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  DMM TOC > 700 Special Standards

707 Periodicals

1.0 Rates and Fees

1.1 Outside-County—Excluding Science-of-Agriculture

1.1.1 Pound Rates

Per pound or fraction:

a. For the nonadvertising portion: $0.203.

b. For the advertising portion:

Letters, Flats, & Parcels

Zone

Rate

DDU

$0.167

DSCF

0.214

DADC

0.235

1&2

0.261

3

0.281

4

0.332

5

0.410

6

0.491

7

0.589

8

0.672

1.1.2 Piece Rates

Per addressed piece:

Presort Level

Letters

Flats

Letters, Flats, & Parcels

Automation1

Automation1

Nonautomation

Basic

$0.296

$0.343

$0.393

3‑Digit

0.262

0.298

0.341

5‑Digit

0.206

0.238

0.270

Carrier Route

     

Basic

---

---

0.172

High Density

---

---

0.138

Saturation

---

---

0.118

  1. Lower maximum weight applies: letter-size at 3 ounces (or 3.3 ounces for heavy letters); flat-size at 20 ounces (AFSM 100) and 6 pounds (UFSM 1000).

1.1.3 Discounts

Discounts for each addressed piece:

a. Nonadvertising content, for each 1% of nonadvertising: $0.00078.

b. Destination delivery unit: $0.019.

c. Destination SCF: $0.008.

d. Destination ADC: $0.002.

e. Destination entry pallet: $0.016.

f. Pallet (for other than 1.1.3e): $0.005.

1.1.4 Nonprofit Publications

Authorized nonprofit publications receive a discount of 5% off the total Outside-County postage excluding the postage for advertising pounds. The 5% discount does not apply to commingled nonsubscriber copies in excess of the 10% allowance provided under 7.0.

1.1.5 Classroom Publications

Authorized Classroom publications receive a discount of 5% off the total Outside-County postage excluding the postage for advertising pounds. The 5% discount does not apply to commingled nonsubscriber copies in excess of the 10% allowance provided under 7.0.

1.2 Outside-County—Science-of-Agriculture

1.2.1 Pound Rates

Per pound or fraction:

a. For the nonadvertising portion: $0.203.

b. For the advertising portion:

Letters, Flats, &
Parcels

Zone

Rate

DDU

$0.125

DSCF

0.160

DADC

0.176

1&2

0.196

3

0.281

4

0.332

5

0.410

6

0.491

7

0.589

8

0.672

1.2.2 Piece Rates

Per addressed piece:

Presort Level

Letters

Flats

Letters, Flats, & Parcels

Automation1

Automation1

Nonautomation

Basic

$0.296

$0.343

$0.393

3‑Digit

0.262

0.298

0.341

5‑Digit

0.206

0.238

0.270

Carrier Route

     

Basic

---

---

0.172

High Density

---

---

0.138

Saturation

---

---

0.118

  1. Lower maximum weight applies: letter-size at 3 ounces (or 3.3 ounces for heavy letters); flat-size at 20 ounces (AFSM 100) and 6 pounds (UFSM 1000).

1.2.3 Discounts

Discounts for each addressed piece:

a. Nonadvertising content, for each 1% of nonadvertising: $0.00078.

b. Destination delivery unit: $0.019.

c. Destination SCF: $0.008.

d. Destination ADC: $0.002.

e. Destination entry pallet: $0.016.

f. Pallet (for other than 1.2.3e): $0.005.

1.3 In-County

1.3.1 Pound Rates

Per pound or fraction:

Letters, Flats, &
Parcels

Zone

Rate

DDU

$0.109

None

0.142

1.3.2 Piece Rates

Per addressed piece:

Presort Level

LETTERs

FLATs

letters, FLATs, & Parcels

Automation1

Automation1

Nonautomation

Basic

$0.049

$0.075

$0.103

3‑Digit

0.047

0.071

0.095

5‑Digit

0.045

0.065

0.085

Carrier Route

     

Basic

---

---

0.049

High Density

---

---

0.033

Saturation

---

---

0.027

  1. Lower maximum weight applies: letter-size at 3 ounces (or 3.3 ounces for heavy letters); flat-size at 20 ounces (AFSM 100) and 6 pounds (UFSM 1000).

1.3.3 Discount

Destination delivery unit discount for each addressed piece: $0.006.

1.4 Ride-Along Rate

Rate per ride-along piece: $0.131.

1.5 Fees

Per application:

a. Original entry: $395.00.

b. News agent registry: $40.00.

c. Additional entry: $65.00.

d. Reentry: $45.00.

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2.0 Rate Application and Computation

2.1 Rate Application

2.1.1 Rate Elements

Postage for all Periodicals includes a pound rate charge, a piece rate charge, and any discount for which the mail qualifies under the corresponding standards.

2.1.2 Applying Pound Rate

Pound rates are applied to the weight of the pieces in the mailing. Outside-County and Science-of-Agriculture Outside-County pound rates are based on the weight of the advertising portion of the mail sent to each postal zone (as computed from the entry office) and the weight of the nonadvertising portion without regard to zone. In-County pound rates consist of a delivery unit zone rate and a uniform (unzoned) rate for all other eligible pieces delivered within the county of publication. The minimum pound rate charge for any zone or other group for which a per pound charge is computed is 1 unit (1 pound) of the pound rate charge. For example, three 2-ounce pieces for a zone are subject to the minimum 1-pound charge.

2.1.3 Computing Weight of Advertising Portion

The pound rate charge is the sum of the charges for the computed weight of the advertising portion of copies to each zone, plus an additional flat (unzoned) charge for the total weight of the nonadvertising portion of all copies to all zones. For publications containing advertising, the minimum pound rate charge for any zone to which copies are mailed is 1 unit (pound) of the advertising pound rate charge. The minimum pound rate charge for the nonadvertising portion is that which applies to all weight not reported in the advertising (zoned) portion. (Authorized Nonprofit and Classroom publications with an advertising percentage that is 10% or less are considered 100% nonadvertising. When computing the pound rates and the nonadvertising adjustment, use "0" as the advertising percentage. Authorized Nonprofit and Classroom publications claiming 0% advertising must pay the nonadvertising pound rate for the entire weight of all copies to all zones.)

2.1.4 Per Piece Charge

Piece rates apply to each addressed piece, based on the sortation done by the publisher. An addressed piece can be a single individually addressed copy, a bundle of unaddressed copies with a single delivery address for the bundle, or a firm bundle containing unaddressed or individually addressed copies for the same address. The per piece charge is based on the number of addressed pieces (not the number of copies).

2.1.5 Discounts

Discounts and reductions apply per pound, per addressed piece, or per copy as specified for each in 4.0 through 15.0 and 28.0.

2.2 Computing Postage

2.2.1 Percentage of Advertising

The percentage of advertising shown on the postage statement must be based on the marked copy of the corresponding issue or edition provided as required. If necessary, round off the computed percentage of advertising to two decimal places. Advertising percentages also may be calculated through the Periodicals Accuracy, Grading, and Evaluation (PAGE) Program using the procedures in 16.0, Postage Payment, and 17.0, Documentation.

2.2.2 Weight Per Copy

To determine the weight per copy, select and weigh a random sample of 10 or more copies and divide the total sample weight by the number of pieces in the sample. Express the weight per copy in decimal pounds rounded off to four decimal places. Per-copy weights also may be calculated through the Periodicals Accuracy, Grading, and Evaluation (PAGE) Program using the procedures in 16.0 and 17.0.

2.2.3 Computing Other Weights

To find the total weight of mailed copies per zone or rate level, multiply the corresponding number of copies by the computed weight per copy. Round off each result to the nearest whole pound, except that when the result is under 0.5 pound, round to 1 pound. To find the weight of the advertising portion for each zone, where applicable, multiply the total weight of copies for that zone by the percentage of advertising. Round off each result to the nearest whole pound, except that when the result is under 0.5 pound, round to 1 pound. To find the weight of the nonadvertising portion, subtract the total weight of the advertising portion to all zones from the total weight of copies to all zones. To find the weight of In-County rate copies, multiply the number of copies by the weight per copy and round off the total weight to the nearest whole pound, except that when the result is less than 0.5 pound, round to 1 pound.

2.2.4 Pound Rate

To compute the pound rate postage for Regular and Preferred outside-county copies, multiply the weight of the advertising and nonadvertising portions by the corresponding rates, add the unrounded results, and subtract all applicable discounts. To compute the pound rate postage for In-County rate copies, multiply their total weight by the corresponding rate per pound.

2.2.5 Piece Rate

To find the piece rate postage for outside-county and In-County rate copies, multiply the number of addressed pieces (not copies) by the appropriate rate, based on the presort of the pieces as mailed.

2.2.6 Nonadvertising Adjustment

To compute the nonadvertising adjustment (where applicable), subtract the advertising percentage from 100, multiply the remainder by the nonadvertising adjustment per piece, multiply the unrounded product by the number of pieces, and round off the product to four decimal places.

2.2.7 Total Postage

Total Outside-County postage is the sum of the per pound and per piece charges, and any Ride-Along charge, less all discounts, rounded off to the nearest whole cent. Total In-County postage is the sum of the per pound and per piece charges, and any Ride-Along charge, less all discounts, rounded off to the nearest whole cent. For mailings that include foreign copies, total foreign postage is the sum of the per piece charges, less a discount, rounded off to the nearest whole cent.

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3.0 Physical Characteristics and Content Eligibility

3.1 Physical Characteristics

3.1.1 General

See 201 for the physical characteristics for letter-size Periodicals, 301 for flat-size Periodicals, and 401 for parcel-size Periodicals.

3.2 Addressing

3.2.1 General

Each addressed piece, including the top copy of a firm bundle, must bear the addressee's name and address. The address must include the correct ZIP+4 code or 5-digit ZIP Code.

3.2.2 Address Label

White or other light-colored paper must be used for the address label. To identify the mailpiece as Periodicals, the mailer may place, vertically along the left-hand side of the label, a 1/4-inch or narrower strip of solid pink or of pink "PER" characters.

3.2.3 Address Placement

The delivery address must be clearly visible on or through the outside of the mailpiece, whether placed on a label or directly on the host publication, a component, or the mailing wrapper. If placed on the mailing wrapper, the address must be on a flat side, not on a fold (see Exhibit 3.2.4). If a polybag is used, the address must not appear on a component that rotates within the bag, and the address must remain visible throughout the addressed component's range of motion.

3.2.4 Return Address

The return address must appear on any mailing wrapper that is endorsed "Address Service Requested."

Exhibit 3.2.4 Address Placement for Periodicals Shows acceptable address locations for Periodicals publications. (click for larger image)

3.3 Permissible Mailpiece Components

3.3.1 Pages

Pages are the printed sheets forming the publication or one of the mailpiece's components, bearing advertising, nonadvertising, or both, including pages with text and graphics, blank spaces for writing or marking, and material to be completed or used by the reader. A minor portion of the pages in a Periodicals mailpiece may have unusual characteristics, such as a different size, shape, or construction, or portions that may be wholly or partially separable, and pages prepared for folding out. No page may have dimensions (when folded, if folded) that exceed the dimensions of the publication. Pages are also subject to these standards:

a. Multilayer pages (including pages formed by sheets glued together and pages that have unusual shapes, such as cutouts, movable flaps, or "pop-ups") may include small amounts of fastening material such as grommets, string, or rubber bands as needed to assemble the page. Multilayer pages may also be formed as pouches or pockets but may contain only permissible loose enclosures (see 3.3.4) or other securely affixed permissible components.

b. Multiple pages may be held together by staples or other means separate from and in addition to the regular binding of the publication.

c. Oversized pages may be used for illustrations, charts, maps, and other advertising and nonadvertising content.

3.3.2 Parts and Sections

Parts and sections are pages that are physically separate subdivisions of the publication, as identified by the publisher. Each part or section must show the publication title, and the number of parts or sections in the issue must be stated on the cover of the first part or section. Parts or sections produced by someone other than the publisher may not be mailed at Periodicals rates if these parts or sections are prepared by or for advertisers or if they are provided to the publisher free or at a nominal charge. On request, the publisher must submit contracts entered into with producers of parts or sections.

3.3.3 Enclosures at First-Class Mail or Standard Mail Rates

Material paid at First-Class Mail or Standard Mail rates may be enclosed in a Periodicals mailpiece subject to these conditions:

a. The total weight of all enclosed Standard Mail material must be less than 16 ounces.

b. Postage and fee payment is subject to 703.9.8 through 703.9.12 and 707.16.3. A permit imprint that may appear on a First-Class Mail or Standard Mail enclosure must not be visible when the mailpiece is prepared for mailing except as provided under 703.9.8 through 703.9.12 and 707.16.3.

c. When enclosing nonincidental First-Class Mail or any Standard Mail, combination envelopes or containers with separate parts for the two classes of mail may be used. If both the sender's and addressee's names and addresses are not on both pieces, the sender's name and address must be placed on one piece and the addressee's name and address on the other. Combination containers with inseparable parts may bear the names and addresses on only one part.

d. The applicable "First-Class Mail Enclosed" or "Standard Mail Enclosed" marking must be placed on or in the host publication if it contains any nonincidental First-Class Mail or any Standard Mail enclosure. If placed on the outer wrapper, polybag, envelope, or cover of the host publication, the marking must be set in type no smaller than any used in the required "POSTMASTER: Send change of address..." statement. If placed in the identification statement, the marking must meet the applicable standards. The marking must not be on or in copies not accompanied by a First-Class Mail or Standard Mail enclosure unless additional information is provided under the applicable postage payment standards in 703.9.8 through 703.9.12 and 707.16.3.

3.3.4 Loose Enclosures at Periodicals Rates

Only the following material may be included loose as an enclosure in a Periodicals mailpiece and be paid at Periodicals rates, subject to the corresponding conditions:

a. An incidental First-Class piece must be closely related but secondary to the Periodicals publication with which it is enclosed and must consist of material that, if mailed separately, would require First-Class postage. Examples of an incidental First-Class enclosure are a bill for the publication, a statement of account for past publication purchases, or a personal message or greeting included with the publication.

b. A receipt, request, or order for a subscription may be printed or written; prepared as a reply mail card or envelope for any authorized Periodicals publication (or a publication pending Periodicals authorization); or inserted in an envelope within the publication. The receipt or request may be part of, or accompanied by, printed material containing information related exclusively to a receipt or request or order for a subscription provided the printed material does not advertise, promote, or offer for sale other products or services.

c. A card or form for the recipient's use in providing address correction information to the publisher may be printed or written; prepared as a card or envelope, including business reply, or as a combination form for two or more Periodicals publications issued by the same publisher; inserted in an envelope that is attached to, bound in, or loose within the publication; or prepared as a detachable part of another permissible enclosure.

d. Enclosures listed in 3.3.4b and 3.3.4c are not counted when determining the percentage of advertising in the publication, but they are included in the total weight of the publication reported on the postage statement. If the publication otherwise consists entirely of nonadvertising material, an incidental First-Class enclosure may be treated as nonadvertising material. In all other cases, an incidental First-Class enclosure is considered part of the advertising portion of the publication.

3.3.5 Supplement

A supplement is one or more pages (subject to 3.3.1) formed by one or more printed sheets that are not bound into a publication. A supplement may be devoted to a single topic and may contain material different from that in the host publication. The external dimensions of a supplement (its length and height) may not exceed those of the host publication except when the host publication and the supplement are contained in an envelope, polybag, or other complete wrapper. Supplements are also subject to these conditions as applicable:

a. A loose supplement to a bound Periodicals publication must contain at least 25% nonadvertising material and bear the endorsement "Supplement to" followed by the title of the publication; the name of the publisher; or "Periodicals Publication." A bound publication with one or more supplements must be enclosed in a wrapper. If a supplement to a bound publication is formed of more than one sheet, all sheets making up the supplement must be bound together.

b. A supplement to an unbound publication must be combined with and inserted within the publication under 3.5.4. If the supplement is included loose outside the unbound publication, the publication and its supplement must be enclosed in a wrapper or envelope, and the supplement must bear the endorsement "Supplement to" followed by the title of the publication; the name of the publisher; or "Periodicals Publication."

3.3.6 Cover and Protective Cover

A cover may be placed on the outside of a Periodicals publication. A protective cover is an additional cover placed around the outside of a publication; preparation is subject to 3.5.6. Advertising, nonadvertising, or both may be printed on the cover or protective cover. The cover and protective cover on a publication are included when measuring advertising percentage. Nothing may be attached to the cover or protective cover except as permitted under 3.3.8, Attachment.

3.3.7 Mailing Wrapper

A mailing wrapper is an envelope, sleeve, partial wrapper, or polywrap used to enclose the mailpiece. Advertising may be printed on the mailing wrapper and is included when measuring advertising percentage. Nothing may be attached to the mailing wrapper except as permitted under 3.3.8.

3.3.8 Attachment

[6-8-06] Mailers may attach the following material to a cover, protective cover, or mailing wrapper of a publication:

a. Stickers of any size and shape. If stickers are attached to the cover, protective cover, or mailing wrapper, no portion of the publication title may be obscured.

b. Material allowed as a loose enclosure described in 3.3.3, Enclosures at First-Class Mail or Standard Mail Rates, or 3.3.4, Loose Enclosures at Periodicals Rates. When nonincidental First-Class Mail and/or Standard Mail enclosures (see 3.3.3) are attached, the marking "First-Class" or "Letter Enclosed" must be on a First-Class Mail attachment; "Standard" or "STD," on a Standard Mail attachment.

c. Material normally allowed within the contents of the publication composed of advertising, nonadvertising, or a combination of both may be attached to the cover or protective cover only when the publication and attached material are enclosed in a wrapper or prepared under 3.5.4. No portion of the publication title may be obscured.

3.3.9 Printed Addition

Only the following may be printed on a copy of a Periodicals publication after it is printed or placed on its cover, protective cover, or mailing wrapper:

a. The name and address of the intended recipient or of the publisher or sender.

b. The printed title of the publication and its place of publication.

c. The expiration date of the subscription.

d. The request for address correction information from the addressee.

e. The words "Sample Copy" (if the copy is a sample), "Marked Copy" (if the copy contains a marked item or article), or "Address Service Requested" (if the copy is to be returned to the sender if undeliverable as addressed).

f. The number of copies enclosed in a bundle (on the outside of the bundle) or a bundle count such as "2 of 4" (on the bundle wrapper).

g. Corrections of typographical errors or a mark, except by written or printed words, to call attention to a word or passage.

h. Printed messages not required to be mailed as First-Class Mail or Express Mail.

3.3.10 Label Carrier

[3-15-07] A label carrier may be used to carry the delivery address for the mailpiece and must consist of a single unfolded, uncreased sheet of card or paper stock, securely affixed to the cover of the publication or large enough so that it does not rotate inside the wrapper, subject to these conditions:

a. The label carrier must include the following elements:

1. The title of the Periodicals publication or the name and address of the publisher. Mailers may also include incidental graphics of the host Periodicals publication, other Periodicals publications of the publisher, or Periodicals publications of one or more affiliates or subsidiaries of the publisher (or any combination thereof), provided that all of the publications are under common 100% ownership. If such graphics are used they are treated as advertising, and mailers must use an area no larger than 3 inches by 5 inches to show the title of the Periodicals publication or the name and address of the publisher and the graphic or graphics.

2. The Periodicals imprint "Periodicals Postage Paid at..." or the word "Periodicals" in the upper right corner of the address side (unless "Periodicals" is printed on the address side of the polybag).

3. The address to which the mailpiece can be returned if undeliverable, if endorsed "Address Service requested."

b. The label carrier may bear a request for address correction from the addressee. It also may bear information about requesting or subscribing to any Periodicals publication (or a publication pending Periodicals authorization), including a request or subscription form.

c. As applicable, the label carrier may show the endorsement "First-Class Mail Enclosed," "Standard Mail Enclosed," or "Ride-Along Enclosed," or the permit imprint used to pay postage for the First-Class Mail or Standard Mail enclosure if that permit imprint is below the Periodicals imprint or the word "Periodicals."

d. Other printed information, whether advertising or nonadvertising, is permitted only on the back of the label carrier and is subject to measurement and postage payment accordingly. Incidental text calling attention to information on the reverse, or to information within the contents of the Periodicals publication, may be placed on the front of the label carrier. If any information referred to on the reverse of the label carrier or within the contents of the Periodicals publication is advertising, the incidental text on the front also is treated as advertising.

3.4 Impermissible Mailpiece Components

3.4.1 General

Regardless of preparation or characteristics, the materials described in 3.4.2 through 3.4.5 are not eligible for Periodicals rates.

3.4.2 Prohibited Material

Material that contains any one of the following printed items or that is referred to in a component of the Periodicals mailpiece (by the use of one of these items) is ineligible to be mailed at Periodicals rates:

a. A separate price or subscription instructions different from those of the host publication.

b. The word "catalog."

c. A First-Class Mail, Standard Mail, or Package Services permit imprint.

d. An ISBN (International Standard Book Number).

e. An ISSN (International Standard Serial Number) or USPS number different from that of the host publication.

3.4.3 Products

Products may not be mailed at Periodicals rates. Examples include stationery (such as pads of paper or blank printed forms); cassettes; floppy disks; merchandise; envelopes containing enclosures, other than receipts, orders for subscriptions, and incidental First-Class material; and wall, desk, and blank calendars. Printed pages, including oversized pages and calendars, are not considered products if they are not offered for sale.

3.4.4 Package Services

Package Services may not be combined with a Periodicals publication.

3.4.5 Nonprinted Sheets

Any matter not formed of printed sheets (except as permitted under 3.3.1a) is not eligible for Periodicals rates.

3.5 Mailpiece Construction

3.5.1 Bound/Unbound

Publications may be prepared in either a bound or unbound form, with or without wrappers unless required by 3.5.7. A bound publication is a publication in which pages are securely held together by two or more staples, spiral binding, glue, stitching, or other permanent fastening. All other publications are unbound, including folded multisheet and single-sheet publications and those in which pages are loose and collated ("nested") or in which pages are held together by a single staple.

3.5.2 Size and Weight

Periodicals mail may not weigh more than 70 pounds or measure more than 108 inches in length and girth combined. Additional size and weight limitations apply to individual Periodicals rate categories. Requester publications must contain at least 24 pages per issue.

3.5.3 Uniformity

Automation-compatible pieces must remain uniformly thick. Cover attachments, tabbed or glued half covers, flat-surfaced ride-along enclosures, loose subscription materials, and flat-surfaced enclosures of other classes may be included as long as the overall uniform thickness of the flat is maintained.

3.5.4 Without Mailing Wrapper

[6-8-06] When the mailpiece does not have a mailing wrapper, all the components of an unbound publication must be combined with and inserted inside the publication. Only enclosures mailable at Periodicals rates under 3.3.4 may be included loose inside a bound unwrapped publication. An enclosure under 3.3.3, Enclosures at First-Class Mail or Standard Mail Rates, or 3.3.4, Loose Enclosures at Periodicals Rates, or a single sheet prepared as an attachment under 3.3.8c, may be securely attached along the bound edge on the outside of an unwrapped publication if it does not exceed any dimension of the cover of the publication and comes within 3/4 inch of the edge opposite the fold or binding.

3.5.5 With Mailing Wrapper

Except as provided in 3.3.5, Supplement, when the mailpiece is completely enclosed in a mailing wrapper, the components may be placed anywhere within that wrapper. When a sleeve or other partial wrapper is used, the components must be secured so that they do not fall out during handling. Bound publications carrying loose supplements or prepared in physically separate parts or sections must be either completely enclosed in an envelope, plastic wrapper (polybag), or paper wrapper or inserted within a sleeve so that the component parts do not become separated while in the mail.

3.5.6 Cover Page and Protective Cover

If the piece is not completely enclosed in a mailing wrapper, then any protective cover or cover page must cover both the front and back of the host publication and extend to within at least 3/4 inch of the edge opposite the fold or binding. Exception: Flat-size pieces may have short covers as provided in 301.3.7.2. If the host publication is bound, the protective cover must be permanently attached to the publication.

3.5.7 APO/FPO Copy

Any single copy of an unbound publication that includes any enclosure, supplement, or more than one part or section and that is mailed to an APO/FPO address must be completely enclosed in a mailing wrapper.

3.5.8 Postal Inspection

Periodicals mail must be prepared so that it can be easily examined. The mailing of publications at Periodicals postage rates represents consent by the sender to USPS inspection of the contents whether loose or inserted in envelopes, wrappers, or other covers. Mailers who want to ensure that publications are not opened for postal inspection must pay First-Class rates and mark such mail accordingly.

3.6 Printed Features

3.6.1 Publication Title and Address Notice

The publication title must be displayed prominently on the publication and any protective cover. The title or the name and address of the publisher must be displayed prominently on any opaque mailing wrapper. The publication title, followed immediately by the USPS publication number (or ISSN if one has been assigned), and the mailing address to which undeliverable copies or change-of-address notices are to be sent may be shown in the upper left corner of the address side of a mailing wrapper or directly on the outside of the host publication if it can be read when the mailing wrapper is in place. The publication number includes an alpha prefix and is to be within parentheses, for example, THE NATIONAL WEEKLY (ISSN 9876-543X) or THE COMMUNITY (USPS 123-456).

3.6.2 Periodicals Imprint

Mailing wrappers that completely enclose the host publication must bear the Periodicals imprint "Periodicals Postage Paid at..." or the word "Periodicals" in the upper right corner of the address area. If a clear plastic wrapper is used, those words may appear anywhere on the address side of the wrapper or the topmost item inside.

3.6.3 Advertising

Advertising may be printed on the pages of any component of a publication, subject to the corresponding standards. Regardless of location, an advertisement must be prepared as an integral part of the publication. Except for advertisements in supplements, all advertisements in a bound publication must be permanently attached. Except as provided in 3.3.4d, all advertising must be included in the advertising portion of the issue measured under 16.0 and 17.0. Different advertising may occupy the same space in different editions of the same issue.

3.6.4 Marking of Paid Reading Matter

Under 18 USC 1734, if a valuable consideration is paid, accepted, or promised for the publication of any editorial or other reading matter in a Periodicals publication, that matter must be plainly marked "advertisement" by the publisher. When a single item of paid editorial or other reading matter occupies more than one page, it need only be marked "advertisement" on the first page. The word "advertisement" may be included in a statement that explains why the material is marked "advertisement." Such a statement must be prominent on the first page of the material and the word "advertisement" in the statement must be in bold or italicized print or otherwise emphasized so that it can be plainly seen. Editors or publishers who print such matter without plainly marking it "advertisement" are subject to a fine of not more than $500.

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4.0 Basic Eligibility Standards

4.1 Second-Class Mail

On July 1, 1996, Second-Class Mail was renamed "Periodicals."

4.2 Qualification Categories

All Periodicals publications must be authorized Periodicals mailing privileges under one of five qualification categories (general publications, publications of institutions and societies, publications of state departments of agriculture, requester publications, and foreign publications). These publications are subject to the general standards below and the standards for each respective category.

4.3 General

Only newspapers and periodical publications meeting the mailability standards in 601 and the general and applicable specific standards in 4.0 through 15.0 and 28.0 may be authorized mailing at the Periodicals rates.

4.4 Periodical Publications

4.4.1 Definition and Characteristics

For Periodicals purposes, periodical publication or periodical is one published at a stated frequency with the intent to continue publication indefinitely, with these characteristics:

a. The continuity of the periodical must show from issue to issue. Continuity is shown by serialization of articles or by successive issues carrying the same style, format, theme, or subject matter.

b. The primary purpose of the periodical must be the transmission of information.

c. The content of the periodical may consist of original or reprinted articles on one topic or many topics, listings, photographs, illustrations, graphs, a combination of advertising and nonadvertising matter, comic strips, legal notices, editorial material, cartoons, or other subject matter.

d. The primary distribution of each issue must be made before that of each succeeding issue.

4.4.2 Other Publication Types

The following types of publications also qualify as periodical publications:

a. Any catalog or other course listing (including mail announcements of legal texts that are part of post-bar admission education) issued by any institution of higher education or by a nonprofit organization engaged in continuing legal education.

b. Any loose-leaf page or report (including any index, filing instruction, table, or sectional identifier that is part of such report) designed as part of a loose-leaf reporting service on developments in the law or public policy.

c. Any transportation guide containing schedules, fares, and related information.

4.4.3 Restriction

Material that has been, or is intended to be, distributed primarily as a book may not be converted into an issue of a periodical by merely placing a periodical's title on it, placing the material within a periodical's cover, or using similar superficial methods. This restriction does not prohibit excerpts or condensations of books from being proper subject matter for periodicals.

4.4.4 Printed Sheets

Periodicals publications must be formed of printed sheets. Sheets may be die cut or deckle-edged and may be made of paper, cellophane, foil, or other similar materials. They may not be reproduced by stencil, mimeograph, or hectograph. Reproduction by any other process is permitted. Any style of type may be used.

4.5 Known Office of Publication

4.5.1 Location

The publisher of a Periodicals publication must maintain a known office of publication at the location where the original entry for Periodicals mailing privileges is authorized.

4.5.2 Purpose

The known office of publication must be a public office for transacting the business of the publication during normal business hours. It must also be the office where the publication's circulation records are kept or can be available for USPS examination.

