WHAT
YOU WILL LEARN ABOUT PERIODICALS MAILThe Periodicals mail classification is relatively unique when compared to the other classes of mail:
For this reason, we are presenting the classification of Periodicals mail as a separate module of the self-study course. You will not typically have to help a mailer classify a Periodicals mailpiece. Due to the inherent requirements, mailers will know whether or not their mailpiece is an authorized Periodicals publication. The purpose of this module is to illustrate some of the unique requirements of Periodicals mail. This will allow you to be more familiar with the issues encountered by any of your clients who might already be mailing authorized Periodicals publications.
WHAT
YOU WILL LEARN ABOUT PERIODICALS MAILUpon completion of this portion of the module, you should be able to do the following:
Periodicals mail consists of newspapers and periodical publications, including magazines, published on a regular basis, at least four times per year.
Only publications that meet the eligibility standards in Domestic Mail Manual 707.4.0 can qualify for Periodicals mailing privileges. To be eligible, a publication must fulfill specific qualification standards and meet the preparation requirements for the applicable presort levels, rates, and discounts.
All authorized Periodicals publications must have the following characteristics:
The Postal Service does not guarantee the delivery of Periodicals within a specified time period; however, they are given expeditious distribution, dispatch, transit, and delivery as far as practicable.
General regulations governing the minimum and maximum size standards and appropriate mail processing category apply equally to Periodicals mailings. The Postal Service encourages publishers to fold publications, when practicable, to a size no larger than 12" x 15" inches. Do not roll publications.
In addition to the general requirements for Periodicals mailing privileges as previously summarized (see DMM 707.4.0), authorized publications must meet the specific requirements of one of five qualification categories.
General publications must be published for the purpose of disseminating information of a public character or be devoted to literature, the sciences, art, or some special industry. In addition, a general publication must:
Postal regulations subdivide publications of institutions and societies into two groups:
Publishers Own Advertising. Publications authorized in this subcategory may contain only the publisher's own advertising and not the advertising of other persons or organizations. Under these circumstances, the USPS considers all circulated copies as subscriber copies. The total number of all such copies is the total paid circulation. The kinds of publications restricted to publisher's own advertising under this category include those published by:
General Advertising. Publications authorized to carry general advertising under this subcategory must limit their mailed circulation to:
The kinds of publications eligible to carry general advertising under this standard include:
Publications authorized under this category do not require a list of paid subscribers. Rather, the copies are distributed to individuals who specifically request the receipt of the publication.
Requester publications must not be owned or controlled by a concern that produces the publication essentially for the advancement of the main business or calling of those who own or control it.
In addition, authorized requester publications must meet the following criteria:
These publications qualify for Periodicals rates if they further the objectives of the department and do not contain any advertising matter.
Publications from foreign countries, having the same general character as authorized domestic Periodicals publications, may qualify for Periodicals rates. The Postal Service bases its review of foreign applications solely on the circulation in the United States. The known office of publication may be the office of the publisher's United States agent.
News agent registry is a type of authorization granted to a person or concern that sells two or more already authorized Periodicals publications published by more than one publisher. The Postal Service must authorize a news agent before the agent may mail Periodicals publications at the Periodicals mail rates.
In essence, a requester publication cannot be what is typically known in the publishing industry as a "House Organ."
| Qualification Category | DMM Reference | Type of Advertising Permitted |
|---|---|---|
| General | DMM 707.6.1 | general |
| Institutions and Societies or general* | DMM 707.6.2 | publisher's own or general* |
| State Departments of Agriculture | DMM 707.6.3 | none |
| Requester | DMM 707.6.4 | general |
| Foreign | DMM 707.6.5 | general |
* Depends on the type of institutions and societies authorization.
Periodicals rates are among the lowest offered to mailers. Only publishers and registered news agents may mail at these rates. The USPS bases the postage charges for Periodicals matter on a complex combination of per pound charges, per piece charges, and piece charge adjustments for nonadvertising matter and SCF pieces. The Postal Service determines the postage charged for a mailing by applying the applicable per pound rates, per piece rates, minus the applicable adjustments.
