424.712 Copies for Other Destinations or at Other Rates a. General. A mailing which includes copies claimed at a walk-sequence rate may include other copies claimed at other presort rates. b. Separation. At the time when presented to the Postal Service, the sacks containing the walk-sequence rate copies must be separated from other sacks in the same mailing or other mailings. Any effective method of separation may be used. c. Other Rates. In addition to those copies prepared in walk-sequence as required for the rate claim (see 424.75), publishers are encouraged to prepare all other copies in the mailing in walk-sequence. 424.72 Preparation. Mailpieces claimed at a walk-sequence rate must be prepared as a carrier route mailing. Each addressed piece must be part of a properly prepared carrier route package. Packages must be placed in a carrier route sack or tray for the corresponding carrier route, or in a 5-digit carrier routes sack or tray. Packages on pallets or packages correctly placed in palletized carrier route or 5-digit carrier routes trays or sacks must be placed on a properly labeled 5-digit, optional multicoded city, 3-digit, or SCF pallet. Pieces prepared otherwise are not eligible for a walk-sequence rate and may be included in the mailing only as provided in 424.715. Pieces prepared using simplified address must meet the requirements in 122.41. 424.73 Addressing 424.731 Walk-Sequence Rates. Walk-sequence rate mail must be addressed as follows: a. Each piece addressed for delivery on a city carrier route must bear a complete delivery address or an alternative form of address as provided by 122.42 or 122.43. Official matter mailed by certain government entities may, at the mailer's option, be addressed in the simplified address format as provided in 122.412. However, copies addressed in this manner do not count as subscriber or requester copies (see 122.414, 423.121, and 423.421). b. Each piece addressed for delivery through a general delivery or post office box unit, or on a rural or highway contract route, must bear a complete delivery address or an alternative form of address as provided by 122.4. 424.732 Subscriber/Requester Copies. Copies bearing an alternative form of address (see 122.41, 122.42, and 122.43) do not count as subscriber or requester copies (see 423.121 and 423.421). 424.74 Density 424.741 Per 5-Digit ZIP Code. Once the minimum volume per carrier route has been met, there is no further minimum volume for the 5-digit ZIP Code delivery area. Walk-sequence rate mail need not be sent to all carrier routes within a 5-digit delivery area. 424.742 Per Carrier Route - 125-Piece Walk-Sequence Rate. At least 125 walk-sequenced addressed pieces must be prepared for each carrier route receiving mail claimed at the 125-piece walk-sequence rate. Mail for carrier routes having 124 or fewer possible deliveries may qualify for the 125-piece walk-sequence rate if a piece is addressed to every possible delivery on the corresponding route, or for the saturation walk-sequence rate if the requirements in 424.743 are met. 424.743 Per Carrier Route - Saturation Walk-Sequence Rate a. Except as provided in 424.743b, pieces eligible for and claimed at the saturation walk-sequence rate must be addressed to either 90% or more of the active residential addresses or 75% or more of the total number of active possible delivery addresses, whichever is less, on each carrier route receiving saturation walk-sequence rate mail. The term "carrier route" includes city carrier routes, rural routes, highway contract routes, general delivery units, and post office box sections. b. Mail for carrier routes that is addressed in the simplified address format as provided in 122.41 must meet the total route coverage requirements described in that section. 424.744 Multiple Copies or Pieces per Address. Regardless of the number of copies, only one addressed piece per delivery address may be counted toward the required density prescribed in 424.742 through 424.743. 424.75 Walk-Sequencing 424.751 General. The pieces in a walk-sequence rate mailing must be organized in the sequence in which they are to be delivered as determined by the Postal Service. Pieces prepared with a simplified address must meet the requirements in 122.413. 424.752 Packages. Walk-sequenced letterand flat-size pieces must be prepared in packages. Letter-size pieces must be prepared in packages that are not more than 4 inches thick. 424.753 Package Labeling. In addition to the labeling requirements in 444.24, each package of walk-sequenced carrier route mail must be labeled to show that the package contains carrier route mail that has been walk-sequenced. Mailers must label packages in one of the following ways: a. With Facing Slips. Mailers may prepare walk-sequenced carrier route packages by affixing to the top of each package a facing slip that contains the phrase "WALK-SEQUENCED CARRIER ROUTE MAIL." The facing slip may be an address label with the required information placed on a sample mailpiece that is the top piece in the package or it may be a separate piece of paper affixed to the top of the package. b. Without Facing Slips. Mailers may prepare walk-sequenced carrier route packages without facing slips if the letters WS are placed immediately in front of the carrier route information descriptive prefix (or its abbreviation) as required by 444.24b. The following are examples of address formats for walk-sequenced carrier route packages labeled with the letters WS and descriptive prefixes, when used in accordance with 444.24b. Mailers who choose to label packages without facing slips must meet the sack, tray, and pallet labeling requirements in 424.754. * * WS CARRIER ROUTE 11 RESIDENT 1300 WATERFORD DRIVE ALEXANDRIA VA 22310 John DOE30wamar83 ST* * WS CR 11 JOHN DOE 1300 WATERFORD DRIVE ALEXANDRIA VA 22310 JOHN DOE* * WS CR 11 1300 WATERFORD DRIVE ALEXANDRIA VA 22310 424.754 Sack, Tray, or Pallet Labeling a. Carrier Route Sack or Tray. In addition to the information required by 444.31 for carrier route sack labels, the letters WS must be added to the contents line for carrier route sacks or trays. Each walk-sequenced carrier route label must be prepared in the following manner: Line 1:City, two-letter state abbreviation, and 5-digit ZIP Code destination Line 2:Class (2C or NEWS) followed by the letters WS, the type of route (POST OFFICE BOX SECTION, HIGHWAY CONTRACT ROUTE, and GENERAL DELIVERY UNIT or the respective abbreviations BOX SECT, HWY CONTR RT, GEN DEL UNIT), and route number Line 3:City and two-letter state abbreviation of the post office of mailing Example: SAN FRANCISCO CA 94133 2C LTRS--WS CR 18 ALEXANDRIA VA b. Five-Digit Carrier Routes Pallets. In addition to the information required by 444.31b for carrier routes sack labels, the letters WS must be added to the contents line for 5-digit carrier routes pallets containing walk-sequenced mail. Each label must be prepared in the following manner: Line 1:City, two-letter state abbreviation, and 5-digit ZIP Code destination Line 2:Class (2C or NEWS), followed by the letters WS and the words CARRIER ROUTES (CARRIER ROUTES must not be abbreviated) Line 3:City and two-letter state abbreviation of the post office of mailing Example: TARZANA CA 91356 2C WS CARRIER ROUTES BAKERSFIELD CA 424.76 Accuracy 424.761 Error Rate. For each carrier route receiving mail at a walk-sequence rate, no more than 5% of the total pieces for the route may be found out-of-sequence or sorted to the wrong carrier route. (The total number of pieces for the route is shown on the documentation required by 424.78.) 424.762 Errors not Counted. An error is not counted when pieces are not in sequence or not sorted to the correct carrier route because of Postal Service scheme changes not yet incorporated in the scheme that the mailer is required to use in preparation of the mailing (see 424.77 and 424.78). 424.763 Pieces in Error a. Delivery Unit. If a carrier finds pieces that are not in walk-sequence or not for that route, and when the number of those pieces found in error is 5% or more of the estimated total pieces for the route, the carrier must notify the delivery unit supervisor of the errors and then finish casing the mail addressed to the route. The delivery unit supervisor documents the errors in a manner that specifically describes the types and number of errors for the route (e.g., out of sequence, reverse sequence, misrouted, etc.) and attempts to notify the mailer or the mailer's representative if the mailing was accompanied by the name and telephone number of either the mailer or the mailer's representative. The delivery unit supervisor must also notify the origin post office (where postage for the mailing was paid) of the errors. The origin post office may be identified from the sack,tray, or pallet label or from the return address on the mailpieces. Even if the mailer or mailer's representative cannot be contacted, the delivery unit supervisor must still inform the origin post office of the errors. b. Origin Post Office. Upon the notification of the errors by delivery units, the origin post office must inform the mailer of the ZIP Codes and carrier routes where the errors were found and advise the mailer that the errors must be corrected before submission of the next mailing to that ZIP Code area. Upon receipt of documentation from the delivery unit, the origin post office must assess a postage deficiency for the difference between the walk-sequence rate and the appropriate rate for the mail identified as being in error. The mailer must submit evidence that the errors were corrected before submitting the next walk-sequenced carrier route mailing. This may require the mailer to submit the appropriate delivery unit summary reports, or a copy of the CDS invoices with the next mailing to demonstrate that the sequencing service was performed for those carrier routes within the identified ZIP Codes. Mailpieces for those routes where walk-sequencing errors were found are not eligible for the walk-sequence rate until the mailer submits the required documentation as specified in 424.785. 424.77 Delivery Sequence Information 424.771 General. Pieces to carrier routes prepared with a simplified address under 122.41 must be based on information described in 424.775. All other mailings entered at a walk-sequence rate must be based on Postal Service delivery sequence information using one of the methods described in 424.772, 424.773, and 424.774. 424.772 CDS File. The Computerized Delivery Sequence (CDS) file is updated quarterly. Walk-sequence rate mailings must incorporate the changes in the CDS file issued within 6 months before the date of mailing. Mailings prepared with out-of-date walk-sequence information are not accepted at walk-sequence rates. Mailings accepted and then found to be prepared with out-of-date information are subject to the higher carrier route presort rate. Exception: Until June 21, 1992, a mailer using the CDS product to prepare walk-sequence mailings may qualify mailings that incorporate the delivery sequence information in a CDS issue more than 6 months old, provided that the mailing is presented with a Walk-Sequence Validation Statement signed by an authorized postal employee indicating that the mailer's list is requalified for the ZIP Code areas in question. However, all walk-sequence mailings presented on or after June 21, 1992, must meet the 6-month requirement of this section. 