[Federal Register Volume 67, Number 74 (Wednesday, April 17, 2002)]
[Proposed Rules]
[Pages 18842-18845]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-9306]


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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 Automated Flat Sorting Machine (AFSM) 100 represents the 
next step into the automated processing environment envisioned for 
flats mail. Mailpieces that currently qualify for automation flat rates 
under FSM 881 standards (Domestic Mail Manual C820.2.0) will be 
eligible for the automation flat rates provided the pieces meet the 
physical criteria for processing on the AFSM 100 and other preparation 
requirements.

DATES: Comments must be received on or before May 6, 2002.

ADDRESSES: Mail or deliver written comments to the Manager, Mail 
Preparation and Standards, Postal Service Headquarters, 1735 N Lynn 
Street, Room 3025, Arlington VA 22209-6038. Copies of all written 
comments will be available for inspection and photocopying at Postal 
Service Headquarters Corporate Library, 475 L'Enfant Plaza, SW, Room 
11800, Washington, DC, between 9 a.m. and 4 p.m., Monday through 
Friday.

FOR FURTHER INFORMATION CONTACT: Karen A. Magazino, (703) 292-3644.

SUPPLEMENTARY INFORMATION: AFSM 100 deployment will be completed in 
April 2002 with 534 systems installed in field offices. With deployment 
of the AFSM 100s, the FSM 881s are being phased out. Currently, pieces 
may qualify for a flats automation rate based on the FSM 881 physical 
criteria as defined in Domestic Mail Manual (DMM) C820. The Postal 
Service plans to replace the current FSM 881 standards, with new 
criteria based on the physical mailpiece requirements for the AFSM 100.
    Processing mail on the AFSM 100 provides tremendous savings 
opportunities. One of the Postal Service's objectives is to reduce 
processing costs by moving flat's processing from the labor-intensive 
manual/mechanized environment to the more efficient automated mode. The 
additional machine capacity provided by AFSM 100 deployment enables a 
reduction in the overall amount of mail processed in manual/mechanized 
operations.
    The processing and technological capabilities of the AFSM 100 
machine are vastly superior to those of the FSM 881. The AFSM 100 has 
three automatic feeders with throughput rates capable of exceeding 
17,000 pieces per hour, and 120 individual sort separations. Challenges 
that arise with high speed feeders compared to manual inductions 
include singulation (double feeds) and acceleration (jams, stoppages). 
The AFSM 100 also has Optical Character (OCR) and Barcode (BCR) reader 
functionality. The reader scans the mailpiece in search of an address 
block and barcode. If a POSTNET barcode is found, the piece is sorted 
based on the ZIP Code information. If a POSTNET barcode is not found or 
cannot be read, the OCR looks for the delivery address and the piece is 
sorted based on the result returned by the OCR.
    If the address is unreadable by the OCR, a video-coding operator 
must key the image and the pieces then sorted to the correct bin or 
worked manually. The AFSM 100 does not apply (spray on) a POSTNET 
barcode.
    To determine the range of mailpieces compatible with the AFSM 100, 
we conducted controlled tests using a variety of physical mailpiece 
characteristics. Three mail characteristic studies were performed: a 
preliminary test in Baltimore, Maryland, from February 26, 2001, to 
March 13, 2001; a test in Denver, Colorado, from July 9, 2001, to 
August 1, 2001; and a study to determine maximum weight conducted in 
Palantine, Illinois from February 25, 2002, to March 12, 2002.
    The mailing industry assisted the Postal Service and supplied many 
of the

[[Page 18843]]

