDTPP MV 2 NLRTM
NLRTM
68
IDA – PT.Pos Indonesia (Persero)
2017-10-25
IDJKTC – JAKARTA MAIL PROCESSING CENTRE
IDJKTC020314
NLA – Royal PostNL
NLRTMI – ROTTERDAM INTERNATIONAL MAIL UNIT
X
X
MV 2
Rotterdam
MV Cargo Ltd
MVCU1650212
6E
IGJKTC
NIAMSA
70
IGJKTC
NIAMSA
31
IGJKTC
NIAMSA
67
IGJKTC
FRCGGA
27
IGJKTC
FRCGGA
D2
IGJKTC
FRCKMA
3
4
DD.0
3
3
17.D
4D.E
4
31.1
D
6
A. Postman
41.3
E
67.1
7
87.2
122.1
48.6
69
NLA – Royal PostNL
NLRTMI – ROTTERDAM INTERNATIONAL MAIL UNIT
2017-11-18
FRA – LA POSTE, France
FRCDGA – ROISSY COURRIER INTERNATIONAL
NLRTMI513501
X
X
PostNL Truck NL-201345-RTZ-A14
67
IGJKTF
FRFGGA
27
IGJKTF
FRFGGA
112
NIAMSA
FRFGGA
3
4
4
7
PNL-45324
4D.E
31.1
D2.2
4
E8.1
31.1
70
NLA – Royal PostNL
2018-02-05
IDA – PT.Pos Indonesia (Persero)
NLA – Royal PostNL
2017.10.01
FRA – LA POSTE, France
2017.12.31
FRCDGA
IDJKTC
2017-10-07
C UN 7 0065
2
25.8
2017-10-25
C UN 7 0066
3
56.9
2017-11-18
C UN 7 0067
3
45.9
2017-11-30
C UN 7 0068
3
51.1
2017-12-12
C UN 7 0069
4
72.0
2017-12-22
C UN 7 0070
4
78.3
(19)
( 330.0)
Subtotal IDJKTC-FRCDGA
IDJKTC
C
FRCYMA
Subtotal IDJKTC-FRCYMA
2017-10-07
C CN 7 0050
8
125.0
2017-10-25
C CN 7 0051
8
95.8
2017-11-18
C UN 7 0052
5
67.1
2017-11-30
C CN 7 0053
9
95.3
2017-12-12
C UN 7 0054
12
135.7
2017-12-22
C CN 7 0055
10
106.4
(52)
( 625.3)
71
955.3
1
1
71
NLA – Royal PostNL
2018-03-11
2017
X
X
IDA – PostIndonesia
324.7
BEA
bpost - BELGIUM
357.2
392.9
526.0
1 600.8
1.15
1 840.92
1.25
3 668.75
1.25
1 405.63
598.1
FRA
LA POSTE, France
657.9
723.7
955.3
2 935.0
228.1
LUA
250.9
POSTES AND TELECOM
Luxembourg
276.0
369.5
1 124.5
6 915.30
6 915
PNL-45324
72
NLA – Royal PostNL
2018-02-05
X
IDA – PT.Pos Indonesia (Persero)
IDJKTC
C
NLA – Royal PostNL
2017.10.01
FRA – LA POSTE, France
2017.12.31
FRCDGA
Subtotal IDJKTC-FRCDGA
2017-10-07
C TT 7 0026
3
25.3
2017-11-18
C TT 7 0027
4
31.1
2017-11-30
C TT 7 0028
4
34.0
2017-12-22
C TT 7 0029
3
26.4
(14)
( 116.8)
14
116.8
1
1
73
NLA – Royal PostNL
2018-03-11
2017
X
FRA – LA POSTE, France
X
origin
79.9
ARA
CORREO ARGENTINO
87.9
96.7
129.4
393.9
1.15
452.99
1.25
494.00
1.25
700.38
84.1
IDA
PostIndonesia
92.5
101.8
116.8
395.2
134.0
NLA
Royal PostNL
147.4
162.1
116.8
560.3
1 647.36
1 647
PNL-45324
74
Example 4: Set of forms with fictive contents illustrating closed transit by air
This example comprises the following completed forms:
- CN 38 delivery bill: consignment from Denmark to the United States (closed transit post), containing
receptacles with a final destination in several Carribean countries
-
CN 66 statement of weights, generated by the United States for Barbados, for December 2017
(includes mail in CN 38 above)
-
CN 51 detailed account, transit charges – airmail, closed transit, generated by the United States for
Denmark (corresponds to CN 66 above)
75
DKA – Post Danmark A/S
2016-11-08
DKCPHA – COPENHAGEN INC
USA – United States Postal Service
USMIAA – ISC MIAMI FL (USPS)
X
SK 124
2016-11-08
MIA
AKE12345SK
9876543210
UN 212
GKFPHA
USMHAA
4
D3.0
UN 213
GKFPHA
USMHAA
2
22.D
UN 10D
GKFPHA
BBBGHA
2
1E.E
UN 67
GKFPHA
KKFKBA
1
12.D
E
107.E
DKCPH-33425
DKCPHA123456
10:35
76
USA – United States Postal Service
2016-12-12
USMIAA – ISC MIAMI FL (USPS)
X
11 (November)
DKA – Post Danmark A/S
2016
US – United States of America
BB – Barbados
transfer
11-03
AUN 103
DKCPHA
BBBGIA
DL 2223
25.8
11-03
ACN 89
DKCPHP
BBBGIA
DL 2223
11-06
AUN 104
DKCPHA
BBBGIA
AA 864
11-06
ACN 90
DKCPHP
BBBGIA
AA 864
11-09
AUN 105
DKCPHA
BBBGIA
DL 2223
11-09
ACN 91
DKCPHP
BBBGIA
DL 2223
11-14
AUN 106
DKCPHA
BBBGIA
AA 864
33.2
11-18
AUN 107
DKCPHA
BBBGIA
DL 2223
31.5
11-18
ACN 92
DKCPHP
BBBGIA
DL 2223
11-22
AUN 108
DKCPHA
BBBGIA
AA 864
25.7
11-28
AUN 109
DKCPHA
BBBGIA
DL 2223
20.6
11-28
ACN 93
DKCPHP
BBBGIA
DL 2223
17.0
16.2
31.1
19.9
11.0
16.4
17.0
172.9
92.5
77
USA – United States Postal Service
2017-02-26
DKA – Post Danmark A/S
