Statistics and Accounting Guide
January 2016 edition
Contact: Mr Philippe Grondein (philippe.grondein@upu.int)
Remuneration Systems Programme
Economic and Regulatory Affairs Directorate
UPU International Bureau
This version of the guide includes changes to the UPU Convention decided upon by the 2012
Congress, and changes to the Letter Post Regulations decided upon by the Postal Operations Council
up to April 2015
3
Table of contents
Page
Chapter I – Terminal dues rates and transit charges
6
1
The terminal dues system
6
1.1
Rates – Target system
6
1.2
Rates – New target system
8
1.3
Rates – Transitional system
8
1.4
Exchange of format-separated mails
9
1.5
Accession to the target system
9
1.6
Registered and insured items
10
1.7
M bags
10
1.8
Contributions to the Quality of Service Fund (QSF)
10
1.9
Bulk mail
10
1.10 Link to quality of service
12
1.11 Direct access
14
1.12 International business reply service (IBRS)
14
1.13 Advice of delivery service (AR)
15
2
Transit: conveyance and charges
15
2.1
Conveyance to the country of destination
15
2.2
Transit of à découvert items and missent items
16
2.3
Return of empty bags
18
3
Exemption from terminal dues and transit charges
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
21
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
30
2.6
Notice of design decisions
33
2.7
Statistical counts not performed
33
Chapter III – Terminal dues system operations and accounting
1
40
Operations concerning registration of weight and number of ordinary mail and
registered and insured items subject to terminal dues
40
1.1
Operations at the office of exchange of origin – CN 31 letter bill
40
1.2
Procedures for returning empty bags
42
4
Page
1.3
Operations at the office of exchange of destination
42
1.4
Operations at the central service of the designated operator of destination
43
2
Operations concerning bulk mail
44
2.1
Operations at the office of exchange of origin
44
2.2
Operations at the office of exchange of destination
45
2.3
Operations at the central service of the designated operator of destination
45
3
Accounting for terminal dues
46
3.1
CN 61 detailed account
46
3.2
Time limit for submission of CN 61
46
3.3
Time limit for acceptance of CN 61
46
4
Settlement of terminal dues accounts
47
4.1
CN 64 statement
47
4.2
Time limit for acceptance of CN 64
47
5
Quality of Service Fund accounting
47
5.1
Regular billing
47
5.2
Time limit for payment
48
Chapter IV – Transit operations and accounting
1
59
Registration of the weight of mail subject to closed transit charges and
of empty receptacles
59
1.1
Operations at the office of exchange of origin
59
1.2
Operations at the office of exchange of transit
59
1.3
Operations at the central service of the designated operator of transit
60
2
Determination of the weight of à découvert (open transit) items
60
2.1
Operations at the office of exchange of origin
60
2.2
Operations at the office of exchange of transit
61
2.3
Determination of the weight of empty receptacles
62
3
Preparation of detailed accounts for transit (closed and open transit) and
empty bags
63
3.1
Accounting for surface transit mail
63
3.2
Accounting for air transit mail
63
3.3
Accounting for empty receptacles
64
3.4
Accounting for internal air conveyance
64
3.5
Submission and acceptance of CN 51 accounts
64
4
Settlement of transit charges accounts
65
4.1
Settlement
65
4.2
Methods of payment
65
4.3
Time limit for payment
65
5
Page
5
Provisional payments of terminal dues and transit charges accounts
65
5.1
When and on what basis a provisional payment may be requested
65
5.2
Exchange rate to be applied
66
Appendix A – Statistical operations related to terminal dues
78
1
Overview of UPU system sampling requirements
78
2
Formulae for estimation of annual IPK and annual items
78
Appendix B – Information on airmail accounting
81
1
The basic airmail conveyance rate
81
2
Definition of tonne-kilometre and kg-kilometre
81
3
How weights and distances are measured
81
4
The CN 38 delivery bill
84
5
Empty bag billing scenarios
87
6
Internal air conveyance
88
Appendix C – Country classification
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
93
6
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 C 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.
7
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 to 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 2014 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.
1.1.2 Example of the calculation of terminal dues rates in the target system for the year 2014
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 2013: 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: 2.2 SDR per kg and 0.2 SDR per item. On the basis of this information the rates for 2014
will be determined as below:
i
The applicable percentage of domestic charges is 70% (article 30.5). The minimum rates for 2014 are
0.203 SDR per item and 1.591 SDR per kg and the maximum rates are 0.294 SDR per item and 2.294
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 a 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: 0.203 + 1.591 x 0.0818 = 0.3333;
–
cap TD amount at 81.8 g: 0.294 + 2.294 x 0.0818 = 0.4816;
–
TD amount of the previous year at 81.8 g: 0.2 + 2.2 x 0.0818 = 0.3800.
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.
–
The amount of 0.667 is higher than the cap TD amount of 0.482. The cap amount is 27% 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: 0.380 x 1.13/0.3333 = 1.2883.