4.6 Regular Issuance

4.6.1 Frequency

Each Periodicals publication must be issued at a regular frequency of at least four times a year.

4.6.2 Statement of Frequency

The publisher must adopt a statement of frequency showing how many issues are to be published each year and at which regular intervals (for example: daily; weekly; quarterly; four times a year in January, February, October, and November; weekly during school year; monthly except during July and August).

4.6.3 Compliance With Frequency

All issues must be published regularly as called for by the statement of frequency. To change the number of issues scheduled or the statement of frequency, the publisher must file an application for reentry. If a publication does not maintain regular issuance according to its stated frequency, even after USPS notice, the PCSC revokes the publication's Periodicals mailing privileges.

4.7 Eligible Formats

4.7.1 Complete Copies

Complete copies of the regular issues of a Periodicals publication may be mailed at the applicable Periodicals rates. Incomplete copies (for example, those lacking pages or parts of pages) are subject to the applicable First-Class Mail, Standard Mail, or Package Services rates.

4.7.2 Issues and Editions

Issues and editions of a Periodicals publication may be mailed at the applicable Periodicals rates if they show continuity and meet the applicable standards in 4.8, Issues, or 4.9, Editions.

4.8 Issues

4.8.1 Regular Issues

Regular issues must be published according to the publication's stated frequency. The publication of regular issues of general and requester publications must be reflected in the publication's identification statement and (where applicable) in the subscription price. For requester publications, copies must be distributed to requesters.

4.8.2 Extra Issues

Extra issues, not shown in the publication's stated frequency, published for communicating news and information received too late for insertion in the regular issue, but not for advertising purposes, may be mailed occasionally at Periodicals rates. The original entry post office must receive written notice of these issues before they are mailed.

4.8.3 Content

Issues may include annual reports, directories, buyers' guides, lists, and similar material prepared as part of the content if copies of these issues bear the publication title and are included in the regular subscription price.

4.8.4 Mailing Issues—Same Day

For determining Periodicals eligibility and postage, an issue of a newspaper or other periodical that is published at a regular frequency, more often than once a month, on the same day as another regular issue of the same publication, is deemed to be a separate publication that must independently meet the applicable standards for Periodicals mailing privileges if:

a. More than 10% of the total copies of the issue is distributed on a regular basis to nonsubscribers or nonrequesters.

b. The number of copies of the issue distributed to nonsubscribers or nonrequesters is more than twice the number of nonsubscriber or nonrequester copies of the other issue distributed on that same day.

4.8.5 Mailing Issues—Different Day

For determining Periodicals eligibility and postage, an issue of a newspaper or other periodical that is published at a regular frequency, more often than once a month, but not on the same day as another regular issue of the same publication, is deemed to be a separate publication that must independently meet the applicable standards for Periodicals mailing privileges if:

a. More than 10% of the total copies of the issue is distributed on a regular basis to nonsubscribers or nonrequesters.

b. The number of copies of the issue distributed to nonsubscribers or nonrequesters is more than twice the number of nonsubscriber or nonrequester copies of any other issue distributed during the period between the distribution of each of the issues whose eligibility is being examined.

4.9 Editions

4.9.1 Types

Issues mailed at Periodicals rates may be prepared in editions (such as demographic or morning). Subscribers and requesters must not routinely receive more than one edition of any issue.

4.9.2 Extra Editions

Extra editions may be mailed at Periodicals rates to communicate news and information received too late for the regular edition. Extra editions may not be intended for advertising.

4.9.3 Content

Editions may differ in content, but not so much that they constitute separate and independent publications. A separate publication is not acceptable as an edition of another publication.

4.10 Back Issues and Reprints

Periodicals rates may be paid on mailings of unbound back issues (if the publication's Periodicals entry is in effect), reprint copies of daily publications printed within 1 week of the issue date, and reprint copies of other than daily publications printed before the next issue is printed. Other mailings of back issues or reprint copies, including permanently bound back issues or reprint copies, are subject to the applicable First-Class Mail, Standard Mail, or Package Services rates.

4.11 Identification

4.11.1 Title

The publication title must be shown on the front or cover page in a position and in a type style and size that distinguish the title from the publisher's name or other items.

4.11.2 Identification Statement

An identification statement, in an easily read type, must be included in all copies of publications authorized Periodicals mailing privileges and in all copies mailed pending approval of Periodicals mailing privileges.

4.11.3 Unbound Publication

In an unbound publication, the identification statement must be shown conspicuously in one of the following places:

a. On one of the first five pages.

b. On the table of contents page.

c. In the masthead on the editorial page, if the location of the editorial page is shown in the table of contents on the front page of the publication.

4.11.4 Bound Publication

In a bound publication (one secured with two or more staples, spiral binding, glue, stitching, or other permanent fastening), the identification statement must be shown conspicuously as described in 4.11.3 or on one of the last three nonadvertising pages inside the back cover.

4.11.5 Identification Statement Content

The identification statement must contain:

a. The publication title and number. The publication number includes an alpha prefix and must be within parentheses immediately after or below the publication title. If an International Standard Serial Number (ISSN) is assigned, it must appear in the identification statement (for example, "THE WEEKLY JOURNAL" (ISSN 9876-543X)). If an ISSN is not assigned, the USPS number assigned by the PCSC must appear in the identification statement within 90 days after being provided (for example, "THE CIVIC BULLETIN" (USPS 876-690)). The publication number may be on the front or cover page instead of in the identification statement.

b. The issue date. The date may be omitted if it is on the front or cover page.

c. A statement of frequency, such as described in 4.6.2.

d. The issue number. Every issue of each publication must be numbered consecutively in a series that may not be broken by assigning numbers to issues unavoidably omitted. The issue number may be omitted if it is on the front or cover page.

e. At the publisher's option, the subscription price, if the publication has one.

f. The name and address of the known office of publication, including street number, street name, and the ZIP+4 or 5-digit ZIP Code. The street name and number are optional if there is no letter carrier service. The known office of publication must be clearly distinguishable from the name of other offices of the publication. For foreign publications, the address of the publisher's agent must be shown as the known office of publication.

g. The imprint "Periodicals Postage Paid at..." or, if mailed at two or more offices, "Periodicals Postage Paid at... and at additional mailing offices." A notice of pending application is shown instead if copies are mailed while an application is pending: "Application to Mail at Periodicals Postage Rates is Pending at...."

h. The mailing address for change-of-address orders, in the normal text type of the publication: "POSTMASTER: Send address changes to [publication title and mailing address]." Publications that are wrapped may use an alternative measure under 3.6.1. Change-of-address information may also be shown on the label carrier or container of publications prepared in envelopes, closed wrappers, or polybags.

4.12 Advertising Standards

4.12.1 Definition of Advertising

Advertising is restricted or prohibited by 6.1.3 and 6.2.3 for the categories of Periodicals authorization. For these standards, the term advertising includes:

a. All material for the publication of which a valuable consideration is paid, accepted, or promised, that calls attention to something to get people to buy it, sell it, seek it, or support it.

b. Reading matter or other material for the publication of which an advertising rate is charged.

c. Articles, items, and notices in the form of reading matter inserted by custom or understanding that textual matter is to be inserted for the advertiser or the advertiser's products in the publication in which a display advertisement appears.

d. A newspaper's or periodical's advertisement of its own services or issues, or any other business of the publisher, whether in display advertising or reading matter.

4.12.2 Definition of Public Service Announcement

The term public service announcement means any announcement for which no valuable consideration is received by the publisher, which does not include any material related to the business interests of the publisher, and which promotes programs, activities, or services of federal, state, or local governments or of nonprofit organizations, or matters generally regarded as in the public interest. A public service announcement is not treated as advertising.

4.13 Fees

4.13.1 Fee Required

The required fee must accompany an application for:

a. Periodicals mailing privileges (original entry).

b. News agent registry.

c. Additional entry (unless excepted in 4.13.2 or 4.13.3).

d. Reentry (unless excepted in 4.13.2 or 4.13.3) to request a:

1. Change in title, frequency of issuance, or original entry office.

2. Change in qualification category.

3. Change in eligibility from preferred rates or the preferred rate discount to regular Outside-County rates.

4. Modification or cancellation of an additional entry.

4.13.2 No Fee

No fee is charged if reentry is only to change eligibility to preferred rates or the preferred rate discount.

4.13.3 Single Fee

Only one fee is charged for a single complete additional or reentry application that requests establishing, modifying, or canceling one or more additional entries if the effective dates for the requested actions do not exceed 30 calendar days.

4.13.4 Return of Fee

After an application is filed with the USPS, no part of the fee is returned to the applicant.

4.13.5 Address Correction

The fee for manual or automated address correction service is charged per notice issued.

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5.0 Applying for Periodicals Authorization

5.1 Original Entry Application

5.1.1 General Publications

To apply for Periodicals mailing privileges in the general publication category:

a. Form 3500 must be completed and filed at the post office serving the known office of publication.

b. If the frequency of the publication includes more than one regular issue on any day, the publisher also must complete Form 3541-C. If the frequency of the publication includes more than one regular issue per month, but not on the same day, the publisher also must complete Form 3541-E. The applicable form must be submitted with Form 3500.

c. The publisher must provide all supporting information required on the application and must keep (and make available for USPS examination) records that establish that the publication is not designed primarily for free or nominal rate circulation.

5.1.2 Publications of Institutions and Societies

To apply for Periodicals mailing privileges in the publications of institutions and societies category:

a. Form 3500 must be completed and filed at the post office serving the known office of publication.

b. When a publication issued by an institution or society carries general advertising, individual subscriptions or receipts are not required; a resolution is acceptable (for example: "Resolved: That a copy of each issue of [publication title] shall be sent to each member of [organization name] and that [$] of each member's annual dues of [$] shall be for a year's subscription to that publication."). Records must be kept accordingly. The written assurance of a responsible official that such records are kept must accompany the application on Form 3500, with a certified copy of the resolution adopted.

c. The information required on the form must be submitted with the application.

5.1.3 Publications of State Departments of Agriculture

To apply for Periodicals mailing privileges in the publications of state departments of agriculture category:

a. Form 3500 must be completed and filed at the post office serving the known office of publication.

b. Evidence that the publication is issued by a state department of agriculture must accompany the application.

5.1.4 Requester Publications

To apply for Periodicals mailing privileges in the requester publication category:

a. Form 3500 must be completed and filed at the post office serving the known office of publication.

b. If the frequency of the publication includes more than one regular issue on any day, the publisher also must complete Form 3541-C. If the frequency of the publication includes more than one regular issue per month, but not on the same day, the publisher also must complete Form 3541-E. The applicable form must be submitted with Form 3500.

c. The publisher must provide all information required on the application and must keep (and make available for USPS examination) records showing that the primary distribution of the publication is to persons who have requested it.

5.1.5 Foreign Publications

To apply for Periodicals mailing privileges in the foreign publication category:

a. Form 3500 must be completed and filed at the post office serving the known office of publication.

b. The publisher or publisher's agent must have available for USPS verification all information on the form.

5.1.6 News Agent Registry

To apply for news agent registry:

a. Form 3500 must be completed and filed at each post office where mailings are to be made.

b. Evidence must be given to the postmaster at the mailing office that copies of publications offered for mailing are entitled to Periodicals rates and that the copies are sent to actual subscribers or other news agents for sale or distribution to requesters. The evidence provided in support of the application must include a listing of the publishers, the corresponding titles, and the publication numbers for the qualifying Periodicals publications.

5.1.7 Publication Copies

Applications under 5.1.1 through 5.1.5 must be accompanied by two copies of the issue published nearest to the date of application. These copies must be identified as required in 4.11, marked to show the advertising content, and the percentage of advertising must be shown on the cover.

5.1.8 Translation

If a publication is printed in a foreign language, a brief translation of the contents of the copies (a synopsis of each article and advertisement) must accompany the application.

5.1.9 Fee

The applicable fee must accompany an application for Periodicals mailing privileges or news agent registry. The fee is not refundable.

5.1.10 Location

The location shown on the application as the original entry post office must be a post office. Other postal facilities (such as branches, stations, contract offices, and processing hubs) may not be authorized as original entries.

5.2 Mailing While Application Pending

5.2.1 Mailing Before Approval

A publisher or news agent may not mail at Periodicals rates before the PCSC approves the application for Periodicals mailing privileges. Postage at the applicable First-Class Mail, Standard Mail, or Package Services rates must be paid while the application is pending.

5.2.2 Record of Deposits

If postage is paid by advance deposit account, the USPS keeps a record of deposits and mailings made while an application is pending. The amount that would be charged at the applicable Standard Mail or Package Services rates or the Airmail Letter-Post or Economy Letter-Post international rates must be paid until final action is taken on the application. No record is kept of postage paid at First-Class rates or of postage not paid by advance deposit account. Records are kept for First-Class rate mailings that may qualify for a refund under the exception in 5.3.6e.

5.3 Decision on Application

5.3.1 Ruling

The PCSC manager rules on all applications for Periodicals mailing privileges or news agent registry.

5.3.2 Additional Information

Before acting on an application, the PCSC manager may ask the publisher for more information or evidence to complete or clarify the application. Failure to provide such information is sufficient grounds to deny the application.

5.3.3 Mailability

If the PCSC manager grants an application for original entry, this approval does not represent a USPS determination that a publication is mailable under 39 USC 3001(a) and 18 USC 1461 and 1463. (See Blount v. Rizzi, 400 U.S. 410 (1971).)

5.3.4 Effective Date

The authorization takes effect on the date of application or the date of eligibility for Periodicals mailing privileges (or for news agent registry), whichever is later.

5.3.5 Refund

Except as noted in 5.3.6, when an authorization for Periodicals mailing privileges is granted, the postmaster refunds to the applicant the difference, if any, between the postage amount deposited and the applicable Periodicals postage for copies mailed while the application was pending. Refunds are made only for mailings deposited on or after the effective date of the authorization and only if postage was paid by advance deposit account for which the entry post office kept the necessary records.

5.3.6 No Refund

No refund is made for:

a. A denied or withdrawn application.

b. The period before the effective date of the authorization.

c. Postage not paid by advance deposit account for which the required records were kept.

d. Postage at any rate affixed to copies of the publication.

e. Postage paid at Express Mail or First-Class Mail rates. Exception: When postage is deposited at single-piece First-Class Mail rates because a mailing presorted and prepared as Periodicals mail is less than 200 pieces or 50 pounds, a refund may be authorized.

f. Postage on mailings not meeting the applicable preparation or other eligibility standards for Periodicals.

5.3.7 Denial and Appeal

If the PCSC manager denies an application, the applicant is notified in writing and given the reasons for the denial. The denial takes effect 15 days from receipt of the notice by the applicant, unless an appeal is filed through the PCSC with the manager of Mailing Standards (see 608.8.0 for address). If the manager of Mailing Standards upholds the denial of an application for news agent registry, that is the final agency decision. For other applications, the manager's denial takes effect 15 days from the applicant's receipt of the notice unless, during that time, an appeal is filed with the USPS Recorder under 39 CFR 954, a copy of which is included with the notice of denial.

5.4 Revocation or Suspension of Privileges

5.4.1 Revocation

The USPS revokes a publication's or news agent's Periodicals mailing privileges if it finds, after a hearing, that the publication or news agent no longer meets the applicable standards.

5.4.2 Initial Decision

The PCSC manager may ask a publisher or news agent to submit information on a publication's eligibility for Periodicals mailing privileges. If the manager decides that a publication or news agent is no longer entitled to Periodicals mailing privileges, a notice of suspension or revocation of Periodicals mailing privileges is sent to the publisher or news agent at the last known address of the office of publication or of the news agent, giving the reasons for the ruling.

5.4.3 Appeal

A ruling to suspend or revoke a publication's Periodicals mailing privileges takes effect 15 days from the publisher's receipt of the notice unless, during that time, an appeal is filed through the PCSC with the manager of Mailing Standards (see 608.8.0 for address). If the manager upholds the denial of a news agent's appeal, that is the final agency decision. For other actions, the manager's decision takes effect 15 days from its receipt by the publisher unless, during that time, an appeal is filed with the USPS Recorder under 39 CFR 954, a copy of which is included with the notice.

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6.0 Qualification Categories

6.1 General Publication

6.1.1 Basic Standards

General publications must meet the applicable basic standards for Periodicals in 4.0 through 9.0 and 11.0 and must be originated and published to disseminate information of a public character or be devoted to literature, the sciences, art, or some special industry.

6.1.2 Circulation Standards

[9-13-06] General publications must meet these circulation standards:

a. General publications must have a legitimate list of subscribers who have paid or promised to pay, at more than a nominal rate, for copies to be received during a stated time.

b. Records for subscriptions to a publication obtained with subscriptions to one or more other publications must be kept so that individual subscriptions to each publication, by title, can be verified.

c. Persons whose subscriptions are obtained at a nominal rate and those whose copies bear an alternative form of address must not be included in the legitimate list of subscribers. These copies must be treated as nonsubscriber copies, subject to the applicable rate.

d. Subscriptions may be paid for with dues or contributions, if the dues or contributions and the subscription price are separated to show compliance with 6.1.2, including the amount paid for the subscription. The USPS may require evidence of compliance (such as the forms used to obtain payments for dues and subscriptions). For example, dues statements would read: "Annual membership dues of [$] include [$] for a 1-year subscription to [Title]."

e. To determine whether a subscription is genuine, it must be so separated from all other business transactions as to constitute a distinct, voluntary, and independent act. Publishers must be able to show that subscriptions to their publications are voluntary, that the subscription price is paid or definitely promised, and that the relationship of subscriber is understood and agreed to.

f. At least 50% of a publication's distribution must be to persons who have paid above a nominal rate. Nominal rate subscriptions include those sold at a subscription price so low that the rate cannot be considered a material consideration; or at a reduction to the subscriber (under a premium offer or any other arrangement) of more than 70% of the basic annual subscription rate that would entitle the subscriber to receive one copy of each issue published during the subscription period. The value of a premium is considered its actual cost to the publisher, its recognized retail value, or its represented value, whichever is highest.

g. Publications primarily designed for free circulation and/or circulation at nominal rates may not qualify for the general publications category. For this standard, the distribution of all copies of a publication is considered, whether circulated in the mail or otherwise. Publications are considered primarily designed for free circulation and/or circulation at nominal rates when more than 50% of all copies circulated are:

1. Provided free of charge to the ultimate recipients;

2. Paid for at nominal rates by the ultimate recipients;

3. Addressed with an alternative form of address; or

4. Intended by the publisher to be circulated for free and/or at nominal rates.

6.1.3 Advertising Standards

Advertising is defined in 4.12. General publications primarily designed for advertising purposes do not qualify for Periodicals mailing privileges, including publications that:

a. Contain more than 75% advertising in more than half of the issues published during any 12-month period.

b. Are owned or controlled by individuals or business concerns and conducted as an auxiliary to and essentially for the advancement of any other business or calling of those who own or control the publications.

c. Consist principally of advertising and articles about advertisers in the publication.

d. Have only a token list of subscribers and that print advertisements free for advertisers who pay for copies to be sent to a list of persons furnished by the advertisers.

e. Are published under a license from individuals or organizations and that feature other businesses of the licensor.

6.2 Publications of Institutions and Societies

6.2.1 Basic Standards

A publication that meets the applicable basic standards in 4.0 through 9.0 and 11.0 and contains only the publisher's own advertising and not, under any condition, the advertising of other persons or organizations, is eligible for Periodicals mailing privileges if it is:

a. Published by a regularly incorporated nonprofit institution of learning, that is, an organization of a permanent nature where instruction is given in the higher branches of education only, owing its origin to private or public munificence, and established solely for the public good and not for private gain.

b. Published by a regularly established state institution of learning supported in whole or in part by public taxation.

c. Published by any public or nonprofit private elementary or secondary institution of learning or its administrative or governing body.

d. A bulletin issued by a state board of health, a state industrial development agency, a state conservation or fish and game agency or department, or a state board or department of public charities or corrections.

e. A program announcement or guide published by an educational radio or television agency of a state or political subdivision thereof or by a nonprofit educational radio or television station.

6.2.2 Types of Publications

Publications are eligible for Periodicals mailing privileges if they meet the basic standards of 4.0, contain only the publisher's own advertising or general advertising subject to 6.2.3, and are published by:

a. A benevolent or fraternal society or order organized under the lodge system and having a bona fide membership of at least 1,000 persons (publications under the auspices of the society or order are also eligible).

b. A trade union (publications under the auspices of the union are also eligible).

c. A strictly professional society, that is, a group consisting solely of persons who have obtained professional status by advanced educational training, experience, specialized interest, or peer examination. Where applicable, public certification in a particular field of the arts or sciences (such as engineering, law, or medicine) is considered in determining eligibility. The members must be engaged in their given profession under its binding standards of performance and conduct on which the public is entitled to rely.

d. A strictly literary society, that is, an organization whose sole purpose is to encourage and cultivate an appreciation of general literature, a literary subject, or an author of recognized literary accomplishment. The membership must be composed of individuals who discuss or analyze the style, composition, or other characteristics of the literature or authors in which they have a common interest.

e. A strictly historical society, that is, an organization whose sole purpose is to discover, collect, and systematically record the history of civilization or of a particular segment. Such a society should preserve this material and make it available to its members and the general public, and should extend education by producing published material, holding regular meetings, presenting addresses and lectures, or using mass media.

f. A strictly scientific society, that is, an organization whose sole purpose is to bring individuals together for scientific investigations and pursuits in the applied, pure, or natural sciences, and to disseminate technical information on these subjects.

g. A church (a congregation of worshippers who conduct religious services) or a church organization (organizations of individual churches, organizations that are subsidiary to individual churches, and national or regional organizations of churches).

6.2.3 Advertising Standards

Advertising is defined in 4.12. A publication qualifying for Periodicals mailing privileges under 6.2.2 may contain advertising of other organizations or persons if:

a. It is not designed or published primarily for advertising purposes.

b. It is originated and published to further the purposes of the qualifying organization.

c. Its mailed circulation is limited to copies mailed to members who pay, either as a part of their dues or assessments or otherwise, at least 50% of the subscription price regularly charged to other members; to other actual subscribers; to exchanges; and to 10% of such circulation as sample copies. When members pay for their subscriptions as a part of their dues or assessments, individual subscriptions or receipts are not required.

6.3 Publications of State Departments of Agriculture

6.3.1 Basic Standards

A publication issued by a state department of agriculture that meets the basic standards in 4.0 is eligible for Periodicals mailing privileges if it is published to further only the objectives of the department and contains no advertising.

6.3.2 In-County Rates

For determining the number of copies qualifying for In-County rates, all circulated copies are considered subscriber copies and the total number of such copies is the total paid circulation.

6.4 Requester Publications

6.4.1 Basic Standards

A publication, whether circulated free or to subscribers, may be authorized to be mailed at the Outside-County Periodicals rates if it meets the basic standards in 4.0 and:

a. Each issue contains at least 24 pages.

b. No issue contains more than 75% advertising (as defined in 4.12).

c. The publication is not owned or controlled by one or more individuals or business concerns and conducted as an auxiliary to and essentially for the advancement of the main business or calling of those who own or control the publication.

6.4.2 Circulation Standards

Requester publications must meet these circulation standards:

a. The publication must have a legitimate list of persons who have requested the publication, and 50% or more of the copies must be distributed to persons who have made such requests.

b. Subscription copies of the publication that are paid for or promised to be paid for, including those at or below a nominal rate, may be included in the determination of whether the 50% request requirement is met.

c. Persons are not deemed to have requested the publication if their request is induced by a premium offer or by receipt of material consideration.

d. Records of requests for a publication obtained with subscriptions or requests for one or more other publications must be kept so that individual subscriptions or requests for each publication, by title, can be verified.

e. Requests that are more than 3 years old cannot be considered valid requests. Copies addressed using an alternative address format are not considered requested copies, and persons are not considered to have requested the publication if their copies are addressed in that manner.

f. When a requester publication is issued by a membership organization, the organization may adopt a resolution specifying that each member receive a copy of each issue of the publication. For example: "Resolved: That a copy of [publication title] shall be sent to each member of [organization name]." Records must be kept to show that the publication is sent to organization members. Form 3500 must be accompanied by a certified copy of the resolution adopted and the written assurance of a responsible official that the required records are kept.

6.5 Foreign Publications

6.5.1 Basic Standards

Foreign newspapers and other periodicals that meet the basic standards in 4.0 and have the same general character as domestic publications entered as Periodicals may be granted Periodicals mailing privileges.

6.5.2 Known Office

The known office of publication may be the office of the publisher's agent.

6.5.3 Rates

Foreign publications eligible for Periodicals mailing privileges are subject to the same Periodicals rates as domestic (U.S.) publications.

6.5.4 Circulation Standards

Review of applications is based only on U.S. circulation.

6.5.5 Copyright

This standard does not authorize the mailing of a publication that violates a copyright granted by the United States.

6.6 News Agent Registry

6.6.1 Definition

The term news agent means a person or concern selling two or more Periodicals publications published by more than one publisher.

6.6.2 Authorization

A news agent must be authorized by the USPS before the agent may mail Periodicals publications at Periodicals rates.

6.6.3 Remailing

A news agent may not remove bundles of copies from a post office, write an address on each copy, and return them to the office for dispatch or delivery without paying additional postage.

6.6.4 Unsold Copies

Unsold copies returned to the publishers or other news agents, or copies sent to other news agents for purposes other than sale, or sent to persons not having subscriptions with news agents, are subject to the Outside-County Periodicals rates.

6.6.5 Parts Returned

Parts of publications returned to publishers to show that copies have not been sold are subject to the applicable Standard Mail or Package Services rates.

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7.0 Mailing to Nonsubscribers or Nonrequesters

7.1 Sample Copies

Sample copies are nonsubscriber or nonrequester copies. They may be mailed at the rates and under the applicable standards below and in 10.0, Preferred Periodicals.

7.2 Simplified Address

Nonsubscriber or nonrequester copies may be mailed to boxholders with each copy addressed in the simplified address format if such copies are mailed to each boxholder on a rural route or highway contract route, or to each boxholder at post offices that do not have city carrier service. Copies addressed in this manner may be mailed only to nonsubscribers or nonrequesters. If simplified address mailing results in a subscriber or requester receiving a copy in addition to his or her subscriber or requester copy, the additional copy is considered a nonsubscriber or nonrequester copy.

7.3 Advertising Copies

Copies paid for by advertisers or others for advertising purposes are nonsubscriber or nonrequester copies. Copies mailed for advertising purposes under arrangements with advertisers or others, and copies mailed by a publisher acting as an agent for an advertiser, are nonsubscriber or nonrequester copies. Those copies are subject to the applicable rates for nonsubscriber or nonrequester copies.

7.4 Gift Subscriptions

The subscription list may contain the names of persons whose subscriptions were paid by other individuals as gifts; these subscriptions are considered subscriber copies. Subscriptions paid by advertisers or other persons promoting their own interests, and subscriptions given free by the publisher, are not gift subscriptions, and are considered nonsubscriber or nonrequester copies subject to the corresponding rates.

7.5 Exchange Copies

A small part of the subscription list may contain publishers to whom copies are sent in exchange for copies of the recipients' publications. Only one copy may be sent to each publisher. These exchange copies are considered subscriber or requester copies.

7.6 Expired Subscription

Copies may be mailed at the rates that apply to subscriber copies for 6 months after a subscription has expired if the publisher makes a good-faith attempt to obtain payment or a promise of payment for a renewal during the 6-month period. These copies are not considered subscriber copies for determining eligibility for Periodicals mailing privileges, the base for computing the 10% nonsubscriber limits, or whether an issue is a bona fide issue under 8.0, Record Keeping Standards for Publishers.

7.7 Complimentary Copies

All complimentary copies, including copies sent in fulfillment of subscriptions given free by the publisher, are considered nonsubscriber or nonrequester copies subject to the corresponding rates.

7.8 Proof Copies

One complete copy of each issue may be mailed at the applicable subscriber rates to each advertiser (or representative or agent) in the issue to prove that the advertisements are printed. These copies are considered subscriber or requester copies for Periodicals rates and eligibility. If more than one proof copy in an issue is sent to an advertiser (or representative or agent), the additional copies are considered nonsubscriber or nonrequester copies subject to the corresponding rates.

7.9 Nonrequester and Nonsubscriber Copies

7.9.1 Nonrequester Copies

For authorized Periodicals requester publications, up to 10% of the total number of copies mailed to requesters during the calendar year may be mailed to nonrequesters at the Outside-County Periodicals rates, provided that those copies would be eligible for Outside-County rates if mailed to requesters, and if the copies are presorted under applicable standards. Nonrequester copies within the 10% limit do not need to be commingled in a mailing with requester copies to be eligible for Outside-County rates.

7.9.2 Nonsubscriber Copies

For other publications authorized Outside-County rates, up to 10% of the total number of copies mailed to subscribers during the calendar year may be mailed to nonsubscribers at the Outside-County Periodicals rates, provided that those copies would be eligible for Outside-County rates if mailed to subscribers, and if the copies are presorted under applicable standards. Nonsubscriber copies within the 10% limit do not need to be commingled in a mailing with subscriber copies to be eligible for Outside-County rates.

