[Federal Register Volume 59, Number 98 (Monday, May 23, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-12525]
[[Page Unknown]]
[Federal Register: May 23, 1994]
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POSTAL SERVICE
39 CFR PART 111
Presort Accuracy Validation and Evaluation (PAVE)
AGENCY: Postal Service.
ACTION: Notice of proposed program.
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SUMMARY: The U.S. Postal Service (USPS) published proposed requirements
for a Vendor Presort Software Validation Program in the Federal
Register on April 14, 1992 (57 FR 12893-12901). After receiving written
comments in response to the proposal, the Postal Service decided to
provide additional opportunity for comment. To facilitate the receipt
of additional comments, a public meeting was announced in the Federal
Register on July 21, 1992 (57 FR 32188), and held on August 5, 1992, at
the USPS National Customer Support Center. As a result of comments
received, a withdrawal of the proposed rule was subsequently published
in the Federal Register on September 11, 1992 (57 FR 41716), in order
to publish the following new proposed rule for a Postal Service testing
and certification program of presort software that it intends to name
Presort Accuracy Validation and Evaluation (PAVE).
PAVE, if adopted, would be a voluntary program in which the Postal
Service would, upon request, provide testing for certain categories of
presort software and hardware products to determine their accuracy in
sorting address information according to the mailing standards of the
Domestic Mail Manual (DMM). This program would assure those using
presort software packages that a PAVE-certified product, if used
properly, would have the capability of performing its intended function
according to the current mailing standards of the Postal Service.
Because make-up errors in mail preparation cannot be eliminated via
software alone, the use of a PAVE-certified presort product to produce
a mailing would not assure rate eligibility. As part of this program,
manufacturers of certified presort software would need to inform users
of their products that proper use of presort software (e.g., selecting
appropriate options for a given sortation, using the correct parameter
settings, etc.) would remain critical to ensuring accurate sortation.
The Postal Service is seeking comments from interested parties,
including developers and users of presort products, to ensure the most
effective design and implementation of this proposed program.
DATES: Comments must be received on or before June 15, 1994.
ADDRESSES: Written comments should be mailed or delivered to the
Manager, Business Mail Acceptance, 475 L'Enfant Plaza SW., room 8430,
Washington, DC 20260-6808. Copies of all written comments will be
available for inspection and photocopying between 9 a.m. and 4 p.m.,
Monday through Friday at the above address.
FOR FURTHER INFORMATION CONTACT: George T. Hurst, (202) 268-5232, or
Lynn Martin (202) 268-5176.
SUPPLEMENTARY INFORMATION: Many mailers rely on computer software to
generate mailings for postage discounts. Two areas where computer
software has proved particularly advantageous in mail production are
the matching and coding of individual address records and the
presorting of address lists. To validate the accuracy of address
matching software, the Postal Service has established the Coding
Accuracy Support System (CASS), which provides a common platform to
measure the quality of this software. The Postal Service proposes, with
this notice, the implementation of a similar program to validate the
accuracy of presort software products in specific presort categories.
This program would be voluntary and available to all developers of
presort products that sort address information according to the presort
standards of the DMM. It would be available to test products configured
for personal, mid-range, or main frame computers including mail-sorting
optical character readers. The Postal Service does not propose that the
use of PAVE certified software be mandatory for obtaining presort
postage discounts.
For purposes of PAVE certification, eligible presort product
developers are defined as those firms that initially develop a presort
product, regardless of commercial availability. This definition also
includes those that make modifications that alter the sorting logic,
documentation generation capability, or add to or revise the original
parameters of a software product.
A presort product is defined as a complete set of computer program
modules or equipment that presorts address lists or mailpieces
according to DMM standards for one or more types of mailings.
Program Overview
Developers of presort software and/or hardware would apply for PAVE
certification of their products. On receipt of the application, the
Postal Service would forward the appropriate test file of address
records to the developer. The developer would sort the file with its
presort product and print documentation supporting accurate sortation
and rate application (along with other documentation printed by the
software). This information, along with the original media, would be
returned for evaluation to the USPS National Customer Support Center
(NCSC) within a specified time frame.
The Postal Service would then evaluate the documentation for
presort accuracy. In addition, the Postal Service would evaluate the
accuracy, format, and content of; required postal documentation (where
applicable), facsimile mailing statements (if generated), and any other
postal forms generated by the software product in the category being
tested.