8
1.2
–
The final rate per item, rounded to three decimal places, will be 1.2883 x 0.203 = 0.262 SDR
–
The final rate per kg, rounded to three decimal places, will be 1.2883 x 1.591 = 2.050 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),
19
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.
20
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.
9
1.4
Exchange of format-separated mails
21
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.
22
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 900 mm; maximum weight:
2 kg (5 kg for items containing books or pamphlets).
23
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.
24
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.
25
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.
26
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.
27
The practical details (fulfilment of conditions/threshold, start date, etc.) should be the subject of a mutual agreement between the designated operators concerned.
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
10
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;
–
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.
11
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).
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).
12
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:
–
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.
13
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 2014 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 2014 with base terminal dues rates of 0.205 per item and
1.600 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 0.205 SDR = 0.196 SDR;
–
per kg = 95.67% x 1.600 SDR = 1.531 SDR.
56
In this example, the terminal dues rates will be set at 0.203 SDR per item and 1.591 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:
–
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.
14
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. 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 net weight of items, plus a rate for handling transit dispatches of 0.530 SDR per
kg as set in article RL 208.
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
2016. 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 0.312 SDR per item and 2.434 SDR per kg.
65
The basic air conveyance rate for 2016 is 0.000624 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 (0.312 x 1,700 items + 2.434 x 25 kg) =
473 SDR;
ii
the basic air conveyance charge per kg will be: 25 kg x (0.530 + 0.000624 x 10,000 km) =
169.250 SDR;
iii
the total amount due will be: 473 SDR + 169.250 SDR = 642.250 SDR.
67
The total amount due from designated operator B to designated operator A for the return of IBRS
items will be 642.250 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.
15
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. A table showing the sum of the two components, which is to be
entered on the CN 62 detailed account, is included in the commentary to article RL 208.1 in the Letter Post
Manual.
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. A table showing the sum of the two
components, which is to be entered on the CN 62, is included in the commentary to article RL 208.1 in the
Letter Post Manual.
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.
16
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:
Countries of
destination
Distance
(km or nautical
miles)
Type of conveyance
Transport rate per kg
according to article
RL 205 (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
17
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.
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
18
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
Return of empty bags
2.3.1 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).
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.
19
–
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:
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 C;
–
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 C.
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. The recommended threshold for avoiding sampling
costs between group 1.1 countries is 50 tonnes. 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):
–
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.
21
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).
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.
22
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 or month, 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 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. Preferably, quarters rather than months should
be used 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 sample of receptacles
is computer-selected every working day for testing throughout the observation period. This method is
recommended.
—
Alternatively, the statistical count should consist of at least 48 days of observation per year of sampling, with four days per month. The 48 days of observation per year of sampling should be distributed
as uniformly as possible across months and working days of the week of the exchange office.
Examples of possible distributions of observation days across the year of sampling are given in
tables 1 and 2 below.
23
Table 1: Structure for six-day operation from Monday to Saturday
Month
January
Monday
Tuesday
Wednesday
1
Thursday
1
February
1
March
1
April
1
1
1
1
1
June
1
July
1
1
1
September
1
October
1
1
4
1
1
4
1
1
4
1
1
4
1
1
4
1
1
4
1
4
1
November
1
4
1
1
1
1
1
August
Total
observation days
per month
4
1
1
Saturday
1
1
May
Friday
1
1
December
1
1
1
1
Number of
observations
of the day of
the week per
year
8
8
8
8
1
1
4
1
1
4
4
8
8
48
Table 2: Structure for a five-day operation from Monday to Friday
Monday
Tuesday
Wednesday
January
1
1
1
February
1
1
March
1
1
April
1
Month
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
24
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 (or month), 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
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).
25
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:
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
26
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
Countries invoking the revision mechanism 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. It is recommended that designated operators employ
continuous sampling, in which a systematic or randomized sample of receptacles is computer-selected
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
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
27
Table 2: Structure for a five-day operation from Monday to Friday
Month
Monday
January
Tuesday
1
February
1
1
June
1
1
1
1
October
1
November
2
1
2
1
2
2
1
5
2
2
1
5
2
2
1
1
5
1
1
December
Number of
observations of
the day of the
week per year
2
1
1
September
Total observation
days per month
1
May
August
Friday
2
1
1
July
Thursday
1
March
April
Wednesday
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.