7.9.3 Preferred Rates

For In-County rates and Nonprofit, Classroom, and Science-of-Agriculture publications, nonsubscriber copies up to 10% of the total number of copies mailed to subscribers during the calendar year may be mailed at the applicable Preferred rates or Preferred rate discount, provided that the nonsubscriber copies would qualify as Preferred rate or Preferred rate discount publications if mailed to subscribers and if the copies are presorted under applicable standards. Nonsubscriber copies mailed over the 10% limit are not eligible for Preferred rates or the Preferred rate discount. To qualify for Outside-County rates, the nonsubscriber copies over the 10% limit must be part of a presorted commingled mailing (one that includes subscriber copies). Subject to 11.3, nonsubscriber copies may be mailed at In-County rates up to a 10% limit of the total number of subscriber copies of the publication mailed at In-County rates during the calendar year. Once the 10% calendar year limit is exceeded for the number of nonsubscriber copies that may be mailed at Preferred rates or the Preferred rate discount, nonsubscriber copies may not then be mailed at In-County rates even if the 10% limit separately applied to those rates is not exceeded.

7.9.4 Publications of Institutions and Societies

For publications of institutions and societies that are not authorized to contain general advertising, all circulated copies are considered subscriber copies and the total number of such copies is the total paid circulation.

7.9.5 Mixed Preferred and Regular Rates

For publications authorized both Outside-County rates and In-County rates and/or Science-of-Agriculture rates, once the total number of nonsubscriber copies mailed during the calendar year (regardless of rate) exceeds 10% of the total number of copies mailed to subscribers during the calendar year, further mailings of nonsubscriber copies are not eligible for any Preferred rate. Nonsubscriber copies over the 10% allowance must be part of a presorted commingled mailing (i.e., including subscriber copies) to qualify for Outside-County rates.

7.9.6 Copies Over 10% Allowance

Nonsubscriber or nonrequester copies, over 10% of the total number of copies mailed to subscribers or requesters during the calendar year, are eligible for Outside-County rates when they are commingled and presorted with subscriber or requester copies.

7.9.7 Excess Noncommingled Mailing

A mailing is not eligible for Periodicals rates if it consists entirely of nonsubscriber or nonrequester copies over the 10% limit of the total number of copies mailed to subscribers or requesters during the calendar year. These copies are subject to the appropriate Express Mail, First-Class Mail, Standard Mail, or Package Services rate.

7.9.8 Mixed Mailing

If all copies in a mailing are to nonsubscribers or nonrequesters, and some copies are within the 10% limit while the rest are over the 10% limit, the portion exceeding the 10% limit is not eligible for Periodicals rates. That portion is subject to the appropriate Express Mail, First-Class Mail, Standard Mail, or Package Services rate.

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8.0 Record Keeping Standards for Publishers

8.1 Basic Standards

8.1.1 Purpose

The publisher must keep records that can support the information required on the application for Periodicals mailing privileges (or any other form) and to confirm eligibility for entry of the publication at the requested Periodicals rate. The records must show that the publication is distributed to a legitimate list of requesters (if applicable) or is not designed primarily for free circulation or circulation at nominal rates. If the publication is authorized to carry general advertising, the publisher must keep a list of legitimate subscribers. A publication of an institution or society that is authorized to carry general advertising may keep a list of subscribers or proof of a resolution to distribute to members, similar to that described in 5.0, Applying for Periodicals Authorization.

8.1.2 Information Required

Records must be available so that the USPS can determine:

a. Number of copies printed.

b. Manner of distribution and disposition of all copies.

c. Accuracy of the zone distribution on the postage statement.

d. The existence of a list of legitimate subscribers who have paid more than a nominal subscription price for publications authorized to carry general advertising (other than requester publications).

e. The existence of a legitimate list of requesters for requester publications.

8.1.3 Retention

The publisher must keep records for each issue of a publication for 3 years from its issue date, except for circulation records for general or requester publications for which USPS verification of circulation is done by a USPS- authorized audit bureau. A publisher whose records are verified by an authorized audit bureau is not required to keep source records of requests and subscriptions longer than required by the audit bureau.

8.1.4 Types of Records

These records may be used to meet the standards in 8.1.1 and 8.1.2:

a. Print orders and invoices showing the total number of copies printed.

b. Individual and bulk orders for subscriptions and nonsubscriber copies.

c. Newsstand and vending machine sales and returns.

d. Stubs or copies of receipts issued.

e. Sales records and returns for over-the-counter sales.

f. Cash books, bank deposit receipts, or similar records.

g. Records of copies of the publication destroyed.

8.2 Verification

8.2.1 Purpose

A publisher must make records available for USPS review and verification on a periodic basis to evaluate indications of ineligibility for Periodicals entry, to verify that the postage statement shows the correct number of copies mailed to each zone and the correct postage, and to confirm that publications authorized to carry general advertising meet the applicable circulation standards.

8.2.2 Authorized Verification

USPS employees or an authorized audit bureau may conduct verifications of circulation for an application for Periodicals mailing privileges, reentry application, or other required circulation verification of general or requester publications.

8.2.3 Independent Audit Bureau

To have an authorized independent audit bureau conduct the audit, the publisher must make that request directly to the bureau and advise the original entry postmaster. The audit bureau coordinates the verification with the original entry postmaster.

8.3 Statement of Ownership, Management, and Circulation

8.3.1 Filing Form 3526

The publisher of each Periodicals publication, including foreign publications accepted at Periodicals rates, must file Form 3526 by October 1 of each year at the original entry post office.

8.3.2 Content

The information provided on Form 3526 must allow the USPS to determine whether the publication meets the standards for Periodicals mailing privileges. This information includes, as applicable, the identity of the editor, managing editor, publishers, and owners; the owning corporation and its stockholders; any further corporations and stockholders that own at least 1% of the stock of a corporation owning the publication; known bondholders, mortgagees, and other security holders; and the extent and nature of the circulation of the publication, including the number of copies distributed, the methods of distribution, and how much of the circulation is paid in whole or in part.

8.3.3 Publication

The publisher of each publication authorized Periodicals mailing privileges as a general or requester publication must publish a complete statement of ownership, containing all information required by Form 3526, in an issue of the publication to which that statement relates; other publications are not required to publish this statement. A reproduction of the Form 3526 submitted to the USPS may be used. The required information must appear in an issue whose primary mailed distribution is produced not later than October 10 for publications issued more frequently than weekly, or not later than October 31 for publications issued weekly or less frequently but more frequently than monthly; or in the first issue whose primary mailed distribution is produced after October 1 for all other publications.

8.3.4 Noncompliance

If a publisher does not comply with the filing or publishing standards of 8.3 and, after notice from the postmaster, further fails to comply within 10 days, that publisher's eligibility for Periodicals rates is suspended until compliance occurs.

8.4 Nonsubscriber and Nonrequester Copy Distribution

8.4.1 Multiple Issues—Same Day

The USPS may require the publisher to submit Form 3541-C when an issue is regularly published on the same day as another issue of the same publication under the Periodicals authorization of the parent publication. When requested, the publisher must complete Form 3541-C and attach it to the postage statements submitted with the corresponding mailings.

8.4.2 Multiple Issues—Different Days

The USPS may require the publisher to submit Form 3541-E when an issue is regularly published during the same month as another issue of the same publication under the Periodicals authorization of the parent publication. When requested, the publisher must complete Form 3541-E and attach it to the postage statements submitted with the corresponding mailings.

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9.0 Changing Title, Frequency, or Known Office of Publication

9.1 General

9.1.1 When Required

Except under 9.1.2, the publisher must file an application for reentry on Form 3510 to change the title, frequency of issue, or location of the known office of publication of an authorized Periodicals publication.

9.1.2 When Not Required

An application for reentry is not required if the current and requested known offices of publication are served by the same post office; or if only the ownership of the publication is changed, unless that change disqualifies the publication from eligibility under 10.0 for Preferred Periodicals rates or from authorized entry under 6.0 as a publication of an institution or society, as a publication of a state department of agriculture, or as a foreign publication.

9.1.3 Where to File

To change the title or frequency of issuance of a Periodicals publication, the publisher must submit Form 3510 to the original entry postmaster. To relocate the known office of publication, the publisher must submit Form 3510 to the postmaster with jurisdiction over the requested new location.

9.1.4 Accompanying Documentation

A Form 3510 must be accompanied by two copies of the publication that show the new title (if applicable), and that contain a complete identification statement that reflects the changes requested. A proof copy of the amended identification statement is acceptable if the publisher specifies the issue in which it is to be printed. Other documentation may be required:

a. To change frequency of issuance: Form 3541-C (if the requested frequency of issuance includes more than one regular issue on any day) or Form 3541-E (if the requested frequency of issuance includes more than one regular issue per month, but not on the same day) (see 8.0, Record Keeping Standards for Publishers).

b. To change known office of publication: A complete distribution plan, including details on the mail volume to be deposited at the new original entry post office, regardless of whether relocation of the original entry post office changes that information. An additional fee (under 29.0, Additional Entry) is not required if distribution changes affect only the original entry post office.

9.1.5 Location

The location shown on Form 3510 for the new original entry post office must be a post office. Other postal facilities (such as branches, stations, contract offices, and processing hubs) are not authorized as original entries.

9.1.6 Same County

Reentry may be authorized at a new original entry post office in the same county as an existing additional entry post office. If the publication is eligible for In-County rates, the publisher must give the original entry postmaster a copy of all postage statements claiming those rates to support compliance with the standards for In-County rates.

9.1.7 Filing Date

Publishers wanting to change the title or frequency of issuance of a publication must file Form 3510 by the date on which copies are to be issued with the new title or on the new frequency.

9.1.8 Effective Date

To permit adjustment of transportation without penalty to the USPS, the USPS may delay the effective date for a publisher's requested change in the known office of publication if the application was filed fewer than 40 days before that date.

9.1.9 Reentry Denial

Reentry may be denied at a post office where resources are not adequate for efficient and economical handling by postal transportation, distribution, and processing systems.

9.1.10 Application Fee

The correct fee must accompany an application for reentry to change a publication's title, frequency of issuance, or known office of publication. The fee is not refundable. No additional fee is required when Form 3500 is required as part of a reentry application.

9.1.11 Multiple Reentry Requests

A publisher may file a single Form 3510 and pay a single fee to request more than one reentry action under 9.1 if all required documentation is submitted with the Form 3510; all required information is given about the distribution plan for mailings at the new original entry post office (if applicable); and the effective dates for the reentry actions do not cover more than 30 calendar days. The publisher must submit a separate Form 3510 (and pay the fee) for each reentry action that cannot meet these conditions.

9.1.12 Other Actions

A publisher must submit a separate Form 3510 (and pay any required fee) for each reentry action under 27.4, Deposit at AMC/AMF, 29.0, Additional Entry, 10.0, Preferred Periodicals (no fee), or 9.2, Changing Qualification Categories. A publisher must file a separate Form 3510 (and pay the applicable fee) if modifications are made to the publication's distribution plan other than the frequency of issuance or the location of the original entry post office.

9.2 Changing Qualification Categories

9.2.1 When Required

To change the category under which a publication is authorized Periodicals mailing privileges, the publisher must file an application for reentry on Form 3510 with the original entry postmaster and pay the applicable fee.

9.2.2 When Not Required

An application for reentry is not required if only the ownership of the publication is changed, unless that change disqualifies the publication for eligibility for Preferred Periodicals rates, or for entry as a publication of an institution or society, as a publication of a state department of agriculture, or as a foreign publication.

9.2.3 Forms Required

The publisher must submit Form 3500 and Form 3510 to change a publication's authorization category.

9.2.4 Filing

The publisher must make all filings under 9.2.3 to the original entry postmaster.

9.3 Application for Reentry

9.3.1 Pending

While an application for reentry is pending, copies of an authorized Periodicals publication are accepted for mailing at the Periodicals rates, subject to 9.3.5, Effective Date.

9.3.2 Additional Information

The PCSC manager may ask for more information or evidence from the publisher to complete or clarify an application. Failure to provide such information is sufficient grounds to deny the application.

9.3.3 Proof of Compliance

The publisher must be able to show to USPS satisfaction that the publication, as reentered, still meets all applicable Periodicals standards. As evidence of continued qualification that must be made available with the application for reentry, circulation records must be available to allow USPS verification that all issues or editions of the publication, as reentered, meet applicable standards. Other documentation, including circulation records for other issues or editions, must be available on request. Failure to provide this evidence is sufficient grounds to deny the reentry request.

9.3.4 Ruling

The PCSC manager reviews and rules on an application for reentry.

9.3.5 Effective Date

An entry office may not be used before authorization by the USPS. A publisher may not pay postage at another rate to deposit copies at an unauthorized entry office. Subject to the restrictions in 9.1.12 through 9.1.10, the effective date of a reentry authorization is the application date (if the publication was eligible on that date) or the eligibility date (if the publication became eligible after the application date). The requested effective date for a change in original entry office may be deferred temporarily until transportation or mail processing resources are in place to handle the action requested. If deferral is due to USPS transportation contract limitations, the publisher's requested effective date may be approved with the publisher's agreement to reimburse the USPS for any cost caused by modifying or canceling contracted transportation.

9.3.6 Denial After Verification

If a verification shows that the publication (as modified by the requested reentry) does not meet applicable Periodicals standards, the PCSC manager denies the reentry application and notifies the publisher in writing of the reasons for the denial. Within 15 days of receipt of such notice, the publisher may either return to the publication status before the application for reentry was submitted or appeal the denial under 9.3.8. If no appeal is filed, the denial takes effect 15 days from the publisher's receipt of the manager's decision.

9.3.7 Denial—No Verification

If the PCSC manager denies an application not requiring verification, the publisher receives written notice of the reasons for denial. The denial takes effect 15 days from the publisher's receipt of the notice, unless the publisher files an appeal under 9.3.8 within that time.

9.3.8 Appeal

An appeal must be filed through the PCSC with the manager of Mailing Standards (see 608.8.0 for address). The manager of Mailing Standards may ask the publisher for more information or evidence to clarify the appeal. Failure to provide such information is sufficient grounds to deny the appeal.

9.3.9 Mailing During Appeal

During the appeal:

a. Copies of any issue of a publication denied reentry under 9.1 and found unqualified for Periodicals mailing privileges are accepted in a pending status at the applicable Standard Mail or Package Services rates. For this standard, the pending status begins when the appeal is filed and continues until the end of the appeal process.

b. Copies of a publication denied reentry under 9.2 are accepted at the currently applicable Periodicals rate.

c. The publisher must submit the applicable Periodicals and Standard Mail or Package Services postage statements with each mailing of the publication in a pending status. Failure to submit these statements is sufficient grounds to deny a postage refund under 9.3.12.

9.3.10 Refund

If the reentry application is approved on appeal, the publisher receives the difference between the applicable Periodicals postage and the Standard Mail or Package Services postage paid during the pending status if the publisher submits records to substantiate the amount of the refund. If the reentry application is denied on appeal, no refund is made.

9.3.11 Final Decision

The manager of Mailing Standards (see 608.8.0 for address) issues the final agency decision on appeals under 9.1.

9.3.12 Denial

If the manager denies an appeal under 9.2, Changing Qualification Categories, it is effective 15 days from the publisher's receipt of the decision unless, during that time, the publisher files an appeal with the USPS Recorder under 39 CFR 954, a copy of which accompanies the decision.

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10.0 Preferred Periodicals

10.1 Nonprofit Eligibility—Basic Standards

10.1.1 Authorization

To be mailed as a Nonprofit Periodical, a publication must be granted Periodicals entry in other than the requester category and a Nonprofit authorization for which eligibility was established under 10.2 or 10.3.

10.1.2 Other Rates and Discounts Claimed

Each piece must also meet the standards for rates or discounts claimed. Nonsubscriber copies are subject to 7.0. Subject to 28.0, the DDU or DSCF piece rate applies to each piece claimed in the pound rate portion at the corresponding rate.

10.1.3 Advertising Percentage

Publications with an advertising percentage of 10% or less are considered 100% nonadvertising for rate purposes. Those publications may use "0" as the advertising percentage when computing the nonadvertising adjustment to be applied to the outside-county piece rate charges. Publications with an advertising percentage exceeding 10% are subject to Outside-County pound rates for the entire advertising portion of the publication.

10.2 Nonprofit Eligibility—Qualified Organizations

10.2.1 Types of Organizations

A publication issued by and in the interest of one of the types of organizations described in 10.2.3 through 10.2.10 qualifies for the Nonprofit rates if the organization is not organized for profit and none of its net income inures to the benefit of any private stockholder or individual.

10.2.2 Primary Purpose

The standard of primary purpose used in the definitions in 10.2.3 through 10.2.10 requires that the organization be both organized and operated for the primary purpose. Organizations that incidentally engage in qualifying activities do not meet the primary purpose test.

10.2.3 Religious Organization

A religious organization is a nonprofit organization whose primary purpose is to:

a. Conduct religious worship (such as churches, synagogues, temples, or mosques);

b. Support the religious activities of nonprofit organizations whose primary purpose is to conduct religious worship; or

c. Further the teaching of particular religious faiths or tenets, including religious instruction and the dissemination of religious information.

10.2.4 Educational Organization

An educational organization is a nonprofit organization whose primary purpose is the instruction or training of individuals for improving or developing their capabilities or the instruction of the public on subjects beneficial to the community. An organization may be educational even though it advocates a particular position or viewpoint, as long as it presents a specifically full and fair exposition of the pertinent facts to permit the formation of an independent opinion or conclusion. Conversely, an organization is not considered educational if its principal function is the mere presentation of unsupported opinion. These are examples of educational organizations:

a. An organization (such as a primary or secondary school, a college, or professional or trade school) that has a regularly scheduled curriculum, a regular faculty, and a regularly enrolled body of students in attendance at a place where educational activities are regularly carried on.

b. An organization whose activities consist of presenting public discussion groups, forums, panels, lectures, or similar programs, including on radio or television.

c. An organization that presents a course of instruction by correspondence or on television or radio.

d. Museums, zoos, planetariums, symphony orchestras, and similar organizations.

10.2.5 Scientific Organization

A scientific organization is a nonprofit organization whose primary purpose is to conduct research in the applied, pure, or natural sciences or to disseminate technical information dealing with the applied, pure, or natural sciences.

10.2.6 Philanthropic (Charitable) Organization

A philanthropic (charitable) organization is a nonprofit organization organized and operated to benefit the public. Examples include those that are organized to relieve the poor, distressed, or underprivileged; to advance religion, education, or science; to erect or maintain public buildings, monuments, or works; to lessen the burdens of government; or to promote social welfare for any of the above purposes or to lessen neighborhood tensions, eliminate prejudice and discrimination, defend human and civil rights secured by laws, or combat community deterioration and juvenile delinquency. That an organization organized and operated to relieve indigent persons receives voluntary contributions from those persons does not necessarily make it ineligible for Nonprofit rates as a philanthropic organization. That an organization, in carrying out its primary purpose, advocates social or civic changes or presents ideas on controversial issues to influence public opinion and sentiment to accept its views does not necessarily make it ineligible for Nonprofit rates as a philanthropic organization.

10.2.7 Agricultural Organization

An agricultural organization is a nonprofit organization whose primary purpose is the betterment of the conditions of those engaged in agricultural pursuits, improvement of the grade of their products, and the development of a higher degree of efficiency in agriculture; or the collection and dissemination of information or materials about agriculture. The organization may further and advance agricultural interests through educational activities; by holding agricultural fairs; by collecting and disseminating information about cultivation of the soil and its fruits or the harvesting of marine resources; by rearing, feeding, and managing livestock, poultry, bees, and so forth; or by other activities related to agricultural interests.

10.2.8 Labor Organization

A labor organization is a nonprofit organization whose primary purpose is the betterment of the conditions of workers. Labor organizations include, but are not limited to, organizations in which employees or workers participate, whose primary purpose is to deal with employers about grievances, labor disputes, wages, hours of employment, working conditions, and so forth (such as labor unions and employee associations).

10.2.9 Veterans' Organization

A veterans' organization is a nonprofit organization of veterans of the armed services of the United States, or an auxiliary unit or society of, or a trust or foundation for, any such post or organization.

10.2.10 Fraternal Organization

A fraternal organization is a nonprofit organization whose primary purpose is fostering fellowship and mutual benefits among its members. For this standard, a qualified fraternal organization must also be organized under a lodge or chapter system with a representative form of government; must follow a ritualistic format; and must be composed of members who are elected to membership by vote of the members. Qualifying fraternal organizations include the Masons, Knights of Columbus, Elks, and college fraternities or sororities, and may have members of either or both sexes. Fraternal organizations do not include such organizations as business leagues, professional associations, civic associations, or social clubs.

10.3 Nonprofit Eligibility—Other Qualified Organizations

10.3.1 Basic Standards

Subject to 10.3.2, a publication (other than a requester publication) may qualify for the nonprofit rates regardless of the nonprofit status of the publishing organization if it is a:

a. Publication issued by and in the interest of an association of rural electric cooperatives.

b. Program announcement or guide published by an educational radio or television agency of a state or political subdivision thereof or by a nonprofit educational radio or television station.

c. Publication of the official highway or development agency of the state that meets the standards for a general publication in 6.0 and contains no advertising other than the publisher's own advertising.

d. Conservation publication published by a state agency responsible for management and conservation of the fish or wildlife resources of that state.

10.3.2 Limits

Only one publication (other than a requester publication) per qualifying organization may qualify for the Nonprofit rates under 10.3.1c or 10.3.1d.

10.4 Classroom Eligibility

10.4.1 Authorization

To be mailed at the Classroom Periodicals rates, a publication must be granted Periodicals entry in other than the requester category and a Classroom rate authorization.

10.4.2 Types of Publications

Classroom rates apply only to educational, religious, or scientific publications designed for use in school classrooms or religious instruction classes.

10.4.3 Other Rates and Discounts Claimed

Each piece must also meet the standards for rates or discounts claimed. Nonsubscriber copies are subject to 7.0. Subject to 28.0, the DDU or DSCF piece rate applies to each piece claimed in the pound rate portion at the corresponding rate.

10.4.4 Advertising Percentage

Publications with an advertising percentage of 10% or less are considered 100% nonadvertising for rate purposes. Those publications may use "0" as the advertising percentage when computing the nonadvertising adjustment to be applied to the outside-county piece rate charges. Publications with an advertising percentage exceeding 10% are subject to Outside-County pound rates for the entire advertising portion of the publication.

10.5 Application

10.5.1 Filing

The Preferred rate discount is available only after USPS authorization. An application or written request for authorization as a Nonprofit or Classroom publication must be filed at the publication's original entry post office. Application may be made by submitting an application for Periodicals mailing privileges (Form 3500) or by filing for reentry (on Form 3510) after Periodicals mailing privileges are authorized. The applicant must submit evidence to show eligibility under the corresponding standards in 10.0.

10.5.2 Fee

No fee is required for an application to mail at a preferred Periodicals rate.

10.6 Mailing While Application Pending

10.6.1 Mailing Before Approval

A publisher or news agent may not mail at a Periodicals Preferred rate or deduct the Preferred rate discount until the PCSC manager approves the application for such privilege. Until approval is given, postage must be paid at the Outside-County rates (if the publication is authorized), or at the applicable First-Class Mail, Standard Mail, or Package Services rates (if the publication or news agent is in a pending status for Periodicals mailing privileges).

10.6.2 Record of Deposits

If postage is paid through an advance deposit account, the USPS keeps a record of deposits and mailings made while the application for special rates is pending. The record is used to compute the difference between either the Outside-County rate postage paid for an authorized Periodicals publication, or the Standard Mail or Package Services postage paid before Periodicals mailing privileges are granted, and the applicable postage at the special rate. No record is kept if postage is paid at First-Class Mail rates or if postage is not paid by advance deposit account.

10.7 Decision on Application

10.7.1 Ruling

The PCSC manager rules on special rate applications that are filed concurrently with an original entry application. The PCSC manager also rules on requests for special rates made on Form 3510 for publications authorized Periodicals mailing privileges.

10.7.2 Additional Information

Before acting on an application, the manager may ask the publisher for more information or evidence to complete or clarify the application. Failure to provide such information is sufficient grounds to deny the application.

10.7.3 Effective Date

The authorization takes effect on the application date or the eligibility date, whichever is later.

10.7.4 Refund

Except as noted in 10.7.5, when an authorization for special rates is granted, the original entry postmaster refunds to the publisher the difference, if any, between the postage paid at the Outside-County Periodicals rates or deposited at Standard Mail or Package Services rates and the applicable special rates for copies mailed while the application was pending. Refunds are made only for mailings deposited on or after the effective date of the authorization and only if postage was paid by advance deposit account for which the entry post office kept the necessary records.

10.7.5 No Refund

No refund is made for:

a. A denied or withdrawn application.

b. The period before the effective date of the authorization.

c. Postage paid at any rate other than the Periodicals rates.

d. Postage not paid by advance deposit account for which the required record was kept.

e. Postage at any rate affixed to copies of the publication.

f. Postage paid at Express Mail or First-Class Mail rates.

g. Postage on mailings not meeting the applicable standards for special Periodicals rates.

10.7.6 Denial and Appeal

If the application to mail at special rates is denied, the PCSC manager notifies the applicant in writing, giving the reasons for the denial. The denial takes effect 15 days from the publisher's receipt of the denial, unless within that time the publisher appeals to the manager of Mailing Standards (see 608.8.0 for address). Before taking action, the manager of Mailing Standards may ask the publisher for more information or evidence to support the appeal. Failure to provide such information is sufficient grounds for denying the appeal. The manager of Mailing Standards issues the final agency decision.

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11.0 Basic Rate Eligibility

11.1 Outside-County Rates

11.1.1 General

Outside-County rates apply to copies of an authorized Periodicals publication mailed by a publisher or news agent that are not eligible for In-County rates under 11.3. Outside-County rates consist of an addressed per piece charge, a zoned charge for the weight of the advertising portion of the publication, and an unzoned charge for the weight of the nonadvertising portion.

11.1.2 Nonrequester and Nonsubscriber Copies

For excess noncommingled mailings under 7.0, nonrequester and nonsubscriber copies are not eligible for Periodicals rates unless the publication is authorized under 6.2, Publications of Institutions and Societies, and is not authorized to contain general advertising. Nonrequester and nonsubscriber copies in excess of the 10% allowance under 7.0 are subject to Outside-County rates when commingled with requester or subscriber copies, as appropriate.

11.1.3 Preferred Rate Discount

Periodicals publications qualifying as Nonprofit or Classroom Periodicals receive a 5% discount off the total Outside-County postage, excluding the postage for advertising pounds. Requester publications are not eligible for the Preferred rate discount. Nonsubscriber copies claiming the Preferred rate discount are subject to the standards in 7.0.

11.2 Outside-County Science-of-Agriculture Rates

11.2.1 Authorization

To be mailed at the Science-of-Agriculture Periodicals rates, a publication must be granted Periodicals entry in other than the requester category and granted a Science-of-Agriculture rate authorization.

11.2.2 General

Science-of-Agriculture rates apply to Outside-County copies of authorized Periodicals publications mailed by publishers or news agents when the total copies provided during any 12-month period to subscribers residing in rural areas are at least 70% of the total number of copies distributed by any means for any purpose.

11.2.3 Other Rates and Discounts Claimed

All Outside-County rates and discounts apply, except for separate rates for DDU, DSCF, DADC, and zones 1 and 2. Nonsubscriber copies are subject to 7.0. Each piece must meet the standards for the rates or discounts claimed.

11.2.4 Filing

The Science-of-Agriculture rate is available only after USPS authorization. An application or written request for Science-of-Agriculture rates must be filed at the publication's original entry post office. Application may be made by submitting an application for Periodicals mailing privileges (Form 3500) or by filing for reentry (on Form 3510) after Periodicals mailing privileges are authorized. The applicant must submit evidence to show eligibility under the corresponding standards in 11.0.

11.3 In-County Rates

11.3.1 Subscriber Copies

In-County rates apply to subscriber copies of any issue of a Periodicals publication (except a requester publication) when they are entered within the county in which the post office of original entry is located for delivery to addresses within that county, if one of the following is met:

a. The total paid circulation of such issue is less than 10,000 copies.

b. The number of paid copies of such issue distributed within the county of publication is more than 50% of the total paid circulation of such issue.

11.3.2 Exceptional Conditions

The standard in 11.3.1 also is applied under any of these exceptional conditions:

a. If an entry office postmaster directs the publisher to deposit copies of the publication at a postal facility serving that office, those copies are considered as mailed at the entry office for purposes of In-County rates.

b. A copy addressed to a destination within the county of publication is eligible for In-County rates when the entry post office serving that address is outside the county.

c. Each Periodicals publication (except a requester publication or commingled nonsubscriber copies above the 10% allowance) having original entry at an incorporated city situated entirely within a county or contiguous to one or more counties in the same state, but politically independent of such county or counties, is considered within a part of the county with which it is principally contiguous. Copies mailed into that county are charged postage at the In-County rates. Where more than one county is involved, the publisher selects the principal county and notifies the postmaster.

11.3.3 Nonsubscriber Copies

During a calendar year, the total number of nonsubscriber copies mailed at In-County rates may not exceed 10% of the number of subscriber copies mailed at In-County rates. The number of nonsubscriber copies mailed at In-County rates must be included in the determination of the overall 10% allowance under 7.0. Effectively, the allowance for nonsubscriber copies mailable at the In-County rates is the 10% allowed under this standard or the overall 10% limit under 7.0, whichever occurs first.

