Chapter 4 Second-Class Mail 410 Rates and Fees 411 Rates 411.1 Characteristics Common to All Rates 411.11 Rate Elements 411.111 General. Postage for all second-class mail includes a pound-rate charge, a piece-rate charge, and any reductions for which the mail may qualify. Each piece must also meet the specific eligibility and preparation requirements that apply to the presort level, rate, or discount claimed. 411.112 Pound Rates. Pound rates are applied to the weight of the mailpieces as described in 411.131. Outside-the-county pound rates are based on the postal zone for the address on the piece as computed from the office of entry (see 122.7, 411.123, and 411.124) for the advertising portion. The outside-the county pound rate for the nonadvertising portion is unzoned. In-county pound rates consist of a delivery office zone rate and a uniform (unzoned) rate for all other eligible mailpieces delivered within the county of publication (see 411.32). 411.113 Piece Rates. Piece rates are applied to each addressed piece based on the sortation performed by the publisher (see 440). An "addressed piece" can be a single individually addressed copy of a publication, a package of more than one unaddressed copy, or a firm package prepared in accordance with 441.21 that contains unaddressed or individually addressed copies for the same address. 411.114 Reductions. Subject to the corresponding conditions and requirements, reductions (discounts) may be taken from the per-pound and/or per-piece charges as provided in 411.2 and 411.3. 411.12 Eligibility 411.121 Outside-the-County. Outside-the-county rates (including the SCF and delivery office zone rates described in 411.123 and 411.124) apply to pieces that do not qualify for the in-county rates in 411.32. Outside-the-county rates include a zone-based charge for the advertising portion of the publication and an unzoned (flat) charge for the nonadvertising portion. (Advertising is defined in 423.132.) A reduction in both the pound rate and piece rate charges (as described in 411.2 and 411.3) is available for the nonadvertising portion of the mailing. 411.122 In-County. In-county rates apply to pieces that meet the requirements in 411.321 through 411.324. In-county rates apply to both the advertising and nonadvertising portions of a publication. 411.123 SCF Zone. The SCF zone rate applies only to copies that are not eligible for in-county rates, and that are for delivery at an address in the same sectional center facility (SCF) service area as the post office of entry. See Exhibit 122.63c and Exhibit 122.63d for a listing of the 3-digit ZIP Code prefixes assigned to each SCF. Pieces eligible for the SCF zone rate may also claim the SCF piece discount. 411.124 Delivery Office Zone. The delivery office zone rate applies only to copies deposited at the facility (post office, station, branch, etc.) where carrier casing is performed for the carrier route serving the address on the mailpiece. Copies claimed at the delivery office zone rate must be eligible for and claimed at either a level C, I, or K rate. See 424.4, 424.7, and 444 for additional requirements. Pieces eligible for the delivery office zone rate may also claim the delivery office piece discount. 411.125 ZIP+4 Rates. ZIP+4 rates include a discount applied to each addressed piece prepared in accordance with 424.5 and the applicable level A/G, B3/H3/J3, and B5/H5/J5 sortation requirements in 440. A ZIP+4 rate is not available for pieces claimed at level C, I, and K rates. 411.126 ZIP+4 Barcoded Rates. The ZIP+4 Barcoded rates include a discount applied to each addressed piece prepared in accordance with 424.6 and the applicable level A/G, B3/H3/J3, and B5/H5/J5 sortation requirements in 440. A ZIP+4 Barcoded rate (discount) is not available for pieces claimed at level C, I, and K rates. 411.127 Walk-Sequence Rates. The walk-sequence rates include a discount applied to each eligible walk-sequenced addressed piece in a level C, I, or K mailing, meeting the volume and preparation requirements in 424.7 and 440. 411.13 Computation of Postage 411.131 Pound Rates a. Outside-the-County. To determine the pound-rate charges for outside-the-county copies: (1) Multiply the number of copies to each zone by the per-copy weight; round off the total weight to the nearest whole pound (if necessary). Exception: If the product is more than 0 but less than 0.5 pound, round to 1 pound. (2) Multiply the total weight of the copies by the percent of advertising (see 463.22); round off the result to the nearest whole pound, if necessary, to yield the weight of the advertising portion for that zone. Exception: If the product is more than 0 but less than 0.5 pound, round to 1 pound. (3) Multiply the weight of the advertising portion by the corresponding rate. (4) Subtract the total weight of the advertising portion from the total weight of all copies to determine the weight of the nonadvertising portion. (5) Multiply the weight of the nonadvertising portion by the corresponding rate. (6) Add the results of steps 3 and 5, and subtract any applicable discounts. b. In-County. To determine the pound-rate charge for in-county copies, multiply the number of copies by the per-copy weight, round off the total weight to the nearest whole pound (if necessary), and multiply it by the corresponding rate. Exception: If the product is more than 0 but less than 0.5 pound, round to 1 pound. 411.132 Piece Rates a. Outside-the-County. To determine the piece-rate postage for outside-the-county copies, multiply the number of addressed pieces (not copies) by the appropriate rate, based on the presort of the piece as mailed (see 411.146 and 440). b. In-County. To determine the piece-rate postage for in-county copies, multiply the number of addressed pieces (not copies) by the appropriate rate, based on the presort of the piece as mailed (see 411.146 and 440). 411.133 Nonadvertising Adjustments. To determine the nonadvertising adjustments: a. Subtract the advertising percentage (see 463.22) from 100. b. Multiply the result by the applicable nonadvertising adjustment per piece (see 411.2 and 411.3). c. Multiply the result by the number of addressed pieces; if necessary, round the result as prescribed by 463.252. 411.134 Total Postage per Mailing. The total postage per mailing is determined by adding all pound and piece charges, subtracting the nonadvertising adjustment and any applicable discounts, and rounding the total to the nearest cent (if necessary). 411.14 Presort Level Rates 411.141 General. Presort level rates in second-class are identified by oneor two-character designations, as explained below. Although different letters are used for regular and special rates, the corresponding presort levels have similar preparation and eligibility requirements. Not all presort level rates may be claimed in combination with other automation or destination entry discounts. 411.142 Carrier Route Sortation (Level C Rates) a. Level C1, I1, or K1 rates apply to pieces in carrier route packages of 6 or more addressed pieces each that are correctly sorted to carrier route or carrier routes sacks (see 444). b. Level C2, I2, or K2 rates apply to pieces eligible for the level C1, I1, or K1 rates that have been further prepared in carrier delivery walk-sequence and in the density necessary to meet the 125-piece rate requirements in 424.7. c. Level C3, I3, or K3 rates apply to pieces eligible for the level C1, I1, or K1 rates that have been further prepared in carrier delivery walk-sequence and in the density necessary to meet the saturation rate requirements in 424.7. 411.143 Threeand Five-Digit Sortation (Level B Rates) a. Level B or H rates apply to pieces in 5-digit, optional city, and unique 3-digit packages of 6 or more addressed pieces each that are correctly sorted to 5-digit, optional city, or unique 3-digit sacks (see 443). b. Level B5 or H5 rates apply to those pieces eligible for the level B and H rates that are both in 5-digit packages of 6 or more addressed pieces each that are correctly sorted to 5-digit, optional city, or unique 3-digit sacks. c. Level B3 or H3 rates apply to those pieces eligible for the level B or H rates that are both in optional city or unique 3-digit packages of 6 or more addressed pieces each that are correctly sorted to optional city or unique 3-digit sacks. 411.144 Basic Sortation (Level A Rates). The level A and G rates apply to pieces not eligible for or claimed at the rates described in 411.142 and 411.143. 411.145 In-County Level J Rates a. The level J rates apply to all pieces eligible for the in-county rates that are not also eligible for the level KR or KS rates. b. The level J5 rates apply to those pieces eligible for the level J rates that are both in 5-digit packages of 6 or more addressed pieces each that are correctly sorted to 5-digit, optional city, or unique 3-digit sacks. c. The level J3 rates apply to those pieces eligible for the level J rates that are both in optional city or unique 3-digit packages of 6 or more addressed pieces each that are correctly sorted to optional city or unique 3-digit sacks. d. The level J1 rates apply to those pieces eligible for the level J rates but not eligible for or claimed at the level J3 or J5 rates. 411.146 Reporting of Copies by Presort Level. Publishers must separately report copies at Levels B3 and B5, G3 and G5, and J1, J3, and J5 only when claiming a ZIP+4 or ZIP+4 Barcoded rate. 411.2 Regular Rates 411.21 Eligibility. All copies of authorized second-class publications mailed by publishers or news agents are subject to the regular rates in 411.22 through 411.24, except for qualified copies of publications that have been authorized for one of the preferred rates in 411.3, and nonrequester and nonsubscriber copies as required by 411.422. Mailings must also meet the specific requirements that apply to the rates or discounts claimed. 411.22 Pound Rates 411.221 Nonadvertising Portion. The rate for the nonadvertising portion is $0.147 per pound or fraction. 