[Federal Register Volume 63, Number 165 (Wednesday, August 26, 1998)]
[Proposed Rules]
[Pages 45440-45443]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-22937]


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POSTAL SERVICE

39 CFR Part 111


New Specifications for Automated Flats

AGENCY: Postal Service.

ACTION: Proposed Rule.

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SUMMARY: The flat sorting machine (FSM) 1000 is capable of processing 
mailpieces that cannot be processed on the FSM 881. FSM 1000 machines 
are being retrofitted with barcode readers. Mailpieces that currently 
do not qualify for automation flat rates will be eligible for the 
automation flat rates if their pieces meet the size and other criteria 
for processing on the FSM 1000 as described below, are prepared with 
correct ZIP+4 or delivery point barcodes, and meet other preparation 
requirements.

DATES: Comments must be received on or before September 16, 1998.

ADDRESSES: Mail or deliver written comments to the Manager, Mail 
Preparation and Standards, USPS Headquarters, 475 L'Enfant Plaza SW, 
Room 6800, Washington DC 20260-2405.
    Copies of all written comments will be available for inspection and 
photocopying at USPS Headquarters Library, 475 L'Enfant Plaza SW, 11th 
Floor N, Washington, DC between 9 a.m. and 4 p.m., Monday through 
Friday.

FOR FURTHER INFORMATION CONTACT: Karen A. Magazino, (202) 268-3854.

SUPPLEMENTARY INFORMATION: On October 4, 1998, the USPS plans to extend 
the automation flats rates to pieces prepared as automated flats that 
meet the physical mailpiece requirements for the FSM 1000 flat sorting 
machine.
    Deployment of 340 FSM 1000s is near completion in major processing 
and distribution centers nationwide. Barcode reader deployment for the 
FSM 1000s will be completed by February 1999. Newspapers, tabloids, 
heavier magazines, catalogs, and many kinds of polywrap that cannot be 
processed on existing FSM 881 equipment can be processed on FSM 1000 
equipment and will now be able to qualify for automation discounts. 
Newspapers and tabloids must have two folds; the second fold must be 
perpendicular to the original fold.
    Testing has shown that larger pieces can be processed on FSM 1000 
machines. Separate size, weight, and thickness dimensions for mail that 
can be processed on the FSM 1000 will be added to the eligibility 
criteria for automation flat rates in Domestic Mail Manual (DMM) C820. 
The FSM 1000 can process a piece up to 12 inches high by 15\3/4\ inches 
in length. For the FSM 1000, the length is the longest edge except that 
for pieces that are folded or have a bound edge, the dimension parallel 
to the folded or bound edge is the length. (This is different than the 
definitions of length and height for mailpieces processed on FSM 881s, 
for which the dimension parallel to the folded or bound edge is the 
height.) The dimensions for folded pieces or pieces with a bound edge 
processed on the FSM 1000 increase 3\3/4\ inches in length (i.e., the 
bound edge) but decrease 3 inches in height (i.e., the edge 
perpendicular to the bound edge). The minimum dimensions for all flats 
processed on the FSM 1000 is 4 inches height by 4 inches length 
provided the mailpiece is thicker than \1/4\ inch. Mailpieces up to 5 
inches in length must be at least \1/4\ inch thick. The minimum 
thickness for pieces 5 inches or more in length is 0.009 inch thick.
    Testing of flat mailpieces demonstrated that as the length of the 
piece decreases the thickness may increase. The maximum thickness 
requirements for the FSM 1000 mail are 1.25 inches if the mailpiece is 
13 inches long or less. Flats longer than 13 inches up to 15\3/4\ 
inches cannot exceed \7/8\ inch thick. Test results showed that pieces 
within these dimensions meet the flexibility criteria for the FSM 1000; 
therefore, specifications for FSM 1000 pieces do not contain separate 
flexibility rules.
    The maximum weight for First-Class mail pieces processed on the FSM 
1000 will be 11 ounces (13 ounces after rate case implementation, 
January 10, 1999), up to 16 ounces for Standard Mail A, and 6 pounds 
for Periodicals.
    For pieces processed on the FSM 1000 the correct and properly 
prepared POSTNET barcode must be placed at least \1/8\ inch from any 
edge of the mailpiece however, since there has been a demonstrated 
``slump'' on certain mailpieces we strongly recommend at least 2 inches 
from the dimension that is the length (the longest edge or, if bound or 
folded, the bound or folded edge).
    For pieces processed on the FSM 1000 barcode requirements found in 
C840.4.0, C840.5.0 and C840.6.0 still apply.
    Pieces to be processed on the FSM 1000 may be prepared with 
polywrap under the guidelines specified in Postal Bulletin 21940 (2-27-
97), except that only physical property number 2, haze, will be 
required for pieces to be processed on the FSM 1000. Pieces prepared 
with FSM 1000 approved polywrap must bear a separate marking from 
pieces prepared with FSM 881 approved polywrap to indicate the flat 
sorting machine for which the polywrap was approved. Mailers will be 
given a 6 month grace period to begin using the new polywrap markings 
that specify whether it is FSM 881 approved or FSM 1000 approved.
    Although the Postal Service is extending the discount to pieces 
that can be processed on FSM 1000 equipment, it does not wish to 
encourage mailers to prepare pieces in a manner that would cause them 
to migrate from the more productive FSM 881 machines to processing on 
the FSM 1000 machines. In addition to productivity concerns, a large 
migration could also cause equipment capacity problems. Therefore, the 
Postal Service is proposing that in order to qualify for the automation 
flats rates, mailpieces that meet the current automation flat