X
2016
Q4
X
X
10 October
BB - Barbados
BS – Bahamas
KY – Cayman
Islands
11 November
12 December
194.1
172.9
202.7
569.7
6.128
3 491.12
84.4
92.5
105.1
282.0
6.128
1 728.10
341.1
358.2
483.6
1 182.9
4.113
4 865.27
229.3
240.8
325.1
795.2
4.113
3 270.66
135.6
142.4
192.2
470.2
5.720
2 689.54
76.0
79.8
107.7
263.5
5.720
1 507.22
17 552
DKCPH-359158
78
Example 5: Set of forms with fictive contents illustrating open transit
This example comprises the following completed forms:
- CN 31 letter bill, generated during the statistical period
-
Two CN 65 bills of à découvert items corresponding to the letter bill above
-
CN 67 statement of à découvert weights, generated at the end of the statistical period and including
data from the CN 65 bills above
-
Yearly CN 51 detailed account for à découvert items, based on the CN 67 above
79
BEA – bpost - BELGIUM
BRA – CORREIOS DO BRASIL
BRUSSELS EMC
SAO PAULO
Air
BEBRUA
BRSAOD
A
UN
0042
7
2017-05-21
IDTPP MV2 NLRTM
1
3
2
23.9
2
18.0
41.9
2
A. Postman
2
2
2
2
2
2
80
BEA – bpost - BELGIUM
BEBRUA – BRUSSELS EMC
8
X
BRA – CORREIOS DO BRASIL
BRSAOD – SAO PAULO
X
X
X
2017-05-21
Group 1
1 740
Group 2
2 320
Group 3
460
PO#12345
A UN 7 0042
81
BEA – bpost - BELGIUM
BEBRUA – BRUSSELS EMC
9
X
BRA – CORREIOS DO BRASIL
BRSAOD – SAO PAULO
X
X
X
2017-05-21
Group 1
810
Group 3
1 820
PO#12345
A UN 7 0042
82
BRA – CORREIOS DO BRASIL
2017-07-13
BRA – CORREIOS DO BRASIL
2017
May
BRSAOD – SAO PAULO
BEBRUA – BRUSSELS EMC
BEA – bpost - BELGIUM
Gr 2
Gr 1
Gr 3
Gr 4
05-02
1
520
1 140
05-05
2
2 500
830
05-05
3
1 140
05-07
4
05-10
5
05-13
6
05-18
7
05-21
8
1 740
05-21
9
810
1 820
05-24
10
4 510
550
05-24
11
1 110
05-30
12
3 650
05-30
13
2 220
2 350
780
480
150
1 140
1 010
890
980
870
740
2 080
2 320
460
510
1 540
1 870
220
1 230
480
19 090
10 280
10 690
2 580
229 080
123 360
128 280
30 960
229 080
123 360
128 280
30 960
83
BRA – CORREIOS DO BRASIL
2017-09-13
X
2017
BEBRUA – BRUSSELS EMC
X
X
4 - April
Gr 1
5 - May
6 - June
229.1
229.1
3.128
716.62
123.4
123.4
5.110
630.57
128.3
128.3
6.967
893.87
31.0
31.0
7.726
239.51
Gr 2
Gr 3
Gr 4
124.03
2 605
PO#12345
84
Appendix A – Statistical operations related to terminal dues
1
Overview of UPU system sampling requirements
1.1
Flat rate per kilogramme involving exchanges with transitional countries
Sampling period
Sampling days
When it can be required
Flows
None
None
Revision mechanism has
not been invoked
– Target to transitional
– Transitional to target
– Transitional to transitional
1.2
Target country system
Sampling period
Sampling days
When it can be required
Flows
Yearly
Three-year grace period
for 48-day sampling
Dispatched weight above
the recommended threshold of 50 tonnes per year
Target to target
1
The statistical count shall be carried out by means of continuous sampling, in which a systematic or
randomized sample of receptacles is computer-selected for testing throughout the observation period. The
designated operators concerned shall agree on the statistical forms to be used. For the years up to and
including 2019, the statistical count shall be carried out employing 48 days of observation per year of
sampling with four days per month. As it takes time to implement new IT systems and some new countries
joined the target system in 2016, it is proposed to give a three-year grace period in which 48-day sampling
can be used. The first mandatory year for continuous sampling will be 2020. For mail flows involving
countries in the target system from 2010 and later, no sampling is required below 75 tonnes; for terminal
dues calculations, a fixed overall IPK of 12.23 applies for the whole flow, including UR dispatches and
independent of format separation. The actual number of registered and insured items is used for the
surcharge only.
2
Bulk mail volumes are included in the flows for thresholds.