411.222 Advertising Portion. Rates per pound or fraction: Zone Rate Delivery Office $ 0.168 SCF 0.178 1 & 2 0.196 3 0.204 4 0.224 5 0.258 6 0.292 7 0.332 8 0.367 411.23 Piece Rates. Each piece rate requires specific preparation as described in 411.113, 411.114, 411.12, and 440. Rates per addressed piece are: Rate Rate (ZIP+4 LevelRate(ZIP+4) Barcoded) A$ 0.201$0.192$ 0.182 B30.158 0.154 0.147 B5 0.158 0.154 0.139 C1 0.119 0.119 0.119 C2 0.114 0.114 0.114 C30.104 0.104 0.104 411.24 Nonadvertising Adjustment. The nonadvertising adjustment applies to outside-the-county piece-rate charges and is computed as shown in 411.133. For regular rate publications, the nonadvertising adjustment is $0.0005 per piece for each 1% of nonadvertising content. 411.25 Entry Discounts 411.251 Delivery Office Zone Pieces. The delivery office zone piece discount of $0.014 applies to each addressed piece claimed in the pound rate portion at the delivery office zone rate. 411.252 SCF Zone Pieces. The SCF zone piece discount of $0.009 applies to each addressed piece claimed in the pound rate portion at the SCF zone rate. 411.3 Preferred Rates 411.31 General. Requester publications are not eligible for the preferred rates. Copies of other authorized second-class publications mailed by publishers or news agents at any of the preferred rates (in-county, special nonprofit, classroom, and science of agriculture) must meet the corresponding eligibility requirements in 411.12, and 411.32 through 411.35. Nonsubscriber copies of second-class publications mailed at preferred rates are also subject to the limitations in 411.322, 411.413, and 411.414. Mailings must also meet the specific requirements that apply to the presort levels or other rates or discounts claimed. 411.32 In-County Rates 411.321 Subscriber Copies. In-county rates apply to subscribers' copies of any issue of a second-class publication (except a requester publication) when they are entered within the county of publication (i.e., the county in which the post office of original entry is located) for delivery to addresses within that county if either of the following conditions is met: a. The total paid circulation of such issue is less than 10,000 copies; or b. The number of paid copies of such issue distributed within the county of publication is at least one more than one-half of the total paid circulation of such issue. Publications authorized second-class mailing privileges under 423.2 and 423.3 must comply with the circulation requirements of this section. See 423.213, 423.214, and 423.312. 411.322 Nonsubscriber Copies. During a calendar year, the total number of nonsubscriber copies mailed at the in-county rates may not exceed 10% of the number of subscribers' copies of the publication mailed at the in-county rates. The number of nonsubscriber copies mailed at in-county rates must be included in the determination of the overall 10% allowance prescribed in 411.413 and 411.414. In certain circumstances, the allowance for nonsubscriber copies mailable at the in-county rates may be less than 10% (see the note preceding 411.413.) 411.323 Entry Offices. If the postmaster of an office of entry directs a publisher to deposit copies of the publication at a postal facility serving that office, these copies are considered as mailed at the office of entry for purposes of in-county rates. Copies are subject to in-county rates if they are addressed to destinations within the county of publication and are entered at a post office which serves those addresses, but is located outside the county. 411.324 Independent Cities. Each second-class publication (except commingled nonsubscriber copies in excess of the 10% allowance, and requester) having original entry at an incorporated city which is situated entirely within a county or which is situated contiguous to one or more counties in the same state, but which is politically independent to such county or counties, is considered to be within a part of the county with which it is principally contiguous, and copies mailed into that county are chargeable with postage at the in-county rates. Where more than one county is involved, the publisher selects the principal county and notifies the postmaster. 411.325 Pound Rates. Rates per pound or fraction: Zone Rate Delivery Office $ 0.106 All Others 0.116 411.326 Piece Rates. Each piece rate requires specific preparation as described in 411.113, 411.114, 411.12, and 440. Rates per addressed piece are: Rate Rate (ZIP+4 LevelRate(ZIP+4) Barcoded) J1$0.077$0.077$ 0.077 J3 0.077 0.073 0.073 J5 0.077 0.073 0.060 K1 0.040 0.040 0.040 K2 0.035 0.035 0.035 K30.033 0.033 0.033 411.327 Delivery Office Zone Pieces. The delivery office zone piece discount of $0.003 applies to each addressed piece claimed in the pound rate portion at the delivery office zone rate. 411.33 Special Nonprofit Rates 411.331 Eligibility. Only second-class publications specifically authorized under 424.1 may be mailed at the special nonprofit rates subject to the restrictions in 411.413, 411.414, and 411.42. Mailings must also meet the specific requirements that apply to the presort levels or other rates or discounts claimed. 411.332 Pound Rates a. Nonadvertising Portion. The rate for the nonadvertising portion is $0.106 per pound or fraction. b. Advertising Portion. Rates per pound or fraction: ZoneRate Delivery Office$ 0.120 SCF0.123 1 & 20.141 30.151 40.177 50.217 60.258 70.308 80.350 411.333 Piece Rates. Each piece rate requires specific preparation as described in 411.113, 411.114, 411.12, and 440. Rates per addressed piece are: Rate Rate (ZIP+4 LevelRate(ZIP+4) Barcoded) G$ 0.169$0.162$ 0.152 H3 0.126 0.122 0.116 H5 0.126 0.122 0.109 I1 0.088 0.088 0.088 I2 0.086 0.086 0.086 I30.081 0.081 0.081 411.334 Nonadvertising Adjustment. The nonadvertising adjustment applies to outside-the-county piece-rate charges and is computed as shown in 411.133. For special nonprofit rate publications, the nonadvertising adjustment is $0.00035 per piece for each 1% of nonadvertising content. 411.335 Publications With 10% or Less Advertising. Publications with an advertising percentage that is 10% or less are considered 100% nonadvertising and may use "0" as the "advertising percentage" when computing the nonadvertising adjustment. 411.336 Entry Discounts a. Delivery Office Zone Pieces. The delivery office zone piece discount of $0.005 applies to each addressed piece claimed in the pound rate portion at the delivery office zone rate. b. SCF Zone Pieces. The SCF zone piece discount of $0.003 applies to each addressed piece claimed in the pound rate portion at the SCF zone rate. 411.34 Classroom Rates 411.341 Eligibility. Only second-class publications specifically authorized under 424.2 may be mailed at the classroom rates, subject to the restrictions in 411.413, 411.414, and 411.42. Mailings must also meet the specific requirements that apply to the presort levels or other rates or discounts claimed. 411.342 Pound Rates a. Nonadvertising Portion. The rate for the nonadvertising portion is $0.106 per pound or fraction. b. Advertising Portion. Rates per pound or fraction: ZoneRate Delivery Office$ 0.120 SCF0.123 1 & 20.141 30.151 40.177 50.217 60.258 70.308 80.350 411.343 Piece Rates. Each piece rate requires specific preparation as described in 411.113, 411.114, 411.12, and 440. Rates per addressed piece are: Rate Rate (ZIP+4 LevelRate (ZIP+4)Barcoded) G$ 0.169$0.162$ 0.152 H3 0.126 0.122 0.116 H50.126 0.122 0.109 I10.088 0.088 0.088 I20.086 0.086 0.086 I30.081 0.081 0.081 411.344 Nonadvertising Adjustment. The nonadvertising adjustment applies to outside-the-county piece-rate charges and is computed as shown in 411.133. For classroom rate publications, the nonadvertising adjustment is $0.00035 per piece for each 1% of nonadvertising content. 411.345 Entry Discounts a. Delivery Office Zone Pieces. The delivery office zone piece discount of $0.005 applies to each addressed piece claimed in the pound rate portion at the delivery office zone rate. b. SCF Zone Pieces. The SCF zone piece discount of $0.003 applies to each addressed piece claimed in the pound rate portion at the SCF zone rate. 411.35 Science of Agriculture Rates 411.351 Eligibility. Science of agriculture rates apply to outside-the-county copies of authorized second-class publications mailed by publishers or news agents when the total number of copies furnished 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. Use of the science of agriculture rates is subject to the restrictions in 411.413, 411.414, and 411.422. Mailings must also meet the specific requirements that apply to the presort levels or other rates or discounts claimed. 411.352 Pound Rates a. Nonadvertising Portion. The rate for the nonadvertising portion is $0.147 per pound or fraction. b. Advertising Portion. Rates per pound or fraction: ZoneRate Delivery Office$ 0.120 SCF 0.123 1 & 2 0.141 3 0.204 4 0.224 5 0.258 6 0.292 7 0.332 8 0.367 411.353 Piece Rates. Each piece rate requires specific preparation as described in 411.113, 411.114, 411.12, and 440. Rates per addressed piece are: Rate Rate (ZIP+4 LevelRate(ZIP+4) Barcoded) A$ 0.201$0.192$ 0.182 B3 0.158 0.154 0.147 B5 0.158 0.154 0.139 C1 0.119 0.119 0.119 C2 0.114 0.114 0.114 C3 0.104 0.104 0.104 411.354 Nonadvertising Adjustment. The nonadvertising adjustment applies to outside-the-county piece-rate charges and is computed as shown in 411.133. For regular rate publication, the nonadvertising adjustment is $0.0005 per piece for each 1% of nonadvertising content. 411.355 Entry Discounts a. Delivery Office Zone Pieces. The delivery office zone piece discount of $0.014 applies to each addressed piece claimed in the pound rate portion at the delivery office zone rate. b. SCF Zone Pieces. The SCF zone piece discount of $0.009 applies to each addressed piece claimed in the pound rate portion at the SCF zone rate. 411.4 Nonsubscriber and Nonrequester Copies Mailed by Publishers and News Agents 411.41 Ten Percent Allowance for Nonrequester and Nonsubscriber Copies. 