207 Periodicals
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Overview

1.0 Prices and Fees

2.0 Price Application and Computation

3.0 Physical Characteristics and Content Eligibility

4.0 Basic Eligibility Standards

5.0 Applying for Periodicals Authorization

6.0 Qualification Categories

7.0 Mailing to Nonsubscribers or Nonrequesters

8.0 Record-Keeping Standards for Publishers

9.0 Reentry — Changing Title, Frequency, Category, Price, or Known Office of Publication

10.0 Preferred Periodicals

11.0 Basic Eligibility

12.0 Nonbarcoded (Presorted) Eligibility

13.0 Carrier Route Eligibility

14.0 Barcoded (Automation) Eligibility

15.0 Ride-Along Eligibility

16.0 Postage Payment

17.0 Documentation

18.0 General Mail Preparation

19.0 Bundles

20.0 Sacks and Trays

21.0 Sack and Tray Labels

22.0 Preparing Nonbarcoded (Presorted) Periodicals

23.0 Preparing Carrier Route Periodicals

24.0 Preparing Letter-Size Barcoded (Automation) Periodicals

25.0 Preparing Flat-Size Barcoded (Automation) Periodicals

26.0 Physical Criteria for Nonmachinable Flat-Size Periodicals

27.0 Combining Multiple Editions or Publications

28.0 Enter and Deposit

29.0 Destination Entry

30.0 Additional Mailing Offices

1.0 Prices and Fees

1.1 Outside-County—Including Science-of-Agriculture

1.1.1 General

Only a publisher or registered news agent with authorized Periodicals mailing privileges may mail at the Periodicals prices (see 5.2 for Periodicals pending authorization pricing). Copies that the public or a printer send to a publisher must be mailed at any other eligible price.

1.1.2 Prices and Discounts

For all Periodicals Outside-County prices (including Science of Agriculture prices), see Notice 123–Price List.

1.1.3 Nonprofit Publications

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

1.1.4 Classroom Publications

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

1.1.5 Limited Circulation Publications

Publications, excluding Nonprofit, Classroom, and Limited Circulation Science-of-Agriculture publications receive a 5% discount off the total Outside-County postage, excluding the postage for advertising pounds, if eligible copies are mailed at In-County prices and the total number of Outside-County copies mailed for that issue is less than 5,000. Nonsubscriber or nonrequester copies claiming the Limited Circulation discount are subject to the standards in 7.0.

1.1.6 Limited Circulation Science-of-Agriculture Publications

Publications meeting the requirements of 11.2.2 receive a 5% discount off the total Outside-County postage, excluding the postage for advertising pounds, if eligible copies are mailed at In-County prices and the total number of Outside-County copies mailed for that issue is less than 5,000. Nonsubscriber or nonrequester copies claiming the Limited Circulation discount are subject to the standards in 7.0.

1.2 In-County

For all Periodicals In-County prices, see Notice 123–Price List.

1.3 Fees

Periodicals fees are per application for original entry, news agent registry, and reentry. See Notice 123—Price List - Domestic Business Mailing Fees.

2.0 Price Application and Computation

2.1 Price Application

2.1.1 Price Elements

Postage for Periodicals mail includes a pound price charge, a piece price charge, bundle and container price charges for Outside-County mail, and any discounts for which the mail qualifies under the corresponding standards.

2.1.2 Applying Outside-County Piece Prices

The per piece charge applies to each copy and each firm bundle in the mailing. Outside-County piece prices are based on the shape of the mailpiece (letter, flat, or parcel); the characteristics of the mailpiece (machinable or nonmachinable, see 18.4aa and 18.4ab); the application of a barcode; and the bundle presort level. Firm bundles and carrier route pieces pay separate piece prices that do not vary based on these criteria. For pieces properly prepared loose in trays, the price is based on the tray presort level. Apply piece prices for Outside-County mail as follows:

Letters.

Apply the “Letters—Barcoded” prices to pieces that meet all of the standards for automation letters in 201.3.0 and include a barcode.

Apply the “Letters—Nonbarcoded” prices to pieces that are eligible under the standards for all letters in 201 but do not include a barcode. Apply these prices also to pieces that are barcoded but do not meet all of the automation letter standards in 201.3.0.

Machinable flats.

Apply the “Machinable Flats—Barcoded” prices to pieces that meet all of the standards for automation flats in 201.6.0 and include a barcode. Apply the 5-digit price also to barcoded pieces prepared under the alternative flats criteria in 26.0 and placed in 5-digit bundles.

Apply the “Machinable Flats—Nonbarcoded” prices to pieces that meet all of the standards for automation flats in 201.6.0 but do not include a barcode.

Nonmachinable flats.

Apply the “Nonmachinable Flats-Barcoded” prices to pieces that meet all of the alternative standards for flats in 26.0 and include a barcode. Exception: Barcoded pieces prepared under 26.0 and placed in 5-digit bundles pay the “Machinable Flats-Barcoded” 5-digit price. Nonmachinable barcoded flats claiming the machinable flats-barcoded 5-digit price must meet the deflection standards in 201.4.0.

Apply the “Nonmachinable Flats-Nonbarcoded” prices to pieces that meet the standards for nonmachinable flats in 26.0 but do not include a barcode.

Parcels. Apply the “Parcels” prices to all parcels, whether or not a barcode is used.

2.1.3 Applying In-County Piece Prices

An addressed piece can be a single individually addressed copy or a firm bundle containing unaddressed or individually addressed copies for the same address. The per piece charge is based on the number of addressed pieces (not the number of copies). For In-County mail, piece prices apply to each addressed piece, based on the sorting done by the publisher. Piece prices for automation mailings are based on the bundle level (or tray level for unbundled pieces in trays); piece prices for nonautomation mailings are based on the tray or sack level.

2.1.4 Applying Pound Price

Apply pound prices to the weight of the pieces in the mailing as follows:

Outside-County (including Science-of-Agriculture) pound prices are based on the weight of the advertising portion sent to each destination entry and the weight of the nonadvertising portion to a destination entry.

In-County pound prices consist of a DDU/S&DC-entry price and a non-DDU/S&DC-entry price for eligible copies delivered to addresses within the county of publication.