[[Page 45441]]

height, length, thickness, and weight dimensions applicable to the FSM 
881 machines under DMM C820.2.0 must continue to meet the current 
specifications for turning ability and deflection (current DMM 
C820.5.0, proposed DMM C820.6.0), and if prepared with polywrap, 
continue to meet all the polywrap criteria in Postal Bulletin 21940 (2-
27-97) including physical properties 1 through 7.
    When presorting mail for the automation flat-size rates, pieces 
meeting the FSM 881 dimensions must be prepared in separate packages 
from pieces that meet the FSM 1000 dimensions. When preparing packages 
of pieces meeting the dimensions for the FSM 881, mailers may combine 
pieces of non-identical weights provided appropriate postage payment 
methods are used. Likewise, within a package of pieces meeting the 
dimensions for the FSM 1000, mailers may combine pieces of non-
identical weights provided appropriate postage payment methods are 
used. Separate package minimums must be met for each type of package 
(i.e., 10 pieces per package for First-Class and Standard Mail (A) and 
6 pieces per package for Periodicals). This will allow packages of mail 
to be sorted to the appropriate flats processing equipment at sack or 
tray opening units and at pallet breakdown operations. Both types of 
automation flats packages (FSM 881 and FSM 1000 packages) may be placed 
in the same tray (First-Class) or in the same sack (Periodicals and 
Standard Mail (A)). For Periodicals and Standard Mail (A) both types of 
automation flats packages (FSM 881 and FSM 1000 packages) may be placed 
on the same pallet.
    In addition, for Periodicals sacked mail, FSM 881 and FSM 1000 
packages may be combined with nonautomation packages in 3-digit, SCF, 
ADC, and mixed ADC sacks and/or pallets. Periodicals automation flats 
packages must be placed in separate 5-digit sacks from Periodicals 
nonautomation packages. First-Class and Standard Mail (A) mailings, 
automation rate mail must continue to be separately trayed (First-
Class) or sacked (Standard Mail (A)) or palletized from nonautomation 
rate mail.
    Although exempt from the notice and comment requirements of the 
Administrative Procedure Act (5 U.S.C. 401(a), the Postal Service 
invites comments on the following proposed revisions of the Domestic 
Mail Manual, incorporated by reference in the Code of Federal 
Regulations. See 39 CFR Part 111.

List of Subjects in 39 CFR Part 111

    Postal Service.

PART 111--[AMENDED]

    1. The authority citation for 39 CFR part 111 continues to read as 
follows:

    Authority: 5 U.S.C. 552(a); 39 U.S.C. 101, 401, 403, 404, 3001-
3011, 3201-3219, 3403-3406, 3621, 3626, 5001.

    2. Amend the Domestic Mail Manual as set forth below:

C  CHARACTERISTICS AND CONTENT

C800  Automation-Compatible Mail

* * * * *

C820  Flats

[Amend 1.0 by changing the term ``7.0'' to ``8.0'' and adding 
additional standards for FSM 881 and FSM 1000 pieces to read as 
follows:]
1.0  BASIC STANDARDS
    Flats claimed at automation rates must meet the standards in 1.0 
through 8.0 and the general and specific standards for mailability and 
the class of mail and rate claimed. Pieces meeting the dimensions for 
FSM 881 processing under 2.0 (height, length, thickness and weight) 
must also meet the turning ability and deflection requirements in 6.0 
in order to qualify for the automation flats discount. If polywrap is 
used with pieces meeting the dimensions under 2.0, the polywrap must 
meet all of the physical properties in Exhibit 4.1a in order to qualify 
for the automation flats discount. Pieces that do not meet the 
dimensions for height, length, thickness and weight under 2.0 (FSM 881 
pieces), but that meet the dimensions in 3.0 are designated as FSM 1000 
pieces. Such FSM 1000 pieces need not meet the turning ability and 
deflection requirements in 6.0 and, if prepared with polywrap, the 
polywrap must only meet physical property number 2 in Exhibit 4.1a.