411.411 Nonrequester Copies. For publications authorized second-class mail privileges under the provisions of 423.4, up to 10% of the total number of copies mailed to requesters during the calendar year may be mailed to nonrequesters at the second-class regular rates, provided: (a) those copies would have been eligible for second-class regular rates if mailed to requesters; and (b) the copies are presorted in accordance with second-class regulations. Nonrequester copies within the 10% limit do not need to be commingled in a mailing with requester copies to be eligible for the regular rates. See 411.42 for rates applicable to nonrequester copies exceeding the 10% allowance. Also see 428.225 and 428.226 for limits on the number of copies of an issue that may be distributed to nonrequesters under the publication's second-class mail privileges. 411.412 Nonsubscriber Copies Mailed at Regular Rates. Nonsubscriber copies may be mailed at the second-class regular rates up to 10% of the total number of copies mailed to subscribers during the calendar year, provided: (a) those copies would have been eligible for second-class regular rates if mailed to subscribers; and (b) the copies are presorted in accordance with second-class regulations. Nonsubscriber copies within the 10% limit do not need to be commingled in a mailing with subscriber copies to be eligible for the regular rates. See 411.42 for rates applicable to nonsubscriber copies mailed in excess of the 10% allowance. Also see 428.225 and 428.226 for limits on the number of copies of an issue that may be distributed to nonsubscribers under the publication's second-class mail privileges. 411.413 Nonsubscriber Copies Mailed at Preferred Rates. Nonsubscriber copies, up to 10% of the total number of copies mailed to subscribers during the calendar year, may be mailed at preferred rates, provided: (a) the nonsubscriber copies would have been preferred mail if mailed to subscribers; and (b) the copies are presorted in accordance with second-class regulations. Nonsubscriber copies mailed in excess of the 10% limit are not eligible for any preferred rates, including in-county rates. Also, to qualify for the regular second-class rates, the nonsubscriber copies exceeding the 10% allowance must be part of a presorted commingled mailing (one that includes subscriber copies) in order to qualify for regular rates (see 411.421). (See also 428.225 and 428.226 for limits on the number of copies of an issue that may be distributed to nonsubscribers under the publication's second-class mail privileges.) Note: Nonsubscriber copies may be mailed at the preferred in-county rates only in accordance with 411.322, which prescribes a limit of 10% of the total number of subscriber copies of the publication mailed at the in-county rates during the calendar year. However, once the 10% calendar year limit on the number of nonsubscriber copies that may be mailed at any preferred rates is exceeded, nonsubscriber copies cannot thereafter be mailed at in-county rates even if the 10% limit prescribed by 411.322 has not been exceeded (i.e., the total number of nonsubscriber copies mailed at in-county rates has not yet exceeded 10% of the total number of subscriber copies mailed at the in-county rates during the calendar year). 411.414 Nonsubscriber Copies of Publications Mailed at Both Preferred and Regular Rates. For publications mailed at in-county rates and/or science-of-agriculture rates, as well as regular rates, once the total number of nonsubscriber copies mailed during the calendar year (regardless of whether mailed at in-county, science-of-agriculture, or regular rates) 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 rates. Also, nonsubscriber copies exceeding the 10% allowance must be part of a presorted commingled mailing (one that includes subscriber copies) in order to qualify for the regular second-class rates (see 411.421). 411.42 Nonrequester and Nonsubscriber Copies Mailed in Excess of the 10 Percent Allowance 411.421 Commingled Excess Nonrequester and Nonsubscriber Copies. Nonsubscriber or nonrequester copies, exceeding 10% of the total number of copies mailed to subscribers or requesters during the calendar year, are eligible for the regular rates when they are presorted and commingled with subscriber or requester copies (included in a presorted mailing that contains subscriber or requester copies). 411.422 Noncommingled Excess Nonrequester and Nonsubscriber Copies. A mailing that consists entirely of nonsubscriber or nonrequester copies that exceed the allowance of 10% of the total number of copies mailed to subscribers or requesters during the calendar year, is not eligible for the second-class rates. Such noncommingled nonsubscriber or noncommingled nonrequester copies that exceed the 10% calendar year allowance are subject to Express Mail, or First-, third-, or fourth-class rates, as appropriate. Noncommingled nonsubscriber or noncommingled nonrequester copies that exceed the 10% allowance may be mailed at a bulk thirdor fourth-class rate, provided all the requirements specified for mailing at the bulk rate are met. Note: If all copies in a mailing are to nonsubscribers or nonrequesters, and some of the copies are within the 10% limit while the remainder exceeds the 10% limit, the portion that exceeds the 10% limit is not eligible for the second-class rates. The nonsubscriber or nonrequester copies exceeding the 10% limit must be charged at the appropriate Express Mail, or First-, third-, or fourth-class rate. 411.5 Mailings by the General Public and Copies Returned to Publishers. The applicable single-piece third-class or single-piece fourth-class rate is charged on copies of publications mailed by the general public (persons other than publishers or registered news agents) and on copies returned to publishers. 412 Fees 412.1 Application Fees 412.11 General 412.111 No Fee Applications. A fee is not charged for applications for reentry that only request authorization to use the preferred rates. The fee must be paid if the application includes any other request. 412.112 Refund of Fees. After an application has been filed with the Postal Service, no part of an accompanying fee is returned to the applicant, except as provided in 147.221b. 412.12 Original Entry. A fee of $275 must accompany an application for second-class mail privileges (original entry) on Form 3501, Form 3501A, Form 3502, or Form 3511. 412.13 News Agent Registry. A fee of $45 must accompany an application for news agent registry on Form 3501A. 412.14 Additional Entry. A fee of $75 must accompany an application for additional entry on Form 3510. One fee is chargeable for a single complete application that requests establishment of one or more additional entries. The same fee covers the modification or cancellation of other additional entries also requested on that form, provided the effective dates for the requested actions span not more than 30 calendar days (see 426.142). 412.15 Reentry. A fee of $45 must accompany an application for reentry on Form 3510 to request a: a. Change in title, frequency of issuance, or office of original entry (known office of publication) (see 427.1). b. Change in qualification category (see 427.2). c. Change in authorized rates from preferred to regular (see 427.2). (No fee is charged if reentry is only to change authorized rates from regular to preferred.) d. Modification or cancellation of an additional entry (see 412.14, 426.15, 426.46, and 426.47). One fee is chargeable for a single complete application that requests modification or cancellation of one or more additional entries, provided the effective dates for the requested actions stand not more than 30 calendar days. 412.2 Address Correction Fee 412.21 Manual Correction. The fee for manual address correction service is $0.35 per notice issued. 412.22 Automated Correction. The fee for automated address correction service (see 472.3) is $0.20 per notice issued. 420 Classification 421 Types of Authorization All second-class publications must be authorized under one of five qualification categories. These are General Publications, Publications of Institutions and Societies, Publications of State Departments of Agriculture, Requester Publications, and Foreign Publications. The specific requirements for each category are set forth in 423.1 through 423.5. These specific requirements are in addition to the general requirements set forth in 422 that all second-class publications must meet. Any publication that meets the requirements of 422 and 423.1 may be entered as a general publication, irrespective of the nature of the publisher. 422 Requirements for All Second-Class Publications 422.1 Periodical Publications. Only newspapers and other periodical publications that meet the mailability conditions stated in 123, 124, and 127 and the requirements of this chapter may be mailed at the second-class rates. For second-class mail purposes, a periodical publication is defined as follows: a. A periodical is a publication which is published at a stated frequency with the intent to continue publication indefinitely. The primary distribution of each issue must be made before that of each succeeding issue. The primary purpose of a periodical must be the transmission of information. A periodical may consist of original or reprinted articles on a single topic or variety of topics, listings, photographs, illustrations, graphs, a combination of advertising and nonadvertising matter, comic strips, legal notices, editorial material, cartoons, or other subject matter. A periodical must also exhibit continuity from issue to issue. Continuity may be evidenced by serialization of articles or by successive issues carrying the same style, format, theme, or subject matter. b. The following particular types of publications are also considered to be periodical publications: (1) Any catalog or other course listing, including mail announcements of legal texts which are part of post-bar admission education, issued by any institution of higher education or by a nonprofit organization engaged in continuing legal education. (2) Any looseleaf page or report (including any index, instruction for filing, table, or sectional identifier which is an integral part of such report) which is designed as part of a looseleaf reporting service concerning developments in the law or public policy. (3) Any transportation guide containing transportation schedules, fares, and related information. c. Material which has been, or is intended to be, distributed primarily as a book cannot be converted into an issue of a periodical by merely placing a periodical's name upon it, placing it 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. 