Mailing

Sarbanes-Oxley (SOX)

Classifications of Mail

Postcards

Letters

Self Mailers

Booklets

Flats

USPS Links

Sarbanes-Oxley (SOX)

In response to a loss of confidence among American investors reminiscent of the Great Depression, President George W. Bush signed the Sarbanes-Oxley Act (SOX) into law on July 30, 2002.  SOX is intended to ensure the reliability of publicly reported financial information and bolster confidence in the U.S. capital markets.  SOX contains expansive duties and penalties for corporate boards, executives, directors, auditors, attorneys and securities analysts.

Although most of SOX’s provisions are mandatory only for public companies that file a Form 10-K with the Securities and Exchange Commission (SEC), many private and nonprofit companies are facing market pressures to conform to the SOX standards.

SOX compliance is affecting the mailing community and mail owners because it is compelling the USPS to understand and implement rules and regulations it has always had in effect.  This has resulted in a huge amount of training for USPS personnel.  The goal of the USPS is that Business Mail Acceptance is consistent throughout the country.  Inconsistency in the enforcement of the rules and regulations by the USPS has always been one of the most common complaints about doing business as a mail service provider. SOX is forcing the USPS to follow its own policies and procedures on a consistent basis. Mailers nationwide are definitely feeling the effects of SOX compliance.

How Does This Affect Me?

Mailers need to be aware that the way mail has been prepared and verified in the past may no longer be acceptable in keeping with the strict interpretation of the Domestic Mail Manual.

Classifications of Mail

• How mail is classified is determined by the physical specifications of the actual mailpiece. 
• Mailpieces can be categorized as postcards, letters, flats or parcels with postage increasing as the categories move from postcards to parcels.

Postcard Mailings

	True Postcards are a subcategory of First Class mail and receive preferential mail treatment.  Postcards can be presorted to achieve discounted postage rates of $0.205 to 0.230 each.  Postcards cannot exceed 4 ¼ x 6” and must be a minimum of .007” thick.

Potential Pitfalls of Postcard Mailings

• Only a subcategory of First Class Mail
• First Class Permit required if presorting
• Cannot exceed 4 ¼” x 6”
• Thickness cannot be less than 0.007”

Letter Mailings

	Determining whether or not a piece qualifies for letter rates is solely based on the physical properties of the mailpiece.  Letters don’t require envelopes and envelopes don’t guarantee letter rates.

What Exactly is a Letter?

• A letter is defined by the physical characteristics of the finished mailpiece
• A letter is not dependent on being in an envelope
• Most postcards are letters—typically “postcard” is a design term, not an actual category of mail
• Letters today:
  • Minimum size 3 ½” x 5”
  • Maximum size 6 1/8” x 11½”
    • Booklets 6” x 10 ½” or less
  • No more than ¼” thick
  • Maximum Weights
    • 3.5 oz (auto letters in envelopes)
    • 3.0 oz (auto letters not in envelopes —booklets)
    • 3.0 oz (nonauto machinable letters)
  • Cannot be polybagged or polywrapped
    • Letter sized product in polywrap may be able to mail as an automated flat if eligible

What is a Self Mailer?

Simply stated, a self mailer is any mailpiece that is constructed of either one continuous sheet or multiple sheets.   Refolded newsletters are a good example of a self mailer.  As soon as a mailpiece is stitched, press pasted or otherwise has the sheets affixed together with more than one stitch, it is no longer considered a self mailer in the eyes of the USPS.

Self Mailer Samples

Things to Watch For

• Tabbing Requirements
• Basis Weight Minimums
• Finish Size Can Still be 6 1/8” x 11”
• Can Still use 1” and perforated tabs

NOTE: The proposal for the new regulations for the construction of self mailers is expected this fall with a review period and anticipated implementation date of late spring/early summer 2011.

What is a Booklet?

A booklet is a letter-sized mailpiece that is constructed of multiple sheets bound together, typically by stitching or press pasting.

Regulations on booklets are very rigid concerning spine orientation, tabbing and the stock used on cover pages.

Booklet Configurations

(click on an image to get a larger view)

For a complete listing, please refer to DMM 201.3.15.

Additional acceptable configurations include wallet mailers, oblong pieces and folded booklets.

Things to Watch For

• Tabbing requirements
• Basis weight minimums for paper stock
• Finish size cannot exceed 6” x 10.5”, but there are lower maximum sizes depending on construction and design
• Must use 1 ½” nonperforated tabs

Mailpiece configurations not specified in the DMM must be submitted to the Mailpiece Design Analyst who will forward them to the Pricing and Classification Service Center (PCSC) for possible approval prior to mailing

What is a Flat?

Mailpieces that are not constructed in keeping with letter regulations, or that breach a physical dimension of letters, may be able to be mailed as flats.

Flats have a higher per piece postage rate but are not subject to the stringent requirements of tabbing and basis weight.

Standard flats cannot exceed 0.75” thick or 16 oz.

Things to Watch For

• Deflection Testing
• Address Configuration Compliant with FSS Addressing Standards

USPS Forms

The following is a partial list of forms commonly required by the USPS. Please contact the Mailing Services Department for assistance in completing and submitting any forms required of your company by the USPS.

Centralized Account Processing System (CAPS) Forms

Print, complete, sign, and send these forms to the CAPS Service Center for easy processing. Centralized Account Processing System (CAPS) is an electronic alternative to presenting checks and cash for postage and fees at multiple post offices. Access the form you need for this convenient service.

6001 - CAPS Application Form

6002 - Local Account Information Form

6003 - Debit Authorization Form

Applying for a Permit Imprint

3615 - Mailing Permit Application and Customer Profile

Periodicals Forms

3510 - Application for Additional Entry, Reentry or Special Rate Request for Periodicals Publication

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