28
40
The weight and 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
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
Total
96
888
29
2.4
Data collection
2.4.1 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;
ii
registered letter-post items designated by mail subclass code UR and exchanged in mail flows
between target system countries shall be excluded from statistical sampling. The statistical values
shall instead be based on the actual counts of registered items recorded on forms CN 31, CN 33,
CN 55 and CN 56 (RL 229.8). This means that only registered items dispatched in separate UR 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 either for each day or for each quarter (depending on what
period breakdown is chosen for the CN 54). 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 weights. 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 S 9 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 below should be followed in order to complete the CN 53 form:
i
Complete the top portion of the CN 53 that identifies the flow being sampled by the designated operator at a particular exchange office on a particular day, month or quarter for a particular mail category
and format (X: mixed mails, P: small letters, G: large letters, P/G or S: small and large letters, E: bulky
30
letters). If the form is used for one type of receptacle, the type of receptacle can also be inserted in the
top portion of the form. The codes of receptacle types can be found in the UPU code list 121.
ii
Complete the rows in the second table of the form with information on the receptacles sampled: the
day of sampling, the S9 receptacle identifier, the receptacle type if the form is used for multiple
receptacle types, the number of items contained in the receptacle (excluding the items that are not
subject to sampling), the gross weight of the receptacle subject to sampling (i.e. the weight of the sampled items and the tare weight receptacle), and the net weight of the sampled items.
iii
If more than 14 receptacles are sampled within the period for which the statement is prepared, use
additional pages of CN 53 forms as required. Note the page number in the total number of pages used
on the right at the bottom of the form.
iv
Enter the sum of the number of items in the sampled receptacles and the sum of their gross and net
weights into the row "Total" on the last page (when several pages are used). Determine the IPK by
dividing the number of items by the gross weight.
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.
2.5
Estimation
50
Estimation of items and IPK is done independently for each quarter (or month) mail category and
format, where applicable. Quarter (or month) refer either to the sampling date or to the dispatch date.
Designated operators should indicate which option has been chosen.
51
For a specific month (or 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 month (or quarter), mail category and format;
–
dividing the total sample items by total sample gross weight to obtain an estimated IPK for that month
(or quarter), mail category and format;
–
multiplying the estimated IPK by the total dispatched weight for that month (or quarter) and mail category to develop an estimate of items for that month (or quarter) and mail category.
52
Designated operators with multiple offices of exchange may also wish to weight their estimates for a
given month (or quarter), mail category and format by the dispatched weight received at each office of
exchange for that month (or 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 monthly (or quarterly)
estimated IPKs shown on the CN 54 by the applicable dispatched weights for the related month (or quarter)
and summing the monthly (or quarterly) estimate of items across all 12 months. The annual estimated IPK is
the ratio of the annual estimate of items divided by the annual dispatched weight.
55
If the designated operators concerned exchange format-separated mails, separate CN 54bis should be
prepared for each format exchanged on the basis of the CN 54 and the annual dispatched weights of each
format. The CN 54bis statements by format are further consolidated on the annual recapitulative statement
CN 54ter 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 CN 53 forms should be organized for consolidation as follows:
i
For those exchanges between target designated operators where format separation is applied, the
CN 53 forms from all offices of exchange for a given flow are consolidated by format; otherwise,
consolidate the CN 53 forms from all offices of exchange for the given flow, by mail category.
31
ii
Separate the forms by each mail category, and by month. Replace "month" with "quarter" if your
designated operator has elected to relate sample data to weight by quarter, rather than by month
(RL 225).
iii
For those exchanges between target designated operators where multiple receptacle types are used
(e.g., letter trays, flat tubs, bags, etc.), countries may develop estimates of items based upon receptacle type (the "alternative approach", pursuant to RL 231). The CN 53 data is further separated by
receptacle type.
2.5.2 Completing the recapitulative statement of items (CN 54)
57
If format separation is not applied between the designated operators concerned, one single CN 54 will
be prepared for LC/AO mixed mails. If format separation is applied, individual CN 54 statements are prepared for each format exchanged for the period in question.
58
The steps below can be followed in order to complete the CN 54 form:
i
Sum up for each month (or quarter), mail category and format the total number of items and total
weight from CN 53 forms across all exchange offices and all observation days in a month. Divide the
total number of items by the total weight to establish the estimated IPK in a month (or quarter).
–
Countries with multiple exchange offices may wish to weight their estimates for a given month
(or quarter) and mail category by the weight received at each office of exchange for that month
(or quarter) and mail category. In this case, the totals in (i) should be calculated for each office of
exchange.
–
Under the alternative approach, the estimation of the monthly (or quarterly) number of items will
be the weighted average of the IPKs that are computed separately for each unique combination
of mail category and receptacle type. The IPKs for a given mail category and receptacle type are
applied to the weight of the mail for that mail category and receptacle type.
ii
Enter on the CN 54 the total weight, number of items and IPK from (i).
iii
Send the CN 54 recapitulative statement, 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 included in
the statistics for the target system sampling and no later than one month for the revision mechanism
sampling. In addition to paper hard copies, these CN 53 and CN 54 bills are to be provided, whenever
possible, in a standardized electronic format (RL 233.1.3 and 234.1.3).
iv
If format separation is applied between the designated operators concerned, the CN 54 statements by
format should be sent at the same time for the quarter or month to which they relate.
v
The CN 54 recapitulative statements are considered fully accepted unless comments are received
from the corresponding designated operator within three months of receipt.
2.5.3 Completing the annual recapitulative statement of items (CN 54bis)
59
When the statistical count is made on a monthly or quarterly basis, using 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).
