Signature Capture and Electronic Record Management: Manager s Guide to Standard Operating Procedures

Transcription

1 Signature Capture and Electronic Record Management: Manager s Guide to Standard Operating Procedures Handbook PO-610 Transmittal Letter A. Explanation. This is the initial publication of Handbook PO-610. It is intended for use by postmasters, managers, supervisors, and employees who deal with the handling and/or delivery of accountable, signature, and/or special service mail. This handbook provides day-to-day policies and procedures for scanning activities in association with an electronic record management system. This handbook does not apply to APO/FPO sites, or to any U.S. territories, possessions, or freely associated states (with the exception of Puerto Rico and the Virgin Islands). B. Distribution. This document is being distributed to the field. Basic scanning activity is supported by training for each postmaster, manager, supervisor, and employee who handles accountable, signature, and/or special service mail. C. Availability: Web. This handbook is accessible on the corporate intranet at (click on Information, then Policies and Procedures, then Handbooks, then either By Document ID Number or By Title, and then scroll down to Handbook PO-610). Paper Copies. Order additional copies from the material distribution center (MDC) using PS Form 7380, MDC Supply Requisition. D. Use of Materials. These materials are intended to be used for training purposes only and are to be used on Postal Service property only. They have been prepared in conformance with existing USPS policies and standards and do not represent the establishment of new regulations or policies. E. Comments on Content. Send written comments about the content of this handbook to the following address: MANAGER INFORMATION SYSTEMS, E/PS US POSTAL SERVICE 475 L ENFANT PLZ SW RM 4200-NB WASHINGTON DC F. Effective Date. This handbook is effective July 22, Julie F. Rios Manager Information Systems Expedited/Package Services

2 Contents Contents 1 Introduction Overview Operational Process Completing and Handling PS Form Scanning Procedures Overview Alternate Scanning Procedures Manually Entered Name Signature Waiver Express Mail and Return Receipt for Merchandise Firm Sheet Scanning Procedures Firm Sheet Creation Firm Sheet Firm Sheet Exceptions COD Clearance Procedures Undeliverable Accountable Mail Overview On-Street Users In-Office Users Scanning Events Authorized Agent Section and Event Visible Damage Event Scanning Multiple Items at a Single Point Scanning International Accountable Mail Waiver and Non-Waiver Items Waiver and Non-Waiver Items and Customer Is Not Available Waiver and Non-Waiver Items and Customer Is Available Scanning Multiple Barcodes on a Single Package Routing PS Forms 3849 to CFS Overview Forms Routing Interim Storage Phase Processing PS Form 3849 Errors Overview Unresolved Errors on PS Form iii

3 Signature Capture and Electronic Record Management 4 Record Retrieval Retrieval Methods Record Inquiries Multiple Storage Possibilities Intranet Retrieval Electronic Records Non-Intranet/Other Retrieval Electronic Records PS Form 3811-A, Request for Information/Return Receipt After Mailing PS Form 3819, Electronic Record Retention Archiving Electronic Record Exceptions Non-Electronic Record Management Sites Claims and Inquiry Process Disposition of Forms Retail Lobby Sweeps Entering Customer Name Signature Waiver Items Verifying Address on PS Form Appendix A Retrieval by Offices Without Corporate Intranet Access Appendix B Corporate Intranet Retrieval Appendix C Quick Reference Guide for Status/ Record Requests iv Handbook PO-610

4 Exhibits Exhibits Exhibit 1-2a PS Form 3849: Front Side Exhibit 1-2b PS Form 3849: Reverse Side Exhibit 1-3 Properly Completed PS Form 3849 After Exhibit Sample of PS Form Exhibit 2-6a Scanning Events for a Handheld Scanner Exhibit 2-6b Scanning Events for POS ONE Exhibit 2-7 Sample of a Properly Completed Authorized Agent PS Form Exhibit 2-10 Sample of Customs Form 3419A Exhibit 3-2 Sample Header Card Exhibit 4-6 Sample of Computer-Generated PS Form 3819, Electronic Record Exhibit A1 Sample PS Form 3811-A, Request for Information/Return Receipt After Mailing Exhibit B1 Corporate Intranet Retrieval: Screen Exhibit B2 Corporate Intranet Retrieval: Screen Exhibit B3 Corporate Intranet Retrieval: Screen Exhibit B4 Corporate Intranet Retrieval: Screen Exhibit B5 Corporate Intranet Retrieval: Screens 5a and 5b Exhibit B6 Corporate Intranet Retrieval: Screens 6a and 6b v