2.1.5 Computing Weight of Advertising and Nonadvertising Portions

The pound price charge is the sum of the charges for the computed weight of the advertising portion of copies to each destination entry, plus the sum of the charges for the computed weight of the nonadvertising portion of copies to each destination entry. The following standards apply:

The minimum pound price charge for any entry level to which copies are mailed is the 1-pound price. For example, three 2-ounce copies for an entry are subject to the minimum 1-pound charge.

Authorized Nonprofit and Classroom publications with an advertising percentage that is 10 percent or less are considered 100 percent nonadvertising. When computing the pound prices and the nonadvertising adjustment, use “0” as the advertising percentage. Mailers of authorized Nonprofit and Classroom publications that they claim include 0 percent advertising must pay the nonadvertising pound price for the entire weight of all copies.

2.1.6 Per Piece Charge

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

2.1.7 Discounts

Discounts and reductions apply as specified in 2.0, 10.0, and 29.0.

2.1.8 Applying Outside-County Bundle Prices

For Outside-County mail prepared in bundles, mailers pay the bundle price according to the presort level of the bundle and the presort level of the container that the bundle is placed in or on. Mailers of firm bundles pay a firm bundle price that is based only on the presort level of the container. Bundle prices do not apply to barcoded letter-size mail prepared in full letter trays. The bundle prices are in addition to the container prices. The following additional standards apply:

Mailers of bundles of fewer than six pieces under 25.1.4 (including single-piece bundles) must pay the applicable bundle charge for each bundle.

For bundles with both In-County and Outside-County pieces, mailers do not pay the bundle charge for carrier route, 5-digit/scheme bundles.

2.1.9 Applying Outside-County Container Prices

For Outside-County mail prepared in trays, sacks, pallets, and other USPS-approved containers, mailers pay the container price according to the type of container, the presort level of the container, and where the mail is entered. The container level is determined by the least-finely presorted bundle that container could contain according to standards (for example, an “SCF/LPC pallet” may contain SCF, 3-digit, 5-digit, and carrier route bundles and would always pay the 3-digit/SCF pallet price). For mailer-supplied air freight containers, mailers pay the container charge based on the original presort of the mail before it is transferred to the airfreight container. The container prices are in addition to the bundle prices. The following additional standards apply:

For mailings prepared in trays or sacks, mailers pay the container price for each tray or sack based on container level and entry.

For mailings prepared on pallets under 705.8.0:

For bundles placed directly on pallets, mailers pay the container price for each pallet.

For trays or sacks on pallets, mailers pay the container price for each tray or sack, and not for the pallets. The container price for each tray or sack is based on the tray or sack level and where the pallet is entered.

For containers with both In-County and Outside-County pieces, mailers do not pay the container price for carrier route, 5-digit carrier routes, and 5-digit/scheme pallets, sacks, and trays.

2.2 Computing Postage

2.2.1 Percentage of Advertising

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

2.2.2 Weight Per Copy

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

2.2.3 Computing Other Weights

The following applies:

To find the total weight of mailed copies per entry level, do the following:

Multiply the corresponding number of copies by the computed weight per copy.

Round off each result to the nearest whole pound, except when the result is under 0.5 pound. Then round to 1 pound.

To find the weight of the advertising portion for each entry, where applicable, multiply the total weight of copies for that entry by the percentage of advertising. Round off each result to the nearest whole pound, except when the result is under 0.5 pound. Then round to 1 pound.

To find the weight of the nonadvertising portion, subtract the total weight of the advertising portion to all entry levels from the total weight of copies to all entry levels.

To find the weight of In-County price copies, multiply the number of copies by the weight per copy and round off the total weight to the nearest whole pound, except when the result is less than 0.5 pound. Then round to 1 pound.

2.2.4 Pound Price

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

2.2.5 Piece Price

Determine the piece price postage as follows:

Outside-County. Multiply the number of addressed pieces (not copies) by the appropriate price, based on the presort of the pieces as mailed. An addressed piece can be a single individually-addressed copy, an addressed supplement (3.3.6a), or a firm bundle containing multiple copies for the same address. For firm bundles, multiply the number of firm bundles by the firm bundle piece price.

In-County. Multiply the number of addressed pieces (not copies) by the appropriate price, based on the presort of the pieces as mailed. An addressed piece can be a single individually-addressed copy, an addressed supplement (3.3.6a), or a firm bundle containing multiple copies for the same address.

2.2.6 Nonadvertising Adjustment

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

2.2.7 Outside-County Bundle and Container Charges

The Outside-County bundle charge is the sum of the number of bundles for each bundle level and container level in the mailing subject to the Outside-County bundle prices, multiplied by the applicable bundle prices. The Outside-County container charge is the sum of the number of containers for each container type, container level, and entry level in the mailing subject to the Outside-County container prices, multiplied by the applicable container prices. Mailers must document the number of bundles and containers required for the prices claimed. If the documentation shows more bundles and containers are required than are presented for mailing, the mailer must pay the charges according to the documentation. Mailers cannot reduce the bundle and container charges by preparing fewer bundles and containers than standards require. Mailers who prepare Periodicals publications as a combined mailing by merging copies or bundles of copies under 27.0 may pay the Outside-County bundle and container charges in one of the following ways:

On one publisher‘s Form 3541.

On one consolidated Form 3541. Under this option, the consolidator must complete the appropriate sections of the form and pay the charges from the consolidator‘s own advance deposit account.

Apportioned on each publisher‘s Form 3541. The following standards apply:

The qualification report must be submitted electronically via Mail.dat. See 203.3.0 for additional documentation requirements.

The total charges on all Form 3541s in a combined mailing must equal the total charges for all bundles and containers subject to the Outside-County container prices presented for mailing.

Apportion the bundle charge for each title or edition by determining how many of each type of bundle that title or edition is in. Next calculate the percentage of copies in each of those bundles and convert to four decimal places, rounding if necessary (for example, convert 20.221% to 0.2022). Add the decimal values for each type of bundle in the mailing and multiply the total by the applicable bundle price. Add the bundle charges to determine the total for each title or edition.

Apportion the container charge for each title or edition by determining how many of each type of container that title or edition is in. Next calculate the percentage of copies in each of those containers and convert to four decimal places, rounding if necessary (for example, convert 20.221% to 0.2022). Add the decimal values for each type of container in the mailing and multiply the total by the applicable container price. Add the container charges to determine the total for each title or edition.