11.3.4 Other Rates and Discounts Claimed

Each piece also must meet the standards for the rates and discounts claimed. Subject to 28.0, the delivery unit piece rate applies to each piece claimed in the pound rate portion at the delivery unit rate.

11.4 Discounts

The following discounts are available:

a. Nonadvertising. The nonadvertising discount applies to the Outside-County piece rate and is computed under 2.0.

b. Destination Entry. Destination entry discounts are available under 28.0 for copies entered at specific USPS facilities.

c. Pallet. Two discounts are available in 1.0 for Outside-County rate nonletters (flats and irregular parcels) bundled and placed directly on pallets: a destination entry pallet discount, and a discount for all other pallets. Only one of the two discounts may be claimed. Except for overflow pallets, each pallet must contain a minimum of 250 pounds of addressed pieces. Pieces taken to destination delivery units (DDUs) that cannot accept pallets need meet only the minimum weight requirement. To determine whether a 5-digit delivery facility can handle pallets, refer to the Drop Shipment Product maintained by the National Customer Support Center (NCSC) (see 608.8.0, USPS Contact Information).

11.5 Copies Mailed by Public

The applicable single-piece First-Class Mail, Priority Mail, or Package Services rate is charged on copies of publications mailed by the general public (i.e., other than publishers or registered news agents) and on copies returned to publishers or news agents.

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12.0 Presorted Rate Eligibility

12.1 Basic Standards

12.1.1 General

The standards for Presorted rates are in addition to the basic standards for Periodicals in 4.0 through 9.0 and 11.0, the standards for other rates or discounts claimed, and the applicable preparation standards in 705.8.0, 22.0, 23.0, 26.0 and 705.9.0 through 705.13.0. Not all combinations of presort level, automation, and destination entry discounts are permitted.

12.1.2 Bundles on Pallets

Individual pieces qualify for the presort level rate appropriate for the palletized bundles in which they are placed, regardless of the destination of the pallet. Eligibility for destination entry or other zoned rates depends on the point of entry.

12.1.3 Address Quality

All pieces in a Periodicals Presorted rate mailing must bear a delivery address that includes the correct ZIP Code or ZIP+4 code and that meets these address quality standards:

a. The ZIP Code accuracy standard in 12.3.

b. If an alternative addressing format is used, the additional standards in 602.3.0.

12.1.4 Barcode Quality

Any POSTNET barcode on a mailpiece in a Presorted Periodicals mailing must be correct for the delivery address and meet the standards in 708.4.0 and 708.3.0.

12.1.5 Documentation

A complete, signed postage statement, using the correct USPS form or an approved facsimile, must accompany each mailing, supported by standardized documentation meeting the basic standards in 708.1.0. Documentation of postage is not required if each piece in the mailing is of identical weight and the pieces are separated when presented for acceptance by rate, by zone (including separation by In-County and Outside-County rates), and by entry discount (such as DDU and DSCF).

12.2 Rates

12.2.1 Five-Digit Rates

Five-digit rates apply to:

a. Letter-size pieces in 5-digit bundles of six or more pieces each, placed in 5-digit trays.

b. Nonletter-size pieces in 5-digit scheme (L007) bundles and 5-digit bundles of six or more addressed pieces each, placed in applicable merged 5-digit scheme (L001) sacks, merged 5-digit sacks, 5-digit scheme (L001) sacks, or 5-digit sacks, or palletized under 705.8.0 or 705.10.0, 705.12.0, or 705.13.0.

12.2.2 Three-Digit Rates

Three-digit rates apply to:

a. Letter-size pieces in 5-digit and 3-digit bundles of six or more pieces each, placed in 3-digit trays.

b. Nonletter-size pieces in 5-digit scheme (L007), 5-digit, 3-digit scheme (L008) and 3-digit bundles of six or more addressed pieces each, placed in 3-digit sacks; or 3-digit scheme, and 3-digit bundles of six or more addressed pieces each, prepared under 705.8.0 or 705.10.0, 705.12.0, or 705.13.0.

12.2.3 Basic Rates

Basic rates apply to pieces that are not eligible for and claimed at 5-digit and 3-digit rates, including pieces prepared using the optional flat tray sortation under 22.7.

12.3 ZIP Code Accuracy

12.3.1 General

The ZIP Code accuracy standard is a means of ensuring that the 5-digit ZIP Code in the delivery address correctly matches the delivery address information. For the purposes of this standard, address means a specific address associated with a specific 5-digit ZIP Code. Addresses used on pieces claiming certain rates that are subject to the ZIP Code accuracy standard must meet these requirements:

a. Each address and associated 5-digit ZIP Code used on the mailpieces in a mailing must be verified and corrected within 12 months before the mailing date with one of the USPS-approved methods in 12.3.2.

b. Each individual address in the mailing is subject to the ZIP Code accuracy standard.

c. If an address used on a mailpiece in a mailing at one class of mail and rate is verified and corrected with an approved method, the same address may be used during the following 12 months to meet the ZIP Code accuracy standard required for mailing at any other class of mail and rate.

d. Except for mail bearing a simplified address, addresses used on pieces claiming Periodicals Presorted rates, regardless of any required surcharge, must meet the ZIP Code accuracy standard.

12.3.2 Authorized Methods

The following methods are authorized for meeting the ZIP Code accuracy standard:

a. For computerized lists, Coding Accuracy Support System (CASS)-certified address matching software and current USPS City State Product, within a mailer's computer systems or through an authorized service provider.

b. For manually maintained lists or small computerized lists, options include the following:

1. Surveys of addressees on mailer's address list inquiring about the accuracy of ZIP Code information.

2. Any mailing list service in 507.6.0.

3. An authorized service provider.

4. CASS-certified matching software.

5. USPS Web site www.usps.com.

12.3.3 Mailer Certification

The mailer's signature on the postage statement certifies that the ZIP Code accuracy standard has been met for each address in the corresponding mailing presented to the USPS.

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13.0 Carrier Route Rate Eligibility

13.1 Basic Standards

13.1.1 General

The standards for carrier route rates are in addition to the basic standards for Periodicals in 4.0 through 9.0 and 11.0, the standards for other rates or discounts claimed, and the applicable preparation standards in 705.8.0, 22.0, 23.0, 26.0 and 705.9.0 through 705.13.0. Not all combinations of presort level, automation, and destination entry discounts are permitted.

13.1.2 Bundles on Pallets

Individual pieces qualify for the presort level rate appropriate for the palletized bundles in which they are placed, regardless of the destination of the pallet. Eligibility for destination entry or other zoned rates depends on the point of entry.

13.1.3 Address Quality

All pieces in a Periodicals carrier route rate mailing must bear a delivery address that includes the correct ZIP Code or ZIP+4 code and that meets these address quality standards:

a. The carrier route accuracy standard in 13.4.

b. If an alternative addressing format is used, the additional standards in 602.3.0.

c. If flat-size pieces are prepared with detached address labels, the additional standards in 602.4.0.

13.1.4 Carrier Route Sequencing

All pieces in a carrier route rate mailing must also meet the applicable sequencing requirements in 13.2.2, 13.3, and 23.7.

13.1.5 Barcode Quality

Any POSTNET barcode on a mailpiece in a nonautomation Periodicals mailing must be correct for the delivery address and meet the standards in 708.4.0 and 708.3.0.

13.1.6 Documentation

A complete, signed postage statement, using the correct USPS form or an approved facsimile, must accompany each mailing, supported by standardized documentation meeting the basic standards in 708.1.0. Documentation of postage is not required if each piece in the mailing is of identical weight and the pieces are separated when presented for acceptance by rate, by zone (including separation by In-County and Outside-County rates), and by entry discount (such as DDU and DSCF). Documentation of sequencing and of density standards under 23.7 must be submitted with each mailing.

13.2 Sorting

13.2.1 Basic Standards

[5-11-06] Preparation to qualify eligible pieces for carrier route rates is optional and need not be performed for all carrier routes in a 5-digit area. Carrier route rates apply to copies that are prepared in carrier route bundles of six or more addressed pieces each, subject to these standards:

a. Letter-size mailings. Carrier route rates apply to carrier route bundles that are sorted into carrier route, 5-digit carrier routes, or 3-digit carrier routes trays under 23.0. Trays may be palletized under 705.8.0.

b. Nonletter-size mailings. Carrier route rates apply to carrier route bundles that are sorted in one of the following ways:

1. Bundles sorted onto pallets prepared under 705.8.0, 705.10.0, 705.12.0, or 705.13.0, as appropriate.

2. Bundles in carrier route, 5-digit scheme carrier routes, 5-digit carrier routes sacks, or 3-digit carrier routes sacks under 23.0. Sacks may be palletized under 705.8.0.

3. Unsacked bundles entered at a destination delivery unit according to preparation standards in 23.4.2 and entry standards in 28.4.6.

13.2.2 Sequencing Requirements

Carrier route mail must be prepared in delivery sequence as follows:

a. Basic carrier route rate mail must be prepared either in carrier walk sequence or in line-of-travel (LOT) sequence according to LOT schemes prescribed by the USPS (23.7).

b. The high density and saturation rates apply to pieces that are eligible for carrier route rates under 13.2.1, are prepared in carrier walk sequence, and meet the applicable density standards in 13.3 for the rate claimed.

13.3 Walk-Sequence Discounts

13.3.1 Eligibility

The high density or saturation rates apply to each walk-sequenced piece in a carrier route mailing, eligible under 13.2.1 and prepared under 705.8.0, 23.0, or (nonletter-size mail only) 705.10.0, 705.12.0, or 705.13.0, that also meets the corresponding addressing and density standards in 13.3.4. High density and saturation rate mailings must be prepared in carrier walk sequence according to schemes prescribed by the USPS (see 23.7).

13.3.2 Copies Claimed at Other Rates

A mailing that includes copies claimed at a walk-sequence rate may include other copies claimed at other presort rates. When presented to the USPS, the trays or sacks containing the walk-sequence rate copies must be separated from other trays or sacks. Any effective separation method may be used.

13.3.3 Addressing

Walk-sequence mail must meet these addressing standards:

a. Each addressed piece must bear a complete delivery address or an alternative format address, subject to the applicable standards.

b. Official matter, whether mailed under congressional frank or by certain government entities for delivery on a city route, may use the appropriate simplified address format described in 23.7.

13.3.4 Density

Walk-sequence rate mailings are subject to these density standards:

a. Once the minimum volume per carrier route is met, there is no further minimum volume for the 5-digit ZIP Code delivery area. Walk-sequence rate mail need not be sent to all carrier routes within a 5-digit delivery area.

b. Except under 13.3.4c, at least 125 walk-sequenced addressed pieces must be prepared for each carrier route receiving mail claimed at the high density rate. Mail for carrier routes of 124 or fewer possible deliveries can qualify for the high density rate if there are at least 125 addressed pieces for the route or if pieces are addressed to every possible delivery on the route. This mail may also qualify for the saturation rate, subject to 13.3.4e. In-County rate pieces may also qualify for high density rates under 13.3.4c.

c. Mail may qualify for In-County high density rates when there are addressed pieces for a minimum of 25% of the total active possible deliveries on a carrier route. If a route contains addresses both within and outside the county, the number of pieces addressed to the entire carrier route will be used to determine if the 25% requirement has been met. However, for such carrier routes meeting the 25% requirement, only the pieces for that carrier route that are addressed to addresses within the county in which the original entry is located may qualify for the In-County high density rates.

d. Pieces eligible for and claimed at the saturation rate must be addressed to either 90% or more of the active residential addresses or 75% or more of the total number of active possible delivery addresses, whichever is less, on each carrier route receiving saturation rate mail, except that mail addressed in the simplified address format must meet the coverage standards in 602., 3.0 Use of Alternative Addressing.

e. More than one addressed piece per delivery address may be included in a high density rate mailing and may be counted for the density standard in 13.3.4b for the high density rate. Only one piece per delivery address may be counted toward the density standards for high density in 13.3.4c and for the saturation rate in 13.3.4d.

13.4 Carrier Route Accuracy

13.4.1 General

The carrier route accuracy standard is a means of ensuring that the carrier route code correctly matches the delivery address information. For the purposes of this standard, address means a specific address associated with a specific carrier route code. Addresses used on pieces claiming certain rates that are subject to the carrier route accuracy standard must meet these requirements:

a. Each address and associated carrier route code used on the mailpieces in a mailing must be updated within 90 days before the mailing date with one of the USPS-approved methods in 13.4.2.

b. Each individual address in the mailing is subject to the carrier route accuracy standard.

c. If the carrier route code (and accuracy) of an address used on a mailpiece in a carrier route mailing at one class of mail and rate is updated with an approved method, the same address may be used during the following 90 days to meet the carrier route accuracy standard required for mailing at any other class of mail and rate.

d. Except for mail bearing a simplified address, addresses used on pieces claiming Periodicals carrier route rates, regardless of any required surcharge, must meet the carrier route accuracy standard.

13.4.2 Authorized Methods

Carrier route coding must be performed using CASS-certified software and the current USPS Carrier Route Product or another Address Information System (AIS) product containing carrier route information subject to 509.1.0 and 708.3.0. Printed Carrier Route Files (schemes) may be used only for Periodicals carrier route mail and for Standard Mail Enhanced Carrier Route flat-size mail at basic, high density, and saturation rates.

13.4.3 Mailer Certification

The mailer's signature on the postage statement certifies that the carrier route accuracy standard has been met for each address in the corresponding mailing presented to the USPS.

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14.0 Automation Rate Eligibility

14.1 Basic Standards

14.1.1 General

[3-1-07] [9-1-06] All pieces in a Periodicals automation rate mailing must:

a. Meet the basic standards for Periodicals in 4.0 and for the category of authorization in 6.0.

b. Be in the same processing category and meet the physical standards in 201.3.0, Physical Standards for Automation Letters and Cards, or 301.3.0, Physical Standards for Automation Flats. (Automation rate mailings may not include firm bundles.)

c. Bear a delivery address that includes the correct ZIP Code, ZIP+4 code, or numeric equivalent to the delivery point barcode (DPBC) and that meets these address quality standards:

1. The address matching and coding standards in 14.3 and 708.3.0.

2. If an alternative addressing format is used, the additional standards in 602.3.0.

d. Bear an accurate barcode matching the delivery address and meeting the standards in 708.4.0, under these conditions:

1. If a letter: the mailer may use a DPBC or an Intelligent Mail barcode (see 708.4.3).

2. If a flat: the mailer may use a ZIP+4 barcode or DPBC. Mailers may apply the barcode on the piece or on an insert showing through a window.

e. Be marked, sorted, and documented as specified in 705.8.0 (if palletized), or 24.0 (for letters) or 25.0 (for flats) or, for nonletter-size mail, 705.9.0, 705.10.0, 705.12.0, or 705.13.0.

f. Meet the applicable documentation standards in 708.1.0 and postage payment standards in 2.0, 16.0, and 17.0.

14.1.2 Enclosed Reply Cards and Envelopes

All letter-size reply cards and envelopes provided as enclosures in automation rate Periodicals and addressed for return to a domestic delivery address must meet the standards in 201.3.14 for enclosed reply cards and envelopes. The mailer's signature on the postage statement certifies that this standard has been met when the corresponding mail is presented to the USPS.

14.2 Rates

14.2.1 Five-Digit Rates

5-digit automation rates apply to:

a. Letters in groups of 150 or more pieces to the same 5-digit or 5-digit scheme placed in a 5-digit or 5-digit scheme tray or trays prepared under 24.0. (Preparation to qualify for the 5-digit rate is optional and, if performed, need not be done for all 5-digit or 5-digit scheme destinations.)

b. Flats in 5-digit bundles and 5-digit scheme bundles of six or more pieces each, prepared under 25.0 or 705.8.0 through 705.13.0.

14.2.2 Three-Digit Rates

3-digit automation rates apply to:

a. Letters in groups of 150 or more pieces to the same 3-digit or 3-digit scheme placed in a 3-digit/scheme tray or trays under 24.0.

b. Flats in 3-digit scheme, and 3-digit bundles of six or more pieces each, prepared under 25.0 or 705.8.0 through 705.13.0.

14.2.3 Basic Rates

Basic automation rates apply to:

a. Letters prepared under 24.0 that are not claimed at 5-digit or 3-digit rates.

b. Flats prepared under 25.0 or 705.8.0 through 705.13.0 that are not claimed at 5-digit or 3-digit rates.

c. All pieces in any bundle that contains fewer than six pieces.

14.3 Address Standards for Barcoded Pieces

14.3.1 General

To qualify for automation rates, addresses must be sufficiently complete to enable matching to the current USPS ZIP+4 Product when used with current CASS-certified address matching software. Standardized address elements are not required. Any barcode as defined in 708.4.0 that appears on a mailpiece claimed at an automation rate must be the correct barcode for the corresponding delivery address on the piece.

14.3.2 ZIP+4 Code

A numeric ZIP+4 code must consist of five digits, a hyphen, and four digits.

14.3.3 Numeric Delivery Point Barcode

A numeric equivalent of the delivery point barcode (DPBC) consists of five digits followed by a hyphen and seven digits as specified in 708.4.0. The numeric equivalent is formed by adding three digits directly after the ZIP+4 code.

14.3.4 Firm Name

An address must include a firm name when necessary to obtain a match with the finest level of ZIP+4 code in the USPS ZIP+4 Product. If an address contains a firm name assigned a unique ZIP+4 code in the USPS ZIP+4 Product, the unique ZIP+4 code must be used. If the firm name is not one assigned a unique ZIP+4 code in the USPS ZIP+4 Product and the apartment/suite number is included in the address, the ZIP+4 code for the range in which the apartment/suite number appears must be used in that address. If the firm name does not correspond to a firm name that has a unique ZIP+4 code assigned in the USPS ZIP+4 Product and the apartment/suite number is not included in the address, the ZIP+4 code for the building must be used.

14.3.5 Address Elements

Addresses must include the correct street number, predirectional, street name, suffix, and postdirectional that are input to obtain a match with the current USPS ZIP+4 Product.

14.3.6 Secondary Designator

If a secondary address designator (for example, an apartment number) is shown in the address, the mailpiece must show the appropriate ZIP+4 code representing the range for that secondary address as contained in the current USPS ZIP+4 Product. If a secondary address designator is required to obtain an exact match with the finest level of ZIP+4 code in the USPS ZIP+4 Product but the information is not available, the alternative ZIP+4 code or ZIP+4 or delivery point barcode for the building must be used.

14.3.7 Rural and Highway Contract Routes

If a rural route or highway contract route box number is included in the address, the mailpiece must show the appropriate ZIP+4 code representing the range for that box number as contained in the current USPS ZIP+4 Product. If a rural route or highway contract route box number is required to obtain a match with the finest level of ZIP+4 code but is not available, the alternative ZIP+4 code or ZIP+4 or delivery point barcode for the rural route or highway contract route must be used. If used, the rural route or highway contract route box number must be placed on the line immediately above the city/state/ZIP Code line.

14.3.8 Post Office Box

A post office box address must contain a post office box number that can be exactly matched with the USPS ZIP+4 Product in effect.

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15.0 Ride-Along Rate Eligibility

15.1 General

The standards in 15.0 apply to Standard Mail material paid at the Periodicals Ride-Along rate that is attached to or enclosed with Periodicals mail. All Periodicals subclasses may enclose eligible material at the Ride-Along rate.

15.2 Basic Standards

Only one Ride-Along piece may be attached to or enclosed with an individual copy of Periodicals mail. The Ride-Along rate must be paid on each copy in the mailing, not addressed pieces. If more than one Ride-Along piece is attached or enclosed, mailers have the option of paying Standard Mail postage for all the enclosures or attachments, or paying the Ride-Along rate for the first attachment or enclosure and Standard Mail rates for subsequent attachments and enclosures. Ride-Along pieces eligible must be eligible as Standard Mail and must:

a. Not exceed any dimension of the host publication except when the host publication and the Ride-Along piece are contained in an envelope, polybag, or other complete wrapper.

b. Not exceed 3.3 ounces and must not exceed the weight of the host publication.

c. Not obscure the title of the publication or the address label.

15.3 Physical Characteristics

The host Periodicals piece and the Ride-Along piece must meet the following physical characteristics:

a. Construction:

1. Bound publications. If contained within the host publication the Ride-Along piece must be securely affixed to prevent detachment during postal processing. If loose, the Ride-Along piece and publication must be enclosed together in a full wrapper, polybag, or envelope.

2. Unbound publications. A loose Ride-Along enclosure with an unbound publication must be combined with and inserted within the publication in a manner that prevents detachment during postal processing. If the Ride-Along piece is included outside the unbound publication, the publication and the Ride-Along piece must be enclosed in a full wrapper, polybag, or envelope.

b. A Periodicals piece (automation and nonautomation) with the addition of a Ride-Along piece must remain uniformly thick and remain in the same processing category as before the addition of the Ride-Along attachment or enclosure.

c. A Periodicals piece with a Ride-Along that claims automation rates must meet the appropriate automation requirements in 201.3.0, Physical Standards for Automation Letters and Cards, or 301.3.0, Physical Standards for Automation Flats, must maintain the same processing category as before the addition of the Ride-Along attachment or enclosure and, for flat-size mail, must meet the flat sorting machine criteria under 301.3.0 (AFSM 100 or UFSM 1000). For example:

1. If, due to the inclusion of a Ride-Along piece, an AFSM 100- compatible host piece can no longer be processed on the AFSM 100, but must be processed on a UFSM 1000, then that piece must pay either the appropriate Periodicals nonautomation rate plus the Ride-Along rate, or the appropriate Periodicals automation rate for the host piece and the appropriate Standard Mail rate for the attachment or enclosure.

2. If, due to the inclusion of a Ride-Along piece, a UFSM 1000-compatible host piece can no longer be processed on the UFSM 1000, but must be processed manually, then that piece must pay either the appropriate Periodicals nonautomation rate plus the Ride-Along rate, or the appropriate Periodicals nonautomation rate for the host piece and the appropriate Standard Mail rate for the attachment or enclosure.

3. If, due to the inclusion of a Ride-Along piece, an automation letter host piece can no longer be processed as an automation letter, then that piece must pay the appropriate Periodicals nonautomation rate plus the Ride-Along rate, or the appropriate Periodicals nonautomation rate for the host piece and the appropriate Standard Mail rate for the attachment or enclosure.

15.4 Marking

The marking "Ride-Along Enclosed" must be placed on or in the host publication if it contains an enclosure or attachment paid at the Ride-Along rate. If placed on the outer wrapper, polybag, envelope, label carrier, or cover of the host publication, the marking must be set in type no smaller than any used in the required "POSTMASTER: Send change of address..." statement. If placed in the identification statement, the marking must meet the applicable standards. The marking must not be on or in copies not accompanied by a Ride-Along attachment or enclosure.

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16.0 Postage Payment

16.1 Filing Each Issue

The publisher must file a copy of each issue with the postmaster of the original entry office.

16.2 Filing Marked Copy

The publisher must file a copy of each edition of each issue marked by the publisher so the advertising content may be verified when necessary. This marked copy must be filed either with the postmaster of the original entry office or the postmaster of the additional entry office where the publication is produced or prepared for mailing. On the first page of each marked copy, the publisher must show the total units and percentage of space devoted to advertising and nonadvertising in the copy. Advertising matter printed on envelopes, wrappers, and the back of detached address cards must be included in the measurement of the advertising space. The computed percentage of advertising must be rounded off to two decimal places, if necessary, as shown in 2.0. Mailers are not required to submit marked copies if they are certified by the USPS to use the Periodicals Accuracy, Grading, and Evaluation (PAGE) Program.

16.3 Mailer and Publisher Responsibility

The mailer is responsible for proper payment of postage. Postage must be fully prepaid before Periodicals mailings are dispatched. The publisher must ensure that all information on postage statements is correct and that all copies qualify for the rates claimed.

16.4 Payment Method

Payment for Periodicals must be by advance deposit account at the original or additional entry post office, except under procedures in 16.5 for Centralized Postage Payment (CPP) or in 705.15.2.4. Postage for Periodicals may not be paid with permit imprint, meter stamp, postage stamp, or precanceled stamps. Postage for enclosed First-Class Mail and Standard Mail material must be paid under 703.9.8 through 703.9.12 and 705.16.1.

16.5 Centralized Postage Payment System

Subject to specific standards and authorization by the Pricing and Classification Service Center (PCSC), the Centralized Postage Payment (CPP) System allows the publisher of a Periodicals publication to pay Periodicals postage for that publication at the PCSC instead of at each authorized additional entry office. An additional entry is required at each post office where copies of the Periodicals publication are presented for postal verification under 29.0.

16.6 Periodicals Accuracy, Grading, and Evaluation Program

16.6.1 General

The Periodicals Accuracy, Grading, and Evaluation (PAGE) Program is a process to evaluate publishing and print planning (PPP) software and to determine its accuracy in computing per-copy weights and calculating advertising percentages for Periodicals. Certification of PAGE software is available only to those companies that develop or write PPP software. PAGE certification does not guarantee acceptance of the publisher's per-copy weights and advertising percentages prepared with PAGE-certified software.

16.6.2 Program Elements

The PAGE Program evaluates and tests PPP software. In addition, the PAGE Program tests and qualifies publishing personnel to submit data to the USPS using PAGE-certified PPP software. The USPS National Customer Support Center (NCSC) certifies developer's software and publisher's employees to use certified PPP software to submit Periodicals mailings. The PAGE Program involves the following three elements:

a. Stage I, Product Certification for Software Developers. NCSC evaluates the accuracy of the calculations of PPP software by processing a test publication file either at the NCSC or at the developer's location (on-site visit).

b. Stage II, User certification for PPP software. NCSC provides test bundles to the users and evaluates the results.

c. Stage III, PAGE Program authorization. Publishers who want to use PAGE-certified software and PAGE-certified users to submit per-copy weight and calculated advertising percentages must apply for authorization to the manager, PCSC.

16.6.3 Participation

For information about charges and the PAGE Program, publishers may request a technical guide (including order forms) from the NCSC (see 608.8.0 for address). Additional information is also available from the PCSC (see 608.8.0 for address).

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17.0 Documentation

17.1 Postage Statement

Periodicals mailings must be accompanied by a postage statement completed and signed by the mailer (in duplicate if the mailer wants a receipted copy). The mailer may submit a computer-generated facsimile. A change made to any postage statement requires the mailer (agent) to correct the postage statement accordingly and document the correction.

17.2 Documentation

The postage statement must be supported by documentation (see 708.1.0) unless each piece in the mailing is of identical weight and the pieces are separated when presented for acceptance by rate, by zone (including separation by In-County and Outside-County rates), and by entry discount (DDU, DSCF, and DADC). Additional documentation must be submitted if required by the standards for the rate or discount claimed. Subject to 17.5, the entry office postmaster, on request, may authorize the publisher of a publication regularly printed on sheets of uniform weight to provide one postage statement after each calendar month for mailings made during that month.

17.3 Basic Standards for Documentation

17.3.1 General

Documentation describes the preparation and rate levels of the mailing, details the volume and postage data, substantiates the rate or discount eligibility, reports the result of a process (i.e., presort or barcoding), and, by comparison with the actual mailing it describes, supports the claims contained on the postage statement accompanying the mailing and allows the USPS to verify its accuracy. Documentation must be submitted when specified for the rate claimed or postage payment method used.

17.3.2 Format

Periodicals documentation must be produced by software certified under the Presort Accuracy Validation and Evaluation (PAVE) program or the Manifest Analysis and Certification (MAC) program, appropriate for the accompanying class of mail and rate claimed, or the documentation must be prepared as standardized documentation according to this section. Standardized documentation contains the elements described in 708.1.0, as applicable. Documentation produced by PAVE-certified or MAC-certified software is considered standardized documentation.

17.3.3 Presenting Documentation

As provided by standard, documentation may be presented in abbreviated form or on computer-readable media. Required documentation must be presented with every mailing unless, by standard, it may be provided to support multiple mailings or mailings that are part of the same job or cycle.

17.3.4 Multiple Standards

If multiple documentation standards apply to the same mailing, only one set of documentation is necessary if it provides enough information to meet all applicable standards. Redundant or duplicate documentation is not required simply to meet individual standards.

17.3.5 Additional Information

The postmaster of the office of mailing may require additional information if the documentation submitted does not allow the corresponding mailing to be verified. Failure to provide information is sufficient reason for the USPS to refuse a mailing. The mailer may appeal any determination to the PCSC under 607.2.0.

17.4 Basic Standards for Postage Statements

17.4.1 General

Each Periodicals mailing must be accompanied by a postage statement using the correct USPS form or an approved facsimile. Supporting documentation may be required under 8.0 or, for specific rates, under 10.0, 12.0 through 15.0, and 28.0.

17.4.2 Reporting Multiple Mailings on One Statement

Each group of pieces prepared as a separate mailing must be presented with a postage statement using the correct USPS form for the particular class, rate, and postage payment method. A mailer may report more than one mailing from a single job (for example, a carrier route rate mailing, an automation rate mailing, and a nonautomation rate mailing) on the same postage statement if the mailings are presented at the same time for verification, the pieces are in the same processing category, each mailing separately meets all applicable eligibility standards, and the number of pieces in each mailing is separately reported on the postage statement.