60
When the statistical count is made on a yearly basis, at the end of the fourth quarter, and 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).
61
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 month (or quarter) and the
accepted IPK for the sample period. Multiplying the accepted weights and IPKs across each month (or quarter) provides the total number of items for the sample period.
32
2.5.4 Completing the annual statements of items for exchanges of format-separated mails (CN 54bis and
CN 54ter)
62
In case of format-separated exchanges, individual CN 54bis are prepared for each format on the basis
of the accepted CN 54 statements and the related CN 55bis and CN 56bis statements of weights, following
the same process as above but at format level. In this case, the annual results table at the end of the CN 54
form should not be completed.
63
The total weights and number of items for each mail category and format are carried forward on the
annual CN 54ter statements of items:
–
in case of statistical counts being performed for format-separated exchanges, the total annual number
of items and weights are calculated in table A of the CN 54ter by summing up the number of items and
weights respectively across all formats and mail categories. The average IPK value to be carried forward on the CN 61 is calculated by dividing the total number of items by the total weight.
–
in case of format-separated exchanges not involving statistical counts, the weight from the CN 56bis
and the IPK values fixed by the POC or agreed between the designated operators concerned are
centralized in table B of the CN 54ter statement. If the flows concerned fall under the target system
provisions, the total number of items and the average IPK for the flow concerned are calculated and
carried forward on the CN 61 account. If the flows concerned fall under the transition system provisions, the revised terminal dues rate is calculated using the rates in the UPU Convention and the
revised IPK, and is carried forward on the CN 61.
64
The CN 54bis recapitulative statements by format and the CN 54ter should be sent at the same time to
allow proper verification and acceptance within the required deadline of one month (RL 233.2.4). Accepted
CN 54 statements do not imply that the respective CN 54bis and CN 54ter 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).
65
In exceptional cases, it may be mutually agreed between the designated operators concerned to prepare mixed mails for flows originating from certain offices of exchange, owing to very low volumes (RL 175.8).
In this case, the CN 54ter could be amended by including an additional line to capture the weights and
number of items for the mixed flows, as below:
Format
P or P/G
Priority mail
(air and surface)
Non-priority mail
(S.A.L. and surface)
Weight
Weight
kg
Number
of items
kg
Number
of items
Total mails
Weight
kg
Number of
items
Average
number of
items per
kg
–
G
–
E
–
X
–
Total
a
b
c
66
In mail flows between target system countries containing registered letter-post items designated by
mail subclass code UR that were excluded from statistical sampling (RL 229.8), the weights of those
receptacles should not be used to estimate the number of items and therefore should be deducted from the
CN 54 and CN 54bis statements. The statistical values shall instead be based on the actual counts of registered items recorded on forms CN 31, CN 33, CN 55 and CN 56 (RL 229.8). The weights of the UR receptacles shall be calculated separately and included directly on the CN 54ter, using a supplementary line as
below:
33
Format
P or P/G
Priority mail
(air and surface)
Non-priority mail
(S.A.L. and surface)
Weight
Weight
Number
of items
kg
Number
of items
kg
Total mails
Weight
kg
Number of
items
Average
number of
items per kg
–
G
–
E
–
X
–
UR
–
Total
2.5.5
a
b
c
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 second column of table A.2 of the CN 61.
69
Completed examples of the CN 53, CN 54, CN 54bis, CN 54ter 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 229.4, 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 average 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
35
36
37
38
39
40
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.
–
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
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 should accompany
each mail dispatch, except for bulk mails and direct access mails (RL 179.1).
5
This form is numbered, at the heading "Mail No.", according to an annual series for each office of
destination. These series are numbered separately for priority and non-priority mail (designated operators
using the system of classification based on speed of handling) or for airmail, S.A.L. mail and surface mail
(designated operators using the system of classification based on content).
6
The number of priority/non-priority LC/AO receptacles and M bags subject to terminal dues and, if
applicable, transit charges must be entered in table 1 of the CN 31 form. The number of empty receptacles is
also entered in table 1.
41
1.1.1 Entry of weight
7
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.
The weight of each bag or receptacle is rounded off to the nearest 100 grammes.
Examples:
from 9.001 to 9.049 kg => 9.0 kilogrammes;
from 9.050 to 9.099 kg => 9.1 kilogrammes.
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
8
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
9
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 dispatch list.
10
Designated operators dispatching more than 100,000 registered items per year to a destination designated operator must dispatch all of their registered items under a mail dispatch series exclusively for registered items (RL 180.2).
11
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.
12
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.
42
1.1.4 Filing of CN 31
13
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.
14
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.
1.2
Procedures for returning empty bags
15
The term "empty bags" is intended to mean receptacles of any kind used and owned by designated
postal operators for the carriage of mail.
16
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.
17
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.
18
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.
19
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.
20
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.
21
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.
22
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.
23
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 55 and CN 56 statements from the particulars on the CN 47 delivery bill.
1.3
Operations at the office of exchange of destination
24
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).