5 Introduction Introduction 1-1 Overview The signature capture program provides the infrastructure to electronically store delivery records and to allow easy access by customers and postal employees, similar to our competitors. All domestically delivered USPS delivery records will be maintained electronically in a national database, the Product Tracking System (PTS). Manual filing of delivery records PS Form 3849, Notice/Reminder/Receipt will be obsolete, because once the signature image is stored electronically and linked to the delivery record, the hardcopy PS Form 3849 will be destroyed. This electronic record management system will house all delivery records, including signature images, for the following services: a. Certified mail. b. Collect on (COD) mail. c. Express Mail. d. International accountable mail. e. Numbered insured mail. f. Registered mail. g. Return receipt for merchandise. h. Signature Confirmation (future service offering). This database also stores electronic information for Confirmation service items. Throughout this document, the items listed above will be referred to as service types. Different service types are handled in different ways by both handheld scanners and POS ONE terminals/scanners. The scanning event table in 2-6 clearly defines scan events corresponding to various service types. Note: The standard operating procedures in this handbook do not pertain to offices not participating in the signature capture and electronic record management programs. A full listing of participating sites is contained in Section 619 of the Postal Operations Manual (POM). 1

6 1-2 Signature Capture and Electronic Record Management 1-2 Operational Process employees will use the following procedures when using either handheld scanners or POS ONE terminals/scanners to record event information for Express Mail, special services, or international accountable mail. All operating procedures in this handbook apply to the activation of the signature capture process. Scanning instructions for handheld scanners are provided in the Handheld Scanner Guide TD-15D, Course Instructions for scanning at/with POS ONE terminals/scanners are provided throughout this handbook and in the POS ONE Front Office Quick Reference Guide or in Software Release Notes. The following basic steps apply for capturing signatures electronically: a. At delivery, the employee will identify mailpieces that require scanning and a customer signature. POS ONE will determine the need for the customer s signature based on the service type of the mailpiece. Note: Confirmation items do not require a signature they require only a scan. b. The employee will scan the barcode(s) on the accountable mailpiece or numbered insured item with the handheld scanner or POS ONE scanner and will have the customer sign and print his or her name in the delivery section on the barcoded side of PS Form c. The employee will also capture customer signatures for Express Mail, COD, and firm sheet items on PS Form Note: Firm sheets are used to deliver six or more signature items to a single address. Do not have customers sign twice. Signature blocks will be removed from Express Mail, COD, and firm sheet forms in a future printing cycle. d. The employee will ensure that the customer address is recorded in the delivery section on the barcoded side of PS Form e. The employee will scan the barcode below the signature block on PS Form f. The employee will turn in forms as usual to the accountable cage or clearance employee. After proper clearance procedures, all signed PS Forms 3849 will be routed to the Computerized Forward System (CFS) site for optical scanning (see Chapter 3). If your office does not use CFS for forwarding mail at this time, you must implement procedures for routing PS Forms The optical scanner digitizes the recipient s signature, name, and address and transmits it to the PTS database. The barcode on PS Form 3849 will be used to link the signature to the barcode on the special service or Express Mail label. Exhibit 1-2a shows the front side of PS Form Valid form editions include October 1998, February 1999, and November Use of older versions of PS Form 3849 will result in lost delivery records and might increase errors during processing of forms at CFS. 2 Handbook PO-610

7 Introduction 1-2 Exhibit 1-2b shows the reverse barcoded side of PS Form 3849, including the delivery section. Exhibit 1-2a PS Form 3849: Front Side Exhibit 1-2b PS Form 3849: Reverse Side Section 3