2.2.8 Total Postage

Total Outside-County postage is the sum of the per pound and per piece charges, the bundle charges, the container charges, and any Ride-Along charges; minus all discounts, rounded off to the nearest whole cent. Total In-County postage is the sum of the per pound and per piece charges, and any Ride-Along charges, less all discounts, rounded off to the nearest whole cent.

3.0 Physical Characteristics and Content Eligibility

3.1 Physical Characteristics

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

3.2 Addressing

3.2.1 General

Each addressed piece, including the top copy of a firm bundle, must bear the addressee‘s name and address. The address must include the correct ZIP+4 code or 5-digit ZIP Code. On flat-size pieces, the address must be formatted and positioned according to 202.2.0.

3.2.2 Address Label

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

3.2.3 Return Address

The return address must appear on any mailing wrapper (see 3.3.8) of a publication with the optional ancillary service endorsement “Address Service Requested” and on any opaque wrapper of a publication. If a clear plastic wrapper is used on a publication endorsed “Address Service Requested,” the return address must appear visibly anywhere on the address side of the wrapper or the topmost item inside.

3.3 Permissible Mailpiece Components

3.3.1 Pages

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

Multilayer pages (including pages formed by sheets glued together and pages that have unusual shapes, such as cutouts, movable flaps, or “pop-ups”) may include small amounts of non-paper material such as grommets, string, or rubber bands as needed to assemble the page. Not all elements that make up a multilayer page must be printed. In addition, multilayer pages may contain novel characteristics such as an LED display, a sound device, or battery operated movable parts. Multilayer pages may also be formed as pouches or pockets, but may contain only permissible loose enclosures (see 3.3.4) or other securely affixed permissible components.

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

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

3.3.2 Parts and Sections

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

3.3.3 Enclosures at First-Class Mail or USPS Marketing Mail Prices

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

The total weight of all enclosed USPS Marketing Mail material must be less than 16 ounces.

Postage and fee payment is subject to 703.9.8, 703.9.9 and 207.16.3. A permit imprint that may appear on a First-Class Mail or USPS Marketing Mail enclosure must not be visible when the mailpiece is prepared for mailing.

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

The applicable “First-Class Mail Enclosed” or “USPS Marketing Mail Enclosed” marking must be placed on or in the host publication if it contains any nonincidental First-Class Mail or any USPS Marketing Mail enclosure. See 703.9.7.2.

3.3.4 Loose Enclosures at Periodicals Prices

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

An incidental First-Class Mail piece must be closely related but secondary to the Periodicals publication with which it is enclosed. If the publication otherwise consists entirely of nonadvertising material, an incidental First-Class Mail enclosure may be treated as nonadvertising material. In all other cases, an incidental First-Class Mail enclosure is considered part of the advertising portion of the publication. Examples of an incidental First-Class Mail enclosure are a bill for the publication, a statement of account for past publication purchases, or a personal message or greeting included with the publication.

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

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

A publisher‘s printed letter, including facsimile signature as a permissible loose enclosure with a Periodicals publication provided the printed letter is limited to the publisher promoting the publication; or announcing or describing changes to the publication, e.g. title, format, frequency, terms or conditions of a subscription; or other business of the publication, as long as the printed letter includes no other advertising for the publisher or any other party.

Enclosures listed in 3.3.4b and 3.3.4c are not counted when determining the percentage of advertising in the publication, but they are included in the total weight of the publication reported on the postage statement.

3.3.5 Bound in Enclosures at Periodicals Prices

Only the following material may be included as a bound in enclosure in a Periodicals mailpiece (or a publication pending Periodicals authorization) and be paid for at Periodicals prices, subject to the corresponding conditions:

A request or order form for a subscription to an authorized Periodicals publication (or a publication pending Periodicals authorization) that is bound into a Periodicals publication (or a publication pending Periodicals authorization), and which is prepared as a single sheet or multiple pages and includes an attached reply card or an envelope, is not counted as advertising. The request or order form may be part of, or accompanied by, printed material containing information related exclusively to a request or an order for a subscription, provided the request or the subscription order form does not advertise, promote, or offer for sale any other products or services.

Enclosures listed in 3.3.5 are not counted when determining the percentage of total advertising in the publication, but they are included in the total weight of the publication reported on the postage statement.

3.3.6 Supplement

A supplement is one or more pages (subject to 3.3.1) formed by one or more printed sheets that are not bound into a publication. A supplement may be devoted to a single topic and may contain material different from that in the host publication. A supplement may not be mailed at Periodicals prices by itself. The length and height of a supplement may not exceed those of the host publication except when the host publication and the supplement are contained in an envelope, polybag, or other complete wrapper or under 3.3.6d. Supplements are subject to these conditions as applicable:

If a supplement to a bound publication is formed of more than one sheet, all sheets making up the supplement must be bound together.

A bound publication mailed with one or more supplements must be enclosed in a wrapper.

A supplement to an unbound publication that is not prepared in a wrapper, polybag, or envelope must be combined with and inserted within the publication under 3.5.4.

A wrapper is not required when a loose addressed supplement is included within the same mailing as the host publication, bears a proper delivery address, contains at least 25% nonadvertising material, and includes on the front/cover page the endorsement “Periodicals Supplement to” followed by the exact title and issue date of the host publication. The external dimensions of such supplements may exceed those of the host publication provided they are of the same processing category as the host publication.

3.3.7 Cover and Protective Cover

A cover may be placed on the outside of a Periodicals publication. A protective cover is an additional cover placed around the outside of a publication; preparation is subject to 3.5.6. Advertising, nonadvertising, or both may be printed on the cover or protective cover. The cover and protective cover on a publication are included when measuring advertising percentage. Nothing may be attached to the cover or protective cover except as permitted under 3.3.9.

3.3.8 Mailing Wrapper

A mailing wrapper is an envelope, sleeve, partial wrapper, polywrap, or carton used to enclose the mailpiece. Advertising may be printed on the mailing wrapper and is included when measuring advertising percentage. Nothing may be attached to the mailing wrapper except as permitted under 3.3.9.

3.3.9 Attachment

Mailers may attach the following material to a cover, protective cover, or mailing wrapper of a publication:

Stickers of any size and shape.