mailpieces that were processed during the tests. The mailing industry's 
participation and coordinated efforts were crucial to the successful 
outcome of the tests.
    The AFSM 100 preliminary test was designed with specific analytical 
objectives, including: (1) Identifying mail characteristic ranges where 
additional data would be required to determine automation 
compatibility, (2) identifying factors that have a significant impact 
on sorter performance, (3) providing data to identify threshold levels, 
and (4) determining mailpiece characteristics that would not require 
further testing. Included in this test was the evaluation of a large 
number of mailpiece characteristics and a subset of combinations, each 
individually replicated over several test decks. The data represented: 
jams, double-feeds, missorts, thickness, weight limitations, physical 
dimensions, mechanical rejects, and mailpiece damage. In addition, we 
tested several different polywrap materials to analyze factors such as 
seam and wrap direction, contents, polywrap characteristics, and 
overhang (selvage).
    The primary mail types included in the test were folded pieces 
(e.g. tabloids), paper envelopes, bound pieces, including digest-size 
and perfect bound magazines and catalogs, and a variety of pieces 
wrapped in polywrap. Other types of mailpieces were also included in 
the test, such as newspapers, self-mailers, CD/DVD disks, very thin 
pieces, very thick pieces, and the extremes of enveloped and folded 
mailpieces. Each test deck had varying characteristics including 
length, width, thickness, structure, polywrap, overhang (selvage), 
seam, and wrap direction.
    We designed this test to define acceptable physical mailpiece 
characteristics and polywrap characteristics. The results from the 
pilot test in Baltimore eliminated some obvious mailpieces for the 
second test in Denver (e.g., odd-shaped envelopes and cards, pieces of 
non-uniform thickness, and pieces in polywrap with film-on-film 
coefficient of friction measuring greater than 0.5). Mailpieces tested 
in Denver included most types tested in Baltimore, as well as digest-
sized pieces, perfect-bound and stitched magazines and catalogs, and 
unbound newspapers. The tabloid and digest-size pieces ranged from 8 
pages to 220 pages with cover pages of varying basis weights. Other 
pieces tested included pieces bound on the short end, pieces with 
special cover folds (e.g. french doors, gatefolds), and pieces wrapped 
in 19 different types of polywrap. In addition to evaluating the 
polywrap characteristics, we also processed pieces to test the effects 
of overhang (selvage), seam, and wrap direction.
    Data from these two tests have shown that the majority of the 
existing standards for physical dimensions--height, length, and 
thickness--developed for flats processed on the FSM 881 are applicable 
to flats processed on the AFSM 100. On the basis of these findings, the 
Postal Service proposes a minimum of 5 inches height x 6 inches length 
x 0.009 inches thick, and a maximum of 12 inches height x 15 inches 
length x 0.75 inches thick to qualify for AFSM 100 automation-based 
flat rates. The length and height of an automation-compatible flat-size 
mailpiece is not determined by the orientation of the address. For a 
piece that has a bound, folded, or closed edge (e.g., a newspaper, 
folded envelope, tabloid or catalog), the length is the dimension 
parallel to the bound, folded, or closed edge. The height (vertical 
dimension) is the dimension perpendicular to the length. If the piece 
is folded more than once or is bound and then folded, the length of the 
piece is based on the final fold.
    Anaylsis from all three tests identified a maximum weight of 20 
ounces for AFSM 100 enveloped, bound, and polywrapped flat mailpieces. 
This will allow more BPM pieces, which primarily weigh 16 ounces or 
more, to qualify as flats. The resolution of the rate case has been 
accelerated, and the Board of Governors has approved the new rates with 
implementation in June 2002. Those new rates will include distinct 
rates for BPM flats and parcels. Flats that meet the AFSM 100 mail 
characteristics and criteria will be eligible for a new barcode 
discount of 3 cents. Therefore, defining a ``flat'' will have 
significant impact on mailpiece design and rate eligibility.
    The test data for polywrapped pieces led us to conclude that the 
current seven polywrap requirements for the FSM 881 will continue to be 
required for polywrapped pieces processed on the AFSM 100. A new 
property number 8 known as ``blocking'' will also be added. Blocking is 
simply the property that prevents polywrapped pieces from sticking 
together. Overhang (selvage) requirements will remain unchanged. 
Polywrapped flats for which automation rates based on AFSM 100 
compatibility are claimed must be individually endorsed to show they 
are automation-compatible. The endorsement ``USPS AFSM 100 Approved 
Poly'' must be placed on the address side of the piece, either on the 
flat itself or on the polywrap, preferably below the postage area or in 
another prominently visible location on the outside of the mailpiece. 
The polywrap certification process conducted by the mailpiece design 
analysts will remain the same as current procedures.
    We tested three types of newspapers: broadsheet, tabloid, and 
quarter-fold pieces. Analysis of data collected on the processing of 
these newspapers resulted in our recommendation that all newpapers be 
prepared as quarter-folds.