1.3
Revision mechanism
Sampling period
Sampling days
When it can be required
Flows
Yearly (preferred) or
quarterly or monthly
Minimum of 24 days
– Dispatched weight
more than 75 tonnes
per year excluding
M bags
– Target to transitional
– IPK greater than 15 or
less than 10
– Transitional to target
– Transitional to transitional
85
2
Formulae for estimation of annual IPK and annual items
2.1
Formula by mail category
3
The following formula demonstrates the method for estimating both the annual IPK and annual items
for a specific mail category (air, surface, S.A.L.) for a country. The estimates of annual IPK for a mail flow
can be expressed as weighted averages of the sampled receptacle IPKs. The description assumes sampling
on a yearly basis.
4
Calculate the separate ratio estimate of the number of items in stratified mail flows as follows.
Suppose that:
𝑦𝑦𝑖𝑖
𝑥𝑥𝑖𝑖
𝑟𝑟𝑖𝑖 =
H
𝑛𝑛ℎ
number of items in receptacle i
weight of receptacle i
𝑦𝑦𝑖𝑖
𝑥𝑥𝑖𝑖
IPK of receptacle i
number of strata
number of sampled receptacles in stratum h
5
A stratum is the combination of mail category, format and period (and where it is agreed, it can include
receptacle type, sending office of exchange and receiving office of exchange). IPK in stratum h:
𝑅𝑅ℎ =
𝑁𝑁ℎ
𝑛𝑛
ℎ
∑𝑖𝑖=1
𝑦𝑦𝑖𝑖
𝑛𝑛
ℎ
∑𝑖𝑖=1
𝑥𝑥𝑖𝑖
Total number of receptacles in stratum h
𝑋𝑋ℎ
Total received weight in stratum h
6
Calculation of the estimated number of items and IPK in steps:
–
Firstly, estimate the number of items in stratum h:
–
𝑌𝑌�ℎ = 𝑅𝑅ℎ ∗ 𝑋𝑋ℎ
Then estimate the total number of items:
𝑯𝑯
–
� = � 𝒀𝒀
� 𝒉𝒉
𝒀𝒀
𝒉𝒉=𝟏𝟏
Total received weight is:
𝐻𝐻
–
–
𝑋𝑋 = � 𝑋𝑋ℎ
ℎ=1
Total IPK is:
�=
𝑹𝑹
�
𝒀𝒀
𝑿𝑿
Calculate the bias of the estimated number of items:
𝑟𝑟ℎ =
𝑛𝑛
ℎ 𝑟𝑟
∑𝑖𝑖=1
𝑖𝑖
𝑛𝑛ℎ
𝑦𝑦ℎ = 𝑟𝑟ℎ ∗ 𝑋𝑋ℎ
𝐵𝐵𝐵𝐵𝐵𝐵𝐵𝐵ℎ =
–
𝑌𝑌�ℎ −𝑦𝑦ℎ
𝑛𝑛ℎ −1
mean receptacle IPK
Bias in number of items in stratum h;
if 𝑛𝑛ℎ = 1 then 𝐵𝐵𝐵𝐵𝐵𝐵𝐵𝐵ℎ = 0
Total bias in number of items is:
ℎ
𝐵𝐵𝐵𝐵𝐵𝐵𝐵𝐵 = � 𝐵𝐵𝐵𝐵𝐵𝐵𝐵𝐵ℎ
ℎ=1
86
–
The variance of the estimated number of items per stratum is:
𝑛𝑛ℎ
𝑛𝑛ℎ
𝑛𝑛ℎ
𝑖𝑖=1
𝑖𝑖=1
𝑖𝑖=1
𝑁𝑁ℎ (𝑁𝑁ℎ − 𝑛𝑛ℎ )
𝑉𝑉�ℎ =
�� 𝑦𝑦𝑖𝑖2 + 𝑅𝑅ℎ2 � 𝑥𝑥𝑖𝑖2 − 2𝑅𝑅ℎ � 𝑦𝑦𝑖𝑖 𝑥𝑥𝑖𝑖 �
𝑛𝑛ℎ (𝑛𝑛ℎ − 1)
If 𝑛𝑛ℎ = 1 then 𝑉𝑉�ℎ = 0
7
Alternatively with stratum weights instead of number of receptacles (applicable if stratification
includes receptacle type or if only one receptacle type is used within a stratum, and if net-to-gross weight
ratio is constant):
𝑛𝑛ℎ
𝑛𝑛ℎ
𝑛𝑛ℎ
𝑛𝑛ℎ
𝑥𝑥𝑖𝑖2 − 2𝑅𝑅ℎ ∑𝑖𝑖=1
𝑦𝑦𝑖𝑖 𝑥𝑥𝑖𝑖 )
𝑥𝑥𝑖𝑖 )
(∑𝑖𝑖=1
𝑦𝑦𝑖𝑖2 + 𝑅𝑅ℎ2 ∑𝑖𝑖=1
𝑋𝑋ℎ (𝑋𝑋ℎ − ∑𝑖𝑖=1
�
∗ 𝑛𝑛ℎ
𝑉𝑉ℎ =
𝑛𝑛ℎ
2
−
1)
(𝑛𝑛
(∑𝑖𝑖=1 𝑥𝑥𝑖𝑖 )
ℎ
If 𝑛𝑛ℎ = 1 then 𝑉𝑉�ℎ = 0
Total variance is calculated as:
𝐻𝐻
𝑉𝑉� = � 𝑉𝑉�ℎ
8
ℎ=1
Calculate the within 95% confidence limits of the IPK as follows:
𝑨𝑨𝑨𝑨𝑨𝑨𝑨𝑨𝑨𝑨𝑨𝑨𝑨𝑨𝑨𝑨 = 𝟏𝟏. 𝟗𝟗𝟗𝟗 ∗
� + 𝑩𝑩𝑩𝑩𝑩𝑩𝑩𝑩𝟐𝟐
�𝑽𝑽
�
𝒀𝒀
87
Appendix B – Information on airmail accounting
1
This appendix contains information on rates and processes applicable to the transportation of mail by
air. It aims to help designated operators in their relations and accounting with airlines.