Material allowed as a loose enclosure described in 3.3.3, or 3.3.4. When nonincidental First-Class Mail and/or USPS Marketing Mail enclosures are attached, the marking “First-Class” or “Letter Enclosed” must be on a First-Class Mail attachment; “Marketing” or “MKT,” on a USPS Marketing Mail attachment.

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

3.3.10 Product Samples

Subject to the requirements in 3.3.1 and 3.5.4, product samples related to print advertising in the issue and are not offered for sale within the meaning of 3.4.2a and 3.4.3 may be included in a Periodicals publication as a page, or part of a multilayer page. Examples include, but are not limited to, a swatch of cloth; a paper towel as part of a printed page, or printed paper towel; a bandage; and fragrance, cosmetics, lotions, or edibles in packet form. The combined weight of product samples in an issue is limited to 3.3 ounces. Any product sample in the form of a packet is limited in total weight to no more than one ounce, but does not include the page weight upon which the packet is affixed. Packet product samples also must have a minimum burst strength of 3,000 pounds per square inch (psi). Travel size and similar small products in commercially available form or packaging do not qualify as permissible product samples, even if less than 3.3 ounces. In addition, CDs, DVDs, and similar media do not qualify as permissible product samples. Permissible product samples:

Are not eligible with letter-size pieces;

Must comply with hazmat standards (601.8.0);

Must comply with machinability standards, e.g. uniform thickness (201.4.0);

Must not be attached to the front or back cover page of the host Periodicals publication, or any other permissible component;

Must be secured in place (spine or tip-on interior page) to prevent shifting (601.3.1); and,

Must be placed at least 3/4 inch from all non-bound edges of any interior page.

3.3.11 Printed Addition

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

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

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

The expiration date of the subscription.

The request for address correction information from the addressee.

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

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

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

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

3.3.12 Label Carrier

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

The label carrier must include the following elements:

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

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

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

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

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

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

For flat-size pieces, the label carrier must be affixed to maintain the delivery address entirely in the top half of the mailpiece (see 202.2.0) throughout processing and delivery or, if not affixed, at least the beginning 0.5 inch of the address must remain in the top half. The “beginning 0.5 inch” means the first half-inch of the recipient, delivery address, and city/state/ZIP Code lines, and not the end of each line.

3.4 Impermissible Mailpiece Components

3.4.1 General

Regardless of preparation or characteristics, the materials described in 3.4.2a through 3.4.2e are not eligible for Periodicals prices.

3.4.2 Prohibited Material

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

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

The word “catalog.”

A First-Class Mail, USPS Marketing Mail, Parcel Select, or Package Services permit imprint.

An ISBN (International Standard Book Number).

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

3.4.3 Products

Except as provided for in 3.3.10, products may not be mailed at Periodicals prices. Examples include stationery (such as pads of paper or blank printed forms); cassettes; floppy disks; CDs; DVDs; merchandise, including travel-size merchandise in commercially available form or packaging; and wall, desk, and blank calendars. Printed pages, including oversized pages and calendars, are not considered products if they are not offered for sale. Package Services or Parcel Select mailpieces may not be combined with a Periodicals publication.

3.4.4 Nonprinted Sheets

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

3.5 Mailpiece Construction

3.5.1 Bound/Unbound

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

3.5.2 Size and Weight

Periodicals mail may not weigh more than 70 pounds or measure more than 108 inches in length and girth combined. Additional size and weight limits apply to letters and machinable and nonmachinable flat-size pieces.

3.5.3 Uniformity

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

3.5.4 Without Mailing Wrapper

When the mailpiece does not have a mailing wrapper, all the components of an unbound publication must be combined with and inserted inside the publication. Only enclosures mailable at Periodicals prices under 3.3.4 may be included loose inside a bound unwrapped publication. An enclosure under 3.3.3c, or 3.3.4, or a single sheet prepared as an attachment under 3.3.9c, may be securely attached along the bound edge on the outside of an unwrapped publication if it does not exceed any dimension of the cover of the publication and comes within 3/4 inch of any open edge.

3.5.5 With Mailing Wrapper

Except as provided in 3.3.6, when the mailpiece is completely enclosed in a mailing wrapper, the components may be placed anywhere within that wrapper. When a sleeve or other partial wrapper is used, the components must be secured so that they do not fall out during handling. Bound publications carrying loose supplements or prepared in physically separate parts or sections must be either completely enclosed in an envelope, plastic wrapper (polybag), or paper wrapper or inserted within a sleeve so that the component parts do not become separated while in the mail.

3.5.6 Cover Page and Protective Cover

If the piece is not completely enclosed in a mailing wrapper, then any protective cover or cover page must cover both the front and back of the host publication and extend to within at least 3/4 inch of any open edge. Exception: Flat-size pieces may have short covers as provided in 201.6.4.2. If the host publication is bound, the protective cover must be permanently attached to the publication.

3.5.7 APO/FPO and DPO Copy

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

3.5.8 Postal Inspection

Periodicals mail must be prepared so that it can be easily examined. The mailing of publications at Periodicals postage prices represents consent by the sender to USPS inspection of the contents whether loose or inserted in envelopes, wrappers, or other covers.

3.6 Printed Features

3.6.1 Publication Title and Address Notice

The publication title must be displayed prominently on the publication and any protective cover. On any publication enclosed in an opaque mailing wrapper, carton, or any wrapper when the title of the publication is not prominently displayed through the wrapper or carton, the publication title and the mailing address to which undeliverable copies or change-of-address notices (see 4.11.5h) are to be sent must be shown in the upper left corner of the address side of the mailing wrapper (see 3.3.8). A publication with a clear wrapper and a prominently displayed publication title need not have the return mailing address on the wrapper unless required under 3.2.3. The publication number includes an alpha prefix and is to be within parentheses, for example, THE NATIONAL WEEKLY (ISSN 9876-543X) or THE COMMUNITY (USPS 123-456).

3.6.2 Periodicals Imprint

Mailing wrappers (see 3.3.8) that completely enclose the host publication must bear the Periodicals imprint “Periodicals Postage Paid at...” or the word “Periodicals” in the upper right corner of the address area. If a clear plastic wrapper is used, those words may appear anywhere on the address side of the wrapper or the topmost item inside.