422.2 Regular Issuance 422.21 Frequency. Each second-class publication must be issued at a regular frequency of at least four times per year. The publisher must determine the number of issues to be published each year and adopt a statement of frequency which shows at which regular intervals the issues are to appear. Examples of permissible statements of frequency are: Daily Semiweekly (twice a week) Weekly Biweekly (every 2 weeks) Semimonthly (twice a month) Monthly Quarterly Four times a year in Jan., Feb., Oct., and Nov. Weekly during school year Monthly except during July and August 422.22 Compliance with Frequency. All issues must be published regularly as called for by the statement of frequency. If the publisher wishes to change the number of issues scheduled or the statement of frequency, he must adopt a new statement of frequency by filing an application for second-class reentry (see 427). If a publication fails to maintain regular issuance according to its stated frequency, the postmaster must remind the publisher of the above requirements and request compliance. If irregular issuance continues, the rates and classification center serving the post office of the known office of publication must revoke the publication's second-class mail privileges (see 423.17). 422.3 Issuance from a Known Office of Publication. The publisher of a second-class publication must maintain a known office of publication at the location where the original entry for second-class mail privileges is authorized. The known office of publication must be a public office where the business of the publication is transacted during normal business hours. The circulation records of the publication must be maintained or available for examination by postal officials at the known office of publication. 422.4 Printed Sheets. Second-class publications must be formed of printed sheets. They may not be reproduced by stencil, mimeograph, or hectograph processes. Reproduction by any other process is permissible. Any style of type may be used. 423 Requirements for Specific Categories 423.1 General Publications 423.11 Contents. General publications must be originated and published for the purpose of disseminating information of a public character or they must be devoted to literature, the sciences, art, or some special industry. 423.12 Circulation Requirements 423.121 List of Subscribers. General publications must have a legitimate list of subscribers who have paid or promised to pay, at a rate above a nominal rate, for copies to be received during a stated time. Records for subscriptions to a publication that are obtained in conjunction with subscriptions to another publication or other publications must be maintained in such a manner that individual subscriptions to each publication, by title, can be substantiated and verified. Persons whose subscriptions are obtained at a nominal rate (see 423.124), and persons whose copies bear an alternative form of address (see 122.414, 122.422, and 122.433d), must not be included as a part of the legitimate list of subscribers. Copies sent in fulfillment of such nominal-rate subscriptions and copies which bear a simplified or exceptional form of address must be treated as nonsubscriber copies and are subject to the appropriate rate for nonsubscriber copies in 411.322 and 411.4. 423.122 Subscriptions Taken in Connection with Membership Dues or Contributions. Although it is desirable that subscribers pay directly for their subscriptions independently of other payments, arrangements may be made for them to pay in connection with the payment of dues or contributions, provided the dues or contributions and the subscription price are so separated as to permit an exact ascertainment of all the facts, including the amount paid for the subscription. 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 have been voluntarily made, that the subscription price has been paid or definitely promised, and that the relationship of subscriber is clearly understood and fully agreed to. 423.123 Subscription Forms and Statements to be Furnished with Applications. When subscriptions are obtained under an arrangement described in 423.122, publishers should furnish with applications for second-class mail privileges printed copies of the forms that are to be used. The responsible official of the organization or institution should furnish written assurance that the forms are to be used for taking subscriptions (see Exhibit 423.123). EXHIBIT 423.123 Second-Class General Publications - Subscriptions Taken with Dues or Contributions ] ] ] FORMS USED FOR TAKING SUBSCRIPTIONS TO GENERAL PUBLICATIONS IN CONNECTION WITH THE PAYMENT OF DUES OR CONTRIBUTIONS When Paying Organization Dues If subscribers pay for their subscriptions when paying dues in an organization, the application, transmittal, and bill forms used by the organizations should include clauses similar to the following examples: (a) I, @@(name)@@ , hereby apply for membership in the (name of organization to be printed here) and enclose $@@(amount)@@ as my annual membership dues for the year @(year)@ . $@@(amount)@@ of this amount is for a subscription to the (name of publication to be printed here) for 1 year. (b) I, @@(name)@@ , herewith transmit my annual membership dues of $@@(amount)@@ in the (name of organization to be printed here) for the year @(year)@ . $@@(amount)@@ of this amount is for a subscription to the (name of publication to be printed here) for 1 year. (c) Annual membership dues for the year @(Year)@ in the (name of organization to be printed here). $@@(amount)@@ of this amount is for a subscription to the (name of publication to be printed here) for 1 year. Return this bill form with remittance. When Contributing to Organizations or Institutions If subscribers pay, or promise to pay, for their subscriptions when making contributions or pledges to organizations or institutions, the pledge or contribution forms used should include clauses similar to the following example: I, @@(name)@@ , hereby transmit my contribution of (or hereby pledge to contribute) $@@(amount)@@ to the (name of organization or institution to be printed here) for the year@(year)@ . $@@(amount)@@ of this amount is for a subscription to the (name of the publication to be printed here) for the year@(year)@ . Members of Rural Electric Cooperative Associations When copies of the publication of a rural electric cooperative association, operating under the Rural Electrification Act of 1936, are sent to the individual members, it is suggested that the association amend the contract form signed by the members so that it includes a clause reading: $@@(amount)@@ , of the amount accruing to me each year is for a year's subscription to the (name of the publication to be printed here), and that the bylaws of the association be amended to provide for the payment of the $@@(amount)@@ annual subscription price each year by each member from the amount accruing to the member. Forms and Statements to be Furnished With Applications Publishers should furnish with application for second-class mail privileges printed copies of the forms that are to be used, and written assurance that the forms are to be used for taking subscriptions. Exhibit 423.123, Second-Class General Publications - Subscriptions Taken with Dues or Contributions] 423.124 Nominal-Rate Subscriptions. Nominal-rate subscriptions include those that are sold a. at a subscription price that is so low that it cannot be considered a material consideration, or b. at a reduction to the subscriber, under a premium offer or any other arrangement, of more than 50% of the amount charged as the basic annual rate for a subscription which entitles the subscriber to receive one copy of each issue published during the subscription period. The value of a premium is considered to be its actual cost to the publisher, the recognized retail value, or the represented value, whichever is highest. 423.125 Free or Nominal-Rate Circulation. Publications primarily designed for free circulation and/or circulation at nominal rates may not qualify for the general publications category. Publications are considered primarily designed for free circulation and/or circulation at nominal rates when one-half or more of all copies circulated are (a) provided free of charge to the ultimate recipients, (b) paid for at nominal rates by the ultimate recipients, or (c) are addressed using a simplified or exceptional form of address; or when other evidence indicates that the intent of the publisher is to circulate the publication free and/or at nominal rates. The distribution of all copies of a publication is considered, whether circulated in the mail or otherwise. 423.13 Advertising Restrictions 423.131 Publications Designed for Advertising Purposes. General publications primarily designed for advertising purposes may not qualify for second-class privileges. These include, but are not limited to, the following: a. Publications which contain more than 75% advertising in more than half of the issues published during any 12-month period. b. Publications 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 them. c. Publications which consist principally of advertising and articles about advertisers in the publication. d. Publications that have only a token list of subscribers and which print advertisements free for advertisers who pay for copies to be sent to a list of persons furnished by the advertisers. e. Publications published under a license from individuals or organizations and that feature other businesses of the licensor. 