8 1-3 Signature Capture and Electronic Record Management 1-3 Completing and Handling PS Form 3849 A complete and accurate delivery record is necessary to meet the requirements of our service offerings and to protect us from fraudulent claims. The following rules apply for all deliveries when completing PS Form 3849: a. Three items of information must be present in the delivery section on the barcoded PS Form 3849: (1) Recipient signature. (2) Printed name. (3) address. b. PS Form 3849 must be used for all signature deliveries do not use the signature blocks on the Express Mail, COD, or firm sheet. See 2-10 for scanning international accountable mail. c. PS Forms 3849 must be completed in blue or black ink. Pencil or red ink is not acceptable. d. If the recipient does not fill in his or her printed name, the delivery employee is required to fill in the information. Note: The Postal Service does not have control over the format of customer signatures. We cannot guarantee legibility or readability only that the recipient s signature and printed name is captured. e. The customer must not sign/print a company name in the delivery section. The mailer wants to know the name of the person who signed for it. f. You can record up to five mailpieces for one delivery address on a single PS Form g. Do not record forward or return information on PS Form 3849 capture this information with the handheld scanner. h. For notice left, record the delivery address on the barcoded side of the form. If different sender information occurs for multiple items attempted, complete a single PS Form 3849 for each item. i. It is critical that all offices include their post office identification information on PS Form This information must be preprinted on PS Forms 3849 or applied using a hand stamp. Forms without proper office identification cannot be returned for remedial action and, in some cases, for temporary filing (if the header card is missing). j. The signed PS Form 3849 must be kept intact and in good condition, free of folds, tape, and tears. This will ensure that the form can be imaged properly on the Optical Scanning Workstation at the CFS site. k. The delivery employee must not make extra marks on the barcoded side of PS Form For example, do not circle the large X in the delivery section. Several marks on these forms serve as identification points for optical scanning processes. 4 Handbook PO-610

9 Introduction 1-3 l. Upon return to the delivery unit or completion of delivery functions, the employee will turn in all signed PS Forms 3849 receipts for clearance. m. The employee will place the handheld scanner into its appropriate cradle for downloading of delivery information. n. An accountable clerk clears the employee and routes PS Forms 3849 to CFS using the CFS Change-of-Address (COA) pouch. Exhibit 1-3 shows a sample of a properly completed PS Form 3849 after delivery has been made. Exhibit 1-3 Properly Completed PS Form 3849 After 5

10 Scanning Procedures Scanning Procedures 2-1 Overview Basic handheld scanning procedures are used for the following services: a. Certified mail. b. COD mail. c. International accountable mail (unrecognized barcoded mail pieces). d. Numbered insured mail. e. Registered mail. f. Return receipt for merchandise. Scanning procedures are provided in detail in the Handheld Scanner Guide TD-15D, Course Some items require additional steps at scanning, or special scenarios may arise that are outside the general scanning techniques learned. Those items are explained in detail in the following sections of this handbook. The scanner software will prompt the delivering employee for the correct entries Note: If numbers on items such as certified mail or insured mail are not in compliance with the prescribed guidelines provided by the Postal Service, they will not be accepted by the handheld scanner. See 2-10 for additional details. 2-2 Alternate Scanning Procedures Manually Entered Name Express Mail, firm sheet delivery, and Signature Confirmation (future service offering) items require delivery employees to manually enter the recipient s first initial and last name. The handheld scanner or POS ONE terminal will prompt employees when a name must be manually entered. Note: The recipient s name (not the business name) must be entered at this point. 7

11 2-2.2 Signature Capture and Electronic Record Management Signature Waiver Express Mail and Return Receipt for Merchandise Some items indicate whether the recipient signature has been waived. If the waiver of signature is checked or indicated, the package may be delivered even if the customer is not available to sign for it (assuming there is a safe location to leave the package). The employee must sign for these packages at delivery. This applies to both street and post office box deliveries. The same scanning procedures apply as when a customer is signing for the mailpiece, except data entry of the delivery employee name is not required. 2-3 Firm Sheet Scanning Procedures Firm Sheet Creation The creation of a firm sheet allows employees to link multiple mailpieces or package IDs to a single signature. This does not apply to non-electronic record management sites at this time. Those offices will continue to use the traditional manual method of creating and filing PS Form 3883, Firm Receipt for Accountable and Bulk Mail, which is used for delivery of high-volume accountable mail recipients. PS Form 3883 has been revised with a barcode, which precludes the use of the traditional book format previously used for this form, so it has been converted to a 3-part carbonless form. Most existing procedures remain the same only the scanning functions have changed. Exhibit shows the barcoded PS Form In the signature capture process, there are two types of firm sheet creation options: manual and electronic. (Firm sheet creation options do not apply to POS ONE terminals.) a. Manual: The manual firm sheet option includes scanning mailpiece IDs with a handheld scanner and recording them manually on the barcoded PS Form 3883, which is also scanned. b. Electronic: Sites with Firm Print Workstations will use these systems to create barcoded firm sheets. Instructions for operating the Firm Print Workstation were provided with those units. Note: All mailpieces and/or label IDs associated with a particular firm sheet must be scanned. Failure to scan mailpieces will result in the loss of the delivery record. The manual linking process is simple: 1. Using the handheld scanner, select the Create Firm Sheet option from the main menu. 2. Scan/enter mailpieces (package IDs) when prompted. 3. Scan/enter firm sheet barcode when prompted. 4. Enter/select firm name when prompted. 5. Write the article numbers on the firm sheet and scan the firm sheet barcode when prompted. 8 Handbook PO-610