43
1.3.1 CN 43 verification note
25
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 findings made are entered in part 3 of the form.
26
If the office of exchange of destination observes that there are registered and/or insured 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.
27
Using the CN 61 detailed account the destination DO may:
–
add 0.5 SDR to the rates (article 29.8) provided for in section B.2 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 monthly statement
28
As soon as possible after receipt of each month's last mail dispatched by the office of exchange of
origin, the office of exchange of destination prepares 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.
29
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).
30
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).
31
In the case of M bags, a table is provided at the bottom of the CN 55 statement for calculating the
weight that will be billed for terminal dues.
32
The office of exchange that prepares the CN 55 monthly statements of mails received sends them to
the central service of its designated operator.
33
At the end of this chapter, you will find an example of a properly completed CN 55 statement.
1.3.3 CN 55bis monthly statement
34
In case of format-separated mails, the designated operators concerned will use the CN 55bis monthly
statement instead of the CN 55, following the same process as for the preparation of CN 55 statements. In
addition, the information on weights by format will be transferred from CN 31 to CN 55bis in the relevant
columns.
1.4
Operations at the central service of the designated operator of destination
1.4.1 CN 56 quarterly statement
35
On the basis of the CN 55 monthly statements of mails received, the relevant central service of the
designated operator of destination prepares quarterly CN 56 statements of mails (RL 235.2). The particulars
of each CN 55 monthly statement take up one line on the quarterly statement.
36
To permit use of the particulars on the CN 56 forms by designated operators of transit, separate statements should be prepared for each forwarding route where different routes are used (RL 235.2 and 235.3).
44
1.4.2 CN 56bis quarterly statement
37
In case of format-separated mails, the designated operators concerned will prepare the CN 56bis
quarterly statement instead of the CN 55, following the same process as for the preparation of CN 56 statements. In addition, the information on weights by format will be transferred from the CN 55bis to the
CN 56bis in the relevant columns.
38
In exceptional cases, where it has been mutually agreed between the designated operators concerned
to prepare mixed mails for flows originating from certain offices of exchange, owing to very low volumes, the
CN 56bis should also comprise those mixed flows from the relevant CN 55 statements of weights. In this
case, the CN 56bis could be amended by including an additional column to capture the weights for the mixed
flows, as below:
Office of origin
Office of destination
Weight – mail subject to terminal dues
P format
1
2
G format
3
kg
g
E format
4
kg
g
Mixed
5
kg
g
6
kg
g
Total to be entered on CN 54bis, actual
weight for month
Total to be entered on CN 61 detailed
account, and where appropriate, on CN 62
detailed account
1.4.3 Transmission of CN 56 statements to the designated operator of origin
39
The CN 56 statements or CN 56bis 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 or
CN 55bis monthly statements (RL 235.3).
1.4.4 Operations performed by the designated operator of origin of the mails. Supporting documents in the
event of a dispute
40
After acceptance of the CN 56 or CN 56bis 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 three 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/CN 56bis forms, it corrects them before
accepting them. It attaches the corrected CN 55/CN 55bis forms in support of the duly amended
CN 56/CN 56bis 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).
41
Designated operators may agree that the CN 55/CN 55bis and CN 56/CN 56bis forms are to be prepared by the designated operator of origin of the mails, with corresponding reversal of the acceptance procedures (RL 236.3).
42
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
43
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 number indicated under the heading "Mail
No." on the form corresponds to a series that is separate from the number series used for general mails.
45
44
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.
45
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.
46
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.
47
In the case of bulk mails, no bag is exempt from terminal dues.
48
At the end of this chapter, you will find duly completed specimens of the upper part of the CN 32 letter
bill and of the bulk mail labels.
2.2
Operations at the office of exchange of destination
49
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).
50
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
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.
51
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.
52
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.
53
When the CN 55 statements of the mails received are being prepared, the information regarding bulk
mail is entered on these forms from the data on the CN 32 letter bills (RL 237.1).
54
You will find a completed example of the CN 55 statement at the end of this chapter.
55
When the CN 56 recapitulative statements of mails are being prepared, the information regarding bulk
mail is entered on these forms from the data on the CN 55 statements (RL 237.1.1).
2.3
Operations at the central service of the designated operator of destination
56
The rules concerning the transmission and acceptance of the CN 56 statements and the terminal dues
accounts apply to terminal dues accounting when bulk mail is subject to a specific payment.
46
57
If they prefer, designated operators applying bulk mail with immediate effect to dispatches of 3,000 or
more items may prepare a CN 57 account from the CN 32 letter bills transmitted to the designated operator
of origin of the mails (RL 197.6.1.3 and RL 237.2.1).
58
The CN 57 account shall be settled by the designated operator of origin within two months of its
preparation (RL 237.2.2).
59
The CN 57 accounts settled by the designated operator of origin of the mails will be the subject of a
CN 58 recapitulative statement. The amount on the CN 58 statement will be deducted from the CN 61
detailed account. A copy of the CN 58 form will be attached to the CN 61 detailed account (RL 237.2.3).