424.773 DSF. The Delivery Sequence File (DSF) is updated quarterly. DSF information is available through licensees approved by the Postal Service. To obtain a list of licensees, write to the National Address Information Center, U.S. Postal Service (for address, see Address List in Appendices). Walk-sequence rate mailings must incorporate the changes in the DSF issued within 6 months before the date of mailing. Mailings prepared with out-of-date walk-sequence information are not accepted at walk-sequence rates. Mailings accepted and then found to be prepared with out-of-date information are subject to the higher carrier route presort rate. 424.774 Address Sequencing Service. Mailings entered at the walk-sequence rates may be based on delivery sequence information provided by the Postal Service's address sequencing services (see 946). These services can be used to provide updated information as requested by the customer. Walk-sequence rate mailings must be prepared using address sequence information updated within 6 months before the date of mailing. Mailings prepared with out-of-date walk-sequencing information are not accepted at walk-sequence rates. Mailings accepted and then found to be prepared with out-of-date information may be subject to the higher carrier route presort rate. Exception: Until June 21, 1992, a mailer using address sequencing services to prepare walk-sequence mailings may qualify mailings with walk-sequence information more than 6 months old, provided that the mailing is presented with a Walk-Sequence Validation Statement signed by an authorized postal employee indicating that the mailer's list is requalified for the ZIP Code areas in question. However, all walk-sequence mailings presented on or after June 21, 1992, must meet the 6-month requirement of this section. 424.775 Delivery Statistics File or Information Provided by Postmasters. Mailings prepared with a simplified address as specified in 122.41 must be based upon delivery stop information obtained as provided in 122.44 from either the Delivery Statistics File or postmasters. The delivery stop information must be obtained within 6 months before the date of mailing. 424.78 Documentation 424.781 General. Mailers who prepare mailings claimed at a walk-sequence rate must provide documentation in accordance with 424.782 through 424.785 to substantiate compliance with the eligibiliy requirements for the walk-sequence rates. The documentation required by 424.783 and 424.784 must be submitted with each mailing, at the time of mailing. 424.782 Density - 125-Piece Walk-Sequence Rate. For each carrier route to which 125-piece walk-sequence rate mail is addressed, the mailer must provide documentation to indicate the total number of delivery stops to which mailpieces in the mailing are addressed. 424.783 Density - Saturation Walk-Sequence Rate a. Addressed Mail (Except Simplified Address). Mailers must be able to document that the mailing meets the density requirements in 424.743 for each carrier route, rural route, post office box section, highway contract route, or general delivery unit to which mail is sent at the saturation walk-sequence rate. This documentation must show either the total number of active possible residential deliveries and the number and percentage to which mailpieces in the mailing are addressed, or the total number of active possible deliveries and the number and percentage to which mailpieces in the mailing are addressed, depending on whether qualification is based on the 90% or 75% criterion, respectively. The documentation must be listed by 5-digit ZIP Code and, within each, by carrier route (see Exhibit 424.783). b. Simplified Addressed Mail. Mailers must be able to document that they meet the density requirement in 122.41 (100% for simplified address) for each carrier route, rural route, post office box section, highway contract route, or general delivery unit. This documentation must show the total number of active possible deliveries and the total number to which mailpieces in the mailing are being addressed. The documentation must be listed by 5-digit ZIP Code and, within each, by carrier route (see Exhibit 424.783). EXHIBIT 424.783 Sample Listing Total ActiveTotal Active ZIPCarrierTotalPossibleResidential CodeRoutePiecesDeliveriesDeliveriesPercentage (%) 13760 CR01 533 710 --- 75 CR02 630 --- 700 90 B001 175 175 ---100 Exhibit 424.783, Sample Listing] 424.784 Combination Rate Mailings a. Both Walk-Sequence Rates. If a mailing contains pieces qualifying for both walk-sequence rates (125-piece and saturation), the documentation required by 424.782 and 424.783 can be combined. Entries for pieces at the 125-piece walk-sequence rate must be so annotated on the documentation. For the entire mailing, a summary of the total number of pieces at each rate must be provided. b. Carrier Route Presort Rate. If a mailing includes pieces qualifying for the walk-sequence rates and the carrier route presort rate, in addition to the information required for the walk-sequence rate mail (by 424.782, 424.783, and 424.784a, if applicable), the documentation for the carrier route presort rate mail must show the total number of addressed pieces for each carrier route, rural route, post office box section, highway contract route, or general delivery unit for which pieces are addressed that qualify for each rate. The documentation must be listed by 5-digit ZIP Code and, within each, by carrier route. Those pieces qualifying for the carrier route presort rate must be so annotated on the documentation by carrier route. For the entire mailing, a summary by 5-digit ZIP Code of the total number of pieces at each rate must be provided. This documentation also satisfies the requirements of 424.84 for the carrier route presort rate pieces included in the mailing. 424.785 Documentation of Accurate Sequencing or Delivery Statistics. To prove that timely information was used to prepare mailings (as required in 424.77), mailers must be able to provide the Postal Service, within a time frame (usually a few days) specified by the post office where the postage is paid, with a copy of any or all the documents listed below (as specified by the Postal Service) for each carrier route to which pieces are mailed at the walk-sequence rate. The mailer must annotate the mailing statement, immediately to the left of and adjacent to the Publication No. Block to show the earliest (oldest) date of any of the following methods used to obtain sequencing or delivery stop information for the mailing. As an alternative to maintaining this information, mailers may submit with the mailing to the post office where postage is paid: a. Computerized Delivery Sequence (CDS) invoice. b. Delivery Sequence File (DSF) documentation. c. Copies of the Delivery Unit Summaries that served as the mailer's bills for the address sequencing service charges. d. Copy of the Delivery Statistics File invoice. e. Evidence of receipt of information from postmasters (under 122.44) for simplified address mailings. Exception: Until June 21, 1992, a Walk-Sequence Validation Statement signed by an authorized postal employee indicating that the mailer's list is requalified for the ZIP Code areas in question is acceptable in place of the CDS invoice or the Delivery Unit Summary. Beginning June 21, 1992, only the CDS invoice or Delivery Unit Summary will be acceptable for demonstrating qualification based on CDS or sequencing of address cards, respectively. 424.8 Additional Requirements for Presort Rates 424.81 General 424.811 Available Rates. Although all second-class mail must be presorted, reduced rates (levels B, C, H, I, and K) are available if publishers prepare second-class mailings to a finer level of presort than required for the highest rates (levels A, G, and J). 424.812 Separate Requirements. Compliance with the corresponding preparation, documentation, and other eligibility requirements may entitle a publisher to claim an optional presort rate, but does not lessen the obligation to meet any separate eligibility requirements under 411, 421, 422, 423, or 424 that may also apply. 424.813 Preparation Under 445. Pieces that are presented in bundles or packages outside sacks, as provided by 445.1 and 445.2, remain eligible for the presort level or other rate claimed if the corresponding requirements are met. For purposes of compliance with the requirements of 424.82, 424.83, and 424.84, a bundle or package, prepared as required by 445.1 or 445.2, is the equivalent of a sack, and, if placed on a pallet, allows the pieces it contains to qualify for the appropriate presort level rate regardless of the destination of the pallet. Eligibility for destination entry or other zone-based rates remains dependent on the point of entry. 424.82 Five-Digit Presort (Level B and H) Rates. To qualify for the level B or H per-piece rate, a piece must be a. in a 5-digit package of six or more pieces, and the package must be placed in either a 5-digit sack, an optional city sack for a city listed in Exhibit 122.63a, or in a 3-digit sack for a unique 3-digit ZIP Code prefix for a city listed in Exhibit 122.63b; b. in an optional city package of six or more pieces, and the package must be placed in an optional city sack for a city listed in Exhibit 122.63a; or c. in a 3-digit package of six or more pieces for a unique 3-digit ZIP Code prefix, and the package must be placed in a 3-digit sack for a city with a unique 3-digit ZIP Code prefix listed in Exhibit 122.63b. Note: Four or more packages to the same 5-digit ZIP Code destination must be placed in a 5-digit sack (see 443.31). 424.83 Carrier Route Presort (Level C, I, and K) Rates. 424.831 General. To qualify for the level C, I, or K piece rate, a piece must be in a carrier route package of six or more pieces and the package must be in a carrier route sack or carrier routes sack. 424.832 Proper Makeup. Mailers are responsible for makeup of mail to carrier routes according to the latest quarterly Postal Service scheme. Mailers must incorporate Carrier Route Information System (CRIS) changes in their mailings within 75 days of the effective date (January 15, April 15, July 15, and October 15) of the quarterly updates. Postage on mailings with more than 5% error in the makeup to carrier routes in the 5-digit ZIP Code area is recalculated at the appropriate "basic" rate (level A, G, or J) for all pieces claimed at carrier route level rates delivered in that 5-digit ZIP Code area. 424.833 Obtaining Schemes. See 624.362. 