17.4.3 Facsimile Postage Statements

Facsimile postage statements must contain data and elements in locations as close as possible to where they appear on the USPS form. Data fields that do not pertain to information and rates claimed in the mailing and other extraneous information that appears on the USPS form do not have to be included. Facsimiles must include all other information pertaining to the mailing, including the class of mail (or subclass as appropriate), postage payment method (such as permit imprint), and four-digit form number (hyphen and suffix, optional). All parts, and line numbers within each part, must reflect those on the USPS form(s). In some cases, this can include fields from multiple USPS forms onto a single facsimile. Most importantly, the facsimile must fully and exactly reproduce the "Certification" and "USPS Use Only" fields that appear on the USPS form. A facsimile postage statement produced by software certified by the USPS Presort Accuracy Validation and Evaluation (PAVE) or Manifest Analysis and Certification (MAC) program is considered a USPS-approved form for these standards. Others may be approved by the entry office postmaster. Periodicals mailers authorized centralized postage payment (CPP) procedures receive approval from the PCSC.

17.4.4 Advertising Percentage

At least once a year, the USPS verifies the advertising percentage reported on the corresponding postage statement by measuring the advertising and nonadvertising portions of one issue.

17.4.5 Measuring Advertising

The total advertising and nonadvertising portions may be determined by column inches, square inches, pages, or by another recognized unit of measure if the same unit of measure is used for both portions. One full page of advertising must equal one full page of nonadvertising regardless of the amount of blank space between each advertisement or nonadvertising article on a page. If measured in column inches, nonadvertising inches are determined by subtracting the total measured advertising inches from the total column inches of the publication. A blank page, portion of a page, or blank border or margin is counted as advertising if consideration was received for the whole page, the blank portion, or the blank border or margin. The border of a page is otherwise considered neither advertising nor nonadvertising and is not measured, but it is included in the total weight of the publication for purposes of postage calculation. When measuring nonrectangular sheets, the measurement is based on the smallest rectangle that could contain the irregular sheet; exact measurement is not attempted. When two or more sheets are permanently glued together to form a single sheet, the surface area of the resulting sheet (front and back) is included when measuring the advertising or nonadvertising portion.

17.4.6 Waiving Nonadvertising Rates

Instead of marking a copy of each issue to show the advertising and nonadvertising portions, the publisher may pay postage at the advertising zoned rates on both portions of all issues or editions of a Periodicals publication (except a requester publication). This option is not available if the rate for advertising is lower than the rate for nonadvertising. When the amount of advertising exceeds 75%, the copies provided to the postmaster must be marked "Advertising over 75%." When the amount of advertising is 75% or less, the copies provided to the postmaster must be marked "Advertising not over 75%" on the first page. The entire weight of the copy must be entered on the postage statement in the column provided for the advertising portion. The words "Over 75%" or "Not over 75%" must be annotated on the postage statement and the word "Waived" must be written in the space provided for the weight of the nonadvertising portion.

17.4.7 Copies of Previous Issues

When a reasonable number of copies of previous issues are included in a mailing of a current issue, those issues may be accepted and charged with postage by the percentages of advertising and nonadvertising material in the current issue. The issue forming the bulk of the mailing is regarded as the current issue. The advertising and nonadvertising percentages for the current issue are based on the edition forming the bulk of the current issue.

17.4.8 Mailing While Application Pending

A publisher mailing under an advance deposit account while a Periodicals application is pending must submit with each mailing both a Periodicals postage statement (annotated with the words "Pending Application") and a Standard Mail or Package Services postage statement.

17.4.9 Sequenced Postage Statement

A mailer who provides more than one postage statement per day must enter a sequenced statement number in the proper block on each postage statement prepared that day. At the mailer's discretion are the content and length of the number, the cycle of the sequence (beyond 1 day), and the number of concurrently active cycles, if the same series of numbers is not active in two cycles at the same time. If the same mailing of one edition of one issue includes copies reported on two postage statements (for example, when additional postage is paid for nonsubscriber/nonrequester copies over the 10% limit), the sequenced statement number of the second form must be included with the other information required on the primary postage statement reporting the total postage for the mailing.

17.4.10 Official Mail

Official (penalty) Periodicals matter is also subject to the standards in 703.7.0, which supersede conflicting standards below.

17.4.11 News Agent's Statement

A news agent presenting Periodicals matter subject to the zone rates of postage must provide a statement showing the percentages of such matter devoted to advertising and nonadvertising.

17.5 Monthly Postage Statements

17.5.1 General

The postmaster may authorize a publisher to submit Form 3541-M after the month for all issues mailed during that month, if all issues are printed on sheets of the same weight. If authorized, the publisher must provide Form 3541-M no more than 72 hours after the first mailing of the last issue mailed each month.

17.5.2 Measuring Advertising

The total advertising and nonadvertising portions may be expressed in column inches, square inches, pages, or by any other recognized unit of measure. The same unit of measure must be used for the advertising and nonadvertising portions. When measuring nonrectangular sheets, base the measurement on the smallest rectangle that could contain the irregular sheet. No attempt is made to determine the exact area of the irregular shape. When two or more sheets or parts thereof are glued together, the surface area of each sheet (front and back) is counted when measuring the advertising or nonadvertising portion for determining postage.

17.5.3 Determining Combined Weight

The combined weight of one copy from each issue mailed during a calendar month is obtained as follows:

a. Determine the weight of one copy as described in 2.0.

b. Determine the weight of one sheet by dividing the average weight of one copy by the number of sheets (not pages) in the copy. Express the result in decimal pounds rounded off to four decimal places.

c. Select one copy of each of the issues mailed during the month; count the sheets (not pages) in each; add these figures to determine the total number of sheets.

d. Multiply the total number of sheets by the weight of one sheet; do not round the product.

17.6 Detailed Zone Listing for Periodicals

17.6.1 Basic Standards

The publisher must be able to present documentation to support the actual number of copies of each edition of an issue, by entry point, mailed to each zone, at DDU, DSCF, DADC, and In-County rates. This listing is separate from the standardized documentation required under 17.3 to support presort. This listing may be submitted with each mailing, or, as an alternative, a publisher may keep records supporting zone and destination entry information reported on the postage statement for each mailing. Records must be kept for 2 months after the mailing date. A publisher must be able to submit detailed zone listings for specific mailings when requested in advance by the USPS.

17.6.2 Format

Report the number of copies mailed to each 3-digit ZIP Code area at applicable zone rates using one of the following formats:

a. Report copies by 3-digit ZIP Code, listed in ascending numeric order, for all ZIP Codes in the mailing. The listing must include the following columns: 3-digit ZIP Code, zone, and number of copies (for the zone). Include a summary of the number of copies at each zone rate at the end of the report. A 3-digit ZIP Code may appear more than once if there are copies at different zone rates for that ZIP Code (for example, In-County and Outside-County rate copies within the same 3-digit ZIP Code area).

b. Report copies by zone (In-County DDU, In-County others, Outside-County DDU, Outside-County DSCF, and Outside-County DADC) and by 3-digit ZIP Code, listed in ascending numeric order, for each zone. For each zone, the listing must include the following columns: 3-digit ZIP Code and number of copies (for each zone) in the mailing. Include a summary of the total number of copies for each zone at the end of each zone listing. A 3-digit ZIP Code may appear under more than one zone if there are copies at different zone rates for that ZIP Code (for example, In-County and Outside-County rate copies within the same 3-digit ZIP Code area).

17.6.3 Zone Abbreviations

Use the actual rate name or the authorized zone abbreviation in the listings in 17.5, Monthly Postage Statements, and 17.6.2, Format:

Zone Abbreviation

Rate Equivalent

ICD

In-County, DDU

IC

In-County, Others

DDU

Outside-County, DDU

SCF

Outside-County, DSCF

ADC

Outside-County, DADC

1-2 or 1/2

zones 1 and 2

3, 4, 5, 6, 7, 8 (as applicable)

zones 3 through 8 (as applicable)

M

mixed zones

17.7 Additional Standards

17.7.1 Presorted Rate Documentation

A complete, signed postage statement, using the correct USPS form or an approved facsimile, must accompany each mailing, supported by standardized documentation meeting the basic standards in 708.1.0. Documentation of postage is not required if each piece in the mailing is of identical weight and the pieces are separated when presented for acceptance by rate, by zone (including separation by In-County and Outside-County rates), and by entry discount (such as DDU and DSCF).

17.7.2 Carrier Route Rate Documentation

A complete, signed postage statement, using the correct USPS form or an approved facsimile, must accompany each mailing, supported by standardized documentation meeting the basic standards in 708.1.0. Documentation of postage is not required if each piece in the mailing is of identical weight and the pieces are separated when presented for acceptance by rate, by zone (including separation by In-County and Outside-County rates), and by entry discount (such as DDU and DSCF). Documentation of sequencing and of density standards under 23.7 and 23.8 must be submitted with each mailing.

17.7.3 Destination Entry Rate Documentation

Subject to 708.1.0, the mailer must be able to show compliance with eligibility requirements (by bundle, tray, sack, or pallet) and list the number of addressed pieces by presort level for each 5-digit and 3-digit ZIP Code destination as appropriate for the rates and discounts claimed. Documentation is not required if each addressed piece in the mailing is of identical weight, and are separated by zone, rate, and destination entry (if applicable), when presented for mailing.

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18.0 General Information for Mail Preparation

18.1 Definition of Presort

"Presort" is the process by which a mailer prepares mail so that it is sorted to at least the finest extent required by the standards for the rate claimed. Generally, presort is performed sequentially, from the lowest (finest) level to the highest level, to those destinations specified by standard and is completed at each level before the next level is prepared. Under standards for bundle reallocation for Periodicals flats and irregular parcels and Standard Mail flats on pallets, mail will not necessarily be placed on the lowest (finest) level pallets (bundle reallocation is optional, but, if performed, must be done for the complete mailing job). Not all presort levels are applicable in all situations.

18.2 Definition of Mailings

"Mailings" are defined as:

a. General. A mailing is a group of pieces within the same class of mail and, except for certain parcel rates, the same processing category that may be sorted together and/or presented under a single minimum volume mailing requirement under the applicable standards. Generally, types of mail that follow different flows through the postal processing system (for example, automation, nonautomation carrier route, and other nonautomation) and mail for each separate class and subclass must be prepared as a separate mailing. Other specific standards may define whether separate mailings may be combined, palletized, reported, or deposited together.

b. Periodicals. Mail qualifying for the In-County rates may be part of a mailing that includes pieces eligible for the Outside County rates. Mail at carrier route rates, nonautomation Presorted rates, and automation rates must each be sorted as separate mailings. However, each of these mailings may be reported on the same postage statement if the pieces are for the same publication and edition. See 705.8.0, 22.0, and 23.0 for copalletized, combined, or mixed-rate mailings. See 705.9.0 through 705.13.0 for advanced preparation options for nonletter-size mail.

18.3 Presort Terms

Terms used for presort levels are defined as follows:

a. Firm: all pieces for delivery at the address shown on the top piece (for nonautomation Periodicals only).

b. Carrier route: all pieces for delivery to the same city route, rural route, highway contract route, post office box section, or general delivery unit.

c. 5-digit: the delivery address on all pieces includes the same 5-digit ZIP Code.

d. 5-digit scheme (trays) for automation letters: the ZIP Code in the delivery address on all pieces is one of the 5-digit ZIP Code areas processed by the USPS as a single scheme, as shown in the USPS City State Product.

e. 5-digit scheme (bundles and sacks) for AFSM 100-compatible flats: the ZIP Code in the delivery address on all pieces is one of the 5-digit ZIP Code areas processed by the USPS as a single scheme, as shown in L007.

f. 5-digit scheme carrier routes (pallets and sacks) for Periodicals flats and irregular parcels: the ZIP Code in the delivery address on all pieces in carrier route bundles is one of the 5-digit ZIP Codes processed by the USPS as a single scheme, as shown in L001.

g. 5-digit scheme (pallets) for Periodicals flats and irregular parcels: the ZIP Code in the delivery address on all pieces is one of the 5-digit ZIP Codes processed by the USPS as a single scheme, as shown in L001.

h. Merged 5-digit sacks: the carrier route bundles and/or automation rate 5-digit bundles and/or Presorted rate 5-digit bundles in a sack are all for a 5-digit ZIP Code that has an "A" or "C" indicator in the Carrier Route Indicators field in the City State Product that allows combining carrier route rate bundles with automation rate 5-digit bundles and Presorted rate 5-digit bundles in the same 5-digit container.

i. Merged 5-digit pallets: the carrier route bundles and/or automation rate 5-digit bundles and/or Presorted rate 5-digit bundles on a pallet are: 1) prepared under 705.10.0 and are all for a 5-digit ZIP Code that has an "A" or "C" indicator in the Carrier Route Indicators field in the City State Product, or 2) prepared under 705.12.0 and pieces in 5-digit bundles meet the 5% threshold requirement, or 3) prepared under 705.13.0 and pieces are either all for a 5-digit ZIP Code that has an "A" or "C" indicator in the Carrier Route Indicators field in the City State Product or are all for a ZIP Code with a "B" or "D" indicator in the City State Product and the pieces in 5-digit bundles meet the 5% threshold requirement.

j. Merged 5-digit scheme sack: the 5-digit ZIP Codes on pieces in carrier route bundles and/or automation rate 5-digit bundles and/or Presorted rate 5-digit bundles in a sack are all for 5-digit ZIP Codes that are part of a single scheme as shown in L001, and the automation rate 5-digit bundles and/or the Presorted rate 5-digit bundles also are for 5-digit ZIP Codes that have an "A" or "C" indicator in the Carrier Route Indicators field in the City State Product that allows combining carrier route bundles with automation rate 5-digit bundles and Presorted rate 5-digit bundles in the same 5-digit container.

k. Merged 5-digit scheme pallet: contains carrier route bundles and noncarrier route 5-digit bundles (automation rate 5-digit bundles and/or presorted rate 5-digit bundles) for those 5-digit ZIP Codes that are part of a single scheme as shown in L001.

l. 5-digit metro pallets for Periodicals flats and irregular parcels: the 5-digit ZIP Codes on pieces in carrier route, automation rate, and presorted rate bundles are all destined for the same mail processing facility listed in L006.

m. 3-digit: the ZIP Code in the delivery address on all pieces begins with the same three digits (see L002, Column A).

n. Unique 3-digit: the ZIP Code in the delivery address on all pieces begins with the same three digits, and that the 3-digit prefix is so identified in L002, Column A.

o. 3-digit scheme: the ZIP Code in the delivery address on all pieces begins with one of the 3-digit prefixes processed by the USPS as a single scheme, as shown in L003.

p. 3-digit scheme bundles, for AFSM 100-compatible flats: the ZIP Code in the delivery address begins with one of the 3-digit prefixes processed by the USPS as a single scheme, as shown in L008.

q. Origin/optional entry 3-digit(s): the ZIP Code in the delivery address on all pieces begins with one of the 3-digit prefixes processed at the sectional center facility (SCF) in whose service area the mail is verified/entered. Subject to standard, a separation is required for each such 3-digit area regardless of the volume of mail.

r. SCF: the separation includes pieces for two or more 3-digit areas served by the same sectional center facility (SCF) (see L005), except that, where required or permitted by standard, mail for a single 3-digit area may be prepared in an SCF separation when no mail for other 3-digit ZIP Code areas is available. For pallets, the SCF sort may include mail for a single 3-digit ZIP Code area.

s. Origin/optional entry SCF: the separation includes bundles for one or more 3-digit areas served by the same sectional center facility (SCF) (see L002, Column C, or L005) in whose service area the mail is verified/entered. Subject to standard, this separation is required regardless of the volume of mail.

t. ADC/AADC: all pieces are addressed for delivery in the service area of the same area distribution center (ADC) or automated area distribution center (AADC) (see L004 or L801).

u. Origin mixed [ADC]: the pieces are for delivery in the service area of the origin processing facility's surface preferential transportation network (see L201).

v. Mixed [ADC, AADC, etc.]: the pieces are for delivery in the service area of more than one ADC, AADC, and so forth.

w. Residual pieces/bundles/sacks contain material remaining after completion of a presort sequence. Residual mail lacks the volume set by standard to require or allow bundle preparation to a particular destination, and usually does not qualify for a presort rate. Residual mail is also referred to as nonqualifying or working mail.

18.4 Mail Preparation Terms

For purposes of preparing mail:

a. Pieces refers to individually addressed mailpieces. This definition also applies when pieces is used in eligibility standards. Quantities indicated for optional or required sortations always refer to pieces unless specifically excepted.

b. A full letter tray is one in which faced, upright pieces fill the length of the tray between 75% and 100% full.

c. A less-than-full letter tray is one that contains mail for the same destination regardless of quantity or whether a full tray was previously prepared for that destination. Less-than-full trays may be prepared only if permitted by the standards for the rate claimed.

d. An overflow letter tray is a less-than-full tray that contains all pieces remaining after preparation of full trays for the same destination. Overflow trays may be prepared only if permitted by the standards for the rate claimed.

e. A full sack is defined in the standards for the class and rate claimed.

f. A full flat tray is one that is physically full. Although a specific minimum volume may be required (at least a single stack of mail lying flat on the bottom of the tray and filling the tray to the bottom of the handholds) before a tray may or must be prepared for certain presort destinations, trays must be filled with additional available pieces (up to the reasonable capacity of the tray) when standards require preparation of full trays.

g. A less-than-full flat tray is one that contains Periodicals mail for the same destination regardless of quantity or whether a full tray was previously prepared for that destination. Less-than-full flat trays may be prepared only if permitted by the standards for the rate claimed.

h. A 5-digit scheme sort for automation letters yields 5-digit scheme trays for those 5-digit ZIP Codes identified in the USPS City State Product and 5-digit trays for other areas. Mail prepared using 5-digit scheme sort must be entered no later than 90 days after the release date of the City State Product used to obtain the scheme information (see 708.3.0). The 5-digit ZIP Codes in each scheme are treated as a single presort destination subject to a single minimum volume, with no further separation by 5-digit ZIP Code required. Trays prepared for a 5-digit scheme destination that contain pieces for only one of the schemed 5-digit ZIP Codes are still considered 5-digit scheme sorted and are labeled accordingly. The 5-digit scheme sort is always optional, including when 5-digit sortation is required for rate eligibility; need not be used for all 5-digit ZIP Codes that are part of a scheme; and is available only for automation rate letter-size Periodicals and may not be used for mail at other rate.

i. A 5-digit scheme sort for AFSM 100-compatible flats yields 5-digit scheme bundles for those 5-digit ZIP Codes identified in L007. Presorting must be performed using L007. Pieces prepared in scheme bundles must meet the AFSM 100 compatibility criteria in 301.3.3. The 5-digit ZIP Codes in each scheme are treated as a single presort destination subject to a single minimum volume, with no further separation by 5-digit ZIP Code required. Bundles prepared for a 5-digit scheme destination that contain pieces for only one of the schemed 5-digit ZIP Codes are still considered 5-digit scheme sorted and are labeled accordingly. The 5-digit scheme sort is optional, except under 705.12.0, Preparation of Merged Palletization of Bundles of Flats Using a 5% Threshold, and 705.13.0, Preparation of Merged Palletization of Bundles of Flats Using the City State Product and a 5% Threshold. Mailpieces must be labeled using an optional endorsement line (OEL) under 708.7.0. Bundles are placed in appropriate containers using the OEL "label to" 5-digit ZIP Code. Periodicals firm bundles must not be part of a 5-digit scheme bundles.

j. A 5-digit scheme carrier routes sort for carrier route rate Periodicals flats and irregular parcels (nonletters) prepared in sacks or as bundles on pallets yields a 5-digit scheme carrier routes sack or pallet for those 5-digit ZIP Codes listed in L001 and 5-digit carrier routes sacks or pallets for other areas. The 5-digit ZIP Codes in each scheme are treated as a single presort destination subject to a single minimum sack or pallet volume, with no further separation by 5-digit ZIP Code required. Sacks or pallets prepared for a 5-digit scheme carrier routes destination that contain carrier route bundles for only one of the schemed 5-digit areas are still considered to be sorted to 5-digit scheme carrier routes and are labeled accordingly. The 5-digit scheme carrier routes sort is required for carrier route bundles of flat-size and irregular parcel Periodicals. Preparation of 5-digit scheme carrier routes sacks or pallets must be done for all 5-digit scheme destinations.

k. A 5-digit scheme sort for Periodicals flats and irregular parcels (nonletters) prepared as bundles on pallets yields 5-digit scheme pallets containing automation rate and Presorted rate 5-digit bundles for those 5-digit ZIP Codes listed in L001 and yields 5-digit pallets containing automation rate and Presorted rate 5-digit bundles for other areas. The 5-digit ZIP Codes in each scheme are treated as a single presort destination subject to a single minimum pallet volume, with no further separation by 5-digit ZIP Code required. Pallets prepared for a 5-digit scheme destination that contain 5-digit bundles for only one of the schemed 5-digit areas are still considered to be sorted to the 5-digit scheme and are labeled accordingly. The 5-digit scheme sort is required for flat-size and irregular parcel-size Periodicals. The 5-digit scheme sort may not be used for other mail prepared on pallets. Preparation of 5-digit scheme pallets must be done for all 5-digit scheme destinations.

l. A merged 5-digit sort for Periodicals flats and irregular parcels prepared in sacks yields merged 5-digit sacks that contain carrier route bundles and/or automation rate 5-digit bundles, and/or Presorted rate 5-digit bundles that are all for a 5-digit ZIP Code that has an "A" or "C" indicator in the Carrier Route Indicators field in the City State Product that allows combining carrier route bundles, automation rate 5-digit bundles, and Presorted rate 5-digit bundles in the same 5-digit sack or pallet. The merged 5-digit sort is optional for Periodicals flats and irregular parcels. Sacks prepared for a merged 5-digit destination that contain only a single rate level of bundle(s) (only carrier route bundle(s) or only automation rate 5-digit bundle(s) or only Presorted rate 5-digit bundle(s)) or that contain only two rate levels of bundle(s) are still considered to be merged 5-digit sorted and are labeled accordingly. If preparation of merged 5-digit sacks is performed, it must be done for all 5-digit ZIP Code destinations with an "A" or "C" indicator in the Carrier Route Indicators field in the City State Product that allows combining carrier route bundles, automation rate 5-digit bundles, and Presorted rate 5-digit bundles in the same 5-digit container.

m. A merged 5-digit sort for Periodicals flats and irregular parcels prepared as bundles on pallets yields merged 5-digit pallets that contain carrier route bundles and noncarrier route 5-digit bundles (automation rate 5-digit bundles and/or presorted rate 5-digit bundles). The merged 5-digit sort is optional for Periodicals flats and irregular parcels and Standard Mail flats prepared in sacks under 705.10.0. Sacks or pallets prepared for a merged 5-digit destination that contain only a single rate level of bundle(s) (only carrier route bundle(s) or only automation rate 5-digit bundle(s) or only presorted rate 5-digit bundle(s)) or only two rate levels of bundle(s) are still considered to be merged 5-digit sorted and must be labeled accordingly.

n. A merged 5-digit scheme sort for Periodicals flats and irregular parcels prepared in sacks yields merged 5-digit scheme sacks that contain carrier route bundles and noncarrier route 5-digit bundles (automation rate 5-digit bundles and/or presorted rate 5-digit bundles) for those 5-digit ZIP Codes that are part of a single scheme as shown in L001. Sacks prepared for a merged 5-digit scheme destination that contain only a single rate level of bundle(s) (only carrier route bundle(s) or only automation rate 5-digit bundle(s) or only presorted rate 5-digit bundle(s)), or only two rate levels of bundle(s), or bundles for only one of the schemed 5-digit ZIP Codes are still considered to be merged 5-digit scheme sorted and must be labeled accordingly. If preparation of merged 5-digit scheme sacks is performed, it must be done for all 5-digit scheme destinations in L001.

o. A merged 5-digit scheme sort for Periodicals flats and irregular parcels prepared as bundles on pallets yields merged 5-digit scheme pallets that contain carrier route bundles and noncarrier route 5-digit bundles (automation rate and/or presorted rate 5-digit bundles) for those 5-digit ZIP Codes that are part of a single scheme as shown in L001. Pallets prepared for a merged 5-digit scheme destination that contain only a single rate level of bundle(s) (only carrier route bundle(s) or only automation rate 5-digit bundle(s) or only presorted rate 5-digit bundle(s)), or only two rate levels of bundle(s), or bundles for only one of the schemed 5-digit ZIP Codes are still considered to be merged 5-digit scheme sorted and must be labeled accordingly. If preparation of merged 5-digit scheme pallets is performed, it must be done for all 5-digit scheme destinations in L001.

p. A 5-digit metro sort for Periodicals nonletters (flats and irregular parcels) prepared as bundles on pallets yields 5-digit metro pallets that contain carrier route and/or noncarrier route 5-digit and 3-digit bundles (automation rate and/or presorted bundles) for the 5-digit ZIP Codes listed in L006. The ZIP Codes in L006 are treated as a single presort destination, with no further separation by 5-digit ZIP Code required. The 5-digit metro sort is optional and need not be done for all possible destinations in L006.

q. A 3-digit scheme sort yields 3-digit scheme trays for those 3-digit ZIP Code prefixes listed in L003 and 3-digit trays for other areas. The 3-digit ZIP Code prefixes in each scheme are treated as a single presort destination subject to a single minimum tray volume, with no further separation by 3-digit prefix required. Trays prepared for a 3-digit scheme destination that contain pieces for only one of the schemed 3-digit areas are still considered 3-digit scheme sorted and are labeled accordingly. The 3-digit scheme sort is required for automation rate letter-size Periodicals and is not permitted to be used for mail entered at another rate.

r. A 3-digit scheme sort for AFSM 100-compatible flats yields 3-digit scheme bundles for those 3-digit ZIP Codes identified in L008. The 3-digit scheme sort is optional, except under 705.12.0 and 705.13.0. For 705.12.0 and 705.13.0, presorting must be performed using L008. Pieces prepared in scheme bundles must meet the AFSM 100 compatibility criteria in 301.3.3. The 3-digit ZIP Codes in each scheme are treated as a single presort destination subject to a single minimum volume, with no further separation by 3-digit ZIP Code required. Bundles prepared for a 3-digit scheme destination that contain pieces for only one of the schemed 3-digit ZIP Codes are still considered 3-digit scheme sorted and are labeled accordingly. Mailpieces must be labeled using an optional endorsement line (OEL) under 708.7.0. Three-digit scheme bundles are placed in 3-digit through Mixed ADC containers, as applicable, using the OEL "label to" 3-digit ZIP Code. Periodicals firm bundles must not be physically combined within 3-digit scheme bundles, but can contribute toward the six-piece minimum for rate eligibility.

s. An origin 3-digit (or origin 3-digit scheme) tray/sack contains all mail (regardless of quantity) for a 3-digit ZIP Code (or 3-digit scheme) area processed by the SCF in whose service area the mail is verified. If more than one 3-digit (or 3-digit scheme) area is served, as indicated in L005, a separate tray/sack must be prepared for each.

t. An origin/optional entry SCF sack contains all 5-digit and 3-digit bundles (regardless of quantity) for the SCF in whose service area the mail is verified. At the mailer's option, such a sack may be prepared for the SCF area of each entry post office. This presort level applies only to nonletter-size Periodicals prepared in sacks.

u. The required at [quantity] instruction (for example, "required at 10 pieces") means that the particular unit must be prepared for the corresponding presort level whenever the specified quantity of mail is reached or exceeded. Bundles and containers may contain more than the specified required at quantity up to the applicable maximum physical size. Subject to applicable rate eligibility standards, smaller quantities may be prepared only if permitted. Where specified by standard, required preparation applies only if the mailer chooses to qualify for the corresponding rate.

v. The optional at [quantity] instruction means that the particular unit may be prepared for the corresponding presort level whenever the specified quantity of mail is reached or exceeded. Bundles or containers may contain more than the specified optional at quantity up to the applicable maximum physical size. Smaller quantities may be prepared only if permitted by applicable rate eligibility standards. Standards for quantities with which preparation is optional are often followed by standards for larger quantities with which preparation is required.

w. Entry [facility] (or origin [facility]) refers to the USPS mail processing facility (for example, "entry SCF") that serves the post office at which the mail is entered by the mailer. If the post office where the mail is entered is not the one serving the mailer's location (such as for plant-verified drop shipment), the post office of entry determines the entry facility. Entry SCF includes both single-3-digit and multi-3-digit SCFs.

x. The group pieces instruction means the pieces are to be sorted together as if to be bundled but not actually secured into a bundle. Bundle labels and other bundle identification methods may be used for unsecured groups of pieces as permitted by standard.

y. A bundle is a group of addressed pieces secured together as a unit. The presort process considers the total number of pieces available for the particular presort destination and assembles them into groups meeting applicable volume and size standards. When the standards for the rate claimed require securing the pieces in each group together, the result is a bundle. The term bundle does not apply to unsecured groups of pieces (for example, pieces prepared in trays and identified by separator cards or tic marks). Bundle preparation is described in 19.0.

z. A tic mark is defined as a solid black rectangle that must be printed on both the front side (extending over the top) and back side (flap side) of the envelope. Tic marks may be used in lieu of separator cards or rubber bands in Periodicals nonautomation carrier route mailings prepared in full 5-digit carrier routes trays. Tic marks must be printed on the top edge of the first mailpiece in each carrier route grouping during the mailpiece production process and must meet the following specifications:

1. Color: black.

2. Reflectance and Contrast Ratio: The tic mark must meet the reflectance and contrast ratio specifications in 708.4.4.

3. Location: The tic mark must extend along the top edge of the envelope, to the left of center line of the envelope. Its location must be referenced to the center line. The right edge of the tic mark must be 0.5 inch (+ 0.125 inch) from the center line of the envelope.

