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Business Publications - Records Checklist

This checklist is designed to give you a general idea of the information and files an ABC auditor will look at during your initial audit. Additional information and documents may be necessary to complete the audit.

• Distribution Records – Worksheets identifying the total number of copies distributed by issue for each circulation category. The worksheet(s) should identify gross paid subscriptions, association, group, bulk, post-expiration copies, adjustments for credit cancellations (direct to publisher and agency), duplication and any other paid, qualified non-paid and non-qualifed non-paid circulation.
  
  
• Establish Descriptions – Define the "Field Served" (business or industries to which the editorial focus of the publication is directed) and the "Definition of Recipient Qualification" (titles or functions or specific individuals within the field served targeted to receive the publication).
  
  These must be non-promotional in nature and be approved by ABC for all issues in the audit period.
  
  
• Circulation Files – a complete file of the total circulation for each issue in the initial audit period. This file should contain specific coding about each subscriber, including:
  • Full name and address
  • Entry data or subscriber information (qualification date)
  • Type of subscription (paid, qualified non-paid, individual, group, association, etc.)
  • State-by-state figues based on ZIP code ranges
  
  
  
• Select an Analyzed Issue – one representative issue that will be reported in the Initial Audit Report.
  
  
• Mail Lists – files of the mail lists for the analyzed issue.
  
  
• Printer's Invoices and Canceled Checks – These confirm that an adequate number of copies were printed for distribution and show that the printer's invoices were paid.
  
  
• Subscriber Documentation – ABC auditors verify the accuracy of a subscriber file through the Subscription Order Test (SOT). During the SOT, a random sample of subscriber names, whether paid or qualified non-paid, is selected from one issue during the audit period. The auditor compares the original sources of the subscriber information against the data on file for these individuals. In doing so, ABC verifies specific subscriber and demographic information including:
  • Business or occupation
  • Job title or function
  • Mailing address
  • Age of source documentation

  Subscriber records may take the form of direct request cards for qualified non-paid circulation, paid subscriptions cards with proof of payment, requests on company letterhead, business directories, lists or other sources. In addition, source documentation and demographics for non-paid subscribers must be no older than 36 months from the date of the issues being audited.

  A worksheet summarizing the qualified non-paid subscribers added to, and removed from the subscriber file for each issue in the audit period is also required.
  
  

• Production Summary – Records of subscriptions sold during each six-month period. The summary should balance to the figures reported in paragraphs 5, 6, 7 and 8 of the Publisher's Statements. Records should be summarized by batch date or processing period (week,day) so the auditor can verify the accuracy of the production figures.
  
  
• Credit Subscriptions – A summary of all subscriptions cancelled for nonpayment on a weekly or monthly basis as well as the total number of copies served to the subscriber. All worksheets used to calculate the credit cancel adjustments must be available to the auditor.
  
  
• Distribution Invoices – including U.S. Postal Service 3541 forms, UPS, Federal Express and any alternative delivery methods for every issue in the initial audit period.
  
  
• Promotion Files – a complete file including direct marketing mailings, radio and television promotions, telemarketing scripts and any premiums offered during the period.
  
  
• Draw and Return Reports – all single-copy distibutors need to have draw and return data available, as well as a supporting audit trail for all issues in the period.
  
  
• Rate Card – the rate card effective during the complete initial audit period.
  
  
• A complete print out of the Nth select – contact ABC's Technical Review and Report Processing department with the total gross paid and qualifed non-paid circulation of the analyzed issue to receive your Nth select. The Nth select is determined starting from a random name within the file and selecting every Nth name thereafter through the file.