If the Postal Service determines that the presort product satisfies
the current presort standards, the developer would be issued a PAVE
certificate for that product in that category. The certification would
be good for 1 year, or until the next PAVE cycle. PAVE testing would be
conducted from August through December, as detailed further in this
notice. A list of PAVE-certified software/hardware developers would
then be published in the Postal Bulletin (or a similar publication/
listing as is currently used for CASS/MASS certified vendors).
Selecting Specific Presort Categories
The Postal Service would not be able to test individually all
presort categories every year. The Postal Service would choose a
limited number of presort categories annually for PAVE testing. Presort
product developers would be notified of the new test categories as well
as any changes made to previous tests to be evaluated in the next PAVE
cycle approximately 3 months in advance of actual testing, so that
developers could prepare for and order the appropriate test files.
Presort categories would be chosen based on, but not limited to,
the following criteria:
Presort categories most often used by different mailers
(to ensure testing of the most commonly used products).
Presort categories where significant mail preparation
error is being detected by the Postal Service.
Presort categories that are relatively new.
For the first PAVE test cycle, the Postal Service proposes the
following domestic presort categories:
Presorted First-Class.
First-/third-class barcoded letter-size:
--Tray-based.
--2-Tier package-based.
--3-Tier package-based.
Second-class presort (carrier route, 3/5 digit, and
basic).
Third-class presort (3/5 digit and basic).
Third-class carrier route presort.
A presort product developer requesting one or more of the files for
PAVE testing would also receive a technical guide that details
specifications for each test category. These specifications would
include such information as:
Mailpiece specifications (mailpiece thickness, weight,
length, and height).
Mail processing category.
Maximum pieces to a tray (if applicable).
Minimum pieces to a tray (if 3/4 full tray is a pertinent
criteria).
Mail entry point.
Sortation levels allowed (if applicable).
Overflow trays (if allowed).
Total number of records (addresses) contained in the file.
OCR Testing
As detailed later, all the test files would be provided to
requesting presort product developers in electronic media (magnetic
tape, cartridge, and diskette). However, for optical character reader
(OCR) applicants, the Postal Service would provide the First-/third-
class barcoded letter-size test(s) as a physical test deck of actual
mailpieces. The Postal Service proposes that the physical test deck,
rather than an electronic file, would better accommodate the actual
sortation process of an optical character reader.
This physical test deck would be similar to that used in MLOCR
Accuracy Support System (MASS) testing, consisting of several thousand
sample mailpieces that would be sent to the applicant's location for
OCR presorting. The entire test deck would be presorted as would a
regular mailing in that particular category, trayed, labeled, and
documented, and then returned to the Postal Service for PAVE
evaluation.
Similar to other PAVE participants, eligible OCR participants would
consist of those manufacturers that initially developed the presort
software product used in the OCR, regardless of commercial
availability, or those that made modifications that alter the sorting
logic, documentation generation capability, or add to or revise the
software's original parameters.
Test Cycle and Frequency
The Postal Service proposes the following PAVE test cycle for 1994:
1. Submitting Applications (August 1-31)
Software developers would complete and forward order forms for a
specific test file(s) to the Postal Service for receipt no later than
August 31.
2. Distributing of Test Files (September 1-30)
NCSC would mail the test file(s) to requesters during this period.
3. Returning Test Files (September 1-October 15)
Presort product developers would process the test file through the
presort product being tested and return the sorted file, along with
hard copy documentation supporting accurate sortation and rate
application, for receipt by NCSC no later than October 15.
4. Evaluating and Responding (November 15-December 15)
The Postal Service would examine the hard copy documentation for
accuracy and provide evaluation results to the presort product
developer no later than December 15.
5. Retesting (November 15-December 31)
Developers would have this period to request, process, and be
reevaluated on those test(s) that they had failed in the initial test
cycle.
6. Publishing PAVE-Certified Developers (January, 1995)
A list of PAVE-certified presort product developers, product names,
version numbers, and presort categories would be published in the
Postal Bulletin (or a similar publication/listing as is currently used
for CASS/MASS certified vendors).
Note: Although the Postal Service proposes the above PAVE cycle
to establish reasonable time frames and cut-off dates for each
process, steps 2 through 5 would be expedited where possible.