4. Size: The width of the tic mark must be 0.5 inch (+ 0.125 inch). The tic mark must extend over the top of the envelope, down each side a distance of 0.25 inch (+ 0.125 inch). When a second tic mark is used to indicate a tray break at the end of the tray, all specifications are the same as for one tick mark, except for the location on the envelope. When a second tic mark is used on the last piece in a tray to indicate a tray break, the right edge of the second tic mark must be 0.5 inch (+ 0.125 inch) from the left edge of the first tic mark.

aa. A "logical" presort destination represents the total number of pieces that are eligible for a specific presort level based on the required sortation, but which might not be contained in a single bundle or in a single container (sack or pallet) due to applicable preparation requirements or the size of the individual pieces. For example, there may be 42 mailpieces for ZIP Code 43112 forming a Periodicals "logical" 5-digit bundle, and they are prepared in three physical 5-digit bundles because of the applicable weight and height restrictions on bundles. For pallets, 2,800 pounds of mail may be destined to an SCF destination, and these would form the "logical" SCF pallet, but the mail is placed on two physical SCF pallets each weighing 1,400 pounds because of the 2,200 pound maximum pallet weight requirement.

ab. Cobundling is an alternate preparation method available under 705 for Periodicals that allows the combining of flat-size automation rate and Presorted rate pieces within the same bundle under the single minimum bundle size requirement. Regardless of the class of mail, pieces may not be combined in more than one physical bundle for each logical presort destination unless presented using an approved manifest mailing system under 705.2.0.

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19.0 Bundles

19.1 Definition of a Bundle

Mailers assemble pieces available for different presort destinations into groups. A bundle is a group of addressed pieces secured together as a unit. The term bundle does not apply to pieces grouped or prepared loose in trays.

19.2 Arranging Pieces in a Bundle ("Facing")

Except as noted in 19.3, all pieces in a bundle must be "faced" (arranged with the addresses in the same read direction), with an address visible on the top piece.

19.3 Preparing Bundles of Nonuniform Pieces ("Counterstacking")

Bundles of flats and other pieces of nonuniform thickness may be prepared by counter-stacking under these conditions:

a. Counter-stacking should be used only to create bundles of more uniform thickness that are more likely to maintain their integrity during transportation and processing.

b. Counter-stacking is appropriate for saddle-stitched mailpieces and pieces where one edge is thicker than other edges or one corner is thicker than other corners.

c. When counter-stacking, pieces must all have addresses facing up and be divided into no more than four approximately equal groups, with each group rotated 180 degrees from the preceding and succeeding group(s); prepare as few groups as possible to create a bundle of uniform thickness.

d. Counter-stacked groups within a bundle should be as thick as possible, generally at least 1 inch thick.

e. When pieces are nonuniform in thickness because they are thicker in the center instead of along an edge or corner, counter-stacking will generally not result in a bundle of uniform thickness (i.e., a football-shaped bundle would be created). Instead of counter-stacking such pieces, limit the height (thickness) of the bundle to 3 to 6 inches to ensure the bundle will stay together during normal transit and handling.

19.4 Securing Bundles

[4-30-06] Bundles must withstand normal transit and handling without breaking and without causing injury to USPS employees or damage to USPS equipment.

Mailers must meet the following standards when preparing and securing bundles:

a. Secure bundles with banding, shrinkwrap, or shrinkwrap supplemented with one or more bands. Banding includes plastic bands, rubber bands, twine, string, and similar material. Mailers must meet the following standards when banding bundles:

1. Do not place any bands closer than 1 inch from any bundle edge.

2. When using twine or string to band bundles, secure the knot(s) so the twine or string does not come loose during transit and processing.

3. Do not use wire or metal banding.

4. Do not use any loose banding.

b. When using only banding to secure bundles, apply banding under the following additional requirements:

1. Use at least one band to encircle the length of the bundle and use at least one band to encircle the girth of the bundle.

2. Use tension sufficient to tighten and depress the edges of the bundle so that pieces do not slip out of the banding during transit and processing.

19.5 Letter-Size Bundles

Letter-size pieces are subject to these bundling standards:

a. The maximum thickness for bundles of carrier route rate mail is 4 inches. The maximum thickness for other bundles is 6 inches.

b. Bundles must be prepared for mail in all less-than-full trays and 3-digit carrier routes trays; and for nonautomation Periodicals.

c. Separator cards or tic marks may be used instead of bundling for letter-size pieces in full 5-digit carrier routes trays of Periodicals. The cards must be of paper or card stock, at least 0.25 inch higher than the highest pieces in the mailing, and in front of the corresponding groups of mail. The tic mark must be applied during the mailpiece production process and be printed on the top edge of the envelope, to the left of the center line of the envelope. Each tic mark must have its location referenced to the center line. The right edge of the tic mark must be 0.5 inch (+ 0.125 inch) from the center line of the envelope. The width of the tic mark must be 0.5 inch (+ 0.125 inch). The tic mark must extend over the top of the envelope, down each side a distance of 0.25 inch (+ 0.125 inch). In trays of tic-marked mail, all mailpieces must be the same dimension so that the tic marks are visible.

d. For mailings consisting entirely of card-size pieces and mail in less-than-full trays, mailers must secure bundles with rubber bands, elastic strapping, flat plastic strapping, or string. Elastic strapping must be approved by USPS Engineering. If requested, the mailer must be able to show such approval for the strapping material used for a mailing.

e. Bundles up to 1 inch thick must be secured with appropriate banding placed once around the girth (narrow dimension). Bundles over 1 inch thick must be secured with at least two bands, one around the length and one around the girth.

19.6 Flat-Size Bundles

Bundles of flat-size pieces must be secure and stable subject to the following:

a. If placed on pallets, the specific weight limits in 705.8.0.

b. If placed in sacks, the specific weight and height limits in 19.8.

19.7 Exception to Bundle Preparation—Full Single-Sort-Level Trays

Mailers must always bundle card-size pieces. For pieces larger than card-size, mailers need not prepare bundles when placing mail in a full tray to the corresponding tray level if none of the mail in that tray would have been more finely sorted if bundled. For example, mailers need not bundle the contents of a full ADC tray if, when correctly sorted, it would have all been prepared in ADC bundles to the same destination.

19.8 Preparing Bundles in Sacks

[4-30-06] In addition to the standards in 19.4, mailers must prepare and secure bundles placed in sacks as follows:

a. The maximum weight for all bundles is 20 pounds.

b. Measure bundles at the lowest (thinnest) point to determine the bundle height.

c. A bundle that exceeds the maximum prescribed height by less than the thickness of a single piece meets the standard (for example, if a piece is 0.75 (3/4) of an inch thick, 11 pieces may be secured in a bundle 8.25 inches high, even though the maximum bundle height is 8 inches).

d. Bundles of pieces with covers of "coated stock" (for example, magazines or catalogs with glossy covers) that are not individually enclosed in an envelope or mailing wrapper are subject to these conditions:

1. Bundles secured with rubber bands, twine, string, or only shrinkwrap must not exceed 3 inches in height.

2. Bundles secured with shrinkwrap plus one or two plastic straps, or with at least two plastic straps, one around the length and one around the girth, must not exceed 6 inches in height.

e. Bundles of pieces with outer surfaces of "uncoated stock" are subject to these conditions:

1. Bundles must not exceed 8 inches in height (recommended maximum height is 6 inches).

2. "Uncoated stock" refers to pieces with outer surfaces composed of material other than paper (such as plastic, cloth, or fiberboard) and also refers to pieces with coated covers that are individually enclosed in a cover or mailing wrapper of uncoated stock, such as an envelope or polybag.

19.9 Preparing Bundles on Pallets

In addition to 19.2, 19.3, 19.4, and 19.13, bundles on pallets must meet the following standards:

a. Bundles up to 1 inch in height (thickness) must be secured with appropriate banding, placed at least once around the girth, or with shrinkwrap. Bundles over 1 inch in height must be secured with at least two bands (plastic bands, rubber bands, twine/string, or similar material), one around the length and one around the girth; or with shrinkwrap; or with shrinkwrap plus one or two bands.

b. Bundles may be secured with heavy-gauge shrinkwrap plus plastic banding, only shrinkwrap, or only banding material if they can stay together during normal processing. If used, banding material must be applied at least once around the length and once around the girth; wire and metal strapping are prohibited.

19.10 Pieces With Simplified Addresses

For mail prepared with a simplified address, all pieces for the same post office must be prepared in bundles of 50 when possible. If bundles of other quantities are prepared, the actual number of pieces must be shown on the facing slip attached to show distribution desired (such as rural route, city route, or post office boxholder). Bundles must be secure and stable subject to specific weight limits in 705.8.0 if placed on pallets, specific weight and height limits in 19.8 for Periodicals placed in sacks, and specific thickness limits in 19.5 for cards and letter-size pieces.

19.11 Bundles With Fewer Than the Minimum Pieces Required

An individual bundle may be prepared with fewer than the minimum number of pieces required by the standards for the rate claimed without loss of rate eligibility under either of these conditions:

a. A greater number of pieces would exceed the maximum physical size for a bundle and the total number of pieces for that presort destination meets the minimum volume standard (for example, 30 pieces are available to meet a 10-piece minimum, but a bundle of eight pieces is 6 inches thick).

b. The pieces constitute the "last bundle" for a presort destination and previously prepared bundles met the applicable minimum volume standard (for example, 505 pieces prepared in 10 50-piece bundles and one five-piece bundle).

19.12 Address Visibility

Mailers preparing presort bundles must ensure that the delivery address information on the top mailpiece in each bundle is visible and readable by the naked eye. Mailers using strapping that might cover the address can avoid obstructing visibility by using clear, smooth strapping tightly secured around the bundle. Mailers using barcoded pressure-sensitive bundle labels, optional endorsement lines, carrier route information lines, or carrier route facing slips also must ensure that the information in these presort designations is visible and readable by the naked eye. This standard does not apply to the following:

a. Bundles placed in or on 5-digit or 5-digit scheme (L001) sacks or pallets.

b. Bundles placed in carrier route and 5-digit carrier routes sacks.

c. Bundles of mailpieces at carrier route rates entered at a destination delivery unit (DDU).

19.13 Labeling Bundles

Unless excepted by standard, the presort level of each bundle (other than carrier route bundles) must be identified either with an optional endorsement

line under 708.7.0 or with a barcoded pressure-sensitive bundle label. On letter-size mail (including card-size pieces), the bundle label must be placed in the lower left corner of the address side of the top piece in the bundle. On flat-size mail, the label may be placed anywhere on the address side of the top piece in the bundle. Barcoded pressure-sensitive bundle labels must not obscure the delivery address block. Banding or shrinkwrap must not obscure any bundle label. The following colors and presort characters apply to bundle labels:

a. Firm (Periodicals use only), blue Label F.

b. Five-digit presort level, red Label 5.

c. Three-digit presort level, green Label 3.

d. ADC presort level, pink Label A.

e. Origin mixed ADC presort level, tan Label X or OEL.

f. Mixed ADC presort level, tan Label X.

19.14 Carrier Route Information Lines

Bundles for individual carrier routes, rural routes, highway contract routes, post office box sections, or general delivery units must be prepared with facing slips under 19.0, Bundles, optional endorsement lines under 708.7.0, or carrier route information lines under 708.6.0. These standards apply to Carrier Route Periodicals mailings. Carrier route information lines may be on all pieces in a mailing, regardless of presort level.

19.15 Facing Slips for Carrier Route Mail

All facing slips used on carrier route bundles must show this information:

a. Line 1: Destination city, two-letter state abbreviation, and 5-digit ZIP Code.

b. Line 2: Content (as appropriate to the class), followed by carrier route type and route number (for example, "NEWS LTRS CR R 012").

c. Line 3: City and two-letter state abbreviation of the origin post office.

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20.0 Sacks and Trays

20.1 Basic Standards

20.1.1 General

[5-11-06] Depending on the class of mail and processing category, mailings must be prepared in trays or sacks as shown in Exhibit 20.1.1 and under other applicable standards in this section. The following additional standards apply to Exhibit 20.1.1:

a. Palletized mail is subject to 705.8.0.

b. A postmaster may authorize nonpostal containers for a small-volume presorted mailing if the mailing weighs no more than 20 pounds, consists primarily of mail or bundles of mail for local ZIP Codes, and requires no USPS transportation for processing.

Exhibit 20.1.1 USPS Containers

Processing Category

Usps Container

Periodicals

Letter-size

Letter tray (with sleeve)

Flat-size, parcels

Sack

20.1.2 Letter Tray Sizes

These approximate measurements define the tray sizes that apply to all mail preparation standards:

a. 2-foot managed mail (MM) trays: 21 inches long by 10 inches wide (inside bottom dimensions) by 4-5/8 inches high.

b. 1-foot managed mail (MM) trays: 10-1/4 inches long by 10 inches wide (inside bottom dimensions) by 4-5/8 inches high.

c. 2-foot extended managed mail (EMM) trays: 21-3/4 inches long by 11-1/2 inches wide (inside bottom dimensions) by 6-1/8 inches high.

20.1.3 Definitions of Terms

Presort, presort levels, and standard preparation terms are defined in 18.0.

20.1.4 Tray Sleeving and Strapping

Each letter tray must be sleeved, using USPS-provided sleeves. Except under 20.1.5, each sleeved letter tray must then be secured with one plastic strap placed tightly around the length of the tray without crushing the tray or sleeve.

20.1.5 Strapping Exception

Strapping is not required for any letter tray placed on a 5-digit, 3-digit, or SCF pallet secured with stretchwrap. In addition, if the processing and distribution manager gives a written waiver, strapping is not required for any letter tray that originates and destinates in the same SCF (mail processing plant) service area.

20.1.6 Origin/Entry 3-Digit/Scheme Trays

For letter-size Periodicals, after all finer sort levels are prepared, an origin/entry 3-digit tray (or, if applicable, origin/entry 3-digit scheme tray) must be prepared to contain any remaining mail for each 3-digit (or 3-digit scheme) area serviced by the SCF serving the post office where the mail is verified (origin), and may be prepared for each 3-digit (or 3-digit scheme) area served by the SCF/plant where mail is entered (if that is different from the SCF/plant serving the post office where the mail is verified—for example, a PVDS deposit site). In all cases, only one less-than-full tray may be prepared for each 3-digit (or 3-digit scheme) area.

20.1.7 Flats and Irregular Parcels—Origin/Entry SCF Sacks

For flat-size and irregular parcel-size Periodicals, after all finer sort levels are prepared, an origin/entry SCF sack must be prepared to contain any remaining 5-digit and 3-digit bundles for the 3-digit ZIP Code area(s) served by the SCF serving the post office where the mail is verified (origin), and may be prepared for the area served by the SCF/plant where mail is entered (if that is different from the SCF/plant serving the post office where the mail is verified—for example, a PVDS deposit site). In all cases, only one less-than-full sack may be prepared for each SCF area.

20.1.8 Flats and Irregular Parcels—Origin Mixed ADC Sacks (Optional)

For flat-size and irregular parcel-size Periodicals, after all finer sort levels are prepared, mailers may prepare an origin mixed sack containing any remaining bundles for the ZIP Codes listed in L201, Column B, that correspond to the 3-digit origin entry point of the mailing as listed in Column A. Mailers may prepare only one less-than-full origin mixed sack.

20.2 Letter Tray Preparation

Letter trays are prepared as follows:

a. Subject to availability of equipment, standard managed mail trays must be used for all letter-size mail, except that extended managed mail trays must be used when available for letter-size mail that exceeds the inside dimensions of managed mail trays defined in 20.1.2. When extended managed mail trays are not available for those larger pieces, they must be placed in managed mail trays, angled back, or placed upright perpendicular to the length of the tray in row(s) to preserve their orientation.

b. Pieces must be "faced" (oriented with all addresses in the same direction with the postage area in the upper right).

c. Each tray prepared must be filled before filling the next tray, with the contents in multiple trays relatively balanced. When preparing full trays, mailers must fill all possible 2-foot trays first; if there is mail remaining for the presort destination, mailers must use a combination of 1-foot and 2-foot trays that results in the fewest total number of trays for that presort level. As an alternative, if there is mail remaining, mailers may move those pieces to the next higher presort level at which there is a minimum quantity (for example, 150 pieces).

d. For presort destinations that do not require full trays, pieces are placed in a less-than-full tray.

e. Mailers must use as few trays as possible without jeopardizing rate eligibility. For instance, a mailer will never have two 1-foot trays to a single destination; instead, that mail must be placed in a single 2-foot tray. A 1-foot tray is prepared only if it is a full tray with no overflow; or if there is less than 1 foot of mail for that destination; or if the overflow from a full 2-foot tray is less than 1 foot of mail.

f. Each tray must bear the correct tray label.

g. Each tray must be sleeved and strapped under 1.4 and 1.5.

h. If a mailing is prepared using an MLOCR/barcode sorter and is submitted with standardized documentation, then pieces do not have to be grouped by 3-digit ZIP Code prefix (or by 3-digit scheme, if applicable) in AADC trays, or by AADC in mixed AADC trays.

20.3 Sack Preparation

All sack preparation is subject to these standards:

a. Each sack must bear the correct sack label.

b. The weight of a sack and its content must not exceed 70 pounds.

20.4 Use of Flat Trays (Optional)

20.4.1 General

When using this option, mailers must prepare mailpieces in flat trays with white lids.

20.4.2 Flat Tray Sizes

These approximate measurements define the flat tray sizes that apply to mail prepared under 25.4.

a. Inside bottom dimensions: 14-3/4 inches long by 10-3/4 inches wide.

b. Height: 8 inches to bottom of handhold, 11-1/4 inches to top of tray.

20.4.3 Flat Tray Preparation

Mailers using this option must prepare flat trays subject to these standards:

a. Addresses on all pieces must face upward in the same direction.

b. Pieces must be placed in trays to maintain their orientation (double stacks of mail are allowed). Once the required minimum volume is reached to allow or require preparation of an ADC tray, additional pieces must be placed in the same tray up to its capacity to minimize the number of trays used. Mail must not fill the tray enough to inhibit adequate closure or covering of the contents.

c. The weight of a tray and its content must not exceed 70 pounds.

d. Each tray must bear the correct tray label.

e. For mailings prepared under the optional tray-based preparation in 25.4, when pieces remain after one or more full trays for an ADC destination are prepared, an additional ADC tray must be prepared if the remaining pieces reach the required volume. If the remaining volume is below the required minimum, the pieces must be moved to the appropriate origin mixed ADC or mixed ADC tray.

f. Each flat tray must be covered with a white lid. Each covered flat tray must be secured with two straps placed tightly around the width (shorter dimension) of the tray.

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21.0 Sack and Tray Labels

21.1 Basic Standards

21.1.1 General

[5-11-06] Sack and tray labels are subject to the following:

a. Use 1-inch labels for sacks with metal 1-inch label holders/closures.

b. Use 2-inch labels for sacks with 2-inch label holder pockets.

c. Use 2-inch labels for sacks with dual plastic label holders/closures. One-inch labels may be used but are not recommended.

d. Use 2-inch labels for trays.

e. Illegible labels are not acceptable. Machine-printed labels (available from the USPS) ensure legibility. Legible hand-printed labels are acceptable.

f. Container labels for automation rate mailings are subject to 4.9 and 708.6.0.

21.1.2 Line 1 (Destination Line)

Line 1 (destination line) must meet these standards:

a. Placement. Line 1 must be the first visible line on the label. It must be completely visible and legible when placed in the label holder. This visibility is ensured if the top of this line is no less than 1/8 (0.125) inch below the top of the label when the label is cut and prepared.

b. Information. Line 1 must contain only the information specified by standard, including the appropriate destination facility prefix (for example, "ADC"). Two zeros may follow the 3-digit ZIP Code prefix required by labeling standards (for example, 223 as 22300).

c. Overseas Military Mail. On 5-digit sacks and trays for overseas military destinations, Line 1 shows, from left to right, "APO" or "FPO," followed by "AE" (for ZIP Codes within the ZIP Code prefix range 090-098), "AA" (for ZIP Codes within the 3-digit ZIP Code prefix 340), or "AP" (for ZIP Codes within the ZIP Code prefix range 962-966), followed by the destination 5-digit ZIP Code of the mail in the sack or tray.

21.1.3 Line 2 (Content Line)

Line 2 (content line) must meet these standards:

a. Placement: Line 2 must be the second visible line on the label. This line must show the class and processing category of the mail in the sack or tray and other information as specified by standards. Except as provided in 26.0 for combined mailings, Periodicals publications must use one of the following for Line 2 class information:

1. "PER."

2. "NEWS" if published weekly or more often or if authorized newspaper treatment as of March 1, 1984.

b. Codes: The codes shown below must be used as appropriate on Line 2 of sack, tray, and pallet labels.

Content Type

Code

Barcoded

BC

Barcoded and Nonbarcoded

BC/NBC

Carrier Route

C (type of route)

Carrier Routes

CR-RT or CR-RTS

Digit

D

Flats

FLTS

General Delivery Unit

G

Highway Contract Route

H

Irregular Parcels

IRREG

Letters

LTR or LTRS

Machinable

MACH

Manual (cannot be processed on automated equipment or mailer requests manual processing)

MAN or MANUAL

Mixed

MXD

Nonbarcoded

NON BC (sacks) NBC (pallets and cotrayed or cosacked mail under 705.9.0)

Origin Mixed

OMX

Periodicals

PER (see 21.1.3a) NEWS (see 21.1.3a)

Post Office Box Section

B

Rural Route

R

Scheme

SCH

Working

WKG

21.1.4 Line 3 (Office of Mailing or Mailer Information Line)

Line 3 (office of mailing or mailer information line) must be the bottom line of required information and must show either the city and state of the entry post office or the mailer's name and the city and state of the mailer's location. It is recommended that the mailer's name also appear with the city and state of the entry post office.

21.1.5 Extraneous Information

Extraneous information is not permitted on the destination and content lines. It may be placed away from required lines, subject to these conditions:

a. It may be placed above Line 1 in not more than 0.083 inch high type (6-point type).

b. It may appear to the right of required Line 3 information but it must not consist of numerals that resemble a ZIP Code or 3-digit ZIP Code prefix.

c. It must not appear between Lines 1 and 2 (a blank line is permitted), but may appear between Lines 2 and 3 if it does not consist of numerals that resemble a ZIP Code or 3-digit ZIP Code prefix.

d. It may appear below Line 3.

e. A mailer code assigned by the USPS or such words as "Mailer," "From" (or "FR"), or "Entered at" may appear before the required information on Line 3.

21.1.6 Abbreviations

Lines 1 and 3 may contain abbreviated information if such abbreviations are those in the USPS City State Product.

21.2 Sack Labels

21.2.1 Physical Characteristics

[5-11-06] A sack label must meet these specifications:

a. Color: pink for Periodicals.

b. Weight: minimum 70-pound stock (500 sheets, 24 by 36 inches).

c. Length (parallel to printing): 3.250 inches minimum; 3.515 inches maximum.

d. Height (perpendicular to printing):

1. For 1-inch labels: 0.937 inch minimum; 0.980 inch maximum.

2. For 2-inch labels: 1.860 inches minimum; 2.015 inches maximum.

21.2.2 Additional Standards for Barcoded Sack Labels

[5-11-06] In addition to 21.2.1, barcoded sack labels must meet the standards in 21.4 and 708.6.2 (for 2-inch labels) or 708.6.3 (for 1-inch labels).

21.2.3 Additional Standards for Automation-Compatible Flats

For sack labels used on mailings of automation-compatible flats only:

a. The human-readable content of sack labels must be machine-printed at five lines per inch. If the information cannot be shortened by postal abbreviations, it may be printed at a pitch of up to 15 characters per inch, if at least 22 human-readable characters fit on the label without interfering with the "quiet zone."

b. The minimum acceptable height for the destinating ZIP Code is 0.111 inch (8-point type).

c. The minimum acceptable character height for all other information on Lines 1, 2, and 3 is 0.083 inch (6-point type).

21.3 Tray Labels

21.3.1 Placement

Place the tray label securely in an adhesive-backed label holder affixed to the location designated on the tray. If no specific location is indicated, place the label securely in an adhesive-backed label holder affixed horizontally to the top left corner of one end of the tray. Do not use tape. Insert the label completely into the label holder to ensure that it does not fall out during processing. Do not insert labels upside down.

21.3.2 Physical Characteristics

A tray label must meet these specifications:

a. Color: pink for Periodicals.

b. Weight: minimum 70-pound stock (500 sheets, 24 by 36 inches).

c. Height (perpendicular to printing): 1.860 inches minimum; 2.015 inches maximum.

d. Length (parallel to printing): 3.250 inches minimum; 3.515 inches maximum.

21.3.3 Additional Standards for Barcoded Tray Labels

In addition to 21.3, barcoded tray labels must meet the standards in 708.6.2.

21.4 Use of Barcoded Sack and Tray Labels

[5-11-06] Exhibit 21.4 shows the types of mail requiring barcoded sack or tray labels. Barcoded labels must meet these general standards:

a. Mailers must use the appropriate size label as described in 21.1.1.

b. Mailer-produced barcoded labels must meet the standards in 708.6.0.

c. All information on barcoded labels must be machine-printed. Do not make alterations (such as handwritten changes) to preprinted barcoded labels.

d. Mailers must insert barcoded labels completely into the label holder on the sack or tray to prevent their loss during transport and processing.

Exhibit 21.4 Required Barcoded Sack and Tray Labels

Rate Or Type

Processing Category

Periodicals

Automation rate

Letter-size, flat-size

Cobundled and cosacked under 705.9.0 through 705.13.0

Flat-size

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22.0 Preparing Presorted Periodicals

22.1 Basic Standards

22.1.1 General

For all letter-size mailings, for sacked mailing jobs of nonletter-size mail that do not contain an automation rate mailing or a carrier route mailing, and for all palletized mailing jobs the following standards must be met for the Presorted rate mailing:

a. All pieces in each Presorted rate Periodicals mailing must be in the same processing category.

b. Letter-size pieces must be bundled under 22.2 and prepared in trays under 22.5. Trays prepared under this section may subsequently be palletized under 705.8.0.

c. Nonletter-size pieces must be bundled under 22.2. Bundles placed on pallets must meet additional bundling criteria under 705.8.0.

d. Bundles of nonletter-size pieces must be sacked or palletized under one of the following:

1. Sacked under 22.6, except that a Presorted rate mailing that is part of a mailing job that also contains an automation flats mailing must be sacked as described in 22.1.2.

2. Palletized under 705.8.0, 705.10.0, 705.12.0, or 705.13.0.

e. Sacks prepared under 22.6, Sack Preparation—Flat-Size Pieces and Irregular Parcels, may subsequently be prepared on pallets under 705.8.0.

f. All pieces must be sorted together to the finest extent required under the applicable sortation standards described above.

22.1.2 Additional Standards for Nonletter-Size Sacked Mailing Jobs Containing More Than One Mailing

The following standards apply:

a. Mailings prepared in sacks that are part of a mailing job that includes a carrier route mailing, an automation rate mailing, and a presorted rate mailing must be prepared under one of the options listed below. Presorted rate pieces may be cobundled with automation rate pieces under the standards in 705.11.0.

1. The carrier route mailing must be prepared under 13.0, Carrier Route Rate Eligibility, and 23.0, Preparing Carrier Route Periodicals, and the automation rate and Presorted rate mailing must be prepared under 705.9.0.

2. All three mailings in the mailing job must be prepared under 705.10.0.

b. Mailings prepared in sacks that are part of a mailing job that includes an automation rate mailing and a Presorted rate mailing must be prepared under the cosacking standards in 705.9.0. Presorted rate pieces may be cobundled with automation rate pieces under the standards in 705.11.0.

c. Sacked mailing jobs that contain only a carrier route mailing and a Presorted rate mailing may be separately sacked, or may be prepared using the merged sacking option under 705.10.0.

d. Sacked mailing jobs that contain only a carrier route mailing and an automation rate mailing may be separately sacked under 23.0 and 25.0, or may be prepared using the merged sacking option under 705.10.0.

22.1.3 Documentation

A complete, signed postage statement, using the correct USPS form or an approved facsimile, must accompany each mailing, supported by documentation meeting the basic standards in 708.1.0. Postage statements must be supported by documentation produced by PAVE-certified software or standardized documentation under 708.1.0. Documentation of postage is not required if each piece is of identical weight and the pieces are separated by rate and zone when presented for acceptance.