424.84 Documentation 424.841 General. The publisher must be prepared to document or otherwise confirm the information entered on the mailing statements that accompany mailings of a second-class publication. As applicable, the publisher must be able to substantiate the number of pieces or weight of copies addressed or sorted to specific destinations or zones, prepared at specific levels of presort, or prepared to qualify for a particular rate or discount. The publisher must use one of the methods described in 424.842 through 424.844, subject to the limitations stated therein, unless another method is prescribed by regulation or otherwise approved by the Postal Service. 424.842 Separation of Sacks. A publisher may meet the general requirement in 424.841 at the time of mailing by separating the sacks into groups based on the presort level for which their contents qualify. Sacks whose contents qualify for the level A, G, or J rates must be in one group, those at level B or H rates in another, and those at level C, I, or K rates in a third. This method may not be used for mailings containing pieces claimed at an automation rate (ZIP+4 or ZIP+4 Barcoded), a destination entry rate, or a walk-sequence rate. 424.843 Documentation. A publisher may meet the general requirement in 424.841 by attaching documentation to the mailing statement accompanying the corresponding mailing. That documentation must describe, for each sack destination, the number of copies within each presort level qualifying for any applicable discounted rates, as detailed on the accompanying mailing statement. Further, for mailings at a ZIP+4 or ZIP+4 Barcoded rate, each entry must detail the number of pieces bearing a ZIP+4 code or ZIP+4 barcode, as appropriate, and a summary for the entire mailing must show a total number of pieces in the mailing and the number and percentage that bear a ZIP+4 code or ZIP+4 barcode, as applicable, for the rate claimed. 424.844 Maintaining Records a. General. As an alternative to submitting documentation with the mailing, a publisher may meet the general requirement in 424.841 by maintaining records supporting the information on the mailing statement accompanying the corresponding mailing. Those records must provide the same detailed information required by 424.843. b. Approval. This alternative may be approved by the postmaster of the original entry post office if the publisher has demonstrated (by repeated submission of accurate documentation under 424.843) that the necessary records can be maintained in lieu of their submission with the mailing. The postmaster must notify the serving rates and classification center and all additional entry offices of any publications for which this alternative has been approved. Bulk mail acceptance units must maintain a list of these publications. c. Retention. Records maintained under this alternative must be retained for at least 2 months or until any pending action regarding the recalculation of postage has been resolved to the satisfaction of the Postal Service (see 424.832). d. Termination. Authority to use this alternative may be terminated by the postmaster of the original entry post office or the general manager of the serving rates and classification center if it has been determined that records are not properly maintained, that they are incomplete, or that they otherwise do not accurately document the preparation or rate eligibility of the corresponding mailing. 424.85 Combining More than One Second-Class Publication or Edition 424.851 Definition. A combined mailing is a mailing in which two or more second-class publications or editions are merged into a single mailstream, either during production or after finished copies have been produced, and all copies of all the publications or editions are presorted together into packages that achieve the finest level of presort possible for the combined mailing. For example, when three second-class publications are prepared as a combined mailing and there are two copies of each publication for a single 5-digit ZIP Code destination, a single 5-digit package containing six pieces must be prepared. 424.852 Rate Qualification. More than one second-class publication, or edition of a publication, may be combined to meet the volume per-sack or bundle requirement for the presort level discount piece rates. To qualify for levels B and C piece rates, the copies of each issue or edition in the combined mailing must be mailed to destinations outside the county of publication or be a requester publication, or be mailed at the rates in 411.22 and 411.23. To qualify for the levels H (5-digit) and I (carrier-route) rates, each publication or edition must be authorized the special nonprofit rate. To qualify for the level K (carrier-route) rate, the copies of each publication in the mailing must be eligible for the in-county rates at the post office of mailing. Exception: All mailed copies of second-class publications which are entered within the county of publication for delivery to addresses within that county are subject to the applicable rates in 411.2 and 411.33 through 411.35 when those copies do not qualify for in-county rates in 411.32. 424.853 Presort Level Documentation. The lists and records provided by publishers in accordance with 424.8 must also declare the total number of addressed pieces and copies of each publication or edition mailed to each carrier route, 5-digit, optional city (see Exhibit 122.63a), and unique 3-digit ZIP-Coded city (see Exhibit 122.63b) destination. The publisher must also provide a list, by 3-digit ZIP Code prefix, of the number of copies (and pieces) of each publication or edition which qualify for the intra-SCF rate. For mailings presented on pallets in accordance with 445.2, it is recommended that the above listings be broken down by pallet, and that subtotals by pallet of the number of pieces qualifying for each presort level rate and the intra-SCF rate be given, in addition to a summary listing of such information for the entire mailing. 424.854 Mailing Statements. Separate mailing statements must be prepared for each publication or edition which is part of the combined mailing. The name and issue date of the publications with which each publication or edition was combined must be noted on, or attached to, the mailing statements. Postal employees must note the publication with which the documentation was filed. 424.86 Copalletizing More Than One Flat-Size Second-Class Publication or Edition of a Publication 424.861 Definition. A co-palletized mailing is a mailing that consists of two or more flat-size second-class publications that have been independently presorted into packages and then merged together for placement on pallets to achieve the finest level of presort possible. 424.862 Physical Characteristics. Each mailpiece that is part of a co-palletized mailing must fall within the flat-size processing category as defined in 128.3. 424.863 Package Sortation Requirements. Copies of each publication or edition of a publication must be separately prepared in accordance with the preparation requirements for packaging contained in 441.1, 441.2, 443.1, 443.2, 444.1, and 444.2, as applicable for the rates claimed in the mailing. Packages that contain fewer than six pieces may not be part of a co-palletized mailing. 424.864 Rate Qualification. Pieces in packages of six or more pieces each qualify for the applicable presort level rate as described in 424.813. (Packages in a co-palletized mailing that meet the requirements of 424.813 qualify for the appropriate presort level rate regardless of the level of pallet upon which it is placed, if prepared in accordance with 445.3.) 424.865 Supporting Documentation. The following documentation must be submitted with each mailing: a. A list for each pallet that shows the following: (1) For each issue and edition of each publication, the number of copies (and pieces) to each carrier route, 5-digit, optional city, unique 3-digit, 3-digit, and optional SCF destination on the pallet. The list must indicate the presort level rate claimed (level A, B, or C) for each package destination for each publication and edition. It must also indicate for each publication and edition the number of copies (and pieces) for each of the listed package destinations that qualify for the intra-SCF rate. (2) Summary totals, by publication and edition, of the number of copies (and pieces) that qualify for each presort level rate category (levels A, B, and C) and for the intra-SCF rate. This summary shows only the number of pieces on the individual pallet. b. A summary list for the entire co-palletized portion of the mailing that shows the total number of copies (and pieces) of each publication and edition, qualifying for each presort level rate category (levels A, B, and C) and for the intra-SCF rate. c. If the sacked portion of the mailing is presented with the co-palletized portion of the mailing, as permitted by 445.35, documentation must be presented for copies and pieces qualifying for the levels B, C, H, I, and K rates and the intra-SCF rate as follows: (1) If the packages for the various publications and editions are sacked separate from each other, separate documentation for each publication and edition must be provided as required in 424.842 and 424.843. (2) If the packages for the various publications and editions are sacked together (see note in 445.342d), the documentation showing the information required in 424.843 for each publication and edition in the sacked portion of the mailing must be submitted. In addition, a summary that shows the total number of pieces of each publication and edition that qualify for the levels B, C, H, I, and K rates, as well as for the intra-SCF rate, must be provided. 424.866 Mailing Statement. Mailers must prepare a separate mailing statement for each publication and/or edition which is part of the co-palletized mailing. They must note on or in an attachment to the mailing statement the name and issue date of the publications with which each publication and/or edition was co-palletized. Postal acceptance employees must note on each mailing statement where the documentation was filed. 424.9 SCF Rates 424.91 Eligibility 424.911 General. The SCF rates apply only to copies of publications not eligible for in-county rates that are available for delivery at an address that is in the same sectional center facility (SCF) service area as the post office at which the pieces were entered. See Exhibit 122.63c through Exhibit 122.63d for a listing of the 3-digit ZIP Code prefixes assigned to each SCF. The SCF rates are the SCF zone pound rate (which applies to the pound rate postage) and the SCF zone piece discount (which is deducted from the piece rate postage based on the number of addressed pieces claimed at the SCF zone pound rate). 424.912 Preparation. Pieces claimed at the SCF rates must also be prepared as required by the presort rate claimed (see 441, 443, or 444, as applicable). Trayed ZIP+4 or ZIP+4 Barcoded rate pieces must also meet the requirements of 447. Pieces that are addressed and entered as required by 424.911 qualify for the SCF rates regardless of the type of package, sack, or tray in which they are placed (i.e., regardless of level of presort). 