12 Scanning Procedures Exhibit Sample of PS Form 3883 Only delivery points for which firm sheets are presently used for delivery should use firm sheets. Otherwise, up to five items can be linked to a single PS Form 3849 for one delivery point, without the need for a firm sheet. The use of automated equipment other than the Firm Print Workstation to electronically produce firm sheets, such as Confirmation Receipt System (DCRS) or Electronic Confirmation Receipt System (EDCRS), must not be used with the signature capture process/electronic record. The DCRS or EDCRS may be used only for Registry dispatch functions Firm Sheet Firm sheet delivery processes are the same as for a single mailpiece. Simply scan the firm sheet barcode and link it to the PS Form 3849 delivery receipt that the customer has signed. Do not rescan individual mailpieces at the time of delivery (unless an exception applies as noted in 2-3.3). Do not have the customer sign PS Form Firm Sheet Exceptions On occasion, a firm will accept a large volume of accountable mail prior to verifying all mailpieces in the delivery. This practice creates unique scanning scenarios for modifying the delivery record created in The following sections contain some possible scenarios for firm deliveries Adding a Single or Multiple Mailpieces to an Existing Firm Sheet You receive additional items to add to a firm sheet after the initial Create Firm Sheet process has been conducted. The scanning procedures to add 9

13 Signature Capture and Electronic Record Management one or more items to a firm sheet are the same as for creating the firm sheet initially. Simply select Create Firm Sheet, select Option 2: Add Label ID(s), scan the items, and scan/enter the firm sheet barcode. Note: Items cannot be added to a firm sheet after delivery has been made. A firm sheet ID can be scanned as delivered only one time. Items may be added to a firm sheet prior to delivery by scanning as stated previously. If delivery has been completed, create a new firm sheet or, if there are five or fewer pieces, just use a single PS Form 3849 instead Refusal of Mailpiece Prior to of Firm Sheet If a customer refuses one or more articles prior to main firm sheet delivery procedures being completed for delivery, the piece should be deleted. Select the Remove Label ID function in Firm Sheet Options. Scan/enter the mailpiece ID to remove from the firm sheet, and then scan/enter the firm sheet ID. Cross out the label ID written on the firm sheet. Return the refused article to the accountable clerk Refusal of Mailpiece After of Firm Sheet If a customer refuses one or more articles after the main firm sheet delivery procedures have been completed, and the firm sheet is still available, follow the procedure described in If the firm sheet is no longer available, select Review Entries, select Mail Entries, and then scan/enter the label ID. Select the Remove Label ID option. Keep in mind that customers are responsible for verifying what pieces they are accepting prior to signing. Rescan the mailpiece with the appropriate event (missent, refused, etc.). Return the refused article to the accountable clerk. Items handled in this manner will show up in the electronic system of record as Limited, meaning an incorrect delivery was made and that the signature is on file for USPS use only. 2-4 COD Clearance Procedures Hardcopy COD delivery receipts contain additional information that is needed in the electronic delivery record, including the following: a. The amount returned to the mailer. b. The customer s check or money order number. The employee who is responsible for submitting collected COD funds to the mailer must enter this information using the handheld scanner or POS ONE. This procedure must be completed for all individual COD items after delivery. This option is available only on the In-Office User function. When submitting COD funds to customer, follow normal procedures. The scanning process is simple: 1. Select COD Clearance from the main options menu. 2. Scan/enter the COD label ID. 3. Enter the check or money order number. 10 Handbook PO-610