22.1.4 Merged Containerization of Nonletter-Size Carrier Route, Automation Rate, and Presorted Rate Mail

Under the optional preparation in 705.10.0, Presorted rate firm and 5-digit bundles prepared under 22.1 and 22.2 are cosacked with firm and carrier route bundles prepared under 23.0 and with automation rate 5-digit bundles prepared under 25.0 in merged 5-digit sacks and in merged 5-digit scheme sacks. Under the optional preparation in 705.10.0, 705.12.0, or 705.13.0, Presorted rate firm and 5-digit bundles prepared under 22.1 and 22.2 are copalletized with firm and carrier route bundles prepared under 23.0 and with automation rate 5-digit bundles prepared under 25.0 on merged 5-digit pallets and on merged 5-digit scheme pallets. See 22.1.2a for information on when preparation under 705.10.0 may be required. Presorted rate pieces may be cobundled with automation rate pieces under 705.11.0.

22.2 Bundle Preparation

[7-6-06] Bundling is required before traying or sacking. A bundle must be prepared when the quantity of addressed pieces for a required presort level reaches the minimum bundle size. Smaller volumes are not permitted except mixed ADC bundles and 5-digit and 3-digit bundles prepared under 22.4. Bundling is also subject to 19.0, Bundles. Preparation sequence, bundle size, and labeling:

a. Firm (optional); two-piece minimum; blue Label F or optional endorsement line (OEL).

b. 5-digit (required); six-piece minimum; red Label 5 or OEL; bundle labeling optional for pieces in full 5-digit trays.

c. 3-digit (required); six-piece minimum; green Label 3 or OEL.

d. ADC (required); six-piece minimum; pink Label A or OEL.

e. Origin mixed ADC (required); no minimum; for any remaining pieces for destinations in L201, Column B, corresponding to the origin ZIP Code in Column A; tan label X or OEL.

f. Mixed ADC (required); no minimum; tan Label X or OEL.

22.3 Firm Bundles

A firm bundle is two or more copies for the same address placed in one bundle. If each copy has a delivery address, each may be claimed as a separate piece for presort and on the postage statement, or the firm bundle may be claimed as one piece. A firm bundle sorted and claimed as one piece must be accompanied by (but must be physically separate from) five other pieces bundled to the same destination to satisfy a six-piece bundle requirement when applicable, regardless of the number of copies in the firm bundle.

22.4 Bundles With Fewer Than Six Pieces

[5-11-06] Nonletter-size Periodicals may be prepared in 5-digit and 3-digit bundles containing fewer than six pieces when the publisher determines that such preparation improves service. Pieces in these low-volume bundles must be claimed at the basic rate. Low-volume bundles are permitted only when they are sacked or prepared on pallets as follows:

a. Place bundles in only 5-digit, 3-digit, and SCF sacks that contain at least
24 pieces, or in origin/entry SCF sacks, as appropriate.

b. Place bundles on only merged 5-digit scheme, 5-digit scheme, merged 5-digit, 5-digit, 5-digit metro, 3-digit, and SCF pallets.

22.5 Tray Preparation—Letter-Size Pieces

[8-3-06] Preparation sequence, tray size, and labeling:

a. 5-digit: required at 24 pieces, optional with one six-piece bundle minimum.

1. Line 1: use city, state, and 5-digit ZIP Code on mail (see 21.1.2 for overseas military mail).

2. Line 2: "PER" or NEWS" as applicable; followed by "LTRS 5D NON BC."

b. 3-digit: required at 24 pieces (no minimum for required origin/optional entry 3-digit(s)), optional with one six-piece bundle minimum.

1. Line 1: use L002, Column A.

2. Line 2: "PER" or NEWS" as applicable; followed by "LTRS 3D NON BC."

c. ADC: required at 24 pieces, optional with one six-piece bundle minimum.

1. Line 1: use L004, Column B.

2. Line 2: "PER" or NEWS" as applicable; followed by "LTRS ADC NON BC."

d. Mixed ADC: required (no minimum).

1. Line 1: Use L011, Column B.

2. Line 2: "PER" or NEWS" as applicable; followed by "LTRS NON BC WKG."

22.6 Sack Preparation—Flat-Size Pieces and Irregular Parcels

[7-6-06] [5-11-06] For mailing jobs that also contain an automation rate mailing, see 22.1.2 and 705.9.0 or 705.10.0. For other mailing jobs, preparation sequence, sack size, and labeling:

a. 5-digit, required at 24 pieces, fewer pieces not permitted.

1. Line 1: use city, state, and 5-digit ZIP Code on mail (see 21.1.2 for overseas military mail).

2. Line 2: "PER" or NEWS" as applicable; followed by "FLTS" or "IRREG" as applicable; followed by "5D"; followed by "NON BC" for flats.

b. 3-digit, required at 24 pieces, fewer pieces not permitted.

1. Line 1: use L002, Column A.

2. Line 2: "PER" or "NEWS" as applicable; followed by "FLTS" or "IRREG" as applicable; followed by "3D"; followed by "NON BC" for flats.

c. SCF, required at 24 pieces, fewer pieces not permitted.

1. Line 1: use L002, Column C.

2. Line 2: "PER" or "NEWS" as applicable; followed by "FLTS" or "IRREG" as applicable; followed by "SCF"; followed by "NON BC" for flats.

d. Origin/entry SCF, required for the SCF of the origin (verification) office, optional for the SCF of an entry office other than the origin office, (no minimum); for
Line 1 use L002, Column C.

1. Line 1: use L002, Column C.

2. Line 2: "PER" or "NEWS" as applicable; followed by "FLTS" or "IRREG" as applicable; followed by "SCF"; followed by "NON BC" for flats.

e. ADC, required at 24 pieces, fewer pieces not permitted.

1. Line 1: use L004, Column B.

2. Line 2: "PER" or "NEWS" as applicable; followed by "FLTS" or "IRREG" as applicable; followed by "ADC"; followed by "NON BC" for flats.

f. Origin mixed ADC, required; no minimum; for any remaining bundles for destinations in L201, Column B, corresponding to the origin ZIP Code in Column A.

1. Line 1: Use L201, Column C.

2. Line 2: "PER" or "NEWS" as applicable, followed by "FLTS" or "IRREG" as applicable, followed by "WKG W FCM."

g. Mixed ADC: required (no minimum).

1. Line 1: Use L009, Column B.

2. Line 2: "PER" or "NEWS" as applicable; followed by "FLTS" or "IRREG" as applicable; followed by "NON BC WKG" for flats or "WKG" for irregular parcels.

22.7 Optional Tray PreparationFlat-Size Nonbarcoded Pieces

As an option for flat-size mailpieces, mailers may choose to place in flat trays mailpieces meeting the standards in 301.3.3, Criteria for AFSM 100 Flats, that would normally be placed in ADC, origin mixed ADC, or mixed ADC sacks. Pieces must not be secured in bundles, and mailers must group together pieces for each 5-digit scheme, 5-digit, 3-digit scheme, 3-digit, and ADC destination.

a. ADC: required (24-piece minimum), no overflow tray allowed.

1. Line 1: use L004, Column B.

2. Line 2: "PER" or "NEWS" as applicable; followed by "FLTS"; followed by "ADC"; followed by "NON BC."

b. Origin mixed ADC: No minimum; for any remaining pieces for destinations in L201, Column B, of the origin ZIP Code in Column A.

1. Line 1: Use L201, Column C.

2. Line 2: "PER" or "NEWS" as applicable; followed by "FLTS"; followed by "WKG W FCM."

c. Mixed ADC: No minimum.

1. Line 1: Use L009.

2. Line 2: "PER" or "NEWS" as applicable; followed by "FLTS"; followed by "NON BC WKG."

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23.0 Preparing Carrier Route Periodicals

23.1 Basic Standards

23.1.1 General

Mailers must meet the following standards for carrier route mailings:

a. All pieces in each carrier route Periodicals mailing must be in the same processing category.

b. Letter-size pieces must be bundled under 23.2 and prepared in trays under 23.3. Trays prepared under this section may subsequently be palletized under 705.8.0.

c. Nonletter-size pieces must be bundled under 23.2. Bundles placed on pallets must meet additional bundling standards under 705.8.0.

d. Except as noted in 23.4.2, mailers must sack or palletize bundles of nonletter-size pieces according to one of the following:

1. Sack under 23.4, or under 705.10.1 if eligible to be cosacked with automation rate and presorted rate Periodicals pieces.

2. Palletized under 705.8.0, 705.10.0, 705.12.0, or 705.13.0.

e. Sacks prepared under 23.4, Preparation—Flat-Size Pieces and Irregular Parcels, may subsequently be prepared on pallets under 705.8.0.

f. All pieces must be sorted together to the finest extent required under the applicable sortation standards described above.

g. Pieces with a simplified address must meet the corresponding preparation standards in 602.3.0, Use of Alternative Addressing, and the eligibility standards in 7.0, Mailing to Nonsubscribers or Nonrequesters.

23.1.2 Documentation

A complete, signed postage statement, using the correct USPS form or an approved facsimile, must accompany each mailing, supported by documentation meeting the basic standards in 708.1.0. Postage statements must be supported by documentation produced by PAVE-certified software or standardized documentation under 708.1.0. Documentation of postage is not required if each piece is of identical weight and the pieces are separated by rate and zone when presented for acceptance. Documentation of sequencing and of density standards under 23.7 and 23.8 must be submitted with each mailing.

23.1.3 Sequencing

Preparation for carrier route rates is optional and subject to additional standards. Periodicals for which a carrier route discount is claimed must be prepared as a carrier route mailing under this section, using either walk sequencing or line-of-travel sequencing, applicable to the rate claimed (see 23.7 and 23.8, Delivery Sequence Documentation). Mailpieces prepared with a simplified address must meet the additional standards in 602.3.0, Use of Alternative Addressing.

23.1.4 Merged Containerization of Nonletter-Size Carrier Route, Automation Rate, and Presorted Rate Mail

For sacked mailing jobs that contain an automation rate, a Presorted rate, and a carrier route rate mailing, mailers must prepare the automation and Presorted rate mailings under 705.9.0 (see 22.1.2a) and the carrier route mailing under 23.0, unless they elect to prepare the mailings under 705.10.0. Under the optional preparation in 705.10.0, firm and carrier route bundles prepared under 23.1 and 23.2.3 are cosacked with Presorted rate 5-digit bundles prepared under 22.0 and with automation rate 5-digit bundles prepared under 25.0 in merged 5-digit sacks and merged 5-digit scheme sacks. Under the optional preparation in 705.10.0, 705.12.0, or 705.13.0, firm and carrier route bundles prepared under 23.1 and 23.2.3 are copalletized with Presorted rate 5-digit bundles prepared under 22.0 and with automation rate 5-digit bundles prepared under 25.0 on merged 5-digit pallets and on merged 5-digit scheme pallets. Presorted rate pieces may be cobundled with automation rate pieces under 705.11.0.

23.2 Bundle Preparation

23.2.1 General

Bundle preparation is subject to 19.0, Bundles, and the specific standards below.

23.2.2 Walk-Sequence Identification

In addition to the bundle label showing carrier route type and number under 23.2.3, each bundle of Periodicals walk-sequence mail must show that the mail is walk sequenced and the level of sequencing. A facing slip with the phrase "HIGH DENSITY WALK-SEQUENCED CARRIER ROUTE MAIL" or "SATURATION WALK-SEQUENCED CARRIER ROUTE MAIL" (as applicable) may be placed on the top of each bundle of walk-sequence mail. It may be an address label with the required information placed on a sample mailpiece that is the top piece in the bundle, or a slip of paper affixed to the top of the bundle. If bundles are prepared without facing slips, an optional endorsement line or carrier route information line must be placed on each piece in the bundle to provide the equivalent information.

23.2.3 Bundling and Labeling

Preparation sequence, bundle size, and labeling:

a. Firm (optional); two-piece minimum; blue Label F or optional endorsement line (OEL).

b. Carrier route (optional, but required for rate eligibility); six-piece minimum (fewer pieces permitted under 23.6); labeling required (facing slip, OEL, or carrier route information line) except for bundles placed in a carrier route tray or sack.

23.3 Preparation—Letter-Size Pieces

23.3.1 Basic Preparation

Preparation sequence, tray size, and labeling:

a. Carrier route: required at 24 pieces, optional with one six-piece bundle.

1. Line 1: use city, state, and 5-digit ZIP Code on mail (see 21.1.2 for overseas military mail).

2. Line 2: "PER" or "NEWS" as applicable; followed by "LTRS;" followed by "WSS" for saturation rate mail, or "WSH" for high density rate mail, or "CR" for basic rate mail; followed by the route type and number.

b. 5-digit carrier routes: required if full tray, optional with one six-piece bundle.

1. Line 1: use city, state, and 5-digit ZIP Code destination of bundles, preceded for military mail by the prefixes under 21.1.2.

2. Line 2: "PER" or "NEWS" as applicable; followed by "LTRS CR-RTS."

c. 3-digit carrier routes, optional with one six-piece bundle for each of two or more 5-digit areas.

1. Line 1: use the city, state, and ZIP shown in L002, Column A that corresponds to the 3-digit ZIP Code prefix of bundles.

2. Line 2: "PER" or "NEWS" as applicable; followed by "LTRS 3D CR-RTS."

23.3.2 Tray Line 2 for Simplified Address

For trays that contain letter-size pieces with a simplified address prepared under 602.3.0, Use of Alternative Addressing, use "MAN" on Line 2 in place of "BC."

23.4 Preparation—Flat-Size Pieces and Irregular Parcels

23.4.1 Sacking and Labeling

[5-11-06] Preparation sequence, sack size, and labeling:

a. Carrier route, required at 24 pieces, fewer pieces not permitted.

1. Line 1: use city, state, and 5-digit ZIP Code on mail (see 21.1.2 for overseas military mail).

2. Line 2: "PER" or "NEWS" as applicable; followed by "FLTS" or "IRREG" as applicable; followed by "WSS" for saturation rate mail, or "WSH" for high density rate mail, or "CR" for basic rate mail; followed by the route type and number.

b. 5-digit scheme carrier routes, required at 24 pieces, fewer pieces not permitted.

1. Line 1: use L001, Column B.

2. Line 2: "PER" or "NEWS" as applicable; followed by "FLTS" or "IRREG" as applicable; followed by "CR-RTS SCH."

c. 5-digit carrier routes, required at 24 pieces, fewer pieces not permitted.

1. Line 1: use city, state, and 5-digit ZIP Code destination of bundles, preceded for military mail by the prefixes under 21.1.2.

2. Line 2: "PER" or "NEWS" as applicable; followed by "FLTS" or "IRREG" as applicable; followed by "CR-RTS."

d. 3-digit carrier routes, required with one six-piece bundle.

1. Line 1: use the city, state, and ZIP Code shown in L002, Column A, that corresponds to the 3-digit ZIP Code prefix of bundles.

2. Line 2: "PER" or "NEWS" as applicable, followed by "FLTS 3D" or "IRREG 3D" as applicable, followed by "CR-RTS."

23.4.2 Exception to Sacking

Sacking is not required for bundles prepared for and entered at a DDU when the mailer unloads bundles under 28.4.6. Mailers must prepare unsacked bundles as follows:

a. The maximum weight for a single bundle is 40 pounds; the maximum number of bundles per carrier route is one bundle for each 10 pounds (or increment) of mail for that route, as follows:

1. Mailers must make the fewest number of bundles possible, up to the 40-pound maximum, while maintaining bundle integrity. To determine the maximum number of bundles allowable for a route, divide the total weight of mail for that route by 10 and round up to the next whole number. For example, if there are 34 pounds of mail for a carrier route, the maximum number of bundles for that route is four (34 10 = 3.4 = 4 bundles).

2. Mailers may balance the weight of the bundles across the maximum number of allowable bundles for a route. For example, if there are 36 pounds of mail for a carrier route, the maximum number of bundles for that route is four (36 10 = 3.6 = 4 bundles), which may be in four 9-pound bundles.

b. Mailers must clearly label carrier route bundles using optional endorsement lines under 708.7.0 or facing slips under 19.15.

23.5 Firm Bundles

A firm bundle is two or more copies for the same address placed in one bundle. If each copy has a delivery address, each may be claimed as a separate piece for presort and on the postage statement or the firm bundle may be claimed as one piece. The USPS considers a firm bundle that is sorted and claimed as one piece to be one addressed piece for rate eligibility purposes, regardless of the number of copies in the bundle. Mailers must clearly label firm bundles using facing slips or barcoded pressure-sensitive labels under 19.0, or optional endorsement lines under 708.7.0.

23.6 Bundles With Fewer Than Six Pieces

[5-11-06] Nonletter-size Periodicals may be prepared in carrier route bundles containing fewer than six pieces when the publisher determines that such preparation improves service. Pieces in these low-volume bundles must be claimed at the basic rate. Low-volume carrier route bundles are permitted only when they are sacked or prepared on pallets as follows:

a. Place bundles in only 5-digit scheme carrier routes and 5-digit carrier routes sacks that contain at least 24 pieces, or 3-digit carrier routes or merged 3-digit sacks that contain at least one six-piece carrier route bundle.

b. Place bundles on only merged 5-digit scheme, 5-digit scheme carrier routes, merged 5-digit, 5-digit carrier routes, 5-digit metro, 3-digit, and SCF pallets.

23.7 Delivery Sequence Information

23.7.1 General

Mailpieces for which a walk-sequence discount is claimed must be organized in the delivery sequence determined by the USPS and prepared as a carrier route mailing under 23.0 and the standards below. Pieces prepared with a simplified address must also meet the corresponding standards.

23.7.2 Missing Addresses

Some mailpieces cannot be sequenced because an exact match for a name or address cannot be obtained. These pieces may be included in a sequenced mailing only if they are placed behind or after the sequenced mail. Arrange these pieces:

a. Alphabetically by complete street name, then either in ascending order by ZIP+4 code sector segments or numerically in ascending order by primary address.

b. Numerically for numbered streets, then either in ascending order by ZIP+4 code sector segments or numerically in ascending order by primary address.

23.7.3 Pieces With Simplified Address

Walk-sequence rate pieces prepared with a simplified address must be based on delivery stop information obtained within 90 days before the mailing date, either from the Delivery Statistics File or from the postmaster of the destination office.

23.7.4 Pieces Without Simplified Address

Walk-sequence rate pieces prepared with other than a simplified address format under 23.7.3 must be sequenced using USPS data from one of the following sources, issued within 90 days before the mailing date:

a. The Computerized Delivery Sequence (CDS) file.

b. The Delivery Sequence File, Second Generation (DSF2).

c. Delivery sequence information from USPS address sequencing services, as requested by the customer.

23.7.5 Out-of-Date Sequencing Information

Mailings prepared with out-of-date walk-sequencing information are not eligible for walk-sequence rates.

23.7.6 Line-of-Travel Sequence

Unless the mail is prepared in carrier walk sequence, line-of-travel (LOT) sequence is required for mailings at Standard Mail Enhanced Carrier Route basic rates and Periodicals carrier route basic rates. LOT sequence is not an exact walk sequence but a sequence of ZIP+4 codes arranged in the order that the route is served by a carrier. (First the ZIP+4 groups are sequenced, then the addresses within each are identified as being in ascending or descending order.) The USPS eLOT product provides a list of the ZIP+4 codes each carrier route serves, identifies the order in which they are delivered, and provides an indicator specifying whether the addresses that share the same ZIP+4 code must be sorted in ascending or descending order. When a range of ZIP+4 codes on the same carrier route are assigned the same sequence number, the addresses bearing those ZIP+4 codes must be arranged in ascending ZIP+4 code order before the sequence number is assigned. LOT information must be updated within 90 days before the date of mailing.

23.8 Delivery Sequence Documentation

23.8.1 General

The postage statement must be annotated in the "Carrier Route Sequencing Date" block on page 1. The mailer must annotate the postage statement to show the earliest (oldest) date of the method used to obtain sequencing information for the mailing. The mailer's signature on the postage statement certifies that this standard has been met when the corresponding mail is presented to the USPS. The mailer must maintain documentation to substantiate compliance with the standards for carrier route sequencing. Unless submitted with each corresponding mailing, the mailer must be able to provide the USPS with documentation (if requested) of accurate sequencing or delivery statistics for each carrier route to which pieces are mailed. Acceptable forms of documentation are:

a. The invoice showing that the addresses came from CDS.

b. DSF2 invoice or documentation.

c. Copies of the delivery unit summaries that served as the mailer's bills for address sequencing service charges.

d. Evidence of receipt of information from postmasters for simplified address mailings (see 509.1.0, Address Information System Products).

e. Form 3553 showing the date of the eLOT product used, or the date from the USPS Qualification report produced by presort software.

23.8.2 High Density Rate Mail

The following documentation must be submitted for high density rate mail:

a. Periodicals Other Than In-County Mail. For each carrier route to which high density rate mail is addressed, the mailer must document the total number of addressed pieces to the route. If there are fewer than 125 addressed pieces for a given route, the documentation also must show the number of possible deliveries on the route.

b. Periodicals In-County Mail. For each carrier route for which Periodicals In-County high density rates are claimed under the minimum 25% of the total active possible deliveries per carrier route, the documentation must show for each carrier route for which the rates are claimed the total number of active possible deliveries and the number and percentage of deliveries to which mailpieces are addressed. The documentation must be listed by 5-digit ZIP Code and, within each, by carrier route. It must be submitted with each applicable mailing.

23.8.3 Saturation Density Rate Mail—Simplified Address

For each carrier route to which mail with a simplified address is sent at the saturation rate, the mailer must be able to document that the mailing meets the applicable density standard. This documentation must show the total number of active possible deliveries and the total number to which mailpieces in the mailing are being addressed, by 5-digit ZIP Code and, within each, by carrier route. It must be submitted with each applicable mailing.

23.8.4 Saturation Density Rate Mail—Other

For each carrier route to which mail without a simplified address is sent at the saturation rate, the mailer must be able to document that the mailing meets the applicable density standards. This documentation must show either the total number of active possible residential deliveries and the number and percentage to which mailpieces are addressed, or the total number of all active possible deliveries and the number and percentage to which mailpieces are addressed, depending on whether qualification is based on the 90% or 75% criterion, respectively. The documentation must be listed by 5-digit ZIP Code and, within each, by carrier route. It must be submitted with each applicable mailing.

23.8.5 High Density and Saturation Density Rate Mail

If a mailing contains pieces qualifying for both walk-sequence rates, the documentation may be combined. Entries for pieces at the high density rate must be so annotated on the documentation. For the entire mailing, a summary of the total number of pieces at each rate must be provided. This documentation must be submitted with each applicable mailing.

23.8.6 Carrier Route Rate Mail

If a mailing includes high density and saturation rate and basic carrier route rate pieces, in addition to the applicable information required by 23.8.2 through 23.8.5, the documentation for the basic carrier route rate mail must show, by 5-digit ZIP Code and, within each, by carrier route, the total number of addressed pieces at each rate for each carrier route to which pieces are addressed. Pieces qualifying for the basic carrier route rate must be so annotated. For the entire mailing, a summary by 5-digit ZIP Code of the total number of pieces at each rate must be provided. This documentation must be submitted with each applicable mailing to meet the documentation standard for the carrier route rate.

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24.0 Preparing Letter-Size Automation Periodicals

24.1 Basic Standards

24.1.1 General

Letter-size automation rate Periodicals must be prepared under 24.0 and the eligibility standards for the rate claimed. Bundle and tray preparation are subject to 19.0 through 21.0. Trays must bear barcoded tray labels under 708.6.0.

24.1.2 Mailings

All pieces in a mailing must meet the standards in 201.3.0 and must be sorted together to the finest extent required for the rate claimed. The definitions of a mailing and permissible combinations are in 19.0. A single automation rate Periodicals mailing may include pieces prepared at 5-digit, 3-digit, and basic automation rates.

24.1.3 Documentation

A complete postage statement must accompany each mailing. Each mailing also must be accompanied by presort and rate documentation produced by PAVE-certified or MAC-certified software or by standardized documentation under 708.1.0. Exception: For mailings of fewer than 10,000 pieces, presort and rate documentation is not required if postage at the correct rate is affixed to each piece or if each piece is of identical weight and the pieces are separated by rate when presented for acceptance. Mailers may use a single postage statement and a single documentation report for all rate levels in a single mailing. Combined mailings of more than one Periodicals publication also must be documented under 22.0 and 23.0.

24.1.4 Marking

Only pieces claimed at an automation rate may bear "AUTO" or "AUTOCR."

24.1.5 General Preparation

Grouping, bundling, and labeling are not generally required or permitted, except bundling is required in any mailing consisting entirely of card-size pieces and for pieces in overflow, less-than-full, and 3-digit carrier routes trays; pieces must be grouped (or bundled, if applicable) as specified in 707.24.2, Additional Standards; bundle labels are required only for Periodicals.

24.1.6 Carrier Route Preparation

Carrier route groups (or bundles, if applicable) may be placed only in carrier route, 5-digit carrier routes, or 3-digit carrier routes trays.

24.2 Additional Standards

24.2.1 Preparing Automation Letters

Tray size, preparation sequence, and Line 1 labeling:

a. 5-digit/scheme: optional, but 5-digit trays required for rate eligibility (150-piece minimum); overflow allowed; for Line 1, for 5-digit trays, use city, state, and 5-digit ZIP Code destination of pieces, preceded for military mail by the prefixes under 21.1.2; for Line 1, for optional 5-digit scheme trays, use destination shown in the current USPS City State Product.

b. 3-digit/scheme: required (150-piece minimum except no minimum for required origin/optional entry 3-digit(s)/scheme); overflow allowed; for Line 1, use L002, Column B.

c. AADC: required (150-piece minimum); overflow allowed; group pieces by 3-digit ZIP Code prefix (or 3-digit/scheme if applicable); for Line 1, use L801, Column B.

d. Mixed AADC: required (no minimum); group pieces by AADC; for Line 1, use L011, Column B.

24.2.2 Tray Line 2

Line 2: "PER LTRS" or "NEWS LTRS" (except "NEWS LTR" for 5-digit scheme trays), as applicable, and:

a. 5-digit scheme: "BC 5D SCHEME."

b. 5-digit: "5D BC."

c. 3-digit scheme: "BC SCHEME" and, if applicable, as shown in L002, Column B, followed by the letter "A," "B," or "C."

d. 3-digit: "3D BC."

e. AADC: "AADC BC."

f. Mixed AADC: "BC WKG."

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25.0 Preparing Flat-Size Automation Periodicals

25.1 Basic Standards

25.1.1 General

Flat-size automation rate must be prepared under 25.0 and the eligibility standards for the rate claimed. Bundle, sack, and tray preparation are subject to 18.0 through 20.0. Trays and sacks must bear the appropriate barcoded container labels under 708.6.0.

25.1.2 Mailings

All pieces in a mailing must meet the standards in 301.3.0, Physical Standards for Automation Flats, and be sorted together to the finest extent required. The definitions of a mailing and permissible combinations are in 18.0.

25.1.3 Documentation

A complete postage statement must accompany each mailing, supported by documentation produced by PAVE-certified software or standardized documentation under 708.1.0. Mailers may use a single postage statement and a single documentation report for all rate levels in a single mailing. Documentation of postage is not required if the correct rate is affixed to each piece or if each piece is of identical weight and the pieces are separated by rate when presented for acceptance. Combined mailings of Periodicals publications must also be documented under 22.0 and 23.0.

25.1.4 Marking

Only pieces claimed at an automation rate may bear "AUTO."

25.1.5 Bundle Preparation

All pieces must be prepared in bundles and meet the following requirements:

a. Pieces that meet both the size dimensions and the turning ability and deflection standards under 301.3.3, Criteria for AFSM 100 Flats, must be prepared in separate bundles from pieces that do not meet all AFSM 100 dimensions and the turning ability and deflection standards (but that do meet the dimensions and other criteria for UFSM 1000 processing under 301.3.4).

b. Firm bundles must not be included in Periodicals mailings prepared under 25.0.

c. Each AFSM 100 bundle and each UFSM 1000 bundle must separately meet the bundle size minimum number of pieces in 25.2. When the total number of AFSM 100 or UFSM 1000 pieces for a specific presort destination (for example, the 5-digit ZIP Code 12345) meets or exceeds the applicable minimum bundle size, the pieces for that presort destination must be prepared into a bundle or bundles labeled to that presort destination under the standards for the rate claimed.

d. The physical size of each bundle for each specific presort destination may contain the exact bundle minimum, more pieces than the bundle minimum, or fewer pieces than the bundle minimum, depending on the size of the pieces in the mailing or the total quantity of the pieces to that destination. Rate eligibility is not affected when a physical bundle contains fewer pieces than the minimum bundle size for the above reasons, provided the total number of AFSM 100 pieces physically bundled for that presort destination or the total number of UFSM 1000 pieces physically bundled for that presort destination meets or exceeds the rate eligibility bundle minimum under 14.0.

25.1.6 Scheme Bundle Preparation

Pieces meeting the AFSM 100 compatibility criteria in 301.3.3 may be prepared in 5-digit scheme bundles for those 5-digit ZIP Code combinations identified in L007 and in 3-digit scheme bundles for those 3-digit ZIP Code combinations identified in L008. These bundles must meet the additional standards in 18.4i..