60
Designated operators may agree bilaterally to alternative forms and accounting procedures for bulk
items (RL 237.3).
3
Accounting for terminal dues
3.1
CN 61 detailed account
61
As soon as all the CN 56/CN 56bis statements and, where appropriate, the CN 54, CN 54bis and
CN 54ter 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/CN 56bis
forms. In the heading "to be received", decimals are ignored (RL 254.3). The weight in the detailed account
CN 61 should be given only in whole kilogrammes. The weight carried over from the CN 56/CN 56bis should
be rounded up to the next kilogramme when the decimal fraction is equal or greater than "0.50". The weight
should be rounded down to the nearest kilogramme when the decision fraction is less than "0.50". 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
62
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
63
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
64
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).
65
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
66
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).
47
4
Settlement of terminal dues accounts
4.1
CN 64 statement
67
If provisional payment has been made 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.
68
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
69
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
70
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).
5
Quality of Service Fund accounting
5.1
Regular billing
71
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.
72
The weight of M bags and bulk mail will be excluded from this calculation.
73
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).
74
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.
75
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.
76
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.
77
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.
48
78
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).
79
Each contributing country will have one month from the date of dispatch of the CN 64bis to reject/
accept the amount.
80
Payment will be based on the difference between this final account less any "expedited billing" payments made for the same annual account.
5.2
Time limit for payment
81
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).
49
50
51
52
53
54
55
56
57
58
59
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 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 206.4, 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
Operations at the office of exchange of transit
1.2.1 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 55 statements of mails
6
As soon as possible after receipt in transit of the last mail of every month dispatched by the office of
exchange of origin, the office of exchange of transit prepares a CN 55 statement of mails. This will be prepared from the particulars on the CN 37 delivery bill and, if applicable, from those on the CN 38, CN 41 or
CN 47 delivery bills. However, designated operators of transit may choose not to prepare CN 55 and CN 56
statements themselves, but to use the statements prepared by the designated operators of destination as
accepted by the designated operators of origin (RL 235.2 and 3).
7
When the designated operator of transit prepares the CN 55 statement, the weight of the bags of letter
post (column 7 of the CN 37 delivery bill), comprising M bags and bags of priority/non-priority or LC/AO
items, is indicated in column 12 of the CN 55 statement.
8
The CN 55 and CN 56 forms should list the full six-character international mail processing centre
(IMPC) code of the offices of origin and destination.
9
At the end of this chapter, you will find an example of a properly completed CN 55 statement prepared
by the designated operator of transit from the CN 37 delivery bills.
60
1.3
Operations at the central service of the designated operator of transit
1.3.1 CN 56 quarterly statements
10
On the basis of the CN 55 monthly statements of mails, the relevant central service of the designated
operator of transit prepares quarterly CN 56 recapitulative statements of mails, except where it uses the
CN 56 statements prepared by the designated operators of destination as accepted by the designated
operators of origin (RL 235.2 and 3).
11
If the CN 56 statements are prepared by the designated operator of transit, these must be sent to the
office of origin of the mail according to the same rules for transmission, acceptance and correction indicated
in article RL 236:
–
They are sent in duplicate to the designated operator of origin of the mails no later than five months
after the end of the quarter to which they relate.
–
The designated operator of origin (or designated operator of destination, in the case of special CN 56
statements for returned empty receptacles) returns one copy to the designated operator that prepared
the CN 56.
–
Any amendment must be made within three months (RL 236.2).
2
Determination of the weight of à découvert (open transit) items
2.1
Operations at the office of exchange of origin
12
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.
13
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
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 176.2).
14
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 charge
provided for in article RL 211.1.5 (charge for missent items) may be applied.
15
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.
2.1.1 Bundling of à découvert items
16
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.
61
2.1.2 CN 65 bill – Weight of à découvert items
17
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).
18
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). However, the
transit designated operator may elect for a quarterly or annual statistical period.
19
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).
20
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).
21
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).
22
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).
23
An example of a completed CN 65 delivery bill is provided at the end of this chapter.
2.2
Operations at the office of exchange of transit
24
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).
25
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).
2.2.1 Possibility of converting open transit into closed transit
26
In the case of à découvert items weighing more than three kilogrammes per mail or per day dispatched
to a particular country of destination, the designated operator of transit will be authorized to prepare a CN 31
letter bill for each country, one copy of which it will send to the designated operator of origin (RL 179.8). The
transit designated operator will in such a case be remunerated for closed transit, and the terminal dues
accounting will take place direct between the country of origin and the final country of destination.
62
2.2.2 Statement of weights received in open transit
27
As soon as possible after receipt in transit of the last mail of every month dispatched by the office of
exchange of origin, or during the statistical period, the office of exchange of transit prepares a CN 67 statement of weights on the basis of the data in the CN 65 bills.