[Amend the heading of 2.0 to read as follows.]
2.0  DIMENSIONS FOR FSM 881 PROCESSING
* * * * *
[Delete the second sentence of section 2.3 b(2).]
* * * * *
[Redesignate 3.0 through 7.0 as 5.0 through 9.0, respectively. Insert 
new 3.0 and 4.0 to read as follows.]
3.0  DIMENSIONS FOR FSM 1000 PROCESSING

3.1 Determining Length and Height

    The length and height of an automation compatible flat-size 
mailpiece is not determined by the orientation of the address. Instead, 
for this standard:
    a. For a piece prepared as a single sheet or in an envelope, full 
length wrapper, or full-length sleeve, the length is the longest 
dimension. The height is the dimension perpendicular to the length.
    b. For a piece that has a bound or folded edge ( e.g., a newspaper, 
tabloid, heavier magazine and catalog), the length is the dimension 
parallel to the bound or folded edge. The height is the dimension 
perpendicular to the length. If the piece is folded more than once or 
bound and then folded, the length of the mailpiece is based on the 
final fold.

3.2  Final Fold

    A flat-size piece with a final fold must be designed so that the 
address is in view when the final folded edge is to the right and any 
intermediate bound or folded edge is at the bottom.

3.3  Shape and Size

    Pieces must meet the following requirements:
    a. Height: no more than 12 inches or less than 4 inches high.
    b. Length: no more than 15\3/4\ inches or less than 4 inches long.
    c. Minimum Thickness:
    (1) Pieces at least 5 inches long, 0.009 inch thick.
    (2) Pieces at least 4 inches long, but less than 5 inches long, 
0.25 inch thick.
    d. Maximum thickness:
    (1) Pieces 13 inches long or less, the maximum thickness is 1.25 
inches thick.
    (2) Pieces longer than 13 inches up to and including 15\3/4\ inches 
the maximum thickness is \7/8\ inch thick.

3.4  Maximum Weight

    Maximum weight limits are as follows:
    a. For First-Class Mail, 11 ounces (13 ounces as of January 10, 
1999).
    b. For Periodicals, 6 pounds.
    c. For Standard Mail (A), less than 16 ounces.
4.0  COVERINGS

4.1  Polywrap Films

    The Postal Service will allow plastic manufacturers to use the 
results of their American Standard Testing Methods (ASTM) product tests 
to certify that the polywrap films meet or exceed the minimum 
requirements for the physical properties outlined in Exhibit 4.1a and 
Exhibit 4.1b

[[Page 45442]]

USPS Polywrapped Flats Mailing Specifications for FSM 881

Exhibit 4.1a--Physical Properties
    Automation flat pieces that meet the height, length, thickness, and 
weight dimensions for the FSM 881 in 2.0 must meet all seven properties 
on this table. Automation flat pieces that do not meet the height, 
length, thickness, or weight dimensions in 2.0, but meet the dimensions 
for the FSM 1000 in 3.0, may be prepared with polywrap that only meets 
property number 2, haze.

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               Property                       Requirement              Test method               Comment        
----------------------------------------------------------------------------------------------------------------
1. Kinetic Coefficient of Friction,    <0.28....................  ASTM                   Stainless steel finish 
 MD.                                                              D1894                   must be in accordance 
                                                                                          with ASTM A 480/A     
                                                                                          480M.                 
  a. Film on Stainless Steel with No.                                                                           
   8 (Mirror) Finish                                                                                            
b. Film on Film......................  0.20 to 0.40.............  ASTM                                          
                                                                  D1894                                         
2. Haze..............................  <70......................  ASTM                   Address labels are an  
                                                                  D1003                   alternative to meeting
                                                                                          this requirement.     
3. Secant Modulus, 1% elongation a.    >40,000..................  ASTM                                          
 TD, psi.                                                         D882                                          
b. MD, psi...........................  >50,000..................  ASTM                                          
                                                                  D882                                          
4. Tensile Strength TD, psi..........  >2,000...................  ASTM                                          
                                                                  D882                                          
MD, psi..............................  >3,000...................  ASTM                                          
                                                                  D882                                          
5. Density, g/cc.....................  0.900 to 0.950...........  ASTM                                          
                                                                  D1505                                         
6. Nominal Gauge, in.................  >0.001...................  ASTM                                          
                                                                  D374                                          
7. Static Charge, kv.................  <2.0.....................  ASTM                   Antistatic additives   
                                                                  D4470                   can regulate this     
                                                                                          charge.               
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Exhibit 4.1b--Configuration Requirement Wrap Instruction
    1. The polywrapped flat shall be machinable according to USPS-STD-
28A and as outlined in DMM 53 section C820 Flats. Shrink wrapped 
mailpieces shall be approved if they conform to the machinable flat 
requirements according to USPS-STD-28A and as outlined in DMM53 section 
C820 Flats.
    2. Wrap direction shall be specified as around the shorter axis of 
the mailpiece so that the seam is along the addressed side of the 
mailpiece, oriented from top to bottom. This seam must not cover any 
part of the address and barcode read areas.
    3. Overhang of not more than 1.5 inches of polywrap shall be 
allowed at the top of the mailpiece when the contents are shaken down 
to the bottom of the package. Overhang on the sides shall not be more 
than 0.25 inch, however, the piece shall not be wrapped so tightly as 
to deform the product.