424.92 Authorized Entry. Publications must have an authorized entry at each post office where mail is deposited at the SCF rates. For post offices with stations or branches, establishment of an entry at the main post office allows deposit of mail at any station or branch of that post office. Post offices must not accept mail which is not authorized entry at that post office as described in an approved distribution plan see 426). 424.93 Mailing. Publishers must deposit mail claimed at the SCF rates at locations and times specified by the entry office postmaster. Mail claimed at the SCF rates for a particular entry post office is ineligible for that rate if it is deposited and accepted at a postal facility in another SCF area, regardless of circumstance. 424.94 Documentation. Publishers who prepare mailings that contain pieces claimed at the SCF rates must substantiate compliance with the requirements in 424.911. At a minimum, the publisher must indicate, by package, bundle, sack, tray, or pallet destination (as appropriate), the number of addressed pieces by presort level for each 5-digit ZIP Code destination eligible for the SCF rates. This may be accomplished as provided in 424.84 or by submission of separate documentation, subject to the approval of the entry office postmaster. 425 Maintenance and Verification of Publisher Records 425.1 Eligibility Records. The publisher must maintain records adequate to substantiate the information required on Form 3501, Form 3502, Form 3511, or any other form required to confirm eligibility for entry of the publication at second-class, special nonprofit, classroom, or science-of-agriculture rates. Where applicable, the records must be adequate to establish that the publication is distributed to a legitimate list of requesters or is not designed primarily for free circulation or circulation at nominal rates. If the publication is authorized to carry general advertising, the publisher must maintain a list of legitimate subscribers. 425.2 Information Requirements 425.21 Types of Records. Records must be available from which the Postal Service can determine a. the number of copies printed; b. the manner of distribution and disposition of all copies; c. the accuracy of the zone distribution shown on the mailing statement; d. the existence, for publications other than requester publications authorized to carry general advertising, of a list of legitimate subscribers who have paid more than a nominal subscription price; and e. the existence, for publications authorized to mail as requester, of a legitimate list of requesters, in accordance with 423.42. 425.22 Retention Requirement. Except as provided by 425.54, the publisher must maintain records pertaining to each issue of a publication for a period of 3 years from the issue date of each issue of the publication. 425.3 Types of Records. The following are examples of the types of records a publisher should maintain: a. Print orders. b. Invoices showing the total number of copies printed. c. Individual and bulk orders for subscriptions and nonsubscriber copies. d. Newsstand sales and returns. e. Stubs or copies of receipts issued. f. Vending machine sales and returns. g. Sales records and returns for over-the-counter sales. h. Cash books, bank deposit receipts, or similar records. i. Records of copies of the publication that were destroyed. j. Requests that are more than 3 years old are not considered to meet the requirements of 423.42. 425.4 Verification Requirements. Postmasters of original entry offices must review and verify publisher's records on a periodic basis and whenever evidence indicates the publication may be ineligible for second-class entry. The primary objective is to confirm that the number of copies mailed to each zone is accurately shown on mailing statements and the proper postage is being paid. Another objective is to verify that any second-class publications authorized to carry general advertising meet the applicable circulation, subscriber, and requester requirements of 423.12 and 423.42. Publishers must make records available, as necessary, to verify this information. 425.5 Verification Procedures 425.51 Who Performs Verification. Except as provided by 425.53, verification of the publisher's records may be done by Postal Service audit or by certain independent audit bureaus. The Postal Service currently has agreements with several audit bureaus under which it accepts their audits as meeting the verification requirements. The audit procedures used by these audit bureaus are essentially the same as those followed by the Postal Service. 425.52 Requests for Audit Bureau Verification. Publishers who desire to have postal audits performed by one of the authorized independent audit bureaus must make their requests directly to the bureaus and advise the original entry postmasters accordingly. The audit bureaus then coordinate the verifications with the postmasters at the post offices where original second-class mail privileges have been authorized for the publications. The original entry postmasters may forgo verification of those publications for the year verified by the audit bureaus when the results of the postal audits, including the completed Forms 3548, are furnished to them. 425.53 Applications. Verifications performed in support of an application for second-class mail privileges or for reentry must be performed by postal employees. Reports by independent audit bureaus may not be substituted for postal verifications. 425.54 Retention of Records. A publisher whose records are verified by an audit bureau pursuant to this section is not required to retain source records of requests and subscriptions beyond the record retention requirements of the audit bureau. The retention period prescribed by 425.22 does not apply to those records for any year for which the postal verification is performed by an audit bureau. 425.6 Distribution Records for Presort Levels B, C, H, I, and K. See 424.8. 425.7 Statement of Ownership, Management, and Circulation 425.71 Filing Requirements. Publishers of publications with second-class mailing privileges, including publishers of foreign publications accepted at second-class rates (see 423.5), must file a Form 3526 by October 1 of each year. This statement must be filed at the post office where the original second-class permit is authorized. 425.72 Information Required. The information provided on Form 3526 must be adequate to determine whether the publication meets the standards for second-class mail privileges. This includes, but is not limited to, the following: a. The identity of the editor, managing editor, publishers, and owners. b. The identity of the corporation and stockholders thereof, if the publication is owned by a corporation. c. The identity of any further corporations, and the stockholders thereof, which own at least 1% of the stock of a corporation owning the publication. d. The identity of known bondholders, mortgagees, and other security holders. e. The extent and nature of the circulation of the publication, including, but not limited to, the number of copies distributed, the methods of distribution, and the extent to which such circulation is paid in whole or in part. Note: The names of persons owning less than 1% of the total amount of stocks, bonds, mortgages, or other securities need not be reported. 425.73 Publication Requirements 425.731 General Publications and Requester Publications. Each owner of a publication having second-class mail privileges under 423.1, General Publications, or 423.4, Requester Publications, must publish a complete statement of ownership, containing all information required by Form 3526, in the second issue thereafter of the publication to which it relates. This may be, but is not required to be, a reproduction of the Form 3526 submitted. 425.732 Other Publications. Publications entered under the provisions of 423.2, 423.3, or 423.5 need not publish a statement of ownership. 425.8 Failure to File or Publish Form 3526. Any publisher authorized to mail publications at the second-class rates of postage who fails to comply with the filing or publishing requirements of 425.7 must be notified by certified mail of this failure. If the publisher fails to comply within 10 days from receipt of the certified notice, eligibility to mail at the second-class rates must be suspended until these requirements are met. 425.9 Documentation of Compliance With Nonsubscriber/Nonrequester Copy Distribution Requirements 425.91 Publication With More than One Regular Issue on the Same Day. The Postal Service may require the publisher to submit Form 3541-C (see Exhibit 428.225), *viewer dmf465.pcx* whenever an issue is regularly published on the same day as another issue of the same publication under the second-class authorization of the parent publication. Form 3541-C is used by the Postal Service to determine whether either issue is a separate publication under 428.225 that must independently establish eligibility for second-class mail privileges. When requested, publishers must complete Form 3541-C and attach this form to the mailing statements submitted to the entry post office with the corresponding mailings. 425.92 Publication With More than One Regular Issue in a Month but not the Same Day. The Postal Service may require the publisher to submit Form 3541-E (see Exhibit 428.226) *viewer dmf467.pcx* whenever an issue is regularly published during the same month as another issue of the same publication under the second-class authorization of the parent publication. Form 3541-E is used by the Postal Service to determine if the issue is a separate publication under 428.226 that must independently establish eligibility for second-class mail privileges. When requested, publishers must complete Form 3541-E and attach this form to the mailing statements submitted to the entry post office with the corresponding mailings. 426 How to Mail at More Than One Post Office 426.1 Additional Entry 426.11 Definition. An additional entry office is a post office used by a publisher to mail copies of a second-class publication for specifically authorized purposes or to specifically authorized destinations. Publishers must deposit money and file mailing statements at such post offices to cover mailings made there unless an alternative postage payment method has been authorized by the general manager, rates and classification center, or the Director, Office of Classification and Rates Administration. 426.12 Eligibility as an Additional Entry Office. The additional entry office must be a post office. Other postal facilities (such as branches, stations, nonpostal contract offices, transfer hubs, etc.) must not be authorized as points for additional entry. See Publication 65, National Five-Digit ZIP Code and Post Office Directory, to determine whether a particular postal facility is a post office. (See Exhibit 426.12 p. 1 *viewer dmf433.pcx* and Exhibit 426.12 p. 2) *viewer dmf455.pcx* EXHIBIT 426.12 (P.1) Application for Additional Entry, Form 3510 (P.2) Application for Additional Entry, Form 3510 (NOT SHOWN) DMF433Exhibit 426.12 (p. 1), Form 3510] DMF455Exhibit 426.12 (p. 2), Form 3510] 426.13 Application Procedure 426.131 Method. Publishers may request the establishment or cancellation of an additional entry by submitting Form 3510 to the postmaster of the original entry post office for the publication involved. Publishers authorized to mail under the Centralized Postage Payment (CPP) System have additional filing requirements (see 464.2i). 