423.132 Definition of Advertising a. General. The term "advertising" includes all material for the publication of which a valuable consideration is paid, accepted, or promised, which calls attention to something for the purpose of getting people to buy it, sell it, seek it, or support it. b. Specific. If an advertising rate is charged for the publication of reading matter or other material, such material are deemed to be "advertising." Articles, items, and notices in the form of reading matter inserted in accordance with a custom or understanding that textual matter is to be inserted for the advertiser or his products in the publication in which a display advertisement appears, are deemed to be "advertising." If a newspaper or periodical advertises its own services or issues, or any other business of the publisher, whether in the form of display advertising or editorial or reading matter, this is deemed to be "advertising." Public-service advertisements for which no consideration has been paid are not considered advertising for postal purposes. 423.14 How to Apply for Second-Class Privileges 423.141 Original Entry Application a. Forms (1) Publishers who wish to receive authorization to mail a publication at second-class rates under 423.1 must file an application for the publication on Form 3501 at the post office servicing the known office of publication (see Exhibit 423.141 (p.1) *viewer dmf404.pcx* and Exhibit 423.141 (p.2)). *viewer dmf406.pcx* The publisher must complete all applicable items on Form 3501. (2) When one-half or more of the total copies distributed are purchased by news agents for resale or are consigned to news agents for sale, postmasters must not accept Form 3501 unless the publisher has completed it by furnishing all the information required in items 31 and 32. (3) If the frequency of the publication includes more than one regular issue on any day, the publisher also must complete Form 3541-C (see Exhibit 428.225) *viewer dmf465.pcx* and submit it with Form 3501. (4) 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 (see Exhibit 428.226) *viewer dmf467.pcx* and submit it with Form 3501. b. Post Office of Entry. The location indicated on the Form 3501 as the original entry post office must be a post office; other postal installations (e.g. branches, stations, contract offices, processing hubs, etc.) cannot be authorized as original entries. Refer to Publication 65, National Five-Digit ZIP Code and Post Office Directory, to determine the classification of a particular postal facility. Additional requirements apply if the publisher wishes to make concurrent application for additional entry or for entry at an airport mail facility (AMF) (see 426). Exhibit 423.141 (p.1) Form 3501 (p.2) Form 3501 (NOT SHOWN) DMF404Exhibit 423.141 (p. 1), Form 3501] DMF406Exhibit 423.141 (p. 2), Form 3501] 423.142 Application Fee. The fee prescribed by 412.12 must accompany an application for second-class mail privileges (original entry). 423.143 Copies Filed With Application. The publisher must file an application before a publication is considered for second-class authorization. Copies of application forms may be obtained from the local postmaster. The headings on the forms describe the information the publisher must furnish. Two copies of the issue published nearest to the date of application must accompany the application. These copies must meet the requirements contained in 429.6. The copies must be marked to show the advertising content, and the percentage of advertising must be stated on the cover. When one-half or more of the total copies distributed are purchased by news agents for resale or are consigned to news agents for sale, two copies each of at least four issues must be filed before an application is either approved or disapproved, to demonstrate compliance with the requirement for regular issuance at least four times each year. If the publication is printed in a foreign language, a brief translation of the contents of the copies must be furnished with the application. Generally, a synopsis of each article and advertisement suffices. 423.144 Supporting Information. The publisher must maintain records adequate to establish that the publication is not primarily designed for free circulation or circulation at nominal rates. See 425 for a description of the types of records needed to satisfy this requirement. The postmaster of the office of application must review the Form 3501 and verify the accuracy and adequacy of the publisher's records. A list of gift subscriptions and other items required by Form 3501 must be furnished. 423.145 Post Office Verification. The post office where the application is filed reviews it for correctness and verifies the subscription data reported by the applicant. The post office completes Column (C) on the back of the application and the postmaster's report portion on the front showing under Section II the publisher's records examined to substantiate the number of claimed subscribers. 423.146 Forwarding the Application. The postmaster forwards the application and one copy of the publication to the management sectional center (MSC). The MSC, after reviewing the application for completeness, forwards it with one copy of the publication to the rates and classification center. 423.15 Mailing While Application Pending 423.151 General. A publisher or news agent may not mail at second-class rates until the application for second-class mail privileges is approved by the general manager, rates and classification center, serving the post office of the known office of publication. The postmaster may not accept mailings of a publication at the second-class rates for which an original entry application is pending until written authorization is received from the general manager, rates and classification center. Postage at the applicable First-, third-, or fourth-class rates must be paid while the application is pending. 423.152 Record of Postage Paid. If thirdor fourth-class postage is paid through an advance deposit account, the postmaster must keep a record of such mailings on Form 3503. No record is kept on Form 3503 if postage is paid at First-Class rates or if postage is not paid through an advance deposit account. 423.16 Granting or Denying Applications 423.161 Responsibility. The general manager, rates and classification center, serving the post office of the known office of publication rules on all applications for second-class mail privileges. 423.162 Granting an Application. If the general manager grants an application for original entry, the general manager must notify the postmaster at the office where the application was filed, and the postmaster must notify the applicant. Before taking action on an application, the general manager may ask the publisher for additional information or evidence to complete or clarify the application. The publisher's failure to furnish such information is sufficient grounds to deny the application. Approval of an application to mail at second-class rates does not represent a determination by the Postal Service that a publication is mailable pursuant to 39 USC 3001(a); and 18 USC 1461 and 1463. (See Blount v. Rizzi, 400 U.S. 410 (1971).) 423.163 Effective Date. The effective date of the original entry authorization is the date of the application if the publication was eligible for second-class mail privileges on that date, or the date of eligibility if the publication became eligible after the date of application. 423.164 Refund a. If an authorization for second-class mail privileges is granted, the postmaster of the original entry post office is instructed to issue a refund to the publisher for copies mailed while the application was pending. The amount of the refund is the difference between the postage paid at thirdor fourth-class rates and the postage that would have been paid at the applicable second-class rates. Refunds are granted only for mailings made on or after the effective date of the authorization and only if postage was paid through an advance deposit account for which a Form 3503 was maintained. b. No refund is made (1) if the application is denied or withdrawn; (2) for the period prior to the effective date of the authorization; (3) for postage that was not paid through an advance deposit account for which a Form 3503 was maintained (see 423.152); (4) for postage at any rate that was affixed to copies of the publication; (5) for postage paid at Express Mail or First-Class rates; or (6) for postage on mailings that did not comply with the applicable preparation or other eligibility requirements for second-class mail. 423.165 Denying an Application. If the general manager denies an application for original entry, the general manager must notify the publisher, specifying the reasons for the denial. The denial becomes effective 15 days from receipt of the notice by the publisher, unless an appeal is filed through the general manager with the Director, Office of Classification and Rates Administration, USPS Headquarters. If the Director upholds the denial, the publisher must be so notified. The denial becomes effective within 15 days of receipt of the notice of denial, unless an appeal is filed with the U.S. Postal Service Recorder according to 39 CFR 954, Rules of Practice in Proceedings Relative to the Denial, Suspension, or Revocation of Second-Class Mail Privileges. A copy of the rules must be included with any notice of denial. 