Application Process
To apply for PAVE certification, eligible presort product
developers would complete the order form shown as Exhibit A of this
notice. Only one form would be necessary regardless of the number of
presort categories being applied for. The completed form would be sent
to the following address: Pave Certification Program, National Customer
Support Center, United States Postal Service, 6060 Primacy Pky Ste 101,
Memphis, TN 38188-0001.
PAVE Test Files
PAVE test files would vary in record quantity and ZIP Code variety
depending on the presort category being tested. However, all the
address records in the files would consist of randomly selected primary
street records appropriate for the ZIP Code, ZIP+4 code range, or
delivery point code numerics used (the correction character numerics
would not be included). This use of error-free addresses would
eliminate problems arising from presort products that incorporate some
address verification mechanisms prior to sortation.
The test files would be configured in the following media:
Magnetic Tape:
--6250 BPI EBCDIC.
--6250 BPI ASCII.
--1600 BPI EBCDIC.
--1600 BPI ASCII.
Cartridge:
--IBM 3480 38K.
Diskette:
--3-\1/2\'', 1.44 Megabyte MS-DOS.
--5-\1/4\'', 1.2 Megabyte MS-DOS.
Physical Test Deck (for OCR software/hardware developers
only)
--Standard #10 white window envelopes (4-\1/8\'' x 9-\1/2\'') made of
24 pound basis weight paper stock with inserts preprinted with OCR-
readable addresses and POSTNET barcodes.
Processing Test Files and Providing Documentation
Once received, the developer would sort the test file(s) at its
location with its presort product according to the presort category
being examined. The developer would generate hard copy documentation to
support the accurate sortation and rate application of the addresses on
the test file. This would include such information as the following:
Documentation required to accompany the mailing statement
(if applicable).
Tray/package audit trails.
Tray, sack, label generation (samples of each type).
Summary reports.
Parameter reports (parameters used to run the test file).
In addition, the developer would generate (as an output of this
test run) and submit for PAVE evaluation other forms of documentation
available to users of the product, such as:
Mailing statement facsimiles (if mailing statement
facsimiles are not generated by the software product, the manufacturer
would have to provide rate qualification totals for PAVE
certification).
Other postal forms facsimiles.
At previous commenters' requests, the Postal Service considered the
possibility of having developers send their products to the Postal
Service for PAVE testing rather than providing test files to be
processed at developers' locations. After initial review, this was felt
to be inefficient or inappropriate for the following reasons:
Various operating platforms/systems might not be available
for the Postal Service to run all the products.
Postal Service examiners would likely require in-depth
training on many products in order to evaluate their capabilities
properly.
Tests might become too subjective given examiner's varying
knowledge of different products.
Security and liability issues might arise given the
receipt and usage of presort software programs not otherwise available
to the general public or in advance of their commercial release.
Evaluating PAVE Tests
Evaluating a returned test would consist of the Postal Service
examining the required hard copy reports returned by the presort
product developer and, for OCR evaluation, the physical test deck. This
evaluation would focus primarily on proper sortation according to DMM
standards but would also include an examination of the content and
clarity of supporting documentation (required to accompany mailing
statements), the content, format, and clarity of facsimile postal
forms, as well as the accuracy of other computer-generated
documentation submitted. To be PAVE-certified, the examination would
have to conclude that the results were in complete accord with the DMM
standards that were applicable at the time of the test.
In many cases DMM presort standards allow for a range of correct
answers to a specific sortation. As an example, the precise number of
pieces to a tray or sack is not mandated by standard. Changing this
parameter can create different mailings from the same address list and
yet still satisfy DMM standards. For this reason, no one specific (or
optimum) answer would be mandated under PAVE certification unless only
one answer was correct on a specific issue.
PAVE Certification
PAVE certification would be valid for 1 year or until the next PAVE
cycle. For those choosing to test during the normal test cycle, PAVE
certification would be valid from January to January. Upon successful
test evaluation, developers would be contacted by the Postal Service in
writing and issued a PAVE certificate noting the specific software
tested, the categories tested, the date of certification, and the date
of certification expiration.
A list of all PAVE-certified presort product developers would be
published in the Postal Bulletin or a similar publication/listing as is
currently used for CASS/MASS-certified listings. This list would
include the developers name, product name, version numbers, certified
presort categories, and a company contact name and telephone number.