    The flat mail machineability tester, currently used to test FSM 881 
mailpieces for rigidity, flexibility, and turning ability, will 
continue to be used for pieces processed on the AFSM 100. The 
performance of pieces with flimsy covers did cause some machine jams 
and damage to the mailpieces, however; sufficient data has not been 
collected to determine specific requirements for this type of 
mailpiece.
    We need to conduct additional studies to determine if a basis 
weight for covers is critical enough to require specifications and 
design requirements for those mailpieces.
    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 to the DMMl, 
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. Revise the DMM as set forth below:

Domestic Mail Manual (DMM)

* * * * *

C. Characteristics and Content

* * * * *

C800  Automation-Compatible Mail

* * * * *

C820  Flats

* * * * *
1.0  BASIC STANDARDS

[Revise 1.0 to read as follows:]

    Flats claimed at automation rates must meet the standards in 1.0 
through 8.0 and the general and specific standards for mail, the class 
of mail, and the rate claimed. Pieces may qualify for

[[Page 18844]]

the discount based on both the dimensions and characteristics for the 
AFSM 100 processing under 2.0 or the dimensions and characteristics for 
FSM 1000 processing under 3.0 except for BPM flats, which can only 
qualify based on the AFSM 100 criteria. If polywrap is used with pieces 
that meet the AFSM 100 dimensions and characteristics under 2.0, the 
polywrap must meet all of the physical properties in Exhibit 4.1a and 
Exhibit 4.1b in order to qualify for the automation flats discount. 
Pieces that meet FSM 1000 criteria and do not meet all of the AFSM 100 
criteria that are prepared in polywrap need to meet only physical 
property number 2 (haze) in Exhibit 4.1a and the criteria in Exhibit 
4.1b.

[Revise the heading of 2.0 to read as follows:]

2.0  DIMENSIONS CRITERIA FOR AFSM 100 PROCESSING

2.1  Determining Length and Height

* * * * *

[Amend 2.1 by revising 2.1b to read as follows:]

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

2.2  Final Fold

[Revise 2.2 by adding AFSM 100 to read as follows:]

    An AFSM 100 flat-size piece with a final fold must be designed so 
that the address is in view when the final folded edge is at the bottom 
and any intermediate bound or folded edge is to the right of the 
mailpiece.

2.3  Shape and Size

[Revise 2.3 to read as follows:]

    Each flat-size piece must be rectangular and:
    a. For height, no more than 12 inches and no less than 5 inches 
high.
    b. For length, no more than 15 inches and no less than 6 inches 
long.
    c. For thickness, no more than 0.75 and no less than 0.009 inch 
thick.

[Revise the heading and text of 2.4 to read as follows:]

2.4  Maximum Weight for Enveloped, Bound and Polywrapped Pieces

    Maximum weight limits are as follows:
    a. For First-Class Mail, 13 ounces.
    b. For Periodicals, 20 ounces.
    c. For Standard Mail, 16 ounces.
    d. For Bound Printed Matter, 20 ounces.

[Remove Exhibits 2.5a(1), 2.5a(2) and Exhibit 2.5b.

2.5  Turning Ability and Deflection

[Revise 2.5 to read as follows:]

    a. Turning Ability. The mailpiece 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 the 
following ways:
    (1) The piece must be flexible enough to bend between the two arcs 
when positioned vertically, with (if applicable) the bound, folded, or 
final folded edge perpendicular to the surface where the arcs are 
drawn.
    (2) If rigid (constructed of or containing inflexible materials), 
the piece must be small enough to allow its longest edge to be placed 
between the two arcs without touching the lines of the arcs.
    b. Deflection. A flat-size mailpiece meeting the AFSM 100 
dimensions 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).
    c. Test Device. Testing for compliance with the above standards 
must be done with a flat mail machineability tester constructed to USPS 
specification USPS-STD-28 and following the instructions for use of 
that device.
* * * * *
3.0  DIMENSIONS FOR FSM 1000 FLATS
* * * * *

3.2  Address Placement and Folded Pieces

[Amend 3.2a. by revising 3.2 to read as follows:]

    The following requirements apply to folded publications:
    a. 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.
    b. Unbound flat-sized publications must be double-folded.
* * * * *

[Revise the heading of 4.0 by adding Polywrap to read as follows:]

4.0  POLYWRAP COVERINGS
* * * * *

[Revise the heading of Exhibit 4.1a by adding ``polywrap'' to read as 
follows:]

Exhibit 4.1a  AFSM 100 Polywrapped Flats Specifications

[Revise Exhibit 4.1a to read as follows:]

    Polywrapped automation flats that meet the dimensions and criteria 
for the AFSM 100 in 2.0 must be prepared with polywrap that meets all 
eight properties in this exhibit. For other pieces prepared with 
polywrap that do not meet all of the dimensions and characteristics for 
processing on the AFSM 100 and that meet the dimensions and other 
criteria for processing on the FSM 1000 in 3.0, the polywrap need to 
meet only physical property number 2 (haze).