14 Scanning Procedures Enter the amount. 5. Look for the message COD Successfully Cleared. At this time, only valid COD article numbers are allowed down this path. If you have an invalid COD article number, it will not be accepted at this time. Future handheld scanner and POS ONE software will allow additional COD number configurations. 2-5 Undeliverable Accountable Mail Overview The processes for handling accountable mail when a customer has moved have not changed. However, scanning procedures have been added so that this information is contained in the electronic record. The signature capture process eliminates the need to record forward or return information on PS Form On-Street Users If the item is identified on the street as a forward or is undeliverable for any reason, scan/enter the article barcode and select the appropriate event using your handheld scanner. Return the article to the accountable clerk for forwarding procedures. Forwarding options are not available on POS ONE In-Office Users In-office users are responsible for recording specific forwarding or return information for all accountable/signature mail with the handheld scanner. In some offices, one particular person or persons may be responsible for handling all accountable/signature mail that is forwarded or returned. The procedures for handling these items include scanning the barcode and entering the appropriate event. You may scan only one piece at a time for forward and return scan events. Forwarding options are not available on POS ONE Forwarding Express Mail Only for Express Mail items scanned as forwarded using the handheld scanner, in-office employees will be prompted to enter the forwarding or destination ZIP Code. They should enter the 9-digit destination ZIP Code (if the last four digits are not available, the scanner will allow a 5-digit ZIP Code). Again, only a single piece may be scanned for forwarding at one time. Forwarding options are not available on POS ONE Dead Mail Event Undeliverable items that cannot be forwarded or returned and that meet the criteria for routing to a Mail Recovery Center must be scanned with the Dead Mail event on a handheld scanner. This option is not available on POS ONE. 11

15 Signature Capture and Electronic Record Management Scanner Malfunction or Sites Without Scanners If you have a handheld scanner malfunction, or if you have a contract post office that does not have a scanner but delivers signature mail, the appropriate manual entries must take place for every item, based on the information recorded on PS Form 3849 at the time of delivery. The process is simple: 1. Select Manual Input from the main options menu. 2. Enter the label ID. 3. When prompted, scan PS Form 3849 (for delivered items only). 4. When prompted, enter the appropriate mailing date and time. 5. Send PS Form 3849 to CFS for optical scanning Forwarded Mail Inquiries 2-6 Scanning Events Handle inquiries and release of information on the disposition of a forwarded mailpiece as usual. Information on the forwarding address can be found on the original PS Form 3575, Change-of-Address Order, or PS Form 3982, Change of Address (card), which are kept at the carrier s case. Alternately, inquiries can be made to the CFS manager or supervisor. Note: The signature capture process eliminates the need to record forward or return information on PS Form Under no circumstances should PS Forms 3849 be sent to CFS for processing forwarded mail. There are multiple scanning events on the handheld scanner. All scans are related only to USPS-identified special services items (see 1-1) and Express Mail. No scans should be made on letters or parcels without identified USPS special services or international special services. Items containing multiple special services and multiple label IDs must have each label scanned. All handheld scanner scanning events and their appropriate use in relation to individual service types are described in Exhibit 2-6a. POS ONE scan events are listed in Exhibit 2-6b. 12 Handbook PO-610