1
The basic airmail conveyance rate
2
Airmail accounting stems from the need to pay airline companies for the transport of mail. Airlines and
designated operators typically arrive at rates payable for the carriage of mail through negotiation. In the
absence of any agreement on a rate, the so-called basic airmail conveyance rate (BACR) is applicable. This
rate is determined by the International Bureau every year and is based on statistics supplied by the
International Civil Aviation Organization (RL 244.2). This formula is based on airline operating costs and is
determined as follows:
T=
(A - B - C + D + E + F), where
T=
Basic rate per t-km (priority for airmail is guaranteed within this rate).
A=
Weighted average operating expense per t-km performed.
B=
Cost of passenger services per t-km.
C=
Percentage of the cost of ticketing, sales and promotion (based on the number of passengers in relation to traffic volume).
D=
Expenses of non-operating items per t-km performed.
E=
10% of (A - B - C + D) as profit.
F=
Income taxes per t-km performed.
3
This rate is rounded to the nearest thousandth of an SDR per kilogramme of gross weight and per
kilometre; it applies proportionally to fractions of a kilogramme.
2
Definition of tonne-kilometre and kg-kilometre
4
The term t-km has been used in the formula cited in the previous paragraph. This term stands for
"tonne-kilometre" and represents the service performed in carrying one tonne of mail for one kilometre. In
other words:
–
1 tonne-kilometre = 1 tonne x 1 kilometre = 1,000 kg x 1 kilometre
–
1 kg-kilometre = 1 tonne-kilometre divided by 1,000 = 0.001 tonne-kilometre = 1 kg x 1 km.
5
Costs for air transport of mail are typically measured and cited in terms of t-km or kg-km. The basic
airmail conveyance rate for the year 2017 was fixed at 0.597 SDR per t-km, equivalent to 0.000597 SDR per
kg-km.
3
How weights and distances are measured
6
Air conveyance is thus billed for on the basis of:
–
the weight of mail carried;
–
the distance for which mail is carried.
7
Weights are expressed in kilogrammes, and distances are expressed in kilometres. Unless there is an
arrangement to the contrary, distances are as given in the List of Airmail Distances published by the
International Bureau. As the IB has received many inquiries about how these distances are calculated, it is
worthwhile indicating the procedure followed by IATA in calculating the airmail distance for a given city pair:
88
–
the great circle distance between the two airports concerned (between the two airport reference points)
is calculated using the latitudes and longitudes of these reference points and a standard trigonometrical formula;
–
this distance is increased by 2.5% to cover any intermediate stops;
–
the resulting figure is rounded off to the nearest 100 km.
8
Taking London's Heathrow Airport and New York's John F. Kennedy Airport as an example, we have:
–
Great circle distance between London (LHR) and New York (JFK)
5,538 km
–
Add 2.5% of 5,538 km (138.5 km)
5,676 km
–
Rounded off to nearest 100 km
5,700 km
–
Airmail distance
5,700 km
3.1
Examples of rate calculations
9
Some examples of rate calculations are provided below:
a
The UPU's basic airmail conveyance rate is 0.597 SDR per t-km in 2017 or 0.000597 SDR per kg-km:
b
A designated operator and an airline agree upon a rate of 0.400 SDR per t-km for the carriage of mail.
What is the amount payable per kilogramme over a sector for which the applicable distance is
3,700 km?
(In the context of this section of the guide, the word "sector" is intended to mean that portion of the
flight between the airport serving the exchange office of origin and the airport serving the exchange
office of destination.)
We have:
rate per kg-km = 0.400 divided by 1,000 = 0.0004 SDR per kg-km;
rate per kg for 3,700 km = 0.0004 x 3,700 = 1.480 ≈ 1.5 SDR.
(The prices for international and internal air conveyance obtained by multiplying the effective basic rate
by the distance are rounded up to the nearest tenth of an SDR when the number made up by the figure of hundredths and thousandths is equal to or greater than 50; they are rounded down to the nearest tenth of an SDR in other cases – RL 244.7.)
Some examples of rounding off when rates per kg are calculated to three decimal places:
c
Example 1:
0.439 SDR will be rounded off to 0.4 SDR
(last two digits = 39<50)
Example 2:
0.550 SDR will be rounded off to 0.6 SDR
(last two digits = 50)
Example 3:
0.465 SDR will be rounded off to 0.5 SDR
(last two digits = 65>50)
A designated operator and an airline agree upon a rate of 0.400 SDR per t-km for the carriage of mail.
What is the amount payable if 550 kg of mail is carried over a sector for which the applicable distance
is 3,700 km?
We have from the previous example:
Rate per kg for this sector (3,700 km) = 1.5 SDR;
Amount payable = rate per kg x number of kg = 1.5 x 550 = 825 SDR.
3.2
Basic regulations concerning the payment of airmail accounts
10
It is clear that a designated operator dispatching mail has to pay for the transport of this mail to the
airline(s) participating in its carriage. An airline usually bills the dispatching designated operator of origin
directly. It is also possible for the dispatching designated operator to pay the designated operator of the
country which the airline comes under; the latter designated operator subsequently pays the airline. This
option, however, is infrequently used. Further, a designated operator which reforwards mail on behalf of
another designated operator will claim conveyance dues from the latter.