28
The office of exchange that prepared the CN 67 statements sends them to the central service of its
designated operator, which will include the data in the detailed transit charges accounts. When actual weight
is used as the basis for the accounting, it is recommended that the relevant central service of the designated
operator of transit consolidate the data in quarterly-specific CN 56 statements for open transit items. The
words "transit à découvert" are indicated at the top of these CN 56 statements. If CN 56 statements are
prepared by the designated operator of transit, they must be sent to the office of origin of the mail according
to the same rules for transmission, acceptance and correction indicated in article RL 236.
2.3
Determination of the weight of empty receptacles
29
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.
30
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.
31
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.
2.3.1 Special CN 55 and CN 56 "empty receptacles" statements
32
Use of the CN 47 delivery bill will provide clear records for the accounting operations of the transit and
destination designated operators. It will make it easier for the transit designated operator to complete specific
CN 55 "empty receptacles" monthly statements and CN 56 "empty receptacles" quarterly statements for
billing the owner of the receptacles for transit services, should it choose to do so.
33
If the transit designated operator chooses to prepare its own CN 55 and CN 56 "empty receptacles"
statements for the return of the empty receptacles, it may send the CN 55 and CN 56 "empty receptacles"
statements direct to the destination designated operator for acceptance. The transit designated operator will
not be required to wait for acceptance of the CN 55 and CN 56 statements by both the dispatching and
destination designated operators.
34
As soon as possible after the receipt of the last surface mail dispatched by the office of origin during a
particular month, the office of exchange of transit prepares a specific CN 55 "empty receptacles" statement
from the particulars on the CN 47 delivery bills. The indication "empty receptacles" is marked at the top of the
CN 55 statements.
35
The office of exchange that prepared the CN 55 "empty receptacles" monthly statements sends them
to the central service of its designated operator.
36
At the end of this chapter, you will find an example of a properly completed "empty receptacles" CN 55
statement.
37
On the basis of the CN 55 "empty receptacles" statements, the relevant central service of the designated operator of transit prepares quarterly-specific CN 56 statements for empty receptacles. The words
"empty receptacles" are indicated at the top of these CN 56 statements.
38
The designated operator of transit should prepare the CN 56 statements and send these in duplicate
to the designated operator of destination of the mails (the designated operator owning the empty bags)
within four months at the latest after the end of the quarter to which they relate.
63
39
At the end of this chapter, you will find an example of a properly completed "empty receptacles" CN 56
statement.
3
Preparation of detailed accounts for transit (closed and open transit) and empty bags
3.1
Accounting for closed transit mail – surface
3.1.1 CN 62 detailed account
40
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.
41
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 56 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).
42
It is important that CN 62 accounts be submitted early enough, since the debtor designated operator is
not obliged to accept detailed accounts that are not sent to it within 10 months of the end of the year concerned (RL 239.5).
43
The creditor designated operator should indicate the method of settlement on form CN 62 (RL 241.1).
44
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).
3.1.2 Acceptance of CN 62
45
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).
3.1.3 Time limit for submission of CN 62
46
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).
47
At the end of this chapter, you will find an example of a properly completed CN 62 detailed account.
3.2
Accounting for closed transit mail by air and open transit
48
Accounting for air transit mail is identical to that of surface transit accounting, except that the CN 51
detailed account form is used. The CN 51 form is also used for accounting of items in transit à découvert and
missent items.
49
The basic document for the air transport of closed transit mail is the CN 38 delivery bill. For open
transit and missent items it is the CN 65 bill. Information from the CN 38 or CN 65 is consolidated by sector
on a CN 66 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.
50
In case of open transit and missent items, information from CN 65 bills is consolidated in a CN 67
statement of weights. Based on this, the CN 51 account is issued.
64
51
The graphic below illustrates the different phases of the weight determination and accounting for
closed transit.
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
Total amount
payable in period
CN 38
CN 38s for sector 3
Total weight sector 3
CN 38
CN 66
CN 38
3.3
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
52
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.
53
Detailed information on accounting for empty receptacles sent by air is given in Appendix B.
3.4
Accounting for internal air conveyance
54
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.
55
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.
56
Information from the CN 31 and CN 32 letter bills is consolidated in the CN 55 statement of mails
prepared monthly 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.
3.5
Submission and acceptance of CN 51 accounts
57
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).
65
58
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).
59
If the creditor designated operator disputes this amendment, the debtor designated operator should
send it copies of the relevant CN 38 delivery bills.
60
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.
61
An example of a completed CN 51 form is given at the end of this chapter.
4
Settlement of transit charges accounts
4.1
Settlement
62
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).
63
Settlement of transit charges accounts shall be made according to provisions related to accounting for
closed transit mail – surface (part 3.1, page 64).
4.2
Methods of payment
64
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).
4.3
Time limit for payment
65
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
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).
5
Provisional payments of terminal dues
5.1
When and on what basis a provisional payment may be requested
66
In the second quarter of a year, the creditor designated operator may submit a provisional terminal
dues account (RL 242.2).