426.132 Accompanying Documentation. The application must detail the distribution plan (i.e., the volume and ZIP Code ranges to be deposited) that pertains to each additional entry requested, and detail the disposition of copies described in the distribution plan for any additional entry being canceled. Two copies of the most recent issue of the publication must accompany the application. These must contain an amended identification statement where applicable (see 429.6) or a representation of how the identification statement is to be amended in a specific future issue. 426.133 Date of Submission. In order to permit timely adjustment of transportation without penalty to the Postal Service, requests for establishment, modification, or cancellation of an additional entry should be submitted no less than 40 days prior to the requested effective date. Publishers authorized to mail under the Centralized Postage Payment (CPP) System have additional filing requirements (see 464.2i). 426.14 Concurrent Filings of Applications 426.141 With Original Entry. Publishers may concurrently apply for second-class mail privileges (original entry) as well as for additional entry, although separate forms and fees are required for each (see 412.1). 426.142 Multiple Additional Entry Actions. Publishers may request the concurrent establishment, modification, and/or cancellation of more than one additional entry by filing a single Form 3510, and paying a single fee (see 412.14), provided: a. all required information is supplied concerning each entry; and b. the effective dates for the additional entry actions cover a span of not more than 30 calendar days. 426.143 Other Additional Entry Actions. The publisher must submit a separate Form 3510 (with the applicable fees) for each additional entry action under 426 that cannot meet the requirements of 426.142. 426.144 With Reentry. The publisher must submit a separate Form 3510 (with the applicable fees) for each reentry action under either 426 or 427. The publisher must file a separate Form 3510 and pay the appropriate fee if any modifications are being made to the publication's distribution plan other than the change in frequency of issuance or the location of the original entry. 426.15 Fee 426.151 Establishing Additional Entry. The fee prescribed by 412.14 must accompany an application for additional entry. One fee is charged regardless of the number of additional entries established. No additional fee is charged if the same Form 3510 is used to close or modify other additional entries, subject to the conditions in 426.142. 426.152 Modifying or Closing an Additional Entry. The fee prescribed in 412.15 must accompany a Form 3510 that modifies or closes an additional entry. Only one fee is charged if the same Form 3510 is used to close or modify more than one additional entry, subject to the conditions in 426.142. 426.2 Restrictions 426.21 Same County. One or more additional entries may be authorized in the same county as the office of original entry. If the publication is eligible for the in-county rates in 411.32, the publisher must provide the original entry office postmaster with a duplicate copy of all mailing statements on which those rates are claimed so that compliance with the conditions in 411.32 may be assured. 426.22 Transportation and Mail Processing Restrictions. An additional entry may be authorized only at a post office where transportation and mail processing resources (e.g., equipment and physical characteristics) are adequate to enable the mailings to be efficiently and economically handled in postal transportation, distribution, and processing systems. 426.23 Contractual Limitations. Except as provided by 426.12, additional entry actions must not be authorized if the effective date requested by the publisher would cause the Postal Service to incur additional costs under the terms of existing contracts for transportation serving the affected entry offices. 426.3 Processing and Ruling on Applications 426.31 Submission to Local Post Office 426.311 Application Under 426 Only. If the publisher has filed only a Form 3510 and only for additional entry actions (under 426), the postmaster at the office of original entry must, upon receipt of the form (a) ensure it is complete and accurate, (b) collect the applicable fee, and (c) forward the original form, with its supporting documentation, through the MSC to the transportation management service center (TMSC) serving the original entry post office. The origin TMSC forwards copies of the form (and the distribution plan) to each TMSC where the service area includes a post office affected by the requested additional entry action. A post office (original or additional entry) is considered "affected" if it is listed on the Form 3510 either as added or canceled as an entry office, or if its authorized distribution plan is modified. 426.312 Concurrent Application Under 426 and Other Sections. If a publisher concurrently files a Form 3510 for additional entry actions (under 426) and other applications for actions under 423, 424, and/or 427, the postmaster must follow the additional entry application procedures in 426.311 for processing the Form 3510. When sending such material to the rates and classification center, the postmaster must include a copy of the 3510, with its supporting documentation, with the other applications and supporting documentation. 426.32 Review by Transportation Management Service Center (TMSC). Under the coordination of the manager of the origin TMSC, the manager of each TMSC notified of the requested action must determine whether adequate transportation services and mail processing resources (e.g., equipment and physical characteristics) exist to support the additional entry action requested. 426.33 Clarification or Adjustment. The manager, TMSC, may ask the publisher to make adjustments in the distribution plan submitted with the additional entry request, or to submit additional information in support of the request. Further, the general manager, rates and classification center, 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. 426.34 Recommendation by Transportation Management Service Center (TMSC). After completing the review described in 426.32, the manager of the origin TMSC forwards a recommended decision to the general manager, rates and classification center. For each additional entry request, the TMSC submits its copy of Form 3510; all copies of the publication and other material that accompanied it; a written recommendation that the request be approved, approved as adjusted, or denied; and supporting documentation for any recommendation that the publisher's request be approved as adjusted or denied. 426.35 Ruling on Additional Entry Applications. After review of the transportation management service center's recommendation, the general manager, rates and classification center, serving the applicant's original entry post office, rules on all applications for additional entry. 426.36 Granting the Application. If the general manager, rates and classification center (RCC), grants the application, the RCC must send the written notice of authorization to the original and additional entry office postmasters involved. 426.37 Effective Date. Subject to the restrictions in 426.2, the effective date of an additional entry authorization is that requested by the publisher. However, if recommended by the manager, transportation management service center, that date may be deferred as necessary until sufficient transportation services or mail processing resources are in place to support the action requested. If the deferral is due to contractual limitations (see 426.23), the publisher's requested effective date is approved only with (a) the approval of the managers, transportation management service centers, serving the additional entry offices affected by the actions and (b) the publisher's agreement to reimburse the Postal Service for any cost incurred due to modification or cancellation of contracted transportation services. An additional entry may not be used until authorized by the Postal Service. Publishers may not pay postage at another rate in order to deposit copies at an unauthorized additional entry. 426.38 Denying the Application. If the general manager, rates and classification center (RCC), denies an application for additional entry, the RCC must send the written notice of denial to the publisher, specifying the reasons for the denial. The RCC must also provide a copy to the entry office postmasters involved. The denial becomes effective 15 days from the publisher's receipt of the notice unless, within that time, the publisher files an appeal, through the RCC, with the Director, Office of Classification and Rates Administration, USPS Headquarters. The Director issues the final agency decision. 426.4 Use of Authorized Entries 426.41 Specific Distribution. Publishers must specify the distribution plan (i.e., the volume and ZIP Code ranges to be deposited) for copies to be entered at each entry post office. Once the entry and its distribution plan are authorized, copies must be deposited in accordance with the authorized distribution plan, except as provided by 426.462. 426.42 Schedule and Frequency of Use 426.421 General. Publishers may establish additional entries for the scheduled deposit of regular, special, or back issues or for unscheduled "contingency" use in emergency situations. A mailing must be deposited at each additional entry point at least once each calendar year. 426.422 Regular Issues. Regular issues are those produced in compliance with the publication's authorized frequency of issuance (see 422.2). When applicable, publishers must specify on Form 3510 how the distribution plan required by 426.41 is to vary during the year, specifically describing, for example, anticipated changes in the distribution plan, such as periodic fluctuations in, or transfers of, volume or mailing activity, or scheduled temporary consolidation of entries. 426.423 Special Issues. Special issues are those produced as part of the publication's authorized frequency, but which differ from regular issues in physical size, volume of mailing, or scheme of distribution. Publishers must specify a separate distribution plan on Form 3510 for special issues if it is different from that for regular issues. 426.424 Back Issues. Back issues are those no longer in current production but which are distributed from stock in response to specific requests. Publishers must specify a separate distribution plan on Form 3510 for back issues if it is different from that for regular issues. 