PAVE certification would not remain valid if a presort product
developer made significant changes to its product within the 12 months
following certification. Developers initiating such product changes
would need to apply for certification for this new, changed product. A
significant change would be a key alteration of the product's basic
sortation logic; a major change in the content, layout, format, or
availability of computer generated documentation or facsimiles, or a
modification that results in significant differences in software
operator use.
Some software changes would not be significant enough to require
recertification. PAVE-certified presort product developers would be
required to notify the Postal Service whenever changes were made to
their certified products to determine whether recertification were
necessary. To aid in the quick release of improved presort products to
accommodate mailing industry needs, the Postal Service proposes the
establishment of a toll-free telephone number, to obtain information on
whether the changes would warrant recertification.
DMM-Initiated PAVE Cycle
Any significant change in the make-up and preparation standards for
presorting might intersect the normal 12-month PAVE certification
period. Such a change might require a presort product developer to
modify its product enough to trigger a recertification or a DMM-
initiated PAVE cycle. To provide time for recertification, the Postal
Service would attempt to delay implementation of significant presort
standard changes (those deemed significant enough to require
recertification) by 120 days whenever practicable. The Postal Service
would implement these changes 120 days after the final date of
notification (i.e., the date of publication of the final Federal
Register rule) whenever possible. (Some changes, such as those
resulting from congressional action or postal rate commission
proceedings, might require more immediate implementation.)
If the Postal Service conducted PAVE testing out of the normal
cycle to accommodate such DMM changes, presort products tested and
approved during this time would maintain certification for 1 year
beyond the next normal test period. For instance, if a DMM change
became effective May 1995, a presort product that became PAVE-certified
in July 1995 (out of cycle to meet the new standard) would be issued a
PAVE certificate valid from July 1995 until January 1997 (unless
further DMM changes warranted significant software updating).
Out-of-Cycle Fees
Participating in the PAVE certification program during the normal
testing cycle would be free of charge. In those instances when a DMM-
initiated PAVE cycle was conducted, participation would also be free of
charge. A fee, however, would be charged for those participating in the
PAVE program outside the normal test cycle. This fee would be assessed
as follows:
Test File--Initial presort category (file generation, postage and
handling)--$50.00
($10.00 for each additional test category requested at the same
time)
Certification--Results evaluation (presort analysis and documentation
review)--$200.00
($25.00 for each additional test category submitted at the same
time)
Minimum Fee--$250.00
Out-of-cycle PAVE certifications would expire at the end of the
next normal test cycle (e.g., a certification obtained in June would
expire December 31 of that same year).
PAVE Test Failures
Participants would receive notification of errors during PAVE test
evaluations so that retesting could be accomplished within the normal
PAVE cycle. Although November 15 through December 31 is proposed as an
established time frame for retesting, the Postal Service would strive
to expedite the mailing and evaluation of retests whenever possible.
The first 2 attempts for a specific category would be free of charge.
All subsequent certification attempts would be charged the out-of-cycle
fees.
Software not achieving certification prior to December 31 would not
be included in the list of PAVE-certified presort product developers to
be published in January of each year.
Standardization of Testing Data
Based on a variety of previous comments, the Postal Service would
not mandate standardization of presort software documentation, layout,
and format with this proposal. The mailing documentation currently
generated by presort software would be evaluated to ensure that all
data necessary to support the rates claimed in the mailing category
tested were present and could be readily identified and understood.
The Postal Service believes, however, that eventually a more common
framework for test results needs to be established to have an
efficient, accurate PAVE review and certification process.
The Postal Service proposes to explore the feasibility of having
software manufacturers return an electronic file rather than hard copy
documentation for future PAVE testing. From this electronic file, the
Postal Service could perform computer analysis of PAVE test results,
begin to develop analysis software for a computer grading solution, or
print documentation in a common format for ease of review. In order to
pursue this concept, the Postal Service would need to establish a
common electronic file structure with standardized data fields.
Although the issue of using an electronic file is not specifically
part of this proposed rule (hard copy documentation is proposed for
manual evaluation for initial PAVE tests), comments concerning its
eventual implementation are requested. A potential file structure has
been drafted and is available on request to those wishing to comment on
its content and layout.
BILLING CODE 7710-12-P
TP23MY94.000
TP23MY94.001
BILLING CODE 7710-12-C
Stanley F. Mires,
Chief Counsel, Legislative.
[FR Doc. 94-12525 Filed 5-20-94; 8:45 am]
BILLING CODE 7710-12-P