[Amend Property number 3a and b by reversing requirement column and add 
new number 8 to read as follows:]

----------------------------------------------------------------------------------------------------------------
                   Property                     Requirement                Test method                 Comment
----------------------------------------------------------------------------------------------------------------
 
*                  *                  *                  *                  *                  *
                                                        *
3. Secant Modulus, 1% elongation:
    a. TD, psi................................       50,000  ASTM D 882.
    b. MD, psi................................       40,000  ASTM D 882.
 

[[Page 18845]]

 
*                  *                  *                  *                  *                  *
                                                        *
8. Blocking, g................................           15  ASTM D 3354-96........................
----------------------------------------------------------------------------------------------------------------

Exhibit 4.1b  Wrap Instructions

[Revise Exhibit 4.1b to read as follows:]

    1. Wrap direction will be specified as around the longer axis of 
the mailpiece so that the seam is along the addressed side of the 
mailpiece, and oriented parallel to the longest direction. This seam 
must not cover any part of the address and barcode read areas.
    2. a. For AFSM 100 mailpieces, overhang (selvage) cannot be more 
than 0.75 inches from the top of the mailpiece and 0.75 inches from the 
bottom of the mailpiece when the mailpiece is centered inside of the 
polywrap. Overhang (selvage) of not more than 1.5 inches will be 
allowed at the top of the mailpiece when the contents are totally 
positioned at the bottom of the polywrap. Overhang on each side must 
not be more than 0.25 inch. The piece must not be wrapped so tightly as 
to cause the mailpiece to bend.
    b. For FSM 1000 mailpieces, overhang (selvage) cannot be more than 
0.75 inches from any edge when the mailpiece is centered inside of the 
polywrap. Overhang (selvage) of not more than 1.5 inches will be 
allowed at the top of the mailpiece when the contents are totally 
positioned at the bottom of the polywrap and not more than 1.5 inches 
when the contents are positioned totally to the left or to the right 
side of the polywrap.

4.2  Polywrap Certification Process

[Revise 4.2 by changing ``FSM 881'' to read as ``AFSM 100''. No other 
changes to text.]

4.3  Mailpiece Identification

[Revise the first sentence of 4.3 to read as follows:]

    Polywrapped flats must be endorsed to show that the polywrap has 
been approved by the USPS as automation compatible regardless of the 
placement of the address label. * * *
* * * * *

[Revise the heading and text of 4.5 by changing ``FSM 881'' to read as 
``AFSM 100''.]

* * * * *

4.6  FSM 1000 Polywrap

[Revise 4.6 by adding the following sentence at the end:]

    * * * When the address label is placed on the outside of the 
polywrap, the haze requirement does not apply.
* * * * *

G. General Information

G000  The USPS and Mailing Standards

* * * * *

G090  Experimental Classification and Rates

* * * * *

G094  Ride-Along Rate for Periodicals 1.0 Basic Eligibility

* * * * *

1.3  Physical Characteristics

[Revise item c by changing ``FSM 881'' to ``AFSM 100:]

* * * * *

M. Mail Preparation and Sortation

* * * * *

M800  All Automation Mail

* * * * *

M820  Flat-Size Mail

1.0   BASIC STANDARDS
* * * * *

1.5  Package Preparation

[Revise 1.5 by replacing ``FSM 881'' to ``AFSM 100''.]

1.6  Sack Preparation

[Revise 1.6 by replacing ``FSM 881'' with ``AFSM 100''. No other 
changes to text.]

    Mailers may combine AFSM 100 packages and FSM 1000 packages in the 
same tray (First-Class Mail) or in the same sack (Standard Mail, Bound 
Printed Matter, and Periodicals).
* * * * *

1.11  Tray-Based Preparation

[Revise 1.11 by changing ``FSM 881'' to ``AFSM 100''.]

* * * * *

R. Rates and Fees

* * * * *
R200   PERIODICALS

1.0 Outside-County--Excluding Science-of-Agriculture

* * * * *

1.2  Piece Rates

[Revise the footnote to read as follows:]

* * * * *
    1. Lower maximum weight limits apply: letter-size at 3 ounces (or 
3.3 ounces for heavy letters); flat-size at 20 ounces for enveloped, 
bound and polywrapped pieces (AFSM 100) and 6 pounds (FSM 1000).
* * * * *
    An appropriate amendment to 39 CFR 111.3 to reflect these changes 
will be published if the proposal is adopted.

Neva Watson,
Attorney, Legislative.
[FR Doc. 02-9306 Filed 4-16-02; 8:45 am]
BILLING CODE 7710-12-P