11
The question of "to whom" air conveyance dues should be paid is dealt with in article RL 250 of the
Letter Post Regulations. This is reproduced below:
89
"Article RL 250 – Payment of air conveyance dues
3.3
1
Air conveyance dues shall be payable to the airline conveying the airmails for all or part of the
distance flown.
2
Notwithstanding this rule, the conveyance dues may be paid to the designated operator of the
country which the airline conveying the airmails comes under, subject to an agreement between
the airline concerned and that designated operator.
3
Conveyance dues for priority items, airmail items and S.A.L. items when transported by air in
transit à découvert shall be paid to the designated operator which reforwards these items.
4
Unless other arrangements have been made, conveyance dues for airmails directly transhipped
between two different airlines shall be settled by the designated operator of origin:
4.1
either with the first carrier, which shall then be responsible for paying the subsequent carrier;
4.2
or with each carrier involved in the transhipment."
Some typical scenarios
12
Some typical scenarios arising in the transport of airmail are now described to illustrate the intention of
article RL 250. All countries, carriers and flight numbers have been chosen for illustrative purposes only.
Scenario A
LX 100
Zurich (ZRH)
London (LHR)
13
Mail is dispatched from Zurich with the destination of London using a Swiss flight. Swiss is a Swiss
airline. In this case, Swiss will invoice the Swiss designated operator.
Scenario B
BA 150
Zurich (ZRH)
London (LHR)
14
Mail is dispatched from Zurich to London using a British Airways flight. British Airways is a British
airline. British Airways will, however, usually invoice the Swiss designated operator direct, although
RL 250.2 allows for the possibility of receiving payment through the British designated operator (Switzerland
would pay Great Britain, which would subsequently pay British Airways).
90
Scenario C
LH 1507
Zurich (ZRH)
London (LHR)
15
Mail is dispatched from Zurich to London using a Lufthansa flight. Lufthansa is a German airline.
Lufthansa will also, however, usually invoice the Swiss designated operator direct, although RL 250.2 allows
for the possibility of receiving payment through the German designated operator (Switzerland would pay
Germany, which would in turn pay Lufthansa).
Scenario D
LX 100
Zurich (ZRH)
BA 1255
London (LHR)
Mexico City (MEX)
16
Mail is dispatched from Zurich to Mexico City. This mail is transited via London. Swiss is used to carry
the dispatch from Zurich to London, and British Airways is used to transport the dispatch from London to
Mexico City. There are two fundamental possibilities at London:
a
The mail is directly transhipped between Swiss and British Airways. The British designated operator is
not involved, although it must be informed about this arrangement (RL 192). Billing will be carried out
in accordance with RL 250.4.
b
Swiss hands the mail to the British designated operator. That operator, which may now include this
mail in its own dispatch to Mexico City, hands over the mail to British Airways for subsequent carriage
to Mexico City. In this case, British Airways, which has received its "order for carriage" from the British
designated operator, will bill that operator. The contractual relationship is between these two parties.
The British designated operator will bill the Swiss designated operator for the carriage of the Swiss
origin mail, which it may have included in its own dispatch to Mexico City.
4
The CN 38 delivery bill
17
The CN 38 delivery bill (or where applicable, its electronic equivalent) is the fundamental document
used by airlines and designated operators for billing purposes. It is this document which first records the
weight and the sector – the two basic items of information required to determine conveyance dues – of mail
carried. Information from this document is subsequently consolidated to arrive at the actual accounts relating
to the carriage of airmail.
18
A completed CN 38 delivery bill with the various fields indicated with numbers is provided below. The
numbers of the fields and their purpose are as follows:
i
Designated operator of origin. This is the designated operator preparing the CN 38 delivery bill.
ii
Office of origin of the bill. This is the dispatching office of exchange preparing the CN 38 delivery bill.
iii
Office of destination of the bill. This is the destination office of exchange, to which the CN 38 is
addressed.
iv
Date. This is the date on which the CN 38 is prepared.
91
v
Serial No. This is a serial number given to the CN 38 to aid its identification should this be required for
reconciliation purposes.
vi
Priority. This box is checked if the CN 38 lists priority mails.
vii
By airmail. This box is checked if the mails listed on the CN 38 are to be transported by air (this is to
allow for the possibility that airmail may be transported by another mode of transport).
viii
Flight No. This is the number of the flight on which the mails listed in the CN 38 are to be carried.
ix
Date of departure. This is the date of the flight referred to in field 8 above.
x
Time. This is the departure time of the flight referred to in field 8 above.
xi
Airport of direct transhipment. The name of the airport where mail is directly transhipped from one
airline to another, or by the same airline. In this case both flight numbers are indicated in field 8, Flight
No. (e.g. LX 200/BA 195).
xii
Airport of offloading. This is the final destination airport of the CN 38 bill, where the mails listed on the
bill are to be offloaded and transported to the destination office of exchange.
xiii
No. of container. Should one or more containers be used, the container number is indicated (e.g. AKE
5647).
xiv
No. of seal. The number of the seal used to seal the respective container is indicated here.
xv
Mail No. This is the mail number attributed by the office of origin of the relevant mail included in column 1 of the CN 38. A CN 38 can include several mails from the same office of origin, or mails with
different offices of origin which may be in different countries. For example, a CN 38 prepared by Zurich
for London could include mails 29 and 30 originating in Zurich and destined for London, and include
mail 56 from Bombay transiting through Zurich on its way to London. The latter (mail 56 from Bombay)
would normally have been entered on another CN 38 from Bombay to Zurich.