3.6.3 Advertising

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

3.6.4 Marking of Paid Reading Matter

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

4.0 Basic Eligibility Standards

4.1 Qualification Categories

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

4.2 General

Only newspapers and periodical publications that meet the mailability standards in 601.1.0 through 601.8.0 along with the applicable standards in 4.0 through 15.0 and 29.0 may be authorized for mailing privileges at Periodicals prices.

4.3 Periodical Publications

4.3.1 Definition and Characteristics

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

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

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

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

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

4.3.2 Other Publication Types

The following types of publications also qualify as periodical publications:

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

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

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

4.3.3 Restriction

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

4.4 Printed Sheets

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

4.5 Known Office of Publication

4.5.1 Location

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

4.5.2 Purpose

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

4.6 Regular Issuance

4.6.1 Frequency

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

4.6.2 Statement of Frequency

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

4.6.3 Compliance With Frequency

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

4.7 Eligible Formats

4.7.1 Complete Copies

Complete copies of the regular issues of a Periodicals publication may be mailed at the applicable Periodicals prices. Incomplete copies (for example, those lacking pages or parts of pages) are subject to the applicable First-Class Mail, USPS Ground Advantage — Retail, USPS Ground Advantage — Commercial, USPS Marketing Mail, or Package Services prices.

4.7.2 Issues and Editions

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

4.8 Issues

4.8.1 Regular Issues

Regular issues must be published according to the publication’s stated frequency. Issues may include annual reports, directories, buyers’ guides, lists, and similar material if these issues bear the publication title and are included in the regular subscription price, if any.

4.8.2 Extra Issues

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

4.8.3 Mailing Issues—Same Day

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

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

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

4.8.4 Mailing Issues—Different Day

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

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

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

4.9 Editions

4.9.1 Types

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

4.9.2 Extra Editions

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

4.9.3 Content

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

4.10 Back Issues and Reprints

Periodicals prices may be paid on mailings of unbound back issues (if the publication’s Periodicals entry is in effect), reprint copies of daily publications printed within 1 week of the issue date, and reprint copies of other than daily publications printed before the next issue is printed. Other mailings of back issues or reprint copies, including permanently bound back issues or reprint copies, are subject to the applicable Priority Mail Express, Priority Mail, First-Class Mail, USPS Ground Advantage — Retail, USPS Ground Advantage — Commercial, USPS Marketing Mail, or Package Services prices.

4.11 Identification

4.11.1 Title

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

4.11.2 Identification Statement

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

4.11.3 Unbound Publication

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

On one of the first five pages.

On the table of contents page.

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

On the cover of the publication.

4.11.4 Bound Publication

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

4.11.5 Identification Statement Content

The identification statement must contain:

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

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

A statement of frequency, such as described in 4.6.2.

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

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

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

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

The mailing address for change-of-address orders, in the normal text type of the publication: “POSTMASTER: Send address changes to [publication title and mailing address].” For publications authorized for ACS, as defined in 507.4.2, publishers may modify this statement to say: “POSTMASTER: Send all UAA to CFS. (See DMM 507.1.5.2); NON-POSTAL AND MILITARY FACILITIES: send address corrections to [publication title and mailing address].” When Undeliverable as Addressed (UAA) copies are sent to the CFS unit for ACS processing, a PS Form 3579 will not be created and any barcodes or other information on the address will not be obliterated. Change-of-address information may also be shown on the label carrier or container of publications prepared in envelopes, closed wrappers, or polybags.

4.12 Advertising Standards

4.12.1 Definition of Advertising

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

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

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

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

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

4.12.2 Definition of Public Service Announcement

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

4.13 Fees

4.13.1 Fee Required

The required fee must accompany an application for:

Periodicals mailing privileges (original entry).

News agent registry.

Reentry (unless excepted in 4.13.2) to request a:

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

Change in qualification category.

Change in eligibility from preferred prices or the preferred price discount to regular Outside-County prices.

4.13.2 No Fee

No fee is charged if reentry is only to change eligibility to preferred prices or the preferred price discount.

4.13.3 Return of Fee

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

4.13.4 Address Correction

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

5.0 Applying for Periodicals Authorization

5.1 Original Entry Application

5.1.1 General Publications

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

Form 3500 must be completed and filed at the Post Office serving the known office of publication. Part B may be left blank when submitted under the “New Launch” procedure.

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

5.1.2 Publications of Institutions and Societies

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

Form 3500 must be completed and filed at the Post Office serving the known office of publication.

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

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

5.1.3 Publications of State Departments of Agriculture

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

Form 3500 must be completed and filed at the Post Office serving the known office of publication.

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

5.1.4 Requester Publications

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

Form 3500 must be completed and filed at the Post Office serving the known office of publication. Part C may be left blank when submitted under the “New Launch” procedure.

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

5.1.5 Foreign Publications

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

Form 3500 must be completed and filed at the Post Office serving the known office of publication.

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

5.1.6 News Agent Registry

To apply for news agent registry:

Form 3500 must be completed and filed at each Post Office where mailings are to be made.

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

5.1.7 Publication Copies

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

5.1.8 Translation

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

5.1.9 Fee

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

5.1.10 Location

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

5.2 Mailing While Application Pending

5.2.1 General

A publisher or news agent may mail Periodicals mailings while an application is pending, as provided under 5.2.

5.2.2 Pending Periodicals Prices

A publisher or news agent may not mail at Periodicals prices before the PCSC approves the application for Periodicals mailing privileges. Postage may be paid until final action is taken on the application as follows:

For no refund after the application is approved, at any eligible price.

For a refund after the application is approved, at USPS Marketing Mail, Bound Printed Matter, and Parcel Select prices or at single-piece Priority Mail, First-Class Mail, and USPS Ground Advantage — Retail prices under the exception in 5.3.6e.

5.2.3 Pending Periodicals Postage

The price of postage for a Periodicals publication pending authorization is calculated by applying the applicable percent in Exhibit 5.2.3 to PS Form 3541, Part P, Line P-1.

Exhibit 5.2.3 Pending Periodicals Postage

PENDING CLASS OF MAIL

PCT.

