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]