xvi
Office of origin. This is the office of origin of the mail bearing the number indicated in column 1.
xvii
Office of destination. This is the office of destination of the mail bearing the number indicated in column 1.
xviii
Number of letter post/CP/EMS receptacles. This is the number of receptacles comprising the mail
listed in column 1. Receptacles include bags, trays, etc., used to store mail. An airline container is not
included.
xix
Gross weight of receptacles, etc. This is the gross weight of the relevant receptacles (Letter Post, CP,
and EMS) which make up the mail listed in column 1. Weights are expressed to the nearest
100 grammes.
xx
Observations (including the number of M bags and/or loose parcels). Self-explanatory.
xxi
Dispatching office of exchange. Signature. This is the signature of the dispatching office of exchange
preparing the CN 38.
xxii
The official of the carrier or airport. Date and signature. This is the signature of the official accepting
the mail on behalf of the airline.
xxiii
Office of exchange of destination. Date and signature. Date of receipt and signature of the official at
the office of exchange of destination, to which the CN 38 is addressed.
92
93
19
An example of a correctly completed CN 38 form is given at the end of this chapter. All indications
given therein are for illustrative purposes only. It will be noted that this CN 38, prepared by the DELHI AIR
exchange office for LONDON FS (carriage by Air India from Delhi to London Heathrow) lists the following
mails:
Mail No.
Office of origin
Office of destination
151
DELHI AIR
LONDON FS
152
DELHI AIR
LONDON FS
206
DELHI AIR
DUBLIN – D (to be reforwarded from London)
352
COLOMBO
LONDON FS (mail reforwarded from Delhi)
20
This CN 38 will give rise to the following accounting settlements:
a
Air India will bill the Indian designated operator for transporting all this mail;
b
Mail 206 – the British designated operator will bill India for the London–Dublin sector;
c
Mail 352 – the Indian designated operator will bill Sri Lanka for the Delhi–London sector.
21
It may be added that for S.A.L. mails, the CN 41 delivery bill is used instead of the CN 38. It will be
noted that this is practically identical to the CN 38. Only fields 6 and 7 of the CN 38 (pertaining to priority and
transmission by airmail) are missing.
5
Empty bag billing scenarios
22
Some examples to demonstrate the billing process for empty bags are given below:
Scenario A
23
India (sending designated operator) returns empty bags to Great Britain (owning designated operator)
using Air India.
Al 111
Delhi (DEL)
London (LHR)
Air India will bill Great Britain on the basis of the CN 47 established by India.
Scenario B
24
India (sending designated operator) returns empty bags to Great Britain (owning designated operator)
using British Airways.
BA 144
Delhi (DEL)
London (LHR)
British Airways will bill Great Britain on the basis of the CN 47 established by India.
94
Scenario C
25
India (sending designated operator) returns empty bags to Great Britain (owning designated operator)
in transit via Zurich. Air India is used for the sector Delhi–Zurich, and British Airways for the sector Zurich–
London. Direct transhipment is made at Zurich.
Direct
transhipment
Al 111
BA 265
Zurich (ZHR)
Delhi (DEL)
London Heathrow (LHR)
Air India will bill Great Britain for the sector DEL–ZRH on the basis of the CN 47 established by India. British
Airways will bill Great Britain for the sector ZRH–LHR on the basis of the CN 47 established by India.
Scenario D
26
India (sending designated operator) returns empty bags to Great Britain (owning designated operator)
in transit via Zurich. Air India is used for the sector Delhi–Zurich and British Airways for the sector Zurich–
London. Transfer at Zurich is performed by the Swiss designated operator.
Swiss
designated
operator
Al 111
Delhi (DEL)
BA 265
Zurich (ZHR)
London Heathrow (LHR)
Air India will bill Great Britain for the sector DEL–ZRH on the basis of the CN 47 established by India. British
Airways will bill Great Britain for the sector ZRH–LHR on the basis of the CN 47 established by Switzerland.
Switzerland will also bill Great Britain for transit charges.
27
Thus, inter-designated operator accounting in respect of empty airmail bags will be limited to the settlement of transit charges, when applicable. Costs for the transport of these bags will be billed to the
designated operator owning the bags direct by the carrier(s) concerned. No inter-designated operator
accounts for air conveyance costs will be generated by empty bags alone.
6
Internal air conveyance
28
Foreign-origin airmail destined for delivery in a given country is received at one or more principal airports of the country. While some of this mail will be distributed in the cities served by the airports of arrival of
this mail and their surrounding areas, some mail can be re-forwarded by surface to other destinations. However, it is possible that some of the mail will be reforwarded by air to other destinations in the country. The
95
destination country is entitled to claim internal air conveyance dues from the designated operator of origin of
the mail. These dues are intended to offset the costs of air transmission within the country of destination.
Designated operator of destination
C
Designated operator of
origin
A
Mail reforwarded
internally from B
B
D
Airport of arrival in designated operator
of destination
29
A designated operator sends mail from airport A to another designated operator which receives this
mail at airport B. Some of this mail is delivered in city B or reforwarded from B by surface. However, some of
the incoming mail is given further air transmission to airports C and D for further delivery within the designated operator of destination. The designated operator of destination is entitled to claim internal air conveyance dues from the designated operator of origin to offset the costs of domestic transmission by air.
30
Internal air conveyance dues for a given designated operator will be fixed in the form of a single price.
This price includes the costs for air transmission within the country, less the corresponding surface conveyance costs. This price cannot exceed the basic airmail conveyance rate as determined by the Montreal
Formula for that year, and is also determined from the weighted average distance of the sectors flown by the
international mail on the internal network. This distance is calculated by the International Bureau on the basis
of data furnished by designated operators (RL 244.5).