USPS Marketing Mail Letters

0%*

USPS Marketing Mail Flats

63%

Nonprofit USPS Marketing Mail Letters

0%*

Nonprofit USPS Marketing Mail Flats

40%

Nonprofit USPS Marketing Mail Parcels

136%

Bound Printed Matter Flats

146%

Bound Printed Matter Parcels

0%*

Parcel Select Parcels

585%

First-Class Mail Letters

95%

First-Class Mail Flats

427%

USPS Ground Advantage-R

311%

Priority Mail

545%

*Use Periodicals prices.

5.2.4 Record of Deposits

USPS keeps a record of deposits and mailings made while an application is pending, when postage is paid under 5.2.2b through an advance deposit account. If a publisher or news agent intends to apply for a refund after a publication is approved and postage is not paid through an advanced deposit account, the publisher or news agent must maintain a record of mailings.

5.2.5 Postage Statements

A publisher or news agent mailing under an advance deposit account while a Periodicals application is pending must submit a Periodicals postage statement (annotated with the words “Pending Application”) with each mailing. A publisher or news agent not mailing under an advance deposit account while a Periodicals application is pending must submit both a Periodicals postage statement (annotated with the words “Pending Application”) and the postage statement for the applicable pending class of mail with each mailing.

5.2.6 Preparation

Mailings must be prepared and presorted according to the Periodicals guidelines under 207 while the application is pending.

5.3 Decision on Application

5.3.1 Ruling

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

5.3.2 Additional Information

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

5.3.3 Mailability

If the PCSC manager authorizes an application for Periodicals mailing privileges, this approval does not represent a USPS determination that a publication is mailable under 601.9.0.

5.3.4 Effective Date

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

5.3.5 Refund

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

5.3.6 No Refund

No refund is made for:

A denied or withdrawn application.

The period before the effective date of the authorization.

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

Postage at any price affixed to copies of the publication.

Postage paid at Priority Mail Express, Priority Mail, First-Class Mail, USPS Ground Advantage — Retail, or USPS Ground Advantage — Commercial prices. Exception: For a mailing presorted and prepared as Periodicals mail that is less than 200 pieces or 50 pounds, a refund may be authorized when postage is paid at single-piece Priority Mail, First-Class Mail, or USPS Ground Advantage – Retail prices as provided on the applicable postage statement.

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

5.3.7 Denial and Appeal

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

5.4 Revocation or Suspension of Privileges

5.4.1 Revocation

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

5.4.2 Initial Decision

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

5.4.3 Appeal

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

6.0 Qualification Categories

6.1 General Publication

6.1.1 Basic Standards

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

6.1.2 Circulation Standards

General publications must meet these circulation standards:

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

Records for subscriptions to a publication must be kept so that subscriptions to each publication can be verified.

Persons whose subscriptions are obtained at a nominal price and those whose copies bear an alternative address must not be included in the legitimate list of subscribers. Such copies must be treated as nonsubscriber copies.

Subscriptions may be paid for with dues or contributions, if the amount paid for the subscription is stated on the application and dues transmittal form.

A subscription must be separated from all other business transactions to be evident as an independent act. Publishers must be able to show that subscriptions are voluntary and that the subscription price is paid or promised.

At least 50% of a publication‘s distribution must be to persons who have paid above a nominal price. (For inclusion of electronic copies, see 6.5.) Nominal price subscriptions include those sold at a price so low that it cannot be considered a material consideration; or at a reduction to the subscriber (under a premium offer or any other arrangement) of more than 70% of the basic annual subscription price. The value of a premium is its actual cost to the publisher, its recognized retail value, or its represented value, whichever is highest.

Publications primarily designed for free circulation or for circulation at nominal prices do not qualify for the general publications category.

6.1.3 Advertising Standards

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

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

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

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

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

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

6.2 Publications of Institutions and Societies

6.2.1 Basic Standards

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

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

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

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

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

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

6.2.2 Types of Publications

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

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

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

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

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

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

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

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

6.2.3 Advertising Standards

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

It is not designed or published primarily for advertising purposes.

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

Its mailed circulation is limited to copies mailed to members who pay, either as a part of their dues or assessments or otherwise, at least 30% of the subscription price regularly charged to other members; to other actual subscribers; to exchanges; and to 10% of such circulation as sample copies. When members pay for their subscriptions as a part of their dues or assessments, individual subscriptions or receipts are not required.

6.3 Publications of State Departments of Agriculture

6.3.1 Basic Standards

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

6.3.2 In-County Prices

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

6.4 Requester Publications

6.4.1 Basic Standards

A publication, whether circulated free or to subscribers, may be authorized Periodicals prices if it meets the basic standards in 4.0 and:

Each issue contains at least 24 pages.

Does not contain more than 75% advertising in more than 25% of the issues published during any 12-month period.

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

6.4.2 Circulation Standards

Requester publications must meet these circulation standards:

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

Subscription copies of the publications that are paid for or promised to be paid for, including those at or below a nominal price, may be included in the 50% request requirement. (For inclusion of electronic copies, see 6.5.)

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 must be kept so that subscriptions or requests for each publication can be verified.

Requests more than 3 years old are not valid requests. Copies addressed using an alternative address format are not considered requested copies.

For a requester publication issued by a membership organization, the organization may adopt a resolution that each member receives a copy of each issue. Records must be kept to show that the publication is sent to members. Form 3500 must be accompanied by a copy of the resolution and written assurance that the required records are kept.

6.5 Electronic Copies

Copies of Periodicals publications distributed through email or by accessing a password protected website may be counted toward an approved or pending general or requester publication’s eligibility for Periodicals prices. The following conditions additionally apply:

Electronic copies that may be counted toward a publication‘s eligibility for Periodicals prices:

Must be paid at a price above nominal rate for publications approved in the General category; or

Must be requested in writing or by electronic correspondence for publications approved in the Requester category.

Electronic copies of a Periodicals publication for which access is offered free in conjunction with printed copies of the same issues may not be counted when determining total circulation for the publication.

At least 40% of the total circulation of each issue must consist of printed copies distributed to paying subscribers or requesters, as applicable. Up to 10% of the distributed copies used to qualify or remain eligible for Periodicals prices may be copies that are paid or requested to be sent electronically.

If less than 60% of a Periodicals publication’s total circulation consists of printed copies distributed to paying subscribers or requesters, as applicable, annual Postal eligibility audits must be conducted by a certified audit bureau.