426.425 Contingency Entries. Publishers may designate certain entry post offices in their distribution plan on Form 3510 for use only in contingency (emergency) situations when conditions beyond the control of the publisher prevent use of other authorized entry points. The following conditions apply to their use: a. To the maximum extent practicable, upon the availability of such information, but not less than 10 calendar days in advance of the intended use, publishers must advise the original entry postmaster, the additional entry post offices, and the transportation management service centers affected, of the volume and distribution plan of all mailings that are to be entered, as well as the expected duration of the contingency use. b. A mailing must be deposited at each contingency entry at least once every calendar year. c. In order for the Postal Service to provide economical and timely service, contingency entries must not be established or used in lieu of permanent alterations to authorized distribution plans that may be requested under 426.1, 426.46, or 426.47. 426.43 Payment of Postage. Postage must be prepaid and available for all copies to be entered at an additional entry post office prior to the release of the mailing. 426.44 Publisher Responsibilities 426.441 Distribution Plans. Publishers must ensure that their mailings comply with authorized distribution plans. An entry office must not accept copies that do not comply with the distribution plan authorized for that entry. See 426.46 for procedures to modify an entry. 426.442 Filings a. Publishers are responsible for timely submission of all forms and supporting documentation by which they seek to establish, modify, or cancel an additional entry. b. Publishers must file Form 3510 and pay the appropriate fee to modify a distribution plan as needed when they wish to cancel additional entry points that are no longer used or at which a mailing has not been deposited during the previous calendar year (see 426.47). c. If an additional entry authorization at a post office is revoked for nonuse, mail that had been authorized entry at that office may not be deposited elsewhere until the publisher submits, and pays the appropriate fee for, a Form 3510 to cancel the unused additional entry and modify the distribution plan for the publication accordingly. 426.45 Post Office Responsibilities 426.451 Original Entry Post Office. The postmaster of the original entry post office must do the following: a. Examine mailings and accompanying documents to ensure that copies of a publication are mailed in conformance with the authorized distribution plan. b. Notify additional entry post offices of the respective distribution plans authorized for them (i.e., ZIP Code ranges authorized to be entered at each additional entry). c. Notify the publisher of all irregularities detected in examining, verifying, or accepting mailings. d. Initiate appropriate action to correct irregularities. e. Review and submit Forms 3510 in a timely manner (see 426.31). f. Advise the publisher of the effective dates of any actions requested under 426. 426.452 Additional Entry Post Office. The postmaster at each post office where a publication is authorized additional entry must do the following: a. Examine mailings and accompanying documents to ensure that copies of a publication authorized entry at that office are mailed only in accordance with the authorized distribution plan (i.e., ZIP Code ranges authorized to be entered at each additional entry). b. Ensure that publishers provide the required advance notification of changes in an authorized distribution plan. (See 426.462 for temporary changes or 426.461 for permanent changes.) c. Refuse to accept mailings not in conformance with the authorized distribution plan. d. Defer implementation of any changes in an authorized distribution plan until all affected post offices and transportation management service centers are notified and, if required, authorization is received from the rates and classification center and/or transportation management service center. e. Notify the postmaster of the original entry post office of any irregularities detected in mailings of a publication. 426.46 Modifications of an Entry 426.461 Permanent Changes or Temporary Changes for More Than One Issue. Except as provided by 426.462, publishers may modify the use of an authorized entry post office (such as the frequency, volume, or distribution plan of copies entered at that entry) only after submitting Form 3510 (see 426.1) and receiving Postal Service approval. 426.462 Limited Temporary Changes. When a change affects only the distribution plans of two existing authorized entry post offices for one specific issue of a publication, the following criteria apply: a. Publishers who wish to temporarily change the office of entry for specific copies of one specific issue of a publication from one existing authorized entry post office to another may do so by submitting a letter that details the specific issue, the dates and duration of mailing of the issue, the entry offices, and the volume and distribution area (ZIP Codes) affected by the modification. This letter must be submitted to the postmaster of the original entry and additional entry offices affected for the issue of the publication involved with copies to all transportation management service centers involved. b. Publishers should submit their requests for changes in distribution plans as soon as practicable to permit timely and economical adjustment of Postal Service processing and transportation systems. At least 10 calendar days' notice is required before implementation of a limited temporary change to the distribution plan at an authorized additional entry for a specific issue of a publication. c. Limited temporary modification to a publication's authorized distribution plan are approved as of the effective date requested by the publisher, except as provided by 426.37. d. In order for the Postal Service to provide economical and timely service to publishers, limited temporary changes must not be used in lieu of permanent alterations to authorized distribution plans that may be requested under 426.1, 426.461, or 426.47. e. The postmaster of the original entry post office must obtain the concurrence of the additional entry offices and transportation management service centers affected prior to approving a limited temporary change to a publication's distribution plan under this section. 426.47 Cancellation or Restoration of Additional Entries 426.471 Cancellation by Separate Action. Publishers must submit Form 3510 (see 426.131) and pay the fee prescribed in 412.15 to cancel an additional entry that is no longer to be used. 426.472 Cancellation as Part of Changes to a Distribution Plan. Whenever a modification to a distribution plan (see 426.46) results in nonuse of an additional entry, that entry must be specifically canceled as part of the additional entry action. If a publisher fails to file Form 3510 to cancel an authorized additional entry for nonuse, either separately or as part of another action, that additional entry must be revoked. 426.473 Restoration. Publishers wishing to restore additional entry authorizations canceled or revoked previously for nonuse (see 426.442) may do so only through submission of Form 3510 (see 426.131) and the payment of the appropriate fee (see 412.1). 426.5 Revocation of Additional Entry. The general manager, rates and classification center (RCC), serving the post office of the known office of publication, must revoke an authorization for additional entry, whenever the general manager finds that a publication is no longer entitled to such authorization. Whenever the general manager revokes any such authorization, the general manager must notify the publisher, specifying the reasons for the revocation. The revocation becomes effective 15 days from receipt of the notice by the publisher, unless an appeal is filed. Appeals must be filed through the general manager with the Director, Office of Classification and Rates Administration, USPS Headquarters. The Director issues the final agency decision. If the Director upholds the revocation, the general manager, RCC, must notify the original entry and all active additional entry offices. 426.6 Exceptional Dispatch 426.61 General. The postmaster of an entry post office may authorize a publisher to deliver copies of a second-class publication, at the publisher's own expense and risk, from the post office of original entry or post office of additional entry to other post offices. This provision is intended for short-haul local distributions and is not to be used to circumvent additional entry requirements. Exceptional dispatch is prohibited for publications authorized to be mailed under the Centralized Postage Payment System (see 464) or under the plant-verified drop shipment postage payment system (see 465). 426.62 Application. The publisher must file an application for such exceptional dispatch at the office of original or additional entry where the postage is paid on the copies to be transported. The application must (a) fully explain the proposed exceptional dispatch, (b) include information regarding the mode of transportation and approximate time of arrival, and (c) include information on the number of pieces qualifying for and mailed at the various presort level discount rates. If the number of pieces qualifying for, and mailed at, any such rate changes more than 2%, the publisher must file an amended application with the approving office. The application may be filed jointly with applications for original entry, reentry, or special rates, or filed separately. A form is not provided for this application. 426.63 Approval or Denial 426.631 Approval. The postmaster at the office of original or additional entry approves or denies the application based on whether the requested exceptional dispatch improves service and does not add to USPS costs. 426.632 Notification. This postmaster must notify the MSC manager and postmasters at other post offices concerned of the approved arrangements and include a list detailing (a) how the sacks or outside bundles are to be labeled, (b) the mode of dispatch, (c) arrival particulars, and (d) the approximate total number of copies qualifying for and mailed at the various presort level discount rates. 426.633 Acceptance at Other Offices. Other post offices must not accept copies from the publisher until notified by the approving postmaster at the original or additional entry post office where postage is paid, as provided above. 426.634 Denial. Denial of an application for exceptional dispatch may be appealed to the general manager, rates and classification center, serving the post office of the known office of publication. The manager issues the final decision. 426.64 Verification. At least once every 3 months, the accepting office must verify, and provide to the approving office, the number of copies received directly from the publisher. The accepting office must include information on the issue verified and the number of pieces qualifying for and mailed at the various presort level discount rates. The approving office must compare this information to that provided by the publisher. Discrepancies revealed during verification must be resolved immediately with the publisher. 