423.17 Revocation or Suspension of Second-Class Privileges 423.171 Discontinued Eligibility. The Postal Service must revoke the entry of a publication as second-class mail whenever it finds, after a hearing, that the publication is no longer entitled to be entered as second-class mail. 423.172 Initial Determination and Appeal. The general manager, rates and classification center, serving the post office of the known office of publication makes the initial determination concerning the suspension or revocation of a second-class entry, subject to an appeal and hearing at the request of the publisher. The general manager may ask a publisher from time to time to submit information bearing on the publisher's right to retain a second-class entry for the publication. When the general manager determines that a publication is no longer entitled to second-class entry, he must issue a ruling of suspension or revocation to the publisher at the last known address of the office of publication, stating the reasons for this ruling. The ruling becomes effective 15 days from receipt of the notice by the publisher, unless an appeal is filed through the general manager with the Director, Office of Classification and Rates Administration, USPS Headquarters. If the Director upholds the ruling, the ruling becomes effective 15 days from its receipt by the publisher unless an appeal is filed with the U.S. Postal Service Recorder according to 39 CFR 954, Rules of Practice in Proceedings Relative to the Denial, Suspension, or Revocation of Second-Class Mail Privileges. A copy of the rules must be included with any notice of denial. 423.173 Procedures. A copy of the procedures governing administrative appeals and hearings relative to the denial, suspension, or revocation of second-class entry may be obtained from the rates and classification center. 423.2 Publications of Eligible Institutions and Societies 423.21 Types of Publications Eligible 423.211 A publication which meets the basic requirements of 422 and contains only the publisher's own advertising and not, under any conditions, the advertising of other persons or organizations, is eligible for second-class mail privileges if it is any of the following: a. Published by a regularly incorporated nonprofit institution of learning. For purposes of this section, "institutions of learning" are those organizations of a permanent nature where instruction is given in the higher branches of education only, which owe their origin to private or public munificence and are 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. A bulletin issued by a state board of health or a state industrial development agency. d. A bulletin issued by a state conservation or fish and game agency or department. e. A bulletin issued by a state board or department of public charities or corrections. f. Published by any public or nonprofit private elementary or secondary institution of learning or its administrative or governing body. g. 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. 423.212 Types of Publications Eligible and That May Contain General Advertising. The following types of publications which meet the basic requirements of 422 and contain only the publisher's own advertising are eligible for second-class mail privileges. These publications may also carry general advertising under the conditions prescribed in 423.213. a. Published by or under the auspices of a benevolent or fraternal society or order organized under the lodge system and having a bona fide membership of not less than 1,000 persons. b. Published by or under the auspices of a trade union. c. Published by a strictly professional, literary, historical, or scientific society. Note: For the purposes of this section (1) A "strictly professional society" consists solely of a group 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 a factor in determining eligibility. The members must be engaged in their given profession in accordance with its binding standards of performance and conduct on which the public is entitled to rely. (2) A "strictly literary society" is an organization whose exclusive purpose is to encourage and cultivate an appreciation of general literature, a literary subject, or an author who has achieved recognition through literary accomplishment. The membership must be comprised of individuals who discuss or analyze the style, composition, or other characteristics of the literature or authors in which they have a common interest. (3) A "strictly historical society" is an organization whose exclusive purpose is to discover, collect, and systematically record the history of civilization or a particular segment thereof. Such a society should provide for the preservation of such material and for its accessibility to the members of the society and the general public. Furthermore, a strictly historical society should extend educational services by producing published matter, holding regular meetings, presenting addresses and lectures, or using mass media. (4) A "strictly scientific society" is an organization whose exclusive purpose is to bring individuals together for the purpose of cooperating in scientific investigations and pursuits in the applied, pure, or natural sciences, and to disseminate technical information dealing with these subjects. d. Published by a church or church organization. For purposes of this section, the term "church" applies only to congregations of worshippers who actually conduct religious services. The term "church organization" embraces organizations of individual churches, organizations which are subsidiary to individual churches, and national or regional organizations of churches. 423.213 Provisions for General Advertising. A publication qualifying under 423.212 may contain advertising of other persons or organizations under the following conditions: a. The publication must not be designed or published primarily for advertising purposes (see 423.131). b. The publication must be originated and published to further the objects and purposes of the qualifying organization. c. The mailed circulation must be limited to copies mailed to members who pay, either as a part of their dues or assessments or otherwise, not less than 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. For the exclusive purpose of determining the number of copies of an issue qualifying for in-county rates under 411.32, the total paid circulation of such publications is considered to be the sum of the number of copies distributed to members, plus the number of copies distributed to other subscribers. 423.214 Publications Not Authorized to Contain General Advertising. For a publication qualifying under 423.2 and not authorized to contain advertising of other persons or organizations, all circulated copies are considered subscriber copies and the total number of such copies are considered the total paid circulation for purposes of determining the number of copies qualifying for in-county rates under 411.32. 423.22 How to Apply for Second-Class Privileges 423.221 Original Entry Application a. Forms (1) Publishers who wish to receive authorization to mail a publication at second-class rates under 423.2 must file an application for the publication on Form 3502 at the post office serving the known office of publication (see Exhibit 423.221a(1) *viewer dmf414.pcx* and Exhibit 423.221a(2)). *viewer dmf416.pcx* (2) The information indicated on the form must be submitted with the application to establish that the publication is issued by one of the institutions or societies listed in 423.2. (3) When a publication is issued by an institution or society and carries general advertising, individual subscriptions or receipts are not required. A resolution similar to that shown in Exhibit 423.221a(3) is acceptable. (4) Records must be kept by the publisher to show that a definite amount of each member's dues is for a year's subscription to the publication. The written assurance of a responsible official that the records are to be kept in this manner must accompany the application on Form 3502, together with a certified copy of the resolution adopted. b. Post Office of Entry. The location indicated on the Form 3502 as the original entry post office must be a post office; other postal installations (e.g. branches, stations, contract offices, processing hubs, etc.) cannot be authorized as original entries. Refer to Publication 65, National Five-Digit ZIP Code and Post Office Directory, to determine the classification of a particular postal facility. Additional requirements apply if the publisher wishes to make concurrent application for additional entry or for entry at an airport mail facility (AMF) (see 426). EXHIBIT 423.221 (P.1) Form 3502 (P.2) Form 3502 (P.3) General Advertising in Publications of Institutions and Societies (NOT SHOWN) DMF414Exhibit 423.221a(1), Form 3502] DMF416Exhibit 423.221a(2), Form 3502] ] When a publication is issued by an institution or society and carries general advertising, individual subscriptions or receipts are not required. A resolution similar to that illustrated below is acceptable. RESOLVED: That a copy of each issue of @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ (Publication Name) shall be sent to each member of @@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@@ (Organization Name) and that of each member's dues of $ @@@@@@@@@@@@@@@, $@@@@@@@@@@@@@@@ (Amount) (Amount) Shall be for a year's subscription to the publication Exhibit 423.221a(3), General Advertising in Publications of Institutions and Societies] 423.222 Application Fee. The fee prescribed by 412.12 must accompany an application for second-class mail privileges (original entry). 423.223 Copies Filed with Application. Two copies of the issue published nearest to the date of application must accompany the application. These copies must meet the preparation requirements contained in 429.6. The copies must be marked to show the advertising content, and the percentage of advertising must be stated on the cover. When one-half or more of the total copies distributed are purchased by news agents for resale or are consigned to news agents for sale, two copies each of at least four issues must be filed before an application is either approved or disapproved, to demonstrate compliance with the requirement for regular issuance at least four times each year. If the publication is printed in a foreign language, a brief translation of the contents of the copies must be furnished with the application. Generally, a synopsis of each article and advertisement suffices. 423.224 Supporting Information. The information indicated on the form must be submitted with the application to establish that the publication is issued by one of the institutions or societies listed in 423.21. 