25.1.7 Sack Preparation

Mailers may combine AFSM 100 bundles and UFSM 1000 bundles in the same sack.

25.1.8 Exception—Automation and Nonautomation Pieces on Pallets

When the physical dimensions of mailpieces in a Periodicals mailing meet the definition of both a letter-size piece under 201 and an automation flat-size piece under 301.3.0, the entire job may be prepared, merged, and palletized under 705.9.0 through 705.13.0 if the applicable standards are met. The nonautomation portion is all paid at the appropriate nonautomation rates for Periodicals. Mailing jobs prepared entirely in sacks and claiming this exception must be cobundled under 705.11.0. As an alternative to 705.9.0 through 705.13.0, if a portion of the job is prepared as palletized automation flats, the nonautomation portion may be prepared as palletized flats at Presorted rates and at carrier route rates. The nonautomation rate pieces that cannot be placed on ADC or finer level pallets may be prepared as flats in sacks and paid at the appropriate nonautomation rates.

25.1.9 Bundles With Fewer Than Six Pieces

[5-11-06] 5-digit scheme, 5-digit, 3-digit scheme, and 3-digit bundles may contain fewer than six pieces when the publisher determines that such preparation improves service. Pieces in bundles containing fewer than six pieces must be claimed at the basic rate. These low-volume bundles are permitted only when they are sacked or prepared on pallets under these conditions:

a. Place 5-digit and 3-digit bundles in only 5-digit scheme, 5-digit, 3-digit, and SCF sacks, as appropriate, that contain at least 24 pieces, or in merged 3-digit sacks that contain at least one six-piece carrier route bundle, or in origin/entry SCF sacks.

b. Place 5-digit and 3-digit bundles on only merged 5-digit scheme, 5-digit scheme, merged 5-digit, 5-digit, 5-digit metro, 3-digit, and SCF pallets, as appropriate.

c. Place 5-digit scheme and 3-digit scheme bundles in only 5-digit scheme, 3-digit, and SCF sacks, as appropriate, that contain at least 24 pieces, or in merged 3-digit sacks that contain at least one six-piece carrier route bundle, or in origin/entry SCF sacks.

d. Place 5-digit scheme and 3-digit scheme bundles on only 3-digit and SCF pallets, as appropriate.

25.1.10 Cotraying, Cosacking, and Cobundling Presorted Rate Mail

The following standards apply (except as provided in 25.1.8):

a. If the mailing job contains a carrier route mailing, an automation rate mailing, and a Presorted rate mailing, then it must be prepared under one of the following options:

1. The carrier route mailing must be prepared under 13.0 and 23.0 and the automation rate and Presorted rate mailings must be prepared under 705.9.0.

2. All three mailings in the mailing job must be prepared under 705.10.0.

b. If the mailing job contains an automation rate mailing and a Presorted rate mailing, then it must be prepared under the cosacking standards in 705.9.0.Automation rate pieces may be cobundled with Presorted rate pieces under the standards in 705.11.0, Preparation of Cobundled Automation Rate and Presorted Rate Flats.

c. If the mailing job contains a carrier route mailing and an automation rate mailing, then it must be separately sacked under 23.0 and 25.0 or prepared using the merged sack option under 705.10.0.

25.1.11 Merged Containerization of Presorted and Carrier Route Flats

When the conditions and preparation standards in 705.10.0, 705.12.0, or 705.13.0 are met, 5-digit bundles of Presorted, automation, and carrier route rate mail that are part of the same mailing job may be combined on merged 5-digit scheme sacks or pallets and merged 5-digit sacks or pallets. Bundles that are cosacked or copalletized must be part of the same mailing job and mail class. Automation rate pieces may be cobundled with Presorted rate pieces under 705.11.0.

25.2 Bundling and Labeling

[7-6-06] Preparation sequence, bundle size, and labeling:

a. 5-digit scheme (optional); six-piece minimum (fewer permitted under 25.1.9); optional endorsement line (OEL) required.

b. 5-digit (required); six-piece minimum (fewer permitted under 25.1.9); red Label 5 or OEL.

c. 3-digit scheme (optional); six-piece minimum (fewer permitted under 25.1.9); OEL required.

d. 3-digit (required); six-piece minimum (fewer permitted under 25.1.9); green Label 3 or OEL.

e. ADC (required); six-piece minimum (fewer permitted under 25.1.9); pink Label A or OEL.

f. Origin mixed ADC (required); no minimum; for any remaining pieces for destinations in L201, Column B, corresponding to the origin ZIP Code in Column A; tan label X or OEL.

g. Mixed ADC (required); no minimum; tan Label X or OEL.

25.3 Sacking and Labeling

[7-6-06] [5-11-06] For mailing jobs that also contain a Presorted rate mailing, see 25.1.10 and 705.9.0. Other mailing jobs are prepared, sacked, and labeled as follows:

a. 5-digit scheme, required at 24 pieces, fewer pieces not permitted; may contain 5-digit scheme bundles only; labeling:

1. Line 1: L007, Column B.

2. Line 2: "PER FLTS 5D SCH BC" or "NEWS FLTS 5D SCH BC," as applicable.

b. 5-digit, required at 24 pieces, fewer pieces not permitted; labeling:

1. Line 1: city, state, and 5-digit ZIP Code on mail (see 708.6.1.2 for overseas military mail).

2. Line 2: "PER FLTS 5D BC" or "NEWS FLTS 5D BC," as applicable.

c. 3-digit, required at 24 pieces, fewer pieces not permitted; labeling:

1. Line 1: L002, Column A.

2. Line 2: "PER FLTS 3D BC" or "NEWS FLTS 3D BC," as applicable.

d. SCF, required at 24 pieces, fewer pieces not permitted; labeling:

1. Line 1: L002, Column C.

2. Line 2: "PER FLTS SCF BC" or "NEWS FLTS SCF BC," as applicable.

e. Origin SCF (required) and entry SCF(s) (optional), no minimum; labeling:

1. Line 1: L002, Column C.

2. Line 2: "PER FLTS SCF BC" or "NEWS FLTS SCF BC," as applicable.

f. ADC, required at 24 pieces, fewer pieces not permitted; labeling:

1. Line 1: L004, Column B.

2. Line 2: "PER FLTS ADC BC" or "NEWS FLTS ADC BC," as applicable.

g. Origin mixed ADC, required, no minimum; for any remaining pieces for destinations in L201, Column B, corresponding to the origin ZIP Code in Column A; labeling:

1. Line 1: Use L201, Column C.

2. Line 2: "PER FLTS WKG W FCM" or "NEWS FLTS WKG W FCM," as applicable.

h. Mixed ADC (required), no minimum; labeling:

1. Line 1: Use L009, Column B.

2. Line 2: "PER FLTS BC WKG" or "NEWS FLTS BC WKG," as applicable.

25.4 Optional Tray PreparationFlat-Size Barcoded Pieces

As an option for flat-size pieces, mailers may choose to place in flat trays mailpieces meeting the standards in 301.3.3, Criteria for AFSM 100 Flats, that would normally be placed in ADC, origin mixed ADC, or mixed ADC sacks. Pieces must not be secured in bundles, and mailers must group together pieces for each 5-digit scheme, 5-digit, 3-digit scheme, 3-digit, and ADC destination.

a. ADC: required (24-piece minimum); overflow tray not allowed.

1. Line 1: use L004, Column B.

2. Line 2: "PER" or "NEWS" as applicable; followed by "FLTS"; followed by "ADC"; followed by "BC."

b. Origin mixed ADC: Optional (no minimum); for any remaining pieces for destinations in L201, Column B, of the origin ZIP Code in Column A; labeling:

1. Line 1: Use L201, Column C.

2. Line 2: "PER" or "NEWS" as applicable; followed by "FLTS"; followed by "WKG W FCM."

c. Mixed ADC: required (no minimum).

1. Line 1: Use L009.

2. Line 2: "PER" or "NEWS" as applicable; followed by "FLTS"; followed by "BC WKG."

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26.0 Combining Multiple Editions or Publications

26.1 Description

26.1.1 Purpose

Periodicals publications may be prepared as a combined mailing by merging copies either during production or after finished copies are produced to achieve the finest presort level possible or to reduce the per piece charge.

26.1.2 Method

A Periodicals combined mailing may be prepared using either one of these methods:

a. Individually addressed copies of different editions of a Periodicals publication (one title) or individually addressed copies of different Periodicals publications (more than one title) are merged and sorted together to obtain a finer presort level.

b. Two or more copies of different Periodicals publications (two or more titles), and/or multiple editions of the same publication are placed within the same mailing wrapper or firm bundle and presented as one addressed piece to a single recipient to reduce the per piece charge.

26.2 Basic Standards

26.2.1 General

Each publication in a combined mailing must meet the basic eligibility standards in 4.0 and the specific standards for the rate claimed. In addition, the combined mailing must meet the eligibility and mail preparation standards for the rate claimed.

26.2.2 Minimum Volume

For combined mailings prepared under 26.1.2a, more than one Periodicals publication, or edition of a publication, may be combined to meet the required minimum volume per bundle, sack, or tray for the rate claimed. For combined mailings prepared under 26.1.2b, the appropriate minimum volume requirements in 22.0, 23.0, 201.3.0, or 25.0 apply for the rate claimed.

26.2.3 Labeling

All sacks or trays in a combined mailing are labeled the same, as either "NEWS" (see 21.1.3) or as "PER," depending on which of the following conditions is met:

a. If at least 51% of the total number of copies in the combined mailing can qualify for "NEWS" treatment, then all sacks or trays in such a mailing are labeled "NEWS," unless the mailer chooses to use "PER."

b. If less than 51% of the total number of copies in a combined mailing can qualify for "NEWS" treatment, then all sacks or trays in such a mailing are labeled "PER."

26.2.4 Documentation

Presort documentation required under 708.1.0 must show the total number of addressed pieces and total number of copies for each publication and each edition, if applicable, in the combined mailing claimed at the carrier route, 5-digit, 3-digit, and basic rates. The publisher must also provide a list, by 3-digit ZIP Code prefix, of the number of addressed pieces for each publication and each edition, if applicable, claimed at any destination entry and pallet discounts.

26.2.5 Postage Statements

Postage statements for a combined mailing must be prepared as follows:

a. Copy weight and advertising percentage determine whether separate postage statements are required for editions of the same publication:

1. If the copy weight and advertising percentage for all editions of a publication are the same, all the editions may be reported on the same postage statement or each edition may be reported on a separate postage statement.

2. If either the copy weight or the advertising percentage is different for each edition of a publication, each edition must be reported on a separate postage statement.

b. For a combined mailing prepared under 26.1.2a, a separate postage statement that claims all applicable per piece and per pound charges must be prepared for each publication or edition except as provided in 26.2.5a. The mailer must annotate on, or attach to, each postage statement, the title and issue date of each publication or edition included in the combined mailing and indicate that the pieces were prepared as part of a combined mailing under 26.1.2a.

c. For mailings prepared under 26.1.2b, a separate postage statement claiming the applicable per pound charges must be prepared for each publication or edition in the combined mailing except as provided in 26.2.5a. The mailer must annotate on, or attach to, each postage statement, the title and issue date of each publication or edition included in the combined mailing and indicate that the copies were prepared as part of a combined mailing under 26.1.2b. The per piece charges must be claimed as follows:

1. If all copies in a combined mailing prepared under 26.1.2b are eligible for the Classroom or Nonprofit discount, the per piece charges must be claimed only on the postage statement for the publication that contains the highest amount of advertising.

2. If all copies in a combined mailing prepared under 26.1.2b are not eligible for the Classroom or Nonprofit discount, the per piece charges must be claimed only on the postage statement for the publication that contains the highest amount of advertising.

3. If a portion of the copies in a combined mailing prepared under 26.1.2b are eligible for the Classroom or Nonprofit discount and a portion are not eligible for those discounts, the per piece charges must be claimed only on the postage statement for the publication that contains the highest amount of advertising and is not eligible for the Classroom or Nonprofit discount. The Classroom or Nonprofit per piece discount must not be claimed.

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27.0 Enter and Deposit

27.1 Service Objectives

The USPS does not guarantee the delivery of Periodicals within a specified time. Publications authorized or pending authorization for Periodicals entry receive, where practicable, expeditious distribution, dispatch, transit handling, and delivery. Publications labeled "NEWS" receive newspaper treatment if published weekly or more often or if authorized such treatment as of March 1, 1984.

27.2 Basic Standards

Only a publisher or registered news agent authorized Periodicals mailing privileges may mail at the Periodicals rates. The First-Class Mail, Standard Mail, or Package Services rate must be paid on all copies mailed by the public or by a printer to a publisher. The publisher or news agent must present mailings at the Periodicals rates only:

a. At post offices where original entry, additional entry, or exceptional dispatch is authorized.

b. At the times and places designated by the postmaster of the office of mailing or by the AMC/AMF manager.

27.3 Exceptional Dispatch

27.3.1 General

The postmaster of an entry post office may authorize a publisher to deliver copies of a time-sensitive Periodicals publication, at the publisher's own expense and risk, by exceptional dispatch from the post office of original or additional entry to other post offices.

27.3.2 Intended Use

The provision for exceptional dispatch is intended for short-haul local distribution (zones 1 and 2) of publications with total circulation of no more than 25,000 and is not to be used to circumvent additional entry standards. Applications for exceptional dispatch for publications with over 25,000 total circulation may be considered on a case-by-case basis for possible waiver of the 25,000-circulation limit.

27.3.3 Prohibited Use

Exceptional dispatch may not be used for publications authorized to be mailed under the Centralized Postage Payment System or under the plant-verified drop shipment postage payment system.

27.3.4 Destination Rates

Copies of Periodicals publications deposited under exceptional dispatch may be eligible for and claimed at the destination sectional center facility (DSCF) or destination delivery unit (DDU) rates if the applicable standards in 28.0 are met.

27.3.5 Applying for Exceptional Dispatch

The publisher must file an application for exceptional dispatch at the office of original or additional entry where the postage is paid on the copies to be transported. The application must fully explain the proposed exceptional dispatch and include information on the mode of transportation and approximate time of arrival and the number of pieces qualifying for and mailed at the various presort level discount rates. If the number of pieces qualifying for and mailed at such rates changes more than 2%, the publisher must file an amended application with the approving office. The application may be filed jointly with applications for original entry, reentry, or special rates, or filed separately. No form is provided for this application.

27.3.6 Decision on Application

The postmaster who received the application approves it if the requested exceptional dispatch improves service and does not add to USPS costs.

27.3.7 Appeal

Denial of an application for exceptional dispatch may be appealed to the PCSC. The PCSC manager issues the final decision.

27.4 Deposit at AMC/AMF

27.4.1 General

Periodicals publications air freighted to an AMC/AMF must have either an original or additional entry authorization at the verifying office (i.e., the post office where those copies are presented for postal verification) and must be presented to an AMC/AMF under the PVDS program. Postage must be paid at the verifying office unless the publication is authorized under the Centralized Postage Payment program.

27.4.2 Applying for AMF Deposit

Authorization to enter airfreighted copies of a Periodicals publication at an AMF is obtained by filing an additional entry application. The distribution plan on Form 3510 must show the AMF as the entry point rather than the administering office (i.e., the post office responsible for the AMF). A publisher using plant-verified drop shipment must submit a copy of the distribution plan for the airfreighted copies to the administering office postmaster.

27.4.3 Fee

The required additional entry fee is not due if:

1. Form 3510 is submitted with either an initial application for Periodicals mailing privileges or an application for reentry at a new original entry office, and the AMF is under the jurisdiction of that original entry office.

2. The verifying office is already an authorized original or additional entry for the publication.

27.4.4 Publisher Responsibilities

For each mailing to be presented at the AMF, the publisher or agent is required:

a. To provide the administering office postmaster with a delivery schedule (including the publication title, volume, air carrier, flight number, and arrival schedule) before the first mailing under the authorization. A revised schedule must be provided when there are changes.

b. To arrange for delivery of the airfreighted copies of the publication to the AMC/AMF "back dock" or other area designated by the AMC/AMF manager.

c. To arrange for payment of postage and submission of required postage statements and documentation with the copies of the publication to the verifying post office.

d. To notify the designated AMF contact person when there are deviations from established transportation and delivery schedules.

e. To ensure that Form 8125 accompanies each shipment. The total number of airline cargo containers must be annotated on the form in the comment section. Each airline cargo container must be sequentially numbered
(for example, "1 of 4," "2 of 4," and so on), and a copy of Form 8125 must be affixed to each airline cargo container.

f. To provide a list, at least once a year, of publications entered at the AMC/AMF and a 24-hour contact number to the AMC/AMF manager.

g. To follow procedures outlined in Network Operation Management's standard operating procedures (SOP). The procedures are available from the AMC/AMF manager.

27.4.5 Nonconforming Mailers

When a Periodicals mailing presented to an AMC/AMF fails to meet the procedures outlined in Network Operation Management's SOP or fails to meet either the basic mail preparation standards or the PVDS entry integrity and safety standards, the USPS will inform the mailer, or the mailer's agent, who presented the mailing. If, after the initial notification, the mailer continues to fail to meet the standards, the mailer is considered nonconforming. If a mailer is found to be nonconforming, its authorization to enter mail at an AMC/AMF may be revoked.

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28.0 Destination Entry Rate Eligibility

28.1 Basic Standards

28.1.1 Rate Application

Outside-County addressed pieces may qualify for destination area distribution center (DADC) or destination sectional center facility (DSCF) rates and discounts subject to the standards in 28.2 and 28.3, respectively. Carrier route rate addressed pieces may qualify for destination delivery unit (DDU) rates and discounts subject to the standards in 28.4. Any advertising portion may be eligible for DADC, DSCF, or DDU advertising pound rates based on the entry facility and the address on the piece. For each addressed piece, only one destination entry discount may be claimed. An individual bundle, tray, sack, or pallet may contain pieces claimed at different destination entry rates and discounts. Addressed pieces may also qualify for the destination entry pallet per piece discount in 11.0. In-County carrier route rate addressed pieces may qualify for the DDU discount subject to the standards in 28.4.

28.1.2 Documentation

Subject to 708.1.0, the mailer must be able to show compliance with eligibility requirements (by bundle, tray, sack, or pallet), and list the number of addressed pieces by presort level for each 5-digit and 3-digit ZIP Code destination as appropriate for the rates and discounts claimed. Documentation is not required if each addressed piece in the mailing is of identical weight, and are separated by zone, rate, and destination entry (if applicable), when presented for mailing.

28.2 Destination Area Distribution Center

28.2.1 Definition

For this standard, destination area distribution center (DADC) includes the facilities listed in L004, or a USPS-designated facility.

28.2.2 Eligibility

Addressed pieces meeting the standards in 28.1 and 28.2 are eligible for DADC rates when deposited at an ADC (or USPS-designated facility), and are addressed for delivery to one of the 3-digit ZIP Codes served by the facility where deposited.

28.2.3 Rates

DADC rates include a per piece discount off the addressed piece rate and, if applicable, an advertising pound rate. Pieces must meet the standards for any other rate and discount claimed.

28.3 Destination Sectional Center Facility

28.3.1 Definition

For this standard, destination sectional center facility (DSCF) includes the facilities listed in L005 and L006, or a USPS-designated facility.

28.3.2 Eligibility

Addressed pieces meeting the standards in 28.1 and 28.3 are eligible for DSCF rates, as follows:

a. For letter-size and nonletter-size pieces, when the mailer deposits the pieces at an SCF (or USPS-designated facility) and the pieces bear addresses for delivery within the service area of the facility, including when part of a 3-digit scheme combination in L008.

b. For nonletter-size pieces only, when the mailer deposits 5-digit bundles at the destination delivery unit (DDU) (the facility where the carrier cases mail for delivery to the addresses on the pieces) and the 5-digit bundles are in or on the following types of containers:

1. A merged 5-digit scheme or merged 5-digit sack.

2. A merged 5-digit scheme, merged 5-digit, or 5-digit scheme pallet.

28.3.3 Rates

DSCF rates include a per piece discount off the addressed piece rate and, if applicable, an advertising pound rate. Pieces must meet the standards for any other rate and discount claimed.

28.4 Destination Delivery Unit

28.4.1 Definition

For this standard, the destination delivery unit (DDU) is the facility where the carrier cases mail for delivery to the addresses on the pieces in the mailing.

28.4.2 Eligibility

Addressed pieces, including pieces under exceptional dispatch, meeting the standards in 28.1 and 28.4 are eligible for DDU rates when deposited at the facility where the carrier serving the delivery address on the mail is located.

28.4.3 Rates

DDU rates for Outside-County include a per piece discount off the addressed piece rate and, if applicable, an advertising pound rate. DDU rates for In-County consist of a per piece discount off the addressed piece rate and a pound charge. Outside-County and In-County pieces must meet the standards for any other rate and discount claimed.

28.4.4 Maximum Volume

The same mailer may not present for deposit more than four DDU rate mailings at the same delivery unit (or another acting as its agent) in any 24-hour period. This limit may be waived if local conditions permit. A mailer may ask for such a waiver when scheduling deposit of the mailings. There is no maximum for plant-verified drop shipments made under 705.15.0. This standard does not apply to mailings presented to the publication's authorized original entry, or additional entry, serving the place where the pieces were prepared for mailing, if that entry post office is also the facility at which the DDU rate pieces must be deposited.

28.4.5 Deposit Schedule

The mailer may schedule deposit of DDU rate mailings at least 24 hours in advance by contacting the district office in whose service area the destination facility is located. The mailer must follow the scheduled deposit time provided. The mailer may request standing appointments for renewable 6-month periods by written application to the district office in whose service area the destination facility is located. Mixed loads of Periodicals and Standard Mail or Package Services mail require advance appointments for deposit. For mail entered under exceptional dispatch, the application for exceptional dispatch required under 27.3 also serves as a request for standing appointments.

28.4.6 Vehicle Unloading

At delivery units, drivers must unload all mail within 1 hour of arrival. Unloading procedures are as follows:

a. If pallets or pallet boxes are stacked, drivers must unload, unstrap, and unstack them.

b. When drivers unload containerized mail, delivery unit employees may require drivers to place the containers together by 5-digit ZIP Codes or 5-digit schemes.

c. When mail is not containerized or on pallets, drivers must place the mail into containers as delivery unit employees specify. Delivery unit employees may require drivers to place mail into containers to separate mail by 5-digit ZIP Codes or 5-digit schemes.

d. At facilities that cannot handle pallets, drivers must unload any palletized mail from the pallets and place the mail into containers as delivery unit employees specify.

e. For scheduled arrivals at DDUs when USPS employees are not present, drivers must place the mail in a secure location protected from the weather.

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29.0 Additional Entry

29.1 Basic Standards

29.1.1 Definition

The term "additional entry office" refers to a post office where a publisher is authorized by the USPS to present copies of a Periodicals publication for postal verification. An additional entry authorization must be in effect for each post office where copies of the Periodicals publications are presented for postal verification. The publisher must deposit money and file postage statements for copies presented at an additional entry office unless the USPS authorizes an alternative postage payment method (such as Centralized Postage Payment (CPP) System under 16.0 and 17.0). Except for publications authorized an alternative payment method, the verification post office is also the office where Periodicals postage is paid.

29.1.2 Facility

The additional entry office must be a post office.

29.1.3 Restrictions

An additional entry may be authorized only at a post office where transportation and mail processing resources are adequate. The USPS does not authorize an additional entry if the publisher's requested effective date would cause the USPS additional transportation costs in serving the affected entry office.

29.1.4 Same County

Additional entries may be authorized in the same county as the office of original entry. If the publication is eligible for In-County rates, the publisher must provide the original entry office postmaster with a duplicate of all postage statements on which those rates are claimed.

29.1.5 Distribution Plan

The publisher must establish a distribution plan for each additional entry to detail the volume and ZIP Code ranges to be presented. Revisions to a distribution plan must account for copies for any additional entry being modified or canceled. When applicable, the publisher must specify how the distribution plan is to vary during the year (such as periodic fluctuations or transfers of volume or mailing activity). Separate distribution plans are required if there are differences in the distribution of regular issues, special issues, or back issues.

29.2 Authorization

29.2.1 Filing

The publisher is responsible for timely filing of all forms and supporting documentation to establish, modify, or cancel an additional entry.

29.2.2 Method

To establish or cancel an additional entry for the scheduled presentation of regular, special, or back issues or for unscheduled contingency use, the publisher must submit two copies of Form 3510 marked "Pending" to the postmaster of the original entry post office. A publisher authorized to mail under the Centralized Postage Payment (CPP) System has additional filing requirements.

29.2.3 Documentation

Two copies of the most recent issue of the publication must accompany the application. If applicable, these copies must either contain an amended identification statement or show how it is to be amended in a specific future issue.

29.2.4 Modifying Distribution

The publisher must file Form 3510 and pay the required fee to modify a distribution plan and cancel additional entry points no longer used.

29.2.5 Concurrent Application

The publisher may concurrently apply for:

a. Original entry and additional entry, although separate forms and fees are required for each.

b. Establishment, modification, and/or cancellation of more than one additional entry, by filing a single Form 3510 and paying a single fee, if all required information is supplied for each entry, and the effective dates for the additional entry actions cover no more than 30 calendar days.

29.2.6 Separate Application

The publisher must submit a separate Form 3510 (with the applicable fee) for:

a. Each additional entry action that cannot meet the standards of 29.2.5.

b. Each reentry request.

c. Any modification to the publication's distribution plan other than frequency of issuance or location of original entry.

29.2.7 Fee

The required additional entry fee must accompany an application for additional entry. One fee is charged regardless of the number of additional entries established. No additional fee is charged if the same Form 3510 is used to close or modify other additional entries, subject to the conditions stated above. The required reentry fee must accompany a Form 3510 that modifies or closes an additional entry. Only one fee is charged if the same Form 3510 is used to close or modify more than one additional entry, subject to the conditions stated above.

29.2.8 Submission Date

Timely adjustment of transportation without penalty to the USPS requires the publisher to submit requests for establishing, modifying, or canceling an additional entry at least 30 days before the requested effective date. A publisher authorized to mail under the Centralized Postage Payment (CPP) System has additional filing requirements.

29.2.9 Additional Information

The USPS reserves the right to ask for more information about the application. The publisher's failure to provide such information is sufficient grounds to deny the application.

29.2.10 Denial and Appeal

Except for pending publications, the manager of the PCSC rules on all applications requesting additional entry. If the application is denied, the denial takes effect 15 days from the publisher's receipt of the notice unless, within that time, the publisher files an appeal, through the PCSC, with the manager of Mailing Standards (see 608.8.0 for address), who issues the final agency decision.

29.3 Use of Additional Entry

29.3.1 Effective Date

Subject to the restrictions detailed above, the effective date for use of an additional entry authorization is that requested by the publisher. However, the USPS may defer that date until transportation or other resources are in place to support the action requested. If the deferral is due to contractual limitations, the publisher's requested effective date may be approved if the publisher agrees to reimburse the USPS for any cost for modifying or canceling contracted transportation.

29.3.2 Unauthorized Entry

An additional entry may not be used until authorized by the USPS. A publisher may not pay postage at another rate to present copies at an unauthorized additional entry.

29.3.3 Annual Use

Copies of a Periodicals publication must be presented at each additional entry (including contingency entries) at least once each calendar year.

29.3.4 Distribution Plan

Once an entry and its distribution plan are authorized, the publisher must ensure that copies are presented accordingly or as provided in 29.4, Modification, for limited temporary changes. Additional entry offices may not accept copies not included in the publisher's authorized distribution plan.

29.3.5 Mixed Loads

Advance appointments for deposit must be made for mixed loads of Periodicals and Standard Mail, handled operationally as Standard Mail.

29.3.6 Postage

Postage must be prepaid and available for all copies presented for verification at an additional entry office before their release.

29.4 Modification

29.4.1 Permanent Change

Except as provided below, the publisher may modify the use of an authorized entry post office only after submitting Form 3510 and receiving USPS approval.

29.4.2 Temporary Change

When a limited, temporary change affects only the distribution plans of two existing authorized entry post offices for one specific issue of a publication, the publisher must submit a letter detailing the specific issue, the dates and duration of mailing of the issue, the entry offices, and the volume and distribution area (ZIP Codes) affected by the modification. The postmaster of the original entry and additional entry offices affected for the issue of the publication involved and all distribution networks offices involved must receive the request at least 10 calendar days before the effective date of the change. See 29.3.1 above.

29.4.3 Misuse

Limited temporary changes must not be used instead of permanent alterations to authorized distribution plans.

29.5 Cancellation, Revocation, and Restoration

29.5.1 Cancellation

When a distribution plan modification results in nonuse of an additional entry, that entry must be canceled as part of the additional entry action. If a publisher fails to file Form 3510 to cancel an authorized additional entry, the PCSC manager cancels the additional entry upon notification by the additional entry postmaster that no mailings have been made for an entire calendar year.

29.5.2 Revocation

The USPS may revoke an additional entry authorization when the publication is found ineligible for such authorization. The revocation takes effect 15 days after the publisher receives notice, unless an appeal is filed through the PCSC with the manager of Mailing Standards (see 608.8.0 for address), who issues the final agency decision.

29.5.3 Restoration

To restore an additional entry authorization previously canceled or revoked, the publisher must submit Form 3510 and pay the required fee.

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