There is a standard (unzoned) per pound rate for the nonadvertising portion of a publication. For the advertising portion, rates are broken into pound increments and zone charges, which vary with geographical location. Per piece rates reflect different levels of presort and automation or nonautomation mail.
Domestic Mail Manual 707.10.4 and 707 list the eligibility requirements and postage amounts, respectively, for Periodicals preferred rates.
DMM 707.28.0
In addition to presort rate discounts, Periodicals mail may also qualify for destination rate discounts. Mailers must deposit destination entry rate discounted mailings at the corresponding destination postal facility. Periodicals mail may qualify for ADC (area distribution center), SCF (sectional center facility) and DDU (destination delivery unit) rates and discounts.
The Postal Service requires payment of a nonrefundable fee for all Periodicals applications requesting original entry, additional entry, reentry, and news agent registry. See DMM 707.1.0 for current fee amounts.
The only exception is a reentry application requesting the nonprofit rate, which does not require payment of a fee. The nonrefundable fees cover the Postal Service administrative costs for processing each application.
To request authorization for Periodicals mailing privileges, a publisher must file the appropriate application at the Post Office serving the known office of publication.
DM-204 is a handbook that provides basic information on whether or not your publication can qualify for Periodicals mailing privileges. This handbook includes step-by-step instructions for completing Form 3500, Application for Periodicals Mailing Privileges.
The original entry is the Post Office that serves the location of the publisher's known office of publication. Approval of the application allows the publisher to mail at Periodicals rates at the original entry Post Office.
While a Periodicals application for original entry is pending, a publisher may mail copies of the publication under the conditions prescribed in DMM 707.5.2. The publication is charged postage at the applicable First-Class Mail or Standard Mail rates while an application is pending.
The Postal Service keeps a record of all deposits and mailings when postage at the applicable Standard Mail rates is paid with an advance deposit account. No record is kept of postage paid at the First-Class Mail rates or for postage not paid through an advance deposit account.
Upon approval of a Periodicals application, the publisher receives a refund that equals the difference between the standard mail postage charged for mailed copies and the actual Periodicals mail rates for those same copies. This refund amount is held in trust in the advance deposit account during the pending period.
No refunds are given if, while in pending status, the postage was not paid through an advance deposit account. Refunds are also not given when postage has been paid with stamps, or at the First-Class Mail rates. See DMM 707.5.2 for more information on refunds for pending publications.
An additional entry under DMM 707.29.0 is a Post Office, other than the original entry office, where a publisher may also present copies of a Periodicals publication for postal acceptance and verification. Postage is paid at this additional entry office, except for publications authorized under the Centralized Postage Payment (CPP) system.
The publisher initiates the establishment, cancellation, or modification of an additional entry by submitting Form 3510 to the original entry Post Office. The application must detail the distribution plan (volume and ZIP Code ranges) justifying the addition or cancellation of the entry point.
Two copies of the most recent issue containing an amended identification statement or a representation of what the amended identification statement will look like must accompany the application.
Applications are required to be submitted at least 30 days before the requested effective date.
Once the Postal Service approves an additional entry, mailers must deposit a mailing at each additional entry site at least once each calendar year. Otherwise, the additional entry authorization will be canceled, and the mailer must reapply.
As Required in DMM 707.9.0, Form 3510 must also be submitted whenever a publisher requests a change in the title, frequency of issue, or location of the known office of publication of an authorized Periodicals publication.
The form must be accompanied by two copies of the publication. These copies must contain a complete amended identification statement. Alternatively, the publisher may supply a proof copy of the identification statement along with specification of the issue in which it will appear.
A publisher must apply for changes in title or frequency at the original entry Post Office; a change in known office of publication must be submitted to the new original entry Post Office. A publisher must submit Form 3500 and Form 3510 to change the category under which a publication is authorized.
Payment is normally be made through an advance deposit account established at the Post Office of mailing or under the CPP system. Mailers must pay the First Class or Permits rates, by adhesive stamps, meter stamps, or permit imprint, on copies that do not qualify for the Periodicals rates.