423.225 Post Office Verification. The postmaster must verify all the information on the application form (see 425 for necessary publisher records), and completes Section E--Postmaster's Report. 423.226 Forwarding the Application. The postmaster forwards the application and one copy of the publication to the management sectional center (MSC). The MSC, after reviewing the application for completeness, forwards it with the supporting evidence and one copy of the publication to the rates and classification center. 423.23 Mailing While Application Pending 423.231 General. A publisher may not mail at second-class rates until the application for second-class mail privileges is approved by the general manager, rates and classification center, serving the post office of the known office of publication. The postmaster may not accept mailings of a publication at the second-class rates for which an original entry application is pending until written authorization is received from the general manager, rates and classification center. Postage at the applicable First-, third-, or fourth-class rates must be paid while the application is pending. 423.232 Record of Postage Paid. If thirdor fourth-class postage is paid through an advance deposit account, the postmaster must keep a record of such mailings on Form 3503. No record is kept on Form 3503 if postage is paid at First-Class rates or if postage is not paid through an advance deposit account. 423.24 Granting or Denying Applications 423.241 Responsibility. The general manager, rates and classification center, serving the post office of the known office of publication rules on all applications for second-class mail privileges. 423.242 Granting an Application. If the general manager grants an application for original entry, the general manager must notify the postmaster at the office where the application was filed, and the postmaster must notify the applicant. Before taking action on an application, the general manager may ask the publisher for additional information or evidence to complete or clarify the application. The publisher's failure to furnish such information is sufficient grounds to deny the application. Approval of an application to mail at second-class rates does not represent a determination by the Postal Service that a publication is mailable pursuant to 39 USC 3001(a); and 18 USC 1461 and 1463. (See Blount v. Rizzi, 400 U.S. 410(1971).) 423.243 Effective Date. The effective date of the original entry authorization is the date of the application if the publication was eligible for second-class mail privileges on that date, or the date of eligibility if the publication became eligible after the date of application. 423.244 Refund a. If an authorization for second-class mail privileges is granted, the postmaster of the original entry post office is instructed to issue a refund to the publisher for copies mailed while the application was pending. The amount of the refund is the difference between the postage paid at thirdor fourth-class rates and the postage that would have been paid at the applicable second-class rates. Refunds are granted only for mailings made on or after the effective date of the authorization and only if postage was paid through an advance deposit account for which a Form 3503 was maintained. b. No refund is made (1) if the application is denied or withdrawn; (2) for the period prior to the effective date of the authorization; (3) for postage that was not paid through an advance deposit account for which a Form 3503 was maintained (see 423.232); (4) for postage at any rate that was affixed to copies of the publication; (5) for postage paid at Express Mail or First-Class rates; or (6) for postage on mailings that did not comply with the applicable preparation or other eligibility requirements for second-class mail. 423.245 Denying an Application. If the general manager denies an application for original entry, the general manager must notify the publisher, specifying the reasons for the denial. The denial becomes effective 15 days from receipt of the notice by the publisher, unless an appeal is filed through the general manager with the Director, Office of Classification and Rates Administration, USPS Headquarters. If the Director upholds the denial, the publisher must be so notified. The denial becomes effective within 15 days of receipt of the notice of denial, unless an appeal is filed with the U.S. Postal Service Recorder according to 39 CFR 954, Rules of Practice in Proceedings Relative to the Denial, Suspension, or Revocation of Second-Class Mail Privileges. A copy of the rules must be included with any notice of denial. 423.25 Revocation or Suspension of Second-Class Privileges 423.251 Discontinued Eligibility. The Postal Service must revoke the entry of a publication as second-class mail whenever it finds, after a hearing, that the publication is no longer entitled to be entered as second-class mail. 423.252 Initial Determination and Appeal. The general manager, rates and classification center, serving the post office of the known office of publication makes the initial determination concerning the suspension or revocation of a second-class entry subject to an appeal and hearing at the request of the publisher. The general manager may ask a publisher from time to time to submit information bearing on the publisher's right to retain a second-class entry for the publication. When the general manager determines that a publication is no longer entitled to second-class entry, he issues a ruling of suspension or revocation to the publisher at the last known address of the office of publication, stating the reasons for this ruling. The ruling becomes effective 15 days from receipt of the notice by the publisher, unless an appeal is filed with the Director, Office of Classification and Rates Administration, USPS Headquarters. If the Director upholds the ruling, the ruling becomes effective 15 days from its receipt by the publisher, unless an appeal is filed with the U.S. Postal Service Recorder, according to 39 CFR 954, Rules of Practice in Proceedings Relative to the Denial, Suspension, or Revocation of Second-Class Mail Privileges. A copy of the rules must be included with any notice of denial. 423.253 Procedures. A copy of the procedures governing administrative appeals and hearings relative to the denial, suspension, or revocation of second-class entry may be obtained from the rates and classification center. 423.3 Publications of State Departments of Agriculture 423.31 Eligibility 423.311 Basic Requirements. A publication issued by a state department of agriculture that meets the basic requirements of 422 is eligible for second-class mail privileges, if it a. is published only to further the objects of the department and b. does not contain any advertising matter. 423.312 In-County Rates. For purposes of determining the number of copies qualifying for in-county rates under 411.32, all circulated copies are considered subscriber copies and the total number of such copies is considered the total paid circulation. 423.32 How to Apply for Second-Class Privileges 423.321 Original Entry Application a. Forms. Publishers who wish to receive authorization to mail a publication at second-class rates under 423.3 must file an application for the publication on Form 3502 at the post office servicing the known office of publication (see Exhibit 423.321 p. 1 *viewer dmf418.pcx* and Exhibit 423.321 p.2p.). *viewer dmf420.pcx* b. Post Office of Entry. The location indicated on the Form 3502 as the original entry post office must be a post office; other postal installations (e.g. branches, stations, contract offices, processing hubs, etc.) cannot be authorized as original entries. Refer to Publication 65, National Five-Digit ZIP Code and Post Office Directory, to determine the classification of a particular postal facility. Additional requirements apply if the publisher wishes to make concurrent application for additional entry or for entry at an airport mail facility (AMF) (see 426). EXHIBIT 423.321 (P.1) Form 3502 (P.2) Form 3502 (NOT SHOWN) DMF418Exhibit 423.321 (p. 1), Form 3502] DMF420Exhibit 423.321 (p. 2), Form 3502] 423.322 Application Fee. The fee prescribed by 412.12 must accompany an application for second-class mail privileges (original entry). If an application is not approved, no part of the fee is returned to the applicant. 423.323 Copies Filed with Application. An application must be filed by the publisher before a publication is considered for second-class authorization. Copies of application forms may be obtained from the local postmaster. The headings on the forms describe the information the publisher must furnish. Two copies of the issue published nearest to the date of application must accompany the application. These copies must meet the requirements contained in 429.5. 423.324 Supporting Information. Evidence that the publication is issued by a state department of agriculture must accompany the application. 423.325 Post Office Verification. The postmaster must verify all the information on the application form (see 425 for necessary publisher records), and complete Section E--Postmaster's Report. 423.326 Forwarding the Application. The postmaster forwards the application, supporting evidence, and one copy of the publication to the management sectional center (MSC). The MSC, after reviewing the application for completeness, forwards it with the supporting evidence and one copy of the publication to the rates and classification center. 423.33 Mailing While Application Pending 423.331 General. A publisher or news agent may not mail at second-class rates until the application for second-class mail privileges is approved by the general manager, rates and classification center, serving the post office of the known office of publication. The postmaster may not accept mailings of a publication at the second-class rates for which an original entry application is pending until written authorization is received from the general manager, rates and classification center. Postage at the applicable First-, third-, or fourth-class rates must be paid while the application is pending. 