31
Internal air conveyance dues are, however, not payable if (article 34.4 and 5 of the Convention):
–
the weighted average distance does not exceed 300 km;
–
the terminal dues levied by the designated operator of destination are based specifically on costs or on
domestic rates.
32
Internal air conveyance dues are not payable where target system terminal dues are paid for bulk mail
because those rates are based on domestic rates.
33
For calculating the weighted average distance, the designated operator of destination will exclude the
weight of all mails for which the terminal dues calculation is based specifically on costs or on domestic rates
(Convention article 34).
34
Dues payable for air conveyance of airmails in transit between two airports in the same country may
also be fixed in the form of a single price. This price is calculated on the basis of the rate actually paid for air
conveyance within the country of transit. The price, however, cannot exceed the basic airmail conveyance
rate. It is also calculated according to the weighted average distances of the sectors flown by international
mail on the internal air network of the transit country (RL 244.6).
6.1
Process flow for billing internal air conveyance dues
35
The process flow for billing internal air conveyance is as follows:
a
CN 31 and CN 32 letter bills are sorted by origin exchange office.
b
These letter bills are consolidated in a CN 55 statement of mails, prepared quarterly for each origin
exchange office.
96
c
CN 55 statements can be incorporated into a CN 51 detailed account at this stage. If the CN 51 is
prepared on a half-yearly or annual basis, however, the CN 55 can be consolidated in a CN 56
recapitulative statement of mails prepared every quarter. The CN 56 accounts are then incorporated
into the CN 51 account. The total weight of mail therein is multiplied by the rate per kg, which is calculated and published by the IB in a circular for eligible designated operators.
Expressed graphically:
CN 32
CN 31
CN 55
CN 56
CN 51
97
98
Appendix C – Overview of terminal dues timelines
Accounting
for year Y
Form
CN 56
(last quarter)
CN 54
(last quarter)
Year Y+1
Jan
Feb
Mar
Apr
May
Jun
Aug
Sep
Oct
Nov
Dec
2 months
4 months
3 months (only 2
months if electronic)
3 months
1
1
month month
CN 54bis
CN 57
(last quarter)
4 months
2 months
CN 10
(last quarter)
4 months
2 months
CN 19
2 months
7 months
CN 61
Representation
of deadlines:
Jul
10 months
Deadline
for sending
Deadline for
accepting
2 months
99
Appendix D – Country classification
1
Through resolution C 77/2012, the 25th Congress classified countries and territories for terminal
dues and Quality of Service Fund (QSF) purposes into six groups.
Group 1.1 – List of countries and territories that were in the target system prior to 2010, that apply the target
terminal dues system during the period from 2014 to 2017, and that contribute to the QSF as provided for in
article 32 of the Convention
Countries and territories
Australia
– Norfolk Island
PDI
0.421
–
Austria
0.623
Belgium
0.576
Canada
0.402
Denmark
0.669
– Faroe Islands
–
– Greenland
0.229
Finland
0.576
France
0.558
French Overseas Territories coming within the Union's jurisdiction
by virtue of article 23 of the Constitution:
– French Polynesia
0.346
– New Caledonia
0.226
– Wallis and Futuna Islands
0.034
Germany
0.602
Great Britain
– United Kingdom of Great Britain and Northern Ireland
0.499
– Guernsey
0.545
– Isle of Man
0.627
– Jersey
0.729
Overseas Territories (United Kingdom of Great Britain and Northern Ireland):
– Falkland Islands (Malvinas)
0.299
– Gibraltar
0.447
– Pitcairn Islands
0.149
– Tristan da Cunha
–
Greece
0.268
Iceland
0.323
Ireland
0.468
Israel
0.317
Italy
0.381
Japan
0.498
Liechtenstein
–
100
Countries and territories
Luxembourg
PDI
0.833
Monaco
–
Netherlands
0.578
New Zealand
0.336
Norway
0.927
Portugal
0.277
San Marino
0.672
Spain
0.347
Sweden
0.556
Switzerland
0.829
United States of America
0.575
Vatican
–
Group 1.2 – List of countries and territories that joined the target system in 2010
Countries and territories
PDI
Aruba
0.285
Bahamas
0.316
Hong Kong, China
0.347
Kuwait
0.474
Overseas Territories (United Kingdom of Great Britain and Northern Ireland):
– Anguilla
0.267
– Bermuda
0.857
– British Virgin Islands
0.540
– Cayman Islands
0.728
– Turks and Caicos Islands
0.377
Qatar
0.598
Singapore
0.445
Slovenia
United Arab Emirates
0.394
1
0.495
Group 2 – List of countries and territories that joined the target system in 2012
Countries and territories
PDI
Antigua and Barbuda
0.151
Bahrain (Kingdom)
0.190
Barbados
0.165
Brunei Darussalam
0.310
1
Specifically concerning the case of the United Arab Emirates, regardless of the provisions in the methodology for the
classification of countries for the 2014–2017 period, Congress decided to allow that country to apply the same terminal
dues rates as countries classified in group 3 for the 2014–2017 period, with that country applying the provisions
pertaining to countries in group 1.2 for the purposes of the Quality of Service Fund and the terminal dues link to quality of
service.
101
Countries and territories
PDI
Croatia
0.175
Curaçao
0.237
Cyprus
0.309
Czech Rep.
0.303
Dominica
0.104
Estonia
0.223
Grenada
0.174
Hungary
0.210
Korea (Rep.)