6.6 Foreign Publications

6.6.1 Basic Standards

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

6.6.2 Known Office

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

6.6.3 Prices

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

6.6.4 Circulation Standards

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

6.6.5 Copyright

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

6.7 News Agent Registry

6.7.1 Definition

The term news agent means a person or concern selling two or more Periodicals publications published by more than one publisher. A news agent must be authorized by the USPS before the agent may mail publications at Periodicals prices.

6.7.2 Remailing

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

6.7.3 Unsold Copies

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

6.7.4 Parts Returned

Parts of publications returned to publishers to show that copies have not been sold are subject to the applicable USPS Marketing Mail, USPS Ground Advantage — Retail, or Package Services prices.

7.0 Mailing to Nonsubscribers or Nonrequesters

7.1 Sample Copies

Sample copies are nonsubscriber or nonrequester copies and may be mailed at prices according to standards in 7.0 and 10.0.

7.2 Simplified Address

Copies addressed with simplified addresses under 602.3.2 may be mailed only to nonsubscribers or nonrequesters. If a subscriber or requester receives a simplified address copy in addition to the subscriber or requester copy, the additional copy is considered a nonsubscriber or nonrequester copy.

7.3 Advertising Copies

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

7.4 Gift Subscriptions

Copies sent to persons whose subscriptions were paid by other individuals as gifts are considered subscriber copies. Subscriptions paid by advertisers or other persons promoting their own interests, and subscriptions given free by the publisher, are not gift subscriptions, and are considered nonsubscriber or nonrequester copies.

7.5 Exchange Copies

A small part of the distribution list may contain publishers to whom one copy each is sent in exchange for a copy of the recipients’ publications. These exchange copies are considered subscriber or requester copies.

7.6 Expired Subscription

Copies may be mailed at the prices that apply to subscriber copies for 6 months after a subscription has expired if the publisher makes a good-faith attempt to obtain payment or a promise of payment for a renewal during the 6-month period. These copies are not considered subscriber copies for determining eligibility for Periodicals mailing privileges, the base for computing the nonsubscriber limits under 7.9.1 through 7.9.3, or whether an issue is a bona fide issue under 8.0.

7.7 Complimentary Copies

All complimentary copies are considered nonsubscriber or nonrequester copies.

7.8 Proof Copies

One complete copy of each issue may be mailed to each advertiser (or agent) in the issue to prove that the advertisements are printed. These copies are considered subscriber or requester copies. Any additional copies sent to an advertiser (or agent) are considered nonsubscriber or nonrequester copies.

7.9 Nonrequester and Nonsubscriber Copies

7.9.1 Outside-County Prices

For authorized Periodicals subscriber and requester publications, 10 percent or less of the total number of copies mailed to subscribers or requesters during the calendar year may be mailed to nonsubscribers or nonrequesters at Outside-County Periodicals prices, provided that those copies are eligible for Outside-County prices if mailed to subscribers or requesters, and if the copies are presorted under applicable standards. Nonsubscriber or nonrequester copies within the 10-percent limit do not need to be commingled in a mailing with subscriber or requester copies to be eligible for Outside-County prices. Nonsubscriber or nonrequester copies over the 10-percent limit are eligible for Outside-County prices when commingled and presorted with subscriber or requester copies, but otherwise the mailer pays appropriate non-Periodicals prices.

7.9.2 Preferred Prices

For Nonprofit, Classroom, Science-of-Agriculture, Limited Circulation, and Limited Circulation Science-of-Agriculture publications, nonsubscriber (for Periodicals except requester publications) or nonrequester (for requester publications) copies totaling 10 percent or less of the total number of copies mailed to subscribers or requesters during the calendar year may be mailed at the applicable Preferred prices or Preferred-price discount, provided that the nonsubscriber or nonrequester copies qualify as Preferred- price or Preferred-price discount publications if mailed to subscribers or requesters and if the copies are presorted under applicable standards. The following also applies:

Nonsubscriber or nonrequester copies mailed over the 10-percent limit are not eligible for Preferred prices or the Preferred-price discount.

To qualify for regular Outside-County prices, nonsubscriber or nonrequester copies over the 10-percent limit must be part of a presorted, commingled mailing (one that includes subscriber or requester copies).

Mailers of these copies otherwise pay appropriate non-Periodicals prices.

7.9.3 In-County Prices

Subject to 11.3, nonsubscriber or nonrequester copies may be mailed at In-County prices if they total no more than 50 percent of the total number of subscriber or requester copies of the publication mailed at In-County prices during the calendar year. If the 50-percent calendar year limit is exceeded, the nonsubscriber or nonrequester copies that exceed the limit are ineligible to be mailed at In–County prices.

7.9.4 Publications of Institutions and Societies

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

7.9.5 Mixed Preferred and Regular Outside-County Prices

If the total number of nonsubscriber or nonrequester copies mailed during the calendar year exceeds the applicable calendar-year limit under 7.9.1 or 7.9.2, further mailings of nonsubscriber or nonrequester copies are not eligible for the relevant Preferred price. Nonsubscriber or nonrequester copies exceeding the 10-percent limit under 7.9.1 or 7.9.2 must be part of a presorted commingled mailing (i.e., including subscriber or requester copies) to qualify for Outside-County prices.

7.9.6 Excess Noncommingled Mailing

A mailing is not eligible for Periodicals prices if it consists entirely of nonsubscriber or nonrequester copies totaling over the applicable limit under 7.9.1 through 7.9.3. These copies are subject to appropriate non-Periodicals prices.

7.9.7 Mixed Mailing

If all copies in a mailing are to nonsubscribers or nonrequesters and some copies are within the applicable limit under 7.9.1 through 7.9.3 while the rest are over that limit, the excess copies are not eligible for Periodicals prices. The excess copies are subject to appropriate non-Periodicals prices.

8.0 Record-Keeping Standards for Publishers

8.1 Basic Standards

8.1.1 Purpose

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

8.1.2 Information Required

Records must be available so that the USPS can determine:

Number of copies printed.

Manner of distribution and disposition of all copies.