423.332 Record of Postage Paid. If thirdor fourth-class postage is paid through an advance deposit account, the postmaster must keep a record of such mailings on Form 3503. No record is kept on Form 3503 if postage is paid at First-Class rates or if postage is not paid through an advance deposit account. 423.34 Granting or Denying Applications 423.341 Responsibility. The general manager, rates and classification center, serving the post office of the known office of publication rules on all applications for second-class mail privileges. 423.342 Granting an Application. If the general manager grants an application for original entry, the general manager must notify the postmaster at the office where the application was filed, and the postmaster must notify the applicant. Before taking action on an application, the general manager may ask the publisher for additional information or evidence to complete or clarify the application. The publisher's failure to furnish such information is sufficient grounds to deny the application. Approval of an application to mail at second-class rates does not represent a determination by the Postal Service that a publication is mailable pursuant to 39 USC 3001(a) and 18 USC 1461 and 1463. (See Blount v. Rizzi, 400 U.S. 410 (1971).) 423.343 Effective Date. The effective date of the original entry authorization is the date of the application if the publication was eligible for second-class mail privileges on that date, or the date of eligibility if the publication became eligible after the date of application. 423.344 Refund a. If an authorization for second-class mail privileges is granted, the postmaster of the original entry post office is instructed to issue a refund to the publisher for copies mailed while the application was pending. The amount of the refund is the difference between the postage paid at thirdor fourth-class rates and the postage that would have been paid at the applicable second-class rates. Refunds are granted only for mailings made on or after the effective date of the authorization and only if postage was paid through an advance deposit account for which a Form 3503 was maintained. b. No refund is made (1) if the application is denied or withdrawn; (2) for the period prior to the effective date of the authorization; (3) for postage that was not paid through an advance deposit account for which a Form 3503 was maintained (see 423.332); (4) for postage at any rate that was affixed to copies of the publication; (5) for postage paid at Express Mail or First-Class rates; or (6) for postage on mailings that did not comply with the applicable preparation or other eligibility requirements for second-class mail. 423.345 Denying an Application. If the general manager denies an application for original entry, the general manager must notify the publisher specifying the reasons for the denial. The denial becomes effective 15 days from receipt of the notice by the publisher, unless an appeal is filed through the general manager with the Director, Office of Classification and Rates Administration, USPS Headquarters. If the Director upholds the denial, the publisher must be so notified. The denial becomes effective within 15 days of receipt of the notice of denial, unless an appeal is filed with the U.S. Postal Service Recorder according to 39 CFR 954, Rules of Practice in Proceedings Relative to the Denial, Suspension, or Revocation of Second-Class Mail Privileges. A copy of the rules must be included with any notice of denial. 423.35 Revocation or Suspension of Second-Class Privileges 423.351 Discontinued Eligibility. The Postal Service must revoke the entry of a publication as second-class mail whenever it finds, after a hearing, that the publication is no longer entitled to be entered as second-class mail. 423.352 Initial Determination and Appeal. The general manager, rates and classification center, serving the post office of the known office of publication makes the initial determination concerning the suspension or revocation of a second-class entry, subject to an appeal and hearing at the request of the publisher. The general manager may ask a publisher from time to time to submit information bearing on the publisher's right to retain a second-class entry for the publication. When the general manager determines that a publication is no longer entitled to second-class entry, he issues a ruling of suspension or revocation to the publisher at the last known address of the office of publication, stating the reasons for this ruling. The ruling becomes effective 15 days from receipt of the notice by the publisher, unless an appeal is filed through the general manager with the Director, Office of Classification and Rates Administration, USPS Headquarters. If the Director upholds the ruling, the ruling becomes effective 15 days from its receipt by the publisher, unless an appeal is filed with the U.S. Postal Service Recorder according to 39 CFR 954, Rules of Practice in Proceedings Relative to the Denial, Suspension, or Revocation of Second-Class Mail Privileges. A copy of the rules must be included with any notice of denial. 423.353 Procedures. A copy of the procedures governing administrative appeals and hearings relative to the denial, suspension, or revocation of second-class entry may be obtained from the rates and classification center. 423.4 Requester Publications 423.41 Eligibility. A publication, whether circulated free or to subscribers, is eligible for authorization to mail at the rates in 411.2 if it meets the requirements in 422 and all the following requirements: a. Each issue must contain at least 24 pages. b. No issue may contain more than 75% advertising (see 423.132). c. The publication must not be 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 it. 423.42 Circulation Requirements 423.421 List of Requesters. The publication must have a legitimate list of persons who have requested the publication, and 50% or more of the copies of the publication must be distributed to persons who have made such requests. 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. Persons are not deemed to have requested the publication if their request is induced by a premium offer or by receipt of material consideration. Records of requests for a publication that are obtained in conjunction with subscriptions or requests for another publication or other publications must be maintained in such a manner that individual requests for the publication, by title, can be substantiated and verified. Requests that are more than 3 years old are not considered to meet this requirement. Persons are not deemed to have requested the publication if the copies of the publication sent to those persons bear an alternative form of address (see 122.414, 122.422, and 122.433d). 423.422 Membership Organizations. When a requester publication is issued by a membership organization, the organization may adopt a resolution specifying that each member receives a copy of each issue of the publication (see Exhibit 423.431 (p. 3)). The publisher must keep records showing that the publication is actually sent to members of the organization. The written assurance of a responsible official that the records are to be kept in this manner must accompany the application on Form 3511 together with a certified copy of the resolution adopted. 423.43 How to Apply for Second-Class Privileges 423.431 Original Entry Application a. Forms (1) Publishers who wish to receive authorization to mail a publication at second-class rates under 423.4 must file an application for the publication on Form 3511 at the post office serving the known office of publication (see Exhibit 423.431 (p.1)) *viewer dmf422.pcx* and Exhibit 423.431 (p. 2)). *viewer dmf424.pcx* The publisher must complete all applicable items on this form. (2) When one-half or more of the total copies distributed are purchased by news agents for resale or are consigned to news agents for sale, postmasters must not accept an application on Form 3511, unless the publisher has completed the application by furnishing all the information required in questions 33 and 34. (3) If the frequency of the publication includes more than one regular issue on any day, the publisher also must complete Form 3541-C (see Exhibit 428.225) *viewer dmf465.pcx* and submit it with Form 3501. (4) 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 (see Exhibit 428.226) *viewer dmf467.pcx* and submit it with Form 3501. b. Post Office of Entry. The location indicated on the Form 3511 as the original entry post office must be a post office; other postal installations (e.g. branches, stations, contract offices, processing hubs, etc.) cannot be authorized as original entries. Refer to Publication 65, National Five-Digit ZIP Code and Post Office Directory, to determine the classification of a particular postal facility. Additional requirements apply if the publisher wishes to make concurrent application for additional entry or for entry at an airport mail facility (AMF) (see 426). EXHIBIT 423.431 (P.1) Form 3511 (P.2) Form 3511 (P.3) Requester Publications Issued by Membership Organizations (NOT SHOWN) DMF422Exhibit 423.431 (p. 1), Form 3511] DMF424Exhibit 423.431 (p. 2), Form 3511] When a requester publication is issued by a membership organization, the organization may adopt a resolution specifying that each member receives a copy of each issue of the publication. The resolution may be similar to the example below. RESOLVED: That a copy of each issue of @@@@@@(Publication@Name)@@@@@@ shall be sent to each member of @@@@@@(Organization@Name)@@@@@@. Records must be kept by the publisher to show that the publication is actually sent to members of the organization. The written assurance of a responsible official that the records will be kept in this manner must accompany the application on Form 3511, together with a certified copy of the resolution adopted. Exhibit 423.431 (p. 3), Requester Publications Issued by Membership Organizations]