16 Scanning Procedures 2-6 Exhibit 2-6a Scanning Events for a Handheld Scanner Event No. Event Description Event Use Service Type 1 DELIVERED is made on item(s). All service types. 2 ATTEMPTED Item(s) cannot be delivered and a notice is left. All service types. 3 ACCEPT/PICK-UP ACCEPT: Used to indicate that an item has been accepted into the mailstream. PICK-UP: Not used at this time. Confirmation non IRT and POS sites only. Not for Express Mail acceptance. 4 REFUSED Item(s) refused by the addressee. All service types. 5 UNDELIV AS ADDRSSD On-street user: item(s) undeliverable. All service types. In-office user: item(s) undeliverable and the final status is not known. 6 FORWARDED In-office user: undeliverable item(s) having a valid All service types. forwarding address or item(s) forwarded due to customer addressing error. 7 ARRIVAL AT UNIT Scan Express Mail item(s) when entering facility of Express Mail. destination. 8 MISSENT Item(s) missent due to Postal Service error. All service types. 9 RETURN TO SENDER (See In-office user: undeliverable, unforwardable item(s) with All service types. events listed below in items 1-9) valid return address. R 1 NO SUCH NUMBER Item(s) having such numbers do not exist. All service types. E T U R N T O 2 INSUFFICIENT ADDR Item(s) that have an incorrect or insufficient address for delivery. All service types. 3 UNABLE TO FORWARD Item(s) that cannot be forwarded. All service types. 4 FORWARD EXPIRED Item(s) where the forwarding order has expired. All service types. S E N D E R 5 ADDRESSEE UNKNOWN Item(s) where the addressee is unknown at the address. All service types. 6 VACANT Item(s) addressed to vacant premises. All service types. 7 UNCLAIMED Item(s) that have been attempted and held the allotted amount of time but remain unclaimed. All service types. E V E N T S 8 DECEASED Item(s) sent to deceased persons. All service types. 9 OTHER Item(s) not meeting any of the specific return events provided. 0 ENROUTE Used mainly on Express Mail items to track progress through mailstream. Generally scanned at each processing site. A ARRIVAL AT PICK-UP POINT Used when an Express Mail piece arrives at the postal destination that has been designated as a pick-up location. D VISIBLE DAMAGE Used on Express Mail, insured, registered, and COD items that have obvious visible damage. G AUTHORIZED AGENT Used when an addressee designates an agent to sign for his or her item(s) using PS Form 3849 and the agent is there to receive the item(s). J DEAD MAIL Item(s) that cannot be delivered, forwarded, or returned sent to a mail recovery center. All service types. Express Mail. Express Mail. COD, Express Mail, numbered insured, registered, international accountable mail. All service types. All service types. 13

17 2-7 Signature Capture and Electronic Record Management Exhibit 2-6b Scanning Events for POS ONE Event No. Event Description Event Use Service Type 1 DELIVERED is made on item(s). All service types. 3* ACCEPT/PICK-UP Used when an item is accepted at the retail counter. Express Mail and Confirmation. 4 REFUSED Item(s) refused by the addressee. All service types. 5 UNDELIV AS ADDRSSD Item(s) undeliverable and the final status is not known. All service types. * Currently, POS ONE supports only acceptance scans. IBM POS ONE software released in June 2000 includes Delivered and Refused events. Undeliverable as Addressed will be added in the software release to be deployed in November NCR POS ONE software has Delivered, Refused, and Undeliverable as Addressed events in the June 2000 release. 2-7 Authorized Agent Section and Event The authorized redelivery/agent section of PS Form 3849 serves two purposes: a. Allows a customer to request a package be left for non-signature items. b. Allows a customer to authorize someone else to sign for a signature item in the customer s absence. Current practices apply to handling both of these functions. For authorized agent redeliveries of signature items, the same PS Form 3849 that includes the recipient s name and the designated agent s name must be used for the authorized agent s signature. For signature items, the authorized agent approval must be captured as a handheld scanner or POS ONE scan event. Simply scan/enter the mailpiece barcode and select the Authorized Agent event on the handheld scanner or POS ONE. a. For a handheld scanner, this scan must be made as a separate event in addition to the delivery scan event. This scan is allowed only at the time of delivery, just prior to the delivery scan event. Scan the item and select the authorized agent event (event G). The scanner will return to the event screen for the next event selection. b. For POS ONE, select the authorized agent option during processing functions for each individual mailpiece. Obtain the agent signature and printed name on the same barcoded PS Form 3849 that has the addressee s authorizing signature. Ensure that the customer address (or agent address, if different) is recorded in the delivery section below the signature and printed name blocks. Exhibit 2-7 shows a sample of a properly completed authorized agent PS Form Handbook PO-610

18 Scanning Procedures 2-8 Exhibit 2-7 Sample of a Properly Completed Authorized Agent PS Form Visible Damage Event Indemnity items that are visibly damaged must be recorded using the handheld scanner or POS ONE. Indemnity items include the following: a. COD mail. b. Express Mail. c. International accountable mail. d. Numbered insured mail. e. Registered mail. Visible damage is described as any visible evidence that the U.S. Postal Service mishandled the mailing container. Recording this information will assist the Postal Service in processing claims. This scan should be made at the time of delivery for indemnity items only. a. For a handheld scanner, this is a separate scan event in addition to the delivery scan. Use event D on the handheld scanner to record visible damage, and then move on to the appropriate delivery scans. b. Employees using POS ONE will be allowed to indicate that the item is damaged for each scanned mailpiece. The default will be no damage