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

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

8.1.3 Retention

The publisher must keep records for each issue of a publication for a minimum of 3 years from its issue date, except for circulation records for general or requester publications for which a USPS-authorized audit bureau verifies USPS circulation. In addition, the publisher must retain records for paid subscribers for a minimum of 12 months following the issue date. A publisher whose records are verified by an authorized audit bureau is not required to keep source records of requests and subscriptions longer than required by the audit bureau, provided that the authorized audit bureau retains records related to such requests and subscriptions for a minimum of 3 years following each issue date.

8.1.4 Types of Records

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

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

Individual and bulk orders for subscriptions and nonsubscriber copies.

Newsstand and vending machine sales and returns.

Stubs or copies of receipts issued.

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

Cash books, bank deposit receipts, or similar records.

Records of copies of the publication destroyed.

8.2 Verification

8.2.1 Purpose

A publisher must periodically make records available for USPS review and verification for USPS to do the following:

Evaluate indications of ineligibility for Periodicals entry;

Verify that the postage statement shows the correct number of copies mailed and the correct postage; and

Confirm that publications authorized to carry general advertising meet the applicable circulation standards.

8.2.2 Authorized Verification

USPS employees or an authorized audit bureau may conduct circulation verifications for an application for Periodicals mailing privileges, reentry application, or other required circulation verification of general or requester publications, provided that the Postal Service will have the authority to review audit procedures upon request. In addition, the Postal Service reserves the right to verify each audit bureau’s compliance with Postal Service audit procedures. The Postal Service has the authority to revoke any audit bureau’s authorization to conduct verifications if it finds the audit bureau failed to follow approved audit procedures.

8.2.3 Independent Audit Bureau

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

8.3 Statement of Ownership, Management, and Circulation

8.3.1 Filing Form 3526

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

8.3.2 Content

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

8.3.3 Publication

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

8.3.4 Noncompliance

If a publisher does not comply with the filing or publishing standards of 8.3 and, after receipt of notice by Certified Mail from the postmaster, the publisher further fails to comply within 10 days, the postmaster must notify the Pricing and Classification Service Center (PCSC) (see 608.8.4 for contact information). The PCSC may suspend or revoke the Periodicals mailing privileges, as appropriate.

9.0 Reentry — Changing Title, Frequency, Category, Price, or Known Office of Publication

9.1 General

9.1.1 When Required

Except under 9.1.2, publishers must complete and file PS Form 3510, Application for Reentry or Special Price Request for Periodicals Publication, as follows:

To change the title, frequency of issue, category of authorization, or price, publishers must submit PS Form 3510 to the original entry postmaster.

To change location of the known office of publication (KOP) of an authorized Periodicals publication, publishers must submit PS Form 3510 to the postmaster whose service area includes the new location.

9.1.2 When Not Required

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

9.1.3 Accompanying Documentation

A completed PS Form 3510 must be accompanied by two copies of the publication that show the new title (if applicable) and contain a complete identification statement that reflects the requested changes. A proof copy of the revised identification statement is acceptable if the publisher specifies the issue in which the changes are to be printed. See 9.2 for how to change qualification categories.

9.1.4 Location

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

9.1.5 Filing Date

PS Form 3510 must be filed by the date that publication copies are to be issued with the new title, frequency, category, price, or known office of publication.

9.1.6 Reentry Denial

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

9.1.7 Application Fee

Except for an application (PS Form 3510) to request only special Periodicals prices as specified in 10.0, a reentry fee (nonrefundable) must accompany an application (PS Form 3510) for reentry (see Notice 123—Price List). No additional fee is required when a revised PS Form 3500 is required as part of a reentry application.

9.1.8 Multiple Reentry Requests

Except for requests to change qualification categories, as specified in 9.2, or to change price in accordance with requirements in 10.0, publishers may file one PS Form 3510 and pay one fee to request multiple reentry actions as specified in 9.1 if all documentation is submitted with the PS Form 3510 as stipulated in 9.1.3, and the effective dates for the reentry actions do not cover more than 30 calendar days. The publisher must submit a separate PS Form 3510 (and pay the fee) for each reentry action that cannot meet these conditions.

9.1.9 Other Actions

A publisher must submit a separate PS Form 3510 (and pay the fee) for a reentry action as specified in 9.2. A separate PS Form 3510 (no fee) also must be submitted for a reentry action for special Periodicals prices as stipulated in 10.0.

9.2 Changing Qualification Categories

To change the category under which a publication is authorized Periodicals mailing privileges, the publisher must file a revised Form 3500 and an application for reentry on Form 3510 with the original entry Postmaster and pay the applicable fee. See 9.1.2 for when a reentry application may not be required.

9.3 Application for Reentry

9.3.1 Pending

While an application for reentry is pending, copies of an authorized Periodicals publication are accepted for mailing at the Periodicals prices, subject to 9.3.4.

9.3.2 Proof of Compliance

The publisher must be able to show (via circulation and other records) to USPS satisfaction that the reentered publication still meets all Periodicals standards. Failure to provide this evidence is sufficient grounds to deny the reentry request.

9.3.3 Ruling

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

9.3.4 Effective Date

An entry office may not be used before authorization by the USPS. A publisher may not pay postage at another price to deposit copies at an unauthorized entry office. Subject to the restrictions in 9.1, the effective date of a reentry authorization is the application date or the eligibility date (if the publication became eligible after the application date). The requested date for a change in original entry office may be deferred until sufficient transportation or other resources are in place. If deferral is due to USPS transportation contract limitations, the publisher’s requested date may be approved with the publisher’s agreement to reimburse the USPS for costs caused by modifying contracted transportation.

9.3.5 Denial

If the PCSC manager denies an application, a written notice of the reasons is provided to the publisher. The denial takes effect 15 days from the publisher’s receipt of the notice, unless the publisher files an appeal under 9.3.6 within that time. Alternatively, the publisher may return to the publication status before the application for reentry was submitted.

9.3.6 Appeal

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

9.3.7 Mailing During Appeal

During the appeal:

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

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

The publisher must submit the applicable Periodicals and USPS Marketing Mail or Package Services postage statements with each mailing of the publication in a pending status. Failure to submit these statements is sufficient grounds to deny a postage refund under 9.3.10.

9.3.8 Refund

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

9.3.9 Final Decision

The manager, Product Classification (see 608.8.0 for address) issues the final agency decision on appeals under 9.1.

9.3.10 Denial

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

10.0 Preferred Periodicals

10.1 Nonprofit Eligi