A postage statement must be submitted with the first mailing of each issue of a Periodicals publication. Under specific standards, the Postal Service may authorize the submission of a monthly postage statement.
Compute Periodicals postage on Form 3541, Postage Statement-Periodicals One Issue or One Edition.
Centralized Postage Payment (CPP) System
The Centralized Postage Payment system (CPP) allows the publisher to pay postage, by advance deposit account, at the New York Pricing and Classification Service Center (PCSC).
Postage on nonincidental First-Class Mail matter and Standard Mail attachments and enclosures also may be paid only by precanceled stamps, meter stamps, or permit imprint.
Enclosures in Periodicals publications are handled as follows:
The Postal Service forwards Periodicals mail at no additional charge for 60 days from the date of an address change filing. After 60 days, or if the piece is undeliverable, the USPS provides a separate address correction or reason for nondelivery.
The Postal Service charges the current address correction fee for the notification. The actual piece is disposed of by the USPS. Mailers may request the return of the mailpiece by using the appropriate ancillary service endorsement. Pieces will be returned at the applicable First-Class Mail or Priority Mail single-piece rates.
Exercise 2 - 1Directions: Circle the best response or fill in the blank to answer the following questions. Check your answers when you have completed the exercise.
1. You must publish a Periodicals publication on a regular frequency, at least _______ times a year.
2. A publication that is designed primarily to advertise may qualify for Periodicals mail rates.
a. true
b. false
3. Postal regulations for publications of institutions and societies divide these publications into those authorized to carry either "publisher's own" or "general" ____________ .
4. Each issue must contain at least 24 pages, and no issue may contain more than 75 percent advertising. This statement is true for which category of Periodicals:
a. general publications
b. publications of institutions and societies
c. publications of state departments of agriculture
d. requester publications
5. The "original entry office" is the Post Office which serves the publisher's "known __________ of publication."
6. A publisher must complete and submit a Form 3510 to the Postal Service for which of the following changes to an authorized Periodicals publication?
a. reentry due to a change in stated frequency of issue
b. application for additional entry Post Office
c. name change
d. all of the above
7. Which of the following rate categories is not a Preferred Periodicals rate?
a. In-County
b. destination SCF
c. Classroom
d. nonprofit
8. After approval, the publisher may apply for a postage refund for the difference between Periodicals postage and the First-Class Mail rates paid while the application was pending.
a. true
b. false
2. b, false; in order to be approved, a qualifying Periodicals publication must not be designed primarily to advertise.
3. advertising; publishers of publications from institutions and societies restricted to their own advertising include: nonprofit or public institutions of learning, state boards of health, and some public radio and television stations.
4. d, requester publications; this limitation ensures that requester publications must maintain a meaningful editorial content.
5. office; the "known office of publication" is the physical location where a publisher conducts normal business, and where the publisher's subscriber records are kept, or can be made available for review.
6. d, all of the above; all of these changes must be authorized by filing a Form 3510.
7. b, destination SCF; is an entry rate. It is available to all Periodicals mailers and is not a preferred or special rate.
8. b, false; refunds are never given for pending Periodicals publications mailed at the First-Class Mail rates.
The purpose of this portion of the module is to
introduce you to the unique marking and construction requirements for
Periodicals Mail. These features help to make the Periodicals class of mail
distinct from other classes. Due to the inherent nature of the Postal Service's
automated processing equipment, however, design characteristics for automation
compatibility are the same for Periodicals as for all other classes. These
requirements will be covered in later modules.
WHAT
YOU WILL LEARN ABOUT PERIODICALS MAILUpon completion of this portion of the module, you should be able to do the following:
Postal regulations require that authorized Periodicals publications be prominently identified with the authorized title.
You must show the publication title of a Periodicals publication on the front or cover page. The position, type style and type size must be easily distinguishable from all other printed matter on the cover.