426.65 Destination Entry Rates. Subject to the provisions of 424.9, copies of second-class publications deposited under exceptional dispatch may be eligible for and claimed at the SCF rates if eligible for those rates at both the entry office from which the zone rate postage for those copies is computed and the post office at which they are deposited by exceptional dispatch. Eligibility for the SCF rates must be incidental to the publisher's use of exceptional dispatch as a means to expedite a limited number of copies of a time-sensitive publication. Exceptional dispatch cannot be used to circumvent additional entry requirements. 426.7 Acceptance of Air-Freighted Second-Class Publications at Airport Mail Facilities (AMFs) 426.71 General. A publisher may be authorized to air freight copies of a second-class publication to an airport mail facility (AMF) and enter those copies at the AMF, provided the post office having responsibility for the AMF is an authorized entry post office (original or additional) for the publication. Second-class postage must be paid at the post office where the entry is authorized, unless the publication has been approved to mail under the Centralized Postage Payment System (see 464) or under the plant-verified drop shipment postage payment system (see 465). 426.72 Application Procedures 426.721 Processing Applications. Except as provided in 426.722, applications to deposit mailings at AMFs must be made and processed as additional entry requests (see 426.1 through 426.5). 426.722 Exceptions a. Annotate the distribution plan on Form 3510, Part C, to show that the place of deposit for the mail is the AMF rather than the post office. b. The fee required by 426.15 is not due if the Form 3510 is submitted with either (1) an initial application for second-class mail privileges (original entry) or (2) an application for reentry at a new original entry post office, and the AMF is under the jurisdiction of that original entry post office. c. The fee required by 426.15 is not due if the post office responsible for the AMF is already an authorized original or additional entry post office. 426.73 Publisher Responsibilities. The publisher, or the publisher's designee, must take the following actions for each mailing of a second-class publication to be air freighted to and entered at an AMF: a. Provide the postmaster of the original or additional entry post office responsible for the AMF with a delivery schedule that includes the publication name, volume, air carrier, flight number, and arrival schedules. The delivery schedule must be provided prior to the first mailing under the authorization. A revised schedule must be provided whenever there are any changes. b. Arrange for delivery of the air freighted copies of the second-class publication to the AMF dock or other area specified by the postmaster. c. Arrange for payment of postage in accordance with 461. d. Submit the necessary mailing statements and required documentation with the publication at the time of entry. e. Notify the designated AMF contact person when there are any deviations from established transportation and delivery schedules. 426.74 Post Office Responsibilities. The responsibilities for this program are divided as follows: a. The field division general manager/postmaster must ensure that the division manager, mailing requirements, conducts an annual review of acceptance procedures at each AMF for which the division is responsible, to determine whether air freighted second-class publications entered at the AMF are being accepted in accordance with all applicable requirements. b. The postmaster at the post office responsible for the AMF must do the following: (1) Furnish the names and telephone numbers of AMF contact personnel to each publisher authorized to air freight copies of second-class publications to an AMF. (2) Maintain a log at the AMF showing the actual date and time of receipt of second-class publications from the publisher's agent, and provide the agent with publication receipt information, upon request. (3) Perform acceptance, presort, and mail makeup verifications in accordance with Handbook DM-102, Bulk Mail Acceptance. (4) Upon acceptance of air freighted mail, process all mail through normal mail processing operations. 426.75 Destination Entry Rates. Copies of second-class publications deposited at AMFs may be eligible for delivery office or SCF rates if the applicable requirements are met (see 424.4 and 424.9). 427 Reentry--How to Change the Title, Frequency, Office of Publication, or Qualification Category 427.1 Changing Title, Frequency, or Known Office of Publication 427.11 General EXHIBIT 427.11 REENTRY APPLICATION FORM 3510 (NOT SHOWN) 427.111 When Required. Except as provided in 427.112, an application for reentry must be filed on Form 3510 (see Exhibit 427.11) *viewer dmf458.pcx* whenever the publisher wishes to request a change in the title, frequency of issue, or location of the known office of publication of an authorized second-class publication. 427.112 When Not Required. An application for reentry is not required if a. both the current and requested known offices of publication are served by the same post office, or b. if only the ownership of the publication is changed, unless that change disqualifies the publication for an entry which was authorized under 423.2, 423.3 or 423.5, or disqualifies the publication from eligibility for special second-class mail privileges under 424. 427.12 Application Procedure 427.121 Method. Form 3510 to change the title or frequency of issuance of a second-class publication must be submitted to the postmaster of the original entry post office. Form 3510 to change the location of the known office of publication must be submitted to the postmaster of the new original entry post office (i.e., that serves the requested new location). 427.122 Accompanying Documentation a. All Applications. A Form 3510 filed under 427.1 must be accompanied by two copies of the publication that show the new title (if applicable), and that contain a complete identification statement accurately amended to reflect the changes requested on the Form 3510. A proof copy of the amended identification statement may be accepted provided the publisher specifies the issue in which it is to be printed. b. Applications for Change in Frequency. A Form 3510 filed to request a change in the frequency of issuance must also be accompanied by Form 3541-C (see Exhibit 428.225), *viewer dmf465.pcx* if the requested frequency of issuance includes more than one regular issue on any day; or Form 3541-E (see Exhibit 428.226) *viewer dmf467.pcx* if the requested frequency of issuance includes more than one regular issue per month, but not on the same day. c. Applications for Change in Known Office of Publication (1) Publishers must provide a complete distribution plan, including a detailed description of the volume of mail to be deposited at the new original entry post office, regardless of whether it is altered by relocation of the original entry post office. Part C of Form 3510 may be used for this purpose and annotated accordingly; no fee is charged if the changes to the distribution plan affect only the original entry post office. (2) A Form 3510 filed to relocate the known office of publication must be accompanied by a separate Form 3510 filed under 426 (and fee as specified in 412.1), if any changes are made in the publication's distribution plan other than the location of the original entry post office. 427.123 Date of Submission a. Applications for Change in Title or Frequency of Issuance. Publishers who wish to request a change in the title or frequency of issuance of a publication must file Form 3510 no later than the date on which copies are to be issued on the new frequency or showing the new title. b. Applications for Change in Known Office of Publication. To permit timely adjustment of transportation arrangements without penalty to the Postal Service, publishers should submit Form 3510 to change the known office of publication no less than 40 days prior to the requested effective date. 427.124 Application Fee. The fee specified in 412.15 must accompany an application for reentry (because of change in title, frequency of issue, office of publication or other reason). If an application is not approved, no other part of the fee is returned to the applicant. No additional fee is required for submission of Form 3501, Form 3502, or Form 3511 when filed to support a reentry application. 427.13 Requirements for Location of Known Office of Publication 427.131 Eligibility. The location indicated on Form 3510 for the new known office of publication (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 facility. 427.132 Same County. Reentry may be authorized at a new original entry post office in the same county as an existing additional entry post office. If the publication is eligible for the in-county rates in 411.32, the publisher must provide the original entry office postmaster with a duplicate copy of all mailing statements on which those rates are claimed so that compliance with the conditions in 411.32 may be assured. 427.133 Resources. Reentry should not be sought at a post office where transportation and mail processing resources (e.g., equipment and physical characteristics) are inadequate to enable the mailings to be efficiently and economically handled in postal transportation, distribution, and processing systems. 427.14 Concurrent Filings 427.141 Multiple Actions (under 427.1). A publisher may concurrently request more that one reentry action under 427.1 by filing a single Form 3510 and paying a single fee, provided a. all required documentation is submitted with the Form 3510, b. all required information is supplied concerning the distribution plan for mailings to be entered at the new original entry post office (if applicable), and c. the effective dates for the reentry action cover a span of not more than 30 calendar days. 427.142 Other Reentry Actions (under 427.1). A publisher must submit a separate Form 3510 (and pay the applicable fee) for each reentry action under 427.1 that cannot meet the requirements in 427.141. 427.143 Other Reentry Actions (under 424, 426, or 427.2). A publisher must submit a separate Form 3510 (and pay the fee, if applicable) for each reentry action under either 426, 424 (no fee), or 427.2. A publisher must file a separate Form 3510 (and pay the applicable fee) if modifications are being made to the publication's distribution plan by reentry under 427.1 other than the frequency of issuance or the location of the original entry (see 426.14 and 426.15). 427.2 Changing Qualification Categories 427.21 General 427.211 When Required. A publisher must file an application for reentry on Form 3510 to request a change in the category under which a publication is authorized second-class mail privileges. 