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UCLA Procedure 310.0 : Attachment B

Guidelines for Requesting an Exception to Policy 310

UCLA Mail Services is the designated central mail unit and any requests by a Mail Services Client for an exception or exemption to UCLA Policy 310 must be made in writing to UCLA Mail Services (Mail Services) using the appropriate form, and in accordance with UCLA Policy 310 and the following guidelines.

Regulation of Postage Meter Machines

Requests for the installation of postal meters should only be made when use of the Mail Services meter is physically impractical, such as remote off-campus locations not serviced by Mail Services or due to extraordinary circumstances as determined by UCLA Mail Services.

Requests for prior approval must be made using the Prior Approval: Ongoing Exemption to Policy 310 form, available from Mail Services.

  1. If an exemption to Policy is granted it will be based on location and at such location the named Mail Services Client will:

    1. Assign a person to be responsible for proper use of the machine and who will attest to the business use of postage.

    2. Provide instruction to that person in the U.S. Postal Service (USPS) requirements associated with proper use of the machine.

    3. Ensure that adequate monitoring and controls are in place including auditable records.

    4. Audit costs that will be paid for by the department requesting the exemption.

    5. Notify Mail Services if the location of the Postage Meter changes as exemptions to Policy are location based and exemption will void if location changes.

  2. Mail Services will notify and make available a list of current exemptions to Audit & Advisory, Purchasing, and Accounts Payable for appropriate follow-up as it pertains to ongoing fiscal controls and compliance.

Regulation of Postage (including Stamps, Metered Postage, Express Mail, etc.)

Mail Services Clients should retain an inventory of postage only for urgent mailings and must maintain auditable records of such usage.

Prior Approval: One-Time Exception

Prior approval for a one-time exception to Policy for the direct purchase of stamps from the USPS, or any entity selling USPS postage may be requested using the Prior Approval: One-Time Exception to Policy 310 form, available from Mail Services. This should occur only under extraordinary circumstances as determined by UCLA Mail Services (e.g., a staff member temporarily working out of State or country).

Post-Approval: One-Time Exception

If a Mail Services Client, utilizing the UCLA FAU system for expenses, purchases postage or postal services directly from the USPS, or any entity selling USPS postage without having secured prior approval from Mail Services and seeks reimbursement, the Mail Services Client must submit a Post-Approval: One-Time Exception for Postal Service Purchases form, available from Mail Services. Such requests will be reviewed by the Director of MDDS and may be approved only under extraordinary circumstances. If approved, the requesting Mail Services Client’s Chief Administrative Officer will be notified of the one-time exception and asked to ensure the dissemination of Policy 310 to their department to avoid future violations of Policy, and to provide a valid recharge ID to enable the customary surcharge on university postage to be assessed.

Prior Approval: Ongoing Exemption

Prior approval for an ongoing exemption from Policy for the direct purchase of postage (e.g. stamps) and/or other postage services directly from the USPS, or any entity selling USPS postage, will be considered only in situations when use of the central mail service unit is physically impractical, such as remote off-campus locations not serviced by Mail Services, or extraordinary circumstances as determined by UCLA Mail Services.

  1. Requests for prior approval for an ongoing exemption to Policy for such a direct purchase may be requested using the Prior Approval: Ongoing Exemption to Policy 310 form, available from Mail Services.

  2. If an exemption to Policy is granted it will be based on location and at such locations the Mail Services Client will:

  1. ssign a person to be responsible for proper use of the stamps or metered postage and who will attest to the business use of the stamps or metered postage.
    1. Provide instruction to that person in the U.S. Postal Service (USPS) requirements associated with proper use of the postage.

    2. Ensure that adequate monitoring and controls are in place including auditable records.

    3. Audit costs that will be paid for by the Mail Services Client requesting the exemption.

    4. Notify Mail Services if the location of the exemption changes as exemptions to Policy are location based and exemption voids if location changes.

  2. Mail Services will notify and make available a list of current exemptions to Audit & Advisory, Purchasing, and Accounts Payable for appropriate follow-up as it pertains to ongoing fiscal controls and compliance.

 

Regulation of Postal Permit Usage

Maintenance of postal permits by departments should occur only under extraordinary circumstances.

Prior Approval: One-Time Exception

Prior approval for a one-time exception for the use of postal permits by units other than MDDS (i.e., mail house permits), may be requested using the Prior Approval: One-Time Exception to Policy 310 form, available from Mail Services. Such requests should occur only under extraordinary circumstances as determined by UCLA Mail Services (e.g., mailings prepared and presented to USPS Bulk Mail Entry Units outside of Southern California).

Post-Approval: One-Time Exception

If a Mail Services Client utilizes a mail house permit without having secured prior approval from Bulk Mail Services and seeks reimbursement, the Mail Services Client must submit a Bulk Mail Post-Approval: One-Time Exception for Postal Service Purchases form, available from Mail Services. Bulk Mail Services’ approval is required before Accounts Payable may process postage invoice payments or reimbursements. Such requests will be reviewed by the Director of MDDS and may be approved only under extraordinary circumstances. If approved, the Mail Services Clients CAO will be notified of the one-time exception and asked to: (1) Ensure the dissemination of Policy 310 to their department to avoid future exceptions; (2) Provide a valid recharge ID to enable assessment of the customary permit preparation fees on university Bulk Mailings; (3) Notify the vendor in writing of the UCLA policy not allowing for the use of mail house permits (invoicing of postage) on future orders.

Prior Approval: Ongoing Exemption

Prior approval for an ongoing exemption to Policy will be considered only in extraordinary situations where use of Bulk Mail Services central permits is highly impractical (e.g., mailings prepared and presented to USPS Bulk Mail Entry Units outside of Southern California).

  1. Requests for prior approval for an ongoing exemption to Policy for the maintenance of postal permits may be requested using the Prior Approval: Ongoing Exemption to Policy 310 form available from Mail Services.

  2. If an exemption to Policy is granted it will be based on location of USPS Bulk Mail Entry Unit and for such departments requesting a USPS Permit, the named department shall:

    1. Have sole responsibility for annual USPS Permit Fees.

    2. Assign a person to be responsible for proper use of the USPS Permit and who will attest to the business use of postage (stamps).

    3. Provide instruction to that person in the U.S. Postal Service (USPS) requirements associated with proper use of the USPS Permit.

    4. Ensure that adequate monitoring and controls are in place including auditable records.

    5. Audit costs that will be paid for by the department requesting the exemption.

    6. Notify Mail Services if the location of the USPS Permit/USPS Bulk Mail Entry Unit changes as exemptions to Policy are location based.

  1. Mail Services will notify and make available a list of current exemptions to Audit & Advisory, Purchasing, and Accounts Payable for appropriate follow-up as it pertains to ongoing fiscal controls and compliance.