An identification statement (DMM 707.4.11.2), in easily read type, must appear in all copies of authorized Periodicals publications and in all copies under a pending status. Unless otherwise noted, you must include the following items in the ID statement:
The placement of an ID statement differs, depending on whether the publication is bound or unbound. For both types, the ID statement may be shown on one of the first five pages, or in the masthead of the editorial page. The masthead location is allowable if the location of the editorial page is referred to in the table of contents on the front page of the publication.
The ID statement in a bound publication may also be on one of the last three editorial pages inside the back cover.
The ID statement in either a bound or an unbound publication may appear on the table of contents page.
A Periodicals publication may, under DMM 707.3.3, be made up of different components and construction methods as allowable by postal standards. The most basic component of a Periodicals publication is the page(s) which form the printed sheet(s).
Pages are the printed sheets forming the publication that may bear advertising, nonadvertising, or both. This includes pages having textual and graphic matter, blank spaces for writing or marking, and material to be completed or used by the reader.
A minor portion of the total pages may have unusual characteristics, such as a different size, shape, or construction, or portions may be wholly or partially separable, and pages prepared for folding out. No folded page may have dimensions (when folded) that exceed the dimensions of the publication.
Periodicals publications may be prepared in either bound or unbound format as permitted by postal standards as follows:
A publisher may prepare a publication in parts or sections. Parts and sections are pages that are physically separate subdivisions of the publication.
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. Items that are not eligible to be mailed at the Periodicals rates as permissible components may not be prepared as parts or sections.
A supplement is 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 supplement may not be mailed by itself at Periodicals rates and may not bear a permit imprint or a separate price. The external dimensions of a supplement may not exceed those of the host publication, except when both are completely enclosed in an envelope or polybag.
A loose supplement to a bound Periodicals publication must contain at least 25% nonadvertising matter and bear the endorsement "Supplement to” followed by the title of the publication, the name of the publisher, or the words “Periodicals Publication.” A bound publication with one or more supplements must be enclosed in a mailing wrapper.
A supplement to an unbound publication may contain any amount of advertising, nonadvertising, or both. The supplement must be combined with and inserted within the publication. If the supplement is prepared loose, then the unbound publication and the loose supplement must be enclosed in a mailing wrapper, and bear the endorsement “Supplement to” followed by the title of the publication, the name of the publisher, or the words “Periodicals Publication.”
A mailing wrapper is an envelope sleeve, partial wrapper, or polywrap used to enclose the publication for mailing. Advertising is permitted on the mailing wrapper and is included when measuring the issue's advertising percentage.
All single copies of an unbound publication that include any enclosure and are mailed to an APO or FPO address must be completely enclosed in a mailing wrapper. Mailers are encouraged to place all small or flimsy publications in mailing wrappers.
Mailing wrappers that completely enclose the host publication must bear the Periodicals imprint "Periodicals Postage Paid at (Post Office of mailing)," or simply the word "Periodicals" in the upper right corner of the address area.
An additional cover may be added to the outside of the publication for added protection. This protective cover 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. The protective cover must be permanently attached when the host publication is bound.
The publication title must be visible through or displayed prominently on any protective cover or wrapper. Publishers may place requests for change of address information from subscribers on wrappers or envelopes.
Periodicals mail must be prepared so that it can be easily examined. The mailing of publications at Periodicals rates represents the publisher's consent to postal inspection of the contents.
Although they may accompany Periodicals publications under certain conditions, the following materials are never eligible for Periodicals rates:
The complete text of the pertinent regulations governing proper construction of Periodicals mailpieces is contained in DMM 707.3.0.
DMM 707
Enclosures submitted with a qualifying Periodicals host publication are considered either incidental to the host piece, or nonincidental. Incidental First-Class Mail enclosures are charged Periodicals rates along with the host piece. Nonincidental enclosures must have separate postage paid.
Allowable incidental enclosures in a Periodicals publication include:
Nonincidental First-Class Mail and Standard Mail enclosures are permitted with Periodicals publications if the applicable First-Class Mail or Standard Mail rates are paid. Postage may be placed on the enclosure itself with precanceled or meter stamps, or on the outside of the Periodicals mailpiece with precanceled stamps, meter stamps, or permit imprint.
