NCOA SERVICE PROVIDER REQUIRED TEXT DOCUMENT

lighthouse list COMPANY is a non-exclusive Licensee of the USPS® (United States Postal Service®) to provide Full Service NCOA® processing.

It is important to note that not all Service Providers can offer the same level of service. Data quantity differs based on license level. Full Service Providers receive the full 48 month data set while Limited Service Providers receive an 18 month data set. All data fulfillments to Service Providers are provided weekly under direct license from the USPS.

The full NCOA file is a consolidated file of move information that on average contains approximately 160 million permanent changes-of-address (COAs) filed with the United States Postal Service (USPS). These COAs are retained on the file for a four-year period from the move-effective date and the file is updated weekly.

Before being added to the NCOA file, the Old address supplied by the Postal customer must be ZIP + 4® coded. The New addresses must be ZIP + 4 coded and validated using the USPS' proprietary database of actual delivery points. (NOTE: The delivery point database does not include NAMES or COA information.) Each delivery point confirmed New address is included on the NCOA file. If unable to validate the New address, the NCOA process will indicate that a move exists but will not provide the undeliverable New address.

New address information is provided only when a match to the input name and address is attained. The typical profile of the New address information contained on the NCOA file is as follows:

• 80.92% Forwardable moves containing delivery point confirmed New addresses – New address provided
• 1.18% Moves containing unconfirmed New addresses – New address not provided
• 13.80% Moved, left no address
• 3.92% PO Box Closed
• 0.18% Foreign moves

When possible, postal customers who move multiple times within the NCOA time period are "linked" or "chained" to ensure that the latest address is furnished when an NCOA match is attained. This is not always possible if subsequent COAs are not filed in exactly the same manner as a COA filed previously (e.g., name spelling differences or conflicting secondary information).

The provision of change of address information is controlled by strict name and address matching logic. NCOA processing will only provide new address information when queried with a specific algorithm of the name and input address from a mailers address list which matches the information on the NCOA Product. Data contained in and information returned by NCOA is determined by the name and move type (Business, Individual, or Family) indicated on a Postal customer's Change of Address form.

The data contained within the NCOA Product is comprised of approximately 40% family moves, 54% individual moves, and 6% business moves.

All matches made to the NCOA file require a ZIP + 4 coded, parsed input address.

The five types of processing modes are Standard (S); Business and Individual (C); Individual (I); Business (B); and Residential (R).

Standard Processing Mode (S)

• Standard Processing Mode requires inquiries in the following order:
• Business – Match on business name.
• Individual – Match on first name, middle name, surname and title required. Gender is checked and nickname possibilities are considered.
• Family – Match on surname only.
• Under no circumstances shall there be a "Family" match only option.

Business and Individual Processing Mode (C)

• The NCOA customer may choose to omit all "Family" match inquiries and allow only "Individual" and "Business" matches to be acceptable. This matching process is also known as C Processing Mode.

Individual Processing Mode (I)

• The NCOA customer may also choose to omit "Business" match inquiries when processing individual names for mailing lists that contain no business addresses.

Business Processing Mode (B)

• The NCOA customer may choose to process for only "Business" matches when processing a "Business-to-Business" mailing list which contains no residential (Individual or Family) addresses.

Residential Processing Mode (R)

• The NCOA customer may choose to omit "Business" match inquiries and allow only "Individual" and "Family" matches to be acceptable under Residential Processing Mode. This matching process is also known as R Processing Mode.

The USPS has opted to remove soundex from the matching logic process. Consequently, the USPS has established a process called the "Rules Table." This process will produce matches that otherwise would not be possible, i.e. JOHNY and JOHNNY, without the risks associated with soundex.

All nickname possibilities are derived from a standard USPS nickname list. In considering alternate presentations of an input name, only reasonable derivatives of the original input name are acceptable. If an input name and address do not match to NCOA and alternative queries are attempted, any variations which obtain NCOA matches will be provided to the NCOA customer for analysis.

When a match or a near match of an input name and address to NCOA is identified, a standard NCOA return code is provided indicating the type of match made or reason that a match could not be made.