4.2  Polywrap Certification Process

    The polywrap certification program requires plastic manufacturers 
to obtain and provide an official certification of conformance from 
ASTM that their polywrap material meets the USPS Polywrap Flats Mailing 
Specifications described in Exhibit 4.1a and Exhibit 4.1b. Prior to 
their initial mailing, mailers must submit for evaluation barcoded 
sample pieces that meet both applicable DMM mailing standards for 
automated flats and the minimum standards for polywrapped flats. 
Mailpiece design analysts (MDAs) must authorize a mailer to claim the 
automation rates for flats for any flat-size barcoded piece prepared in 
a polywrap film that has been independently certified if the prepared 
mailpiece meets all other mail preparation standards for polywrapped 
flats such as overhang, seam, static and barcode readability. Local 
Business Mail Entry Units are to notify the MDA of any barcoded, 
polywrapped mailing submitted, claiming automation rates for flats that 
does not meet the wrapping requirements for polywrapped pieces.

4.3  Submission of Samples for Evaluation

    A mailer who wishes to have sample pieces reviewed for 
authorization must submit samples to the Manager, business Mail Entry 
for review by an MDA. Each sample submitted must consist of at least 30 
polywrapped barcoded sample mailpieces with a Certification of 
Compliance that the polywrap material meets the physical property 
specifications in Table 1 and Table 2, for the FSM 881 mailpieces and 
the FSM 1000 mailpieces.

4.4  Mailpiece Identification

    Once approved for entry at the automation rates for flats, a 
mailing must be endorsed to show that it is an automation-compatible 
polywrapped flat-size piece. The mailer may meet this requirement by 
adding ``USPS (company name of vendor) FSM 881 Approved Automatable 
Polywrap'' or ``USPS (company name of vendor) FSM 1000 Approved 
Automatable Polywrap,'' as applicable, on the address side of the 
piece, preferably below the postage area or in another visible location 
on the outside of the mailpiece. The polywrap endorsement may also be 
printed directly on the polywrap material. Other locations for the 
endorsement and abbreviation for the company name are acceptable if 
approved by the MDA. Mailer's not currently using the appropriate 
mailpiece identification marking will have until April 4, 1999, to 
comply.

4.5  Suspension of Approval

    Any mailing found to be improperly prepared will not be accepted at 
the automation rates for flats. The repeated submission of non-
machinable mailings is cause for exclusion from the polywrap flat 
automation rates.

[Delete renumbered 5.1. Renumber 5.2 and 5.3 as 5.1 and 5.2.]
* * * * *
6.0  TABS, WAFER SEALS, TAPE, AND GLUE
[Amend the first sentence in renumbered 5.0 to clarify that tabs,

[[Page 45443]]

seals, tape and glue are not required, to read as follows.]

    Although not required, mailpieces may be prepared with tabs, wafer 
seals, cellophane tape, or permanent glue (continuous or spot) if these 
sealing devices do not interfere with the recognition of the barcode, 
rate marking, postage information, and delivery and return addresses.
7.0  TURNING ABILITY AND DEFLECTION

7.1  Turning Ability

[Amend renumbered 6.1 by adding ``881'' to read as follows:]

    A flat-size mailpiece meeting the FSM 881 dimensions in 2.0 must 
fit between two concentric arcs drawn on a horizontal flat surface, one 
with a radius of 15.72 inches and the other with a radius of 16.72 
inches in one of these ways:

7.2  Deflection

[Renumber Exhibit 5.2 as Exhibit 6.2; amend renumbered 6.2 by adding 
``881'' to read as follows:]