A permit imprint used to pay postage on a nonincidental enclosure must not be visible when mailed. As an alternative, publishers may include the permit imprint indicia and required markings in the publication's identification statement.
The marking "First-Class Mail Enclosed" or "Standard Mail Enclosed," as appropriate, must be placed either on the outside of the host publication or in the ID statement. This statement must not appear on issues that do not include an enclosure.
Ride-Along pieces must not be constructed so that the Ride-Along piece becomes detached from the host piece during normal processing. Ride-Along pieces not affixed to bound publications or inserted within unbounded publications must be enclosed together with the host publication in a full wrapper, polybag, or envelope. A Periodicals piece that includes a Ride-Along piece must maintain the same uniform thickness and processing category as it would without the Ride-Along piece. If claimed at automation rates, pieces must be automation compatible according to regulations in DMM 707.15.3. 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.
Ride-Along pieces may not exceed any dimension of the host publication except when the host publication and the Ride-Along pieces are contained in an envelope, polybag, or other complete wrapper. They may not exceed 3.3 ounces and must not exceed the weight of the host publication. The Ride Along piece must not obscure the title of the publication or the address label.
The following may be attached to a cover, protective cover, or mailing wrapper of a publication.
Advertising in a Periodicals publication (discussed in the preceding section) is restricted or prohibited as specified for each of the five periodicals qualification categories listed in DMM 707.6.1.3.
For postal purposes, the term advertising includes all material for 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.
Publishers must prepare all advertisements as an integral part of a Periodicals publication. You may print advertising on the pages of any component of a publication, subject to the applicable standards.
When determining the advertising portion of an issue of a publication, all advertising must be included in the measurement except for the specific types of enclosures excluded by standard in DMM 707.3.3.4.
Editorial or other reading matter for which payment or other valuable consideration is accepted or promised must be plainly marked "advertisement" by the publisher. If this matter occupies more than one page, only the first page need be marked "advertisement."
Each mailpiece must bear the addressee's name and address, including the correct ZIP Code or ZIP+4 code. The use of a simplified address format or exceptional address format is prohibited on copies intended to count as subscriber or requester copies meeting the applicable circulation standards. Such copies may be mailed as sample or promotional copies.
The delivery address, whether placed on a label, directly on the host publication, a component, or mailing wrapper, must be clearly visible on or through the outside of the mailpiece. Addresses placed on a mailing wrapper must be positioned on the flat side, not on the fold. The address for a polybagged publication must not appear on a component (e.g., a label carrier) that rotates within the bag, and the address must remain visible throughout the full range of motion.
White or light-colored paper must be used for address labels. The address should be machine-printed in black or other strongly contrasting ink. Hand-written labels are not allowed.
Label carrier may be used to carry the delivery address for mailpiece if consists of unfolded, uncreased sheet of card or paper stock securely affixed to the cover of a publication or large enough so that it does not spin or rotate inside the wrapper. The label carrier must contain the following information:
At the publisher's option the label carrier may also show any of this information:
Saturation mailings of Periodicals flats may, at the option of the mailer, be mailed using detached address labels (DALs). A saturation mailing is defined as a mailing sent to at least 75 percent of the total addresses within each carrier route or 90 percent of the residential addresses within the route, whichever is less. Deliveries need not be made to every carrier route of a delivery unit or 5-digit ZIP Code.
Additional standards for the format, physical requirements, packaging, Post Office notification, and labeling of cartons are shown in DMM 602.4.
DAL mailings are not eligible for any automation rates, but may qualify for a carrier route rate, subject to the applicable standards. Postage for each piece is based on the combined weight of the flat and the address label.
Postage must be prepaid at the applicable Periodicals rate of postage shown in DMM 602.4.5. The DAL must show a notice of entry in the upper right corner of the address area.