The standard output of a USPS NCOA process is:

• a) Each original unaltered input name and address as it was presented.
• b) The standardized input address appended with the correct ZIP + 4/DPC, other postal values and any other intelligence flags or footnotes that result from the CASS™ processing segment.
• c) For each mailing address for which there is a match to the NCOA Product, a standardized new address with 11-digit Delivery Point Barcode (DPBC) and standard return codes.
• d) When a match is made, the following elements must be returned: the move effective date, the specific name and address utilized in the query that obtained the match, and the move type. The move type is determined by the Interface based on the specific name inquiry utilized to obtain the match.
• e) For each mailing address for which there is not a match to the NCOA Product, the Interface shall return all elements as appropriate under items a and b as well as any standard return codes as may be appropriate.
• f) The urbanization name information, when applicable.
• g) The carrier route information for new (updated) addresses.
• h) DPV results for the input address, if requested.
• i) LACSLink results, if requested.
• j) SuiteLink results, if requested.
• k) Processing summary report containing information to identify the specific list and the statistics resulting from the NCOA process performed on the list.

Although every record must be returned, the format of the records returned by a Service Provider to their clients is determined by a separate agreement between the processor and the customer.

NCOA processing has the potential to reduce returned mail, yet the USPS does not make any guarantees, express or implied, on the reduction of such mail. Thus any costs associated with returned mail are the Licensees' and/or their customers' sole responsibility.

An NCOA customer with questions about the specific results returned from an NCOA process must first contact the processor for explanation and resolution.

Prior to the processing of NCOA data, every customer must have completed and returned to their NCOA Licensee the "NCOA PROCESSING ACKNOWLEDGEMENT FORM" provided to them by their Licensee or Agent. It is inappropriate to misrepresent any of the information on the form. Punitive action will be taken by the USPS if the customer, agent or licensee is found to have knowingly supplied false information. Depending on the severity of the offense, actions may include litigious or even criminal charges being brought against the offender.

The ANKLinkTM option is available through Limited Service Provider Licensees to enable mailers to make informed choices regarding a specific customer contact. If the data indicates a move, the mailer may choose to suppress the record from their list or attempt to determine the actual new address by engaging the services of an NCOA Full Service Provider (FSP) Licensee.

Mailers choosing to engage the services of an FSP Licensee may submit only those ANKLink matches for which they need additional processing provided that:

• 1) The mailer informs the FSP Licensee that the list is derived from a prior ANKLink process.
• 2) The list submitted to the FSP for processing meets the mailing list requirement of at least 100 unique names and addresses.
• 3) The final results are incorporated back into the original list.
• 4) The records separated for processing are not used to create a derivative product.

All records processed through NCOA will receive a return code. This return code will provide you information about what NCOA type of match was found for each record.

Return Code: A - COA Match
The input record matched to a business, individual or family type master file record. A new address from NCOA is returned.

Return Code: 00 - NO Match
The input record COULD NOT BE matched to a NCOA master file record. A new address from NCOA could not be furnished. This return code may be returned regardless of the NCOA processing mode, matching logic, or COA type.

Return Code: 01 - Found COA: Foreign Move
The input record matched to a business, individual or family type NCOA master file record but the new address was outside the USPS delivery area. This return code may be returned regardless of the NCOA processing mode, matching logic, or COA type.

Return Code: 02 - Found COA: Moved Left No Address(MLNA)
The input record matched to a business, individual or family type NCOA master file record and the new address was not provided to USPS. This return code may be returned regardless of the NCOA processing mode, matching logic, or COA type.

Return Code: 03 - Found COA: Box Closed No Order(BCNO)
The Input record matched to a business, individual or family type NCOA master file record which contains an old address of PO BOX that has been closed without a forwarding address provided. This return code may be returned regardless of the NCOA processing mode, matching logic, or COA type.

Return Code: 04 - Cannot match COA: Street Address with Secondary
In the STANDARD mode utilizing Family matching logic the input record matched to a family record type on the NCOA master file with an old address that contained secondary information which obtained a ZIP + 4 street level match. The input record does not contain secondary information. This address match situation requires individual name matching logic to obtain a NCOA match and individual names do not match.

Return Code: 05 - Found COA: New 11-digit DPBC is Ambiguous
The input record matched to a business, individual or family type NCOA master file record. The new address on the master file record could not be converted to a deliverable address because the DPBC represents more than one delivery point. This return code may be returned regardless of the NCOA processing mode, matching logic, or COA type.

Return Code: 06 - Cannot Match COA: Conflicting Directions: Middle Name Related
There is more than one COA (individual or family type) record for the match algorithm and the middle names or initials on the COAs are different. Therefore, a single match result could not be determined. This return code is only obtained when using NCOA individual matching logic.