67
This provisional account is based on the weight and statistical results (when applicable) of mail used
for the final settlement of the preceding year.
68
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.
69
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.
70
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
66
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
71
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).
67
68
69
70
71
72
73
74
75
76
x
77
78
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
Minimum of 48 days
Dispatched weight above
the recommended threshold of 50 tonnes per year*
Target to target
1
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
2
Formulae for estimation of annual IPK and annual items
2.1
Formula by mail category
– Transitional to target
– Transitional to transitional
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:
𝑦𝑖
𝑥𝑖
𝑟𝑖 =
H
𝑛ℎ
number of items in receptacle i
weight of receptacle i
𝑦𝑖
𝑥𝑖
IPK of receptacle i
number of strata
number of sampled receptacles in stratum h
79
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:
𝑅ℎ =
𝑁ℎ
𝑛
ℎ
∑𝑖=1
𝑦𝑖
𝑛
ℎ
∑𝑖=1
𝑥𝑖
Total number of receptacles in stratum h
𝑋ℎ
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:
–
𝑌�ℎ = 𝑅ℎ ∗ 𝑋ℎ
Then estimate the total number of items:
𝑯
–
� = �𝒀
�𝒉
𝒀
𝒉=𝟏
Total received weight is:
𝐻
–
–
𝑋 = � 𝑋ℎ
ℎ=1
Total IPK is:
�=
𝑹
�
𝒀
𝑿
Calculate the bias of the estimated number of items:
𝑟ℎ =
𝑛
ℎ 𝑟
∑𝑖=1
𝑖
𝑛ℎ
𝑦ℎ = 𝑟ℎ ∗ 𝑋ℎ
𝐵𝐵𝐵𝐵ℎ =
–
𝑌�ℎ −𝑦ℎ
𝑛ℎ −1
mean receptacle IPK
Bias in number of items in stratum h;
if 𝑛ℎ = 1 then 𝐵𝐵𝐵𝐵ℎ = 0
Total bias in number of items is:
ℎ
–
𝐵𝐵𝐵𝐵 = � 𝐵𝐵𝐵𝐵ℎ
ℎ=1
The variance of the estimated number of items per stratum is:
𝑛ℎ
𝑛ℎ
𝑛ℎ
𝑖=1
𝑖=1
𝑖=1
𝑁ℎ (𝑁ℎ − 𝑛ℎ )
𝑉�ℎ =
�� 𝑦𝑖2 + 𝑅ℎ2 � 𝑥𝑖2 − 2𝑅ℎ � 𝑦𝑖 𝑥𝑖 �
𝑛ℎ (𝑛ℎ − 1)
If 𝑛ℎ = 1 then 𝑉�ℎ = 0
80
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):
𝑉�ℎ =
𝑛
ℎ
𝑥𝑖 )
𝑋ℎ (𝑋ℎ − ∑𝑖=1
𝑛
ℎ
(∑𝑖=1
𝑥𝑖 )2
If 𝑛ℎ = 1 then 𝑉�ℎ = 0
𝑛
𝑛
𝑛
ℎ
ℎ
𝑥𝑖2 − 2𝑅ℎ ∑𝑖=1
𝑦𝑖 𝑥𝑖 )
(∑ ℎ 𝑦𝑖2 + 𝑅ℎ2 ∑𝑖=1
∗ 𝑛ℎ 𝑖=1
(𝑛ℎ − 1)
Total variance is calculated as:
𝐻
𝑉� = � 𝑉�ℎ
8
ℎ=1
Calculate the within 95% confidence limits of the IPK as follows:
𝑨𝑨𝑨𝑨𝑨𝑨𝑨𝑨 = 𝟏. 𝟗𝟗 ∗
� + 𝑩𝑩𝑩𝑩𝟐
�𝑽
�
𝒀
81
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 2016 was fixed at 0.624 SDR per t-km, equivalent to 0.000624 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:
–
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;
82
–
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 0.624 SDR per t-km in 2016 or 0.000624 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.
83
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:
"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).
84
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.
85
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.
86
87
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. A specimen
of the CN 41 is given at the end of this chapter. 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
22
Empty bag billing scenarios
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.
88
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
89
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:
–
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 monthly for each origin
exchange office.
90
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
91
92
93
Appendix C – 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
Luxembourg
Monaco
–
0.833
–
94
Countries and territories
PDI
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
Croatia
0.175
Curaçao
0.237
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.
95
Countries and territories
PDI
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
Jamaica
0.070
Kazakhstan
0.068
2
Latvia has voluntarily acceded to the target system as of 1 January 2014, as a Group 2 country.
96
Countries and territories
PDI
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
Congo (Rep.)
0.018
Côte d'Ivoire (Rep.)
0.014
97
Countries and territories
PDI
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
Swaziland
0.044
Syrian Arab Rep.
0.023
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.
98
Countries and territories
PDI
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
Madagascar
0.003
Malawi
0.008
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.
99
Countries and territories
PDI
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