19 2-9 Signature Capture and Electronic Record Management 2-9 Scanning Multiple Items at a Single Point The signature capture software on the handheld scanner or POS ONE terminal allows you to link multiple mailpieces to a single signature at a delivery point. This means that you can deliver up to five pieces of signature mail and have the customer sign only one PS Form The scanning process is simple: 1. Scan each piece. 2. Press enter. 3. Select the Delivered event for handheld scanner. (For POS ONE, Delivered is the default event.) Note: Since Express Mail items require a manually entered name, the handheld scanner or POS ONE takes you down the appropriate path for the highest level of service Scanning International Accountable Mail Incoming international accountable mail requires signatures. These items are usually limited to international registered, customs, or insured items or incoming International Express Mail. a. International accountable mail is scanned or entered with a process similar to domestic deliveries. When you scan/enter a mailpiece that does not have an identifiable domestic service type (such as certified or COD mail), the scanner will ask if the piece is international. If you select no, the scan will not be accepted. If you select yes, you will be taken down the appropriate signature path. (1) COD, certified, insured, or registered mail items that generate the international query on the scanner must be brought to the attention of the local supervisor. Supervisory/management staff must record and report this information to their mailpiece design analyst or account representative for further action. (2) Until changes have been made to the handheld scanner software, COD items with invalid numbers can be accepted as international. Future software will allow either international or COD down this path. b. The U.S. Customs Service of the Department of the Treasury originates customs Form 3419A. Have the customer sign both PS Form 3849 and Customs Form 3419A. On Customs Form 3419A, scan only the ME# barcode (the left barcode), and then scan PS Form 3849 when prompted. Turn forms in as usual. Exhibit 2-10 shows a sample of Customs Form 3419A. 16 Handbook PO-610

20 Scanning Procedures Exhibit 2-10 Sample of Customs Form 3419A Scan the ME# Barcode 2-11 Waiver and Non-Waiver Items Listed below are special situations that employees might encounter during delivery of signature capture items Waiver and Non-Waiver Items and Customer Is Not Available If you have an Express Mail delivery with waiver of signature and a certified mailpiece (non-waiver) and the customer is not available, follow these procedures: 1. Scan/enter the Express Mail barcode and select waived at the signature capture screen on the handheld scanner. 2. Sign PS Form 3849 and scan the PS Form 3849 barcode. 3. Leave the Express Mail piece in a secure location. 4. Fill out another PS Form 3849 for the certified mailpiece and leave it for the customer as a notice-left attempt. 5. Handle the piece according to Exhibit 2-6a Waiver and Non-Waiver Items and Customer Is Available If you have an Express Mail delivery with waiver of signature and a certified mailpiece (non-waiver) and the customer is available to receive both, follow these procedures: 1. Scan/enter the Express Mail barcode and the certified mail barcode. 2. Have the customer sign PS Form Manually enter the customer s first initial and last name. 4. Scan PS Form

21 2-12 Signature Capture and Electronic Record Management 2-12 Scanning Multiple Barcodes on a Single Package On occasion, delivery employees may find that a single package has multiple labels. For example, a likely combination would be a numbered insured item with Confirmation. In these instances, both labels must be scanned at the time of delivery similar to scanning two separate mailpieces. 18 Handbook PO-610

22 Routing PS Forms 3849 to CFS Routing PS Forms 3849 to CFS 3-1 Overview The accountable clerk must perform the following functions daily, regardless of PS Form 3849 volume: a. Ensure all forms are properly completed during clearance procedures. Verify that signature, printed name, and address are present in the delivery section on the barcoded side of the form. b. Face all forms, and remove any tape, staples, etc. c. Do not send forwards/returns PS Forms 3849 to CFS. Instruct employees not to record this information on PS Forms d. Place the office header card on top of the PS Form 3849 bundle, secure the bundle with rubberbands or clips, and place the bundle in the CFS pouch. Send only signed, properly faced PS Forms 3849 to CFS. e. Use only one header card per unit do not break down into zones within a unit. f. Give any forms returned from CFS to the postmaster/manager or supervisor for corrective action. g. All sites must send signed PS Forms 3849 to CFS. If your office does not use CFS for forwarding mail, you must establish an alternate procedure for routing PS Forms 3849 to CFS. (Only non-electronic record management units are exempt.) 3-2 Forms Routing The accountable clerk is required to place a header card on each bundle of PS Forms 3849 that is sent to CFS for processing. Header cards must have delivery unit 5-digit ZIP Code and date information. This will allow return of the forms to the origin office for filing. Header cards will be used only during the interim storage phase of the signature capture program. 19