Periodicals mail is a unique and exclusive classification of mail. Only certain specific types of publications may qualify. The design, construction, and content requirements are quite strict. The application review process can sometimes be viewed as lengthy and intrusive. However, handbook DM-204 will aid in this process.
Despite all of this, Periodicals mail is one of the most desirable classifications of mail. The status conferred upon a publication authorized Periodicals rates has an instant recognition value among potential advertisers and subscribers. Special handling and consideration is given to Periodicals mail in the postal system. The content and circulation requirements as spelled out in the Domestic Mail Manual are necessary in order to maintain the integrity, and hence the value, of this unique classification of mail.
Exercise 2 - 2Directions: Circle the best response or fill in the blank to answer the following questions. Check your answers when you have completed the exercise.
1. A Periodicals publication fastened together with one staple is considered an unbound publication.
a. true
b. false
2. Which of the following places in a Periodicals publication is an acceptable location for the identification (ID) statement?
a. on one of the first five pages
b. in the masthead on the editorial page (if listed in the table of contents)
c. on one of the last three editorial pages inside the back cover in a bound periodical
d. all of the above
3. Each physically separate part or section of a Periodicals publication must show the publication title.
a. true
b. false
4. A qualifying supplement to a Periodicals publication may bear its own permit imprint.
a. true
b. false
5. An additional protective cover may be added to a publication so long as it covers both the ____________ and ____________ of the publication and extends to within __________ inch of the edges opposite the fold or binding.
6. Which of the following is not a true statement regarding eligible supplements to Periodicals publications?
a. A supplement to a bound publication may not contain more than 75% advertising matter.
b. All supplements to a bound publication must bear the endorsement "Supplement To" followed by the title of the publication or publisher.
d. A supplement is formed of one or more printed sheets that are bound into a Periodicals publication.
e. The final dimensions of a supplement (length and height) must not exceed the dimensions of the host publication, unless completely enclosed in an envelope or polybag.
7. Which of the following items do not qualify for the Periodicals rates as a permissible component or enclosure?
a. products and merchandise items
b. calendars not offered for sale
c. subscription forms
d. protective covers or mailing wrappers
8. Which of the following are allowable "incidental" enclosures at the Periodicals rates of postage?
a. a subscription order form
b. a reply form for subscriber address information
c. a bill for the publication itself
d. a statement of account for past purchases of the publication
e. all of the above
9. Reading matter for which a publication has accepted payment to include in their publication must be plainly marked ______________ by the publisher.
10. The delivery address label for a Periodicals publication may be placed in the fold of the publication or its wrapper.
a. true
b. false
11. A label carrier (placed on top of a publication enclosed in a clear wrapper) may or may not contain the title of the Periodicals publication, depending on the wishes of the publisher.
a. true
b. false
12. The label carrier may "slide" inside the wrapper, but it is not allowed to be able to completely "rotate" within the confines of the wrapper.
a. true
b. false
2. d, all of the above; are acceptable locations for the ID statement.
3. a, true; each separate part or section must show the publication's official title. In addition, the first part or section must clearly state the number of parts or sections comprising that particular issue.
4. b, false; a separate permit imprint indicates that the piece can be mailed on its own. Therefore, the piece cannot be considered a supplement to the publication, and is not eligible for Periodicals rates of postage.
5. front, back, 3/4; in addition, the publication title must either be visible through, or printed on, a protective cover or wrapper.
6. c, a supplement is...that are bound into a Periodicals publication; supplements are not bound into a publication. If they were, they would not be a supplement, they would be part of the host publication.
7. a, products and merchandise items; products may not be sent at the Periodicals rates of postage.
8. e, all of the above; all of these additions are allowed at the Periodicals rates of postage (either as advertising or nonadvertising, depending on the circumstances).
9. advertisement; reading material for which a consideration has been paid (or promised) must be marked as advertising.
10. b, false; the delivery address must be placed on the flat side of a mailing wrapper, not in the fold.
11. b, false; a label carrier must display the title of the publication.
12. a, true; a label carrier may not "spin" or "rotate" within the confines of the mailing wrapper.