427.212 When Not Required. An application for reentry is not required if only the ownership of the publication is changed, unless (a) that change disqualifies the publication for an entry which was authorized under 423.2, 423.3, or 423.5 or (b) disqualifies the publication from eligibility for special second-class mail privileges under 424. 427.213 Application Fee. The fee prescribed by 412.15 must accompany an application for reentry. 427.22 Application Procedure. A publisher who wishes to change the category of authorization of a second-class publication must submit a Form 3510 to the postmaster of the original entry post office. 427.23 Accompanying Documentation 427.231 General to Institutions and Societies. When the publisher of a publication authorized under 423.1 wishes to have the authorization changed to 423.2, the publisher must file a Form 3510 and Form 3502 at the office of original entry with accompanying evidence to establish that the publication is actually issued by one of the institutions and societies described in 423.2. 427.232 Institutions and Societies to General. When the publisher of a publication under 423.2 wishes to have the authorization changed to 423.1, the publisher must submit Form 3510 and Form 3501 at the office of original entry. The postmaster must verify the circulation records of the publisher and complete the application to determine whether the publication meets the paid circulation requirements of 423.12. 427.233 Requester to General. When the publisher of a publication authorized under 423.4 wishes to have the authorization changed to 423.1, the publisher must submit Form 3510 and Form 3501 at the office of original entry. The postmaster must verify the circulation records of the publication and complete the application to determine whether the publication meets the paid circulation requirements of 423.12. 427.234 General to Requester. When the publisher of a publication authorized under 423.1 wishes to have the authorization changed to 423.4, the publisher must submit Form 3510 and Form 3511 at the office of original entry. The postmaster must verify the circulation records of the publication and complete the application to determine whether the publication meets the requirements of 423.42. 427.3 Changing Advertising Authorization. When a publisher of a publication authorized under 423.2 with no provision for general advertising, wishes to change the authorization to allow the publication to carry general advertising, the publisher must file Form 3510 and Form 3502, with all circulation data completed, at the office of original entry (see 423.212 and 423.213). The postmaster must verify the publisher's records. 427.4 Mailing While Application is Pending. Copies of an authorized second-class publication are accepted for mailing at the second-class rates while an application for reentry is pending, except as specified in 427.56. DMF458Exhibit 427.11, Form 3510] 427.5 Processing and Ruling on Applications for Reentry 427.51 Submission to Local Post Office 427.511 Application for Change in Known Office of Publication. If a publisher files a Form 3510 for or including a change in the location of the known office of publication, the (new) original entry postmaster must, upon receipt of the form (a) ensure that the form is complete and accurate, (b) collect the applicable fee, (c) forward the form with accompanying documentation through the MSC to the RCC which serves the (new) original entry office, and (d) provide a copy of that form to the transportation management service center (TMSC) which also serves the (new) original entry office. 427.512 Application for Other Than Change in Known Office of Publication. If the publisher has filed a Form 3510 for any reentry action other than a change in the location of the known office of publication, the postmaster at the original entry post office must, upon receipt of the form (a) ensure that the form is complete and accurate, (b) collect the applicable fee, and (c) forward the form with its accompanying documentation through the MSC to the RCC which serves the original entry office. 427.513 Concurrent Applications Under 426 and 427. If the publisher has concurrently filed separate Forms 3510 for additional entry actions (under 426) and other applications for actions under 427, the postmaster receiving the forms must follow the procedures in 426.311 for processing the form concerning additional entry, except that a copy of that Form 3510 (and supporting documentation) must be included with the other applications and supporting documentation sent to the RCC. 427.52 TMSC Review. If the publisher has filed a Form 3510 for reentry at a new original entry office, the (new) origin TMSC reviews the application and facilitates any necessary logistic or processing adjustments. The TMSC must advise the origin RCC of any factors that may warrant deferral of the effective date of the requested reentry. However, unlike the procedures for additional entry applications, the TMSC does not recommend approval or denial of the application by the origin RCC. 427.53 Additional Information 427.531 Authority. The general manager, RCC, may request additional information or evidence from the publisher to complete or clarify the application. A publisher's failure to furnish such information is sufficient grounds to deny the application. 427.532 Review of Continued Qualification. In reviewing a reentry application, the Postal Service must examine the qualification of the publication, as reentered, for second-class entry. Publishers must be able to substantiate to the satisfaction of the Postal Service that the publication, as reentered under the application, continues to comply with all applicable second-class requirements. 427.533 Evidence of Qualification and Supporting Documentation. As part of the evidence of continued qualification that must be made available in support of the application for reentry, the publisher may be required to produce circulation records (such as those described in 425.21 and 425.3) to permit verification by postal personnel that all issues or editions of the publication, as reentered, comply with all applicable second-class requirements (see also 425.53). Other documentation, including circulation records for other issues or editions, must be made available upon request. Refusal or failure to produce such evidence is sufficient grounds to deny the reentry request. 427.54 Ruling on the Application After reviewing the application, the general manager, RCC, serving the original entry post office rules on all applications for reentry. 427.55 Granting the Application. If the general manager, RCC, grants the application, written notification is sent to the publisher and the postmaster of the original entry office, who then notifies any additional entry offices affected. 427.56 Effective Date. Subject to the restrictions in 427.13, the effective date of the reentry authorization is the date of the application, if the publication was eligible on that date or it is the date of eligibility, if the publication became eligible after the date of application. However, based on the advice of the manager, TMSC, the requested effective date for a change in known office of publication (original entry office) may be deferred temporarily until sufficient transportation services or mail processing resources are in place to support the action requested. If deferral is due to contractual limitations (see 426.23), the publisher's requested effective date is approved only with (a) the approval of the manager, TMSC, serving the (new) original entry office and (b) the publisher's agreement to reimburse the Postal Service for any cost incurred due to modification or cancellation of contracted transportation services. An entry office may not be used until authorized by he Postal Service. Publishers may not pay postage at another rate in order to deposit copies at an unauthorized entry office. 427.57 Denying the Application 427.571 When Verification is Performed. If a verification is performed (as provided by 425.53) and it reveals that the publication (as modified by the requested reentry) does not comply with applicable second-class requirements, the general manager, RCC, must deny the reentry application, and notify the publisher in writing, specifying the reasons for the denial. Within 15 days of receipt of such notice, the publisher may elect to (a) return to the publication status that existed before the application for reentry was submitted or (b) pursue an appeal under 427.58. If no appeal is filed under 427.58, the denial becomes effective 15 days from the publisher's receipt of the general manager's decision. 427.572 Other Applications. If the general manager, RCC, denies an application for reentry, the RCC must send a written notice of denial to the publisher specifying the reasons for denial. The RCC must also provide a copy to the postmaster of the entry post offices involved. The denial becomes effective 15 days from the publisher's receipt of the notice unless, within that time, the publisher files an appeal as provided in 427.58. 427.58 Appeals 427.581 General. Appeals must be filed through the rates and classification center with the Director, Office of Classification and Rates Administration, USPS Headquarters. 427.582 Additional Information. The Director may ask the publisher for additional information or evidence to supplement or clarify the appeal. The publisher's failure to furnish such information is sufficient grounds for denying the appeal. 427.583 Mailings Deposited While Appeal is Pending a. Applicable Rates During Appeal (1) If an application is denied for reentry under 427.1 (to change a publication's title, frequency of issuance, or known office of publication), copies of any issues of the publication found to be unqualified for second-class mail privileges are accepted in a pending status at the applicable thirdor fourth-class rates. "Pending status," for purposes of this section, begins on the date the appeal is filed and continues until the conclusion of the appeal process. (2) If an application is denied for reentry under 427.2 (to change a publication's qualification category), copies of the publication are accepted at the currently applicable second-class rate during the consideration of the appeal. b. Mailing Statements. The publisher must submit Form 3541-R and Form 3602-R (or Form 3541-N and Form 3602-N if the publication is authorized special secondor third-class rates, respectively) with each mailing of the publication submitted in a pending status while the appeal of the denial of reentry is pending. The publisher's failure to submit these forms is sufficient grounds to deny a refund of postage under 427.583c. c. Refunds of Postage. If the reentry application is approved on appeal, the publisher is refunded the difference between the applicable second-class postage and the thirdor fourth-class postage paid during the period that the appeal was pending, provided records to substantiate the amount of the refund have been submitted by the publisher. If the reentry application is denied on appeal, no refund is provided.