    A flat-size mailpiece meeting the FSM 881 dimensions in 2.0 must be 
rigid enough so that, when placed flat on a surface to extend 
unsupported 5 inches off that surface, no part of the edge of the piece 
that is opposite the bound, folded, or final folded edge (as 
applicable) deflects more than 1\3/4\ inches (if the piece is less than 
\1/8\ inch thick) or more than 2\3/8\ inches (if the piece is from \1/
8\ to \3/4\ inch thick). See Exhibit 6.2.
* * * * *

C840  Barcoding Standards

* * * * *
3.0  BARCODE LOCATION--FLAT-SIZE PIECE
[Revise 3.0 to read as follows:]

    On any flat-size piece claimed at an automation rate the barcode 
may be anywhere on the address side that is at least \1/8\ inch from 
any edge of the piece. For FSM 1000 pieces, is it preferred that the 
barcode be placed at least 2 inches from the dimension that is the 
length for that type of automation piece (the longest edge, or for 
pieces with a folded or bound edge, the folded or bound edge). That 
portion of the surface of the piece on which the barcode is printed 
must meet the reflectance standards in 5.0. The address side may bear 
only one POSTNET-format barcode (i.e., the correct barcode for the 
delivery address on the mailpiece). Other mailer-applied non-POSTNET 
barcodes may appear on the address side if their format is not 
intelligible or not confusing to automated postal equipment. Address 
block barcodes are subject to the standards in 2.5a through 2.5e.
* * * * *

M820  Flat-Size Mail

1.0  BASIC STANDARDS
* * * * *
[Revise the second sentence of 1.5 to read as follows:]

1.5  Package Preparation

    All pieces must be prepared in packages. Firm packages must not be 
included in mailings prepared under M820. Pieces meeting the size 
dimensions for the FSM 881 under C820.2.0 must be prepared in separate 
packages from pieces that do not meet the FSM 881 dimensions (but that 
meet the dimensions for FSM 1000 processing). Each FSM 881 package and 
each FSM 1000 package must separately meet the package size minimum 
number of pieces in 2.1, 3.1, or 4.1 as applicable for the class of 
mail. When the total number of FSM 881 or FSM 1000 pieces for a 
specific presort destination (e.g., the 5-digit ZIP Code 12345) meets 
or exceeds the applicable minimum package size, the pieces for that 
presort destination must be banded into a package or packages labeled 
to that presort destination in accordance with the standards for the 
rate claimed. The physical size of each package for that specific 
presort destination may contain the exact package minimum, more pieces 
than the package minimum, or fewer pieces than the package minimum 
depending on the size of the pieces in the mailing or the total 
quantity of the pieces to that destination. Rate eligibility is not 
affected when a physical package for a presort destination contains 
fewer pieces than the minimum package size for the above reasons, 
provided the total number of FSM 881 pieces physically packaged for 
that presort destination, or provided the total number of FSM 1000 
pieces physically packaged for that presort destination, meets or 
exceeds the rate eligibility package minimum under E140, E240, or E640.
[Renumber 1.6 and 1.7 as 1.7 and 1.8, respectively, and insert new 1.6 
to read as follows.]

1.6  Sack Preparation

    Mailers may combine FSM 881 packages and FSM 1000 packages in the 
same tray (First-Class Mail) or in the same sack (Standard Mail (A) and 
Periodicals).
* * * * *
[Amend the heading of renumbered 1.8 to read ``Exception--Periodicals 
Packages.'']
[Insert new 1.9 to read as follows.]

1.9  Exception--Periodicals Automation and Nonautomation

    For Periodicals, packages of automation mail (both FSM 881 and FSM 
1000 packages) prepared under 3.1 and packages of nonautomation mail 
prepared under M200.2.4 c-f may be sacked together under 3.2 d-e and 
3.3. Automation and nonautomation packages may not be combined in 5-
digit sacks. Under this exception, documentation required under P012 
must identify the mail claimed at each rate by package and sack 
sortation level. Under this exception, nonautomation mail continues to 
qualify for rates under E230 and automation mail continues to qualify 
for rates under E 240 (i.e., rates for pieces in automation flats 
packages are based on the package level and rates for pieces in 
nonautomation flats packages are based on the package and sack level).
* * * * *
    An appropriate amendment to 39 CFR 111.3 to reflect these changes 
will be published if the proposal is adopted.

Stanley F. Mires,

Chief Counsel, Legislative.
[FR Doc. 98-22937 Filed 8-25-98; 8:45 am]
BILLING CODE 7710-12-P