Return Code: 07 - Cannot Match COA: Conflicting Directions: Gender Related
There is more than one COA (individual or family type) record for the match algorithm and the genders of the names on the COAs are different. Therefore, a single match result could not be determined. This return code is only obtained when using NCOA individual matching logic.

Return Code: 08 - Cannot Match COA: Other Conflicting Instructions
The input record matched to two master file (business, individual or family type) records. The two records in the master file were compared and due to differences in the new addresses, a match could not be made. This return code may be returned regardless of the NCOA processing mode, matching logic, or COA type.

Return Code: 09 - Cannot Match COA: High-rise Default
The input record matched to a family record on the master file from a High-rise address ZIP + 4 coded to the building default. This address match situation requires individual name matching logic to obtain a match and individual names do not match on the NCOA file.

Return Code: 10 - Cannot Match COA: Rural Default
The input record matched to a family record on the master file from a Rural Route or Highway Contract Route address ZIP + 4 coded to the route default. This address situation requires individual name matching logic to obtain a match and individual names do not match on the NCOA file.

Return Code: 11 - Cannot Match COA: Individual Match: Insufficient COA Name for Match
There is a NCOA master file (individual or family type) record with the same surname and address but there is insufficient name information on the NCOA master file record to produce a match using individual matching logic. This return code is only obtained when using individual matching logic.

Return Code: 12 - Cannot Match COA: Middle Name Test Failed
The input record matched to an individual or family record on the NCOA master file with the same address and surname. However, a match cannot be made because the input name contains a conflict with the middle name or initials on the NCOA master file record. This return code is only obtained when using individual matching logic.

Return Code: 13 - Cannot Match COA: Gender Test Failed
The input record matched to a NCOA master file (individual or family type) record. A match cannot be made because the gender of the name on the input record conflicts with the gender of the name on the NCOA master file record. This return code is only obtained when using individual matching logic.

Return Code: 14 - Found COA: New Address Would Not Convert at Run Time
The input record matched to a NCOA master file (business, individual or family type) record. The new address could not be converted to a deliverable address. This return code may be returned regardless of the NCOA processing mode, matching logic, or COA type.

Return Code: 15 - Cannot Match COA: Individual Name Insufficient
There is a NCOA master file record with the same address and surname. A match cannot be made because the input record does not contain a first name or contains initials only. This NCOA return code is only obtained when using individual matching logic.

Return Code: 16 - Cannot Match COA: Secondary Number Discrepancy
The input record matched to a street level individual or family type NCOA record. However, a match is prohibited based on 1 of the following reasons: 1) There is conflicting secondary information on the input and NCOA master file record; 2) the input record contained secondary information and matched to a family record that does not contain secondary information. In item 2, this address match situation requires individual name matching logic to obtain a COA match and individual names do not match.

Return Code: 17 - Cannot Match COA: Other Insufficient Name
The input record matched to an individual or family NCOA master file record. The input name is different or not sufficient enough to produce a match. This NCOA return code is only obtained when using individual matching logic.

Return Code: 18 - Cannot Match COA: General Delivery
The input record matched to a family record on the NCOA master file from a General Delivery address. This address situation requires individual name matching logic to obtain a NCOA match and individual names do not match.

Return Code: 19 - Found COA: New Address not ZIP + 4 coded
There is a NCOA change of address on file but the new address cannot be ZIP + 4® coded and therefore there is no 11-digit DPBC to store or return. This NCOA return code may be returned regardless of the processing mode, matching logic, or COA type.

Return Code: 20 - Cannot Match COA: Conflicting Directions after re-chaining
Multiple NCOA master file records were potential matches for the input record. The NCOA master file records contained different new addresses and a single match result could not be determined. This NCOA return code may be returned regardless of the processing mode, matching logic, or COA type.

Return Code: 66 - Daily Delete
The input record matched to a business, individual or family type master file record with an old address that is present in the NCOA daily delete file. The presence of an address in the NCOA daily delete file means that a COA with this address is pending deletion from the NCOA master file and that no mail may be forwarded from this address. This NCOA return code may be returned regardless of the processing mode, matching logic or COA type.

Return Code: 91 - COA Match: Secondary Number dropped from COA
The input record matched to a NCOA master file record. The NCOA master file record had a secondary number and the input address did not.

Return Code: 92 - COA Match: Secondary Number Dropped from input address
The input record matched to a NCOA master file record, but the input address had a secondary number and the NCOA master file record did not. The record is a ZIP + 4® street level match.