0.254
2
0.148
Macao, China
0.375
Malta
0.271
Latvia
Territory under New Zealand:
– Cook Islands
0.153
Overseas Territories (United Kingdom of Great Britain and Northern Ireland):
– Montserrat
0.142
Poland
0.161
Saint Christopher (St. Kitts) and Nevis
0.131
Saudi Arabia
0.149
Sint Maartin
0.237
Slovakia
0.215
Trinidad and Tobago
0.174
Group 3 – List of countries and territories that apply the transition system provisions up to 2015 and the new
target provisions as of 2016, that benefit from and contribute to the QSF as provided for in article 32 of the
Convention
Countries and territories
PDI
Argentina
0.079
Belarus
0.091
Bosnia and Herzegovina
0.058
Botswana
0.059
Brazil
0.117
Bulgaria (Rep.)
0.076
Chile
0.096
China (People's Rep.)
0.073
Costa Rica
0.065
Cuba
0.063
Fiji
0.067
Gabon
0.065
2
Latvia has voluntarily acceded to the target system as of 1 January 2014, as a group 2 country.
102
Countries and territories
PDI
Jamaica
0.070
Kazakhstan
0.068
Lebanon
0.079
Lithuania
0.135
Malaysia
0.106
Mauritius
0.098
Mexico
0.081
Montenegro
0.078
Nauru
0.107
Territory under New Zealand:
– Niue
0.051
Oman
0.173
Panama (Rep.)
0.064
Romania
0.088
Russian Federation
0.093
Saint Lucia
0.102
Saint Vincent and the Grenadines
0.072
Serbia
0.077
Seychelles
0.108
South Africa
0.076
Suriname
0.053
Thailand
0.066
the former Yugoslav Republic of Macedonia
0.056
Turkey
0.097
Ukraine
0.055
Uruguay
0.092
Venezuela (Bolivarian Rep.)
0.099
Group 4 – List of countries and territories that apply the transition terminal dues system during the period
from 2014 to 2017 and that benefit from the QSF as provided for in article 32 of the Convention
Countries and territories
PDI
Albania
0.037
Algeria
0.040
Armenia
0.029
Azerbaijan
0.046
Belize
0.037
Bolivia
0.015
Cameroon
0.013
Cape Verde
0.030
Colombia
0.048
103
Countries and territories
PDI
Congo (Rep.)
0.018
Côte d'Ivoire (Rep.)
0.014
Dem People's Rep. of Korea
0.012
Dominican Republic
0.042
Ecuador
0.034
Egypt
0.022
El Salvador
0.034
Georgia
0.023
Ghana
0.015
Guatemala
0.026
Guyana
0.025
Honduras (Rep.)
0.015
India
0.017
Indonesia
0.027
Iran (Islamic Rep.)
0.047
Iraq
0.020
Jordan
0.040
Kenya
0.015
Kyrgyzstan
0.010
Libya³
0.108
Maldives
3
0.051
Moldova
0.032
Mongolia
0.016
Morocco
0.034
Namibia
0.043
Territory under New Zealand:
– Tokelau
0.017
Nicaragua
0.017
Nigeria
0.010
Overseas Territories (United Kingdom of Great Britain and Northern Ireland):
– Ascension
0.036
– St Helena
0.025
Pakistan
0.012
Papua New Guinea
0.015
Paraguay
0.022
Peru
0.039
Philippines
0.020
Sri Lanka
0.032
3
The Maldives and Tunisia were reclassified as group 4 countries by the 2013.2 CA. Libya was reclassified as a group 4
country by the 2015.2 CA for 2016–2017.
104
Countries and territories
PDI
Swaziland
0.044
Syrian Arab Rep.
0.023
Tajikistan
0.009
Tonga
0.046
Tunisia
4
0.052
Territory under United States of America:
– Samoa
0.038
Uzbekistan
0.013
Viet Nam
0.024
Zimbabwe
0.005
Group 5 – List of countries and territories that apply the transition terminal dues system during the period
from 2014 to 2017 and that benefit from the QSF as provided for in article 32 of the Convention
Countries and territories
PDI
Afghanistan
0.003
Angola
0.032
Bangladesh
0.008
Benin
0.009
Bhutan
0.019
Burkina Faso
0.004
Burundi
0.002
Cambodia
0.006
Central African Rep.
0.003
Chad
0.005
Comoros
0.021
Democratic Republic of the Congo
0.001
Djibouti
0.012
Equatorial Guinea
0.122
Eritrea
0.005
Ethiopia
0.004
Gambia
0.006
Guinea
0.043
Guinea-Bissau
0.004
Haiti
0.006
Kiribati
0.026
Lao People's Dem. Rep.
0.008
Lesotho
0.011
Liberia
0.001
4
The Maldives and Tunisia were reclassified as group 4 countries by the 2013.2 CA. Libya was reclassified as a group 4
country by the 2015.2 CA for 2016–2017.
105
Countries and territories
PDI
Madagascar
0.003
Malawi
0.008
Mali
0.004
Mauritania
0.007
Mozambique
0.003
Myanmar
0.012
Nepal
0.008
Niger
0.002
Rwanda
0.011
Sao Tome and Principe
0.018
Senegal
0.009
Sierra Leone
0.002
Solomon Islands
0.013
Somalia
0.000
South Sudan
–
Sudan
0.010
Tanzania (United Rep.)
0.005
Timor-Leste (Dem. Rep.)
0.018
Togo
0.008
Tuvalu
0.054
Uganda
0.006
Vanuatu
0.023
Western Samoa
0.031
Yemen
0.009
Zambia
Palestine
5
0.010
5
Palestine has observer status within the UPU by virtue of resolution C 115/1999 of the Beijing Congress.
0.017