23 3-2 Signature Capture and Electronic Record Management Prior to sending to CFS, do the following: 1. Enter delivery unit 5-digit ZIP Code information and date onto the header card. 2. Use only one header card per unit, not per zone within a unit. 3. Place the header card on top of the PS Forms 3849, using a single header card for each stack of forms. 4. Secure the bundle of PS Forms 3849 and the header card with a rubberband or clip. 5. Place in the CFS pouch. Header cards cannot be reproduced locally. These items contain the same type of recognition marks as PS Form 3849 for optical scanning use. A 5-month supply of header cards was distributed nationally in February This form is not stocked at the material distribution center. An additional supply of forms was provided to each district Confirmation coordinator in May. If you did not receive a supply or if you run low on forms, contact your district Confirmation coordinator. Remember: Use only one header card per office per day. Do not use photocopies photocopied forms cause errors in CFS scanning. Exhibit 3-2 shows an example of the header card. The actual size is 3 5/8 x 5 1/2. Exhibit 3-2 Sample Header Card Date: Record Unit/PO ZIP Code Here PS Form 3849 Header Card Record Unit/PO ZIP Code above Send all signed delivery receipts to CFS daily Do not send 3849s used to record forward or return information to CFS Remove all tape and staples All forms must be faced properly barcode side up, with barcode in lower righthand corner Place this header card on top of 3849s Place in designated CFS pouch if necessary secure with clip or loose rubber band do not bend or fold forms Do not photocopy or replicate locally. Contact your Confirmation Coordinator for additional supplies. 20 Handbook PO-610

24 Routing PS Forms 3849 to CFS Interim Storage Phase During the initial activation stage of the signature capture program, the Postal Service must keep hardcopy delivery records as a backup. During this time, after forms are optically scanned at CFS sites, they will be returned to the origin office or designated location for filing. Consequently, there is a need for header cards. (Ultimately, all PS Forms 3849 will be destroyed after imaging at CFS.) Forms returned from CFS after optical scanning will have a 5-digit number printed down the left-hand side of the reverse (barcoded) side of PS Form The interim storage solution will be discontinued when the work processes for signature capture are proven reliable and effective. Your district Confirmation coordinator has specific information on the interim storage phase of this program. 3-4 Processing PS Form 3849 Errors Overview CFS has two methods of reporting errors on PS Forms Forms returned from CFS after optical scanning will have a 5-digit number printed down the left-hand side of the reverse (barcoded) side of PS Form Method 1: Returning PS Form 3849 for Remedial Action CFS may return to the delivery unit PS Forms 3849 requiring remedial action. This would be limited to PS Forms 3849 that were scanned in CFS but were not apparently linked to a mailpiece at the time of delivery. (The CFS site receives daily reports that show PS Forms 3849 that are not linked to a mailpiece delivery event.) If you receive a form back from CFS indicating that the mailpiece delivery link is missing, do the following: 1. If the form was used for delivery, use the Manual Input option on the main options menu of the handheld scanner (item number 5). 2. Manually enter the article number(s) from the front of PS Form 3849 and make the appropriate scans. 3. Discard the signed PS Form 3849 do not reroute it to CFS for additional scanning. There is no manual input option on POS ONE; therefore the handheld scanner must be used in all instances. If PS Form 3849 was not used for delivery, instruct the employee of the proper use of forms for events other than delivery. 21

25 Signature Capture and Electronic Record Management Method 2: Creating a Site-Specific Report CFS will create a site-specific report on types of PS Form 3849 problems received during the week. These types of errors include but are not limited to the following: a. Improper form used (obsolete PS Form 3849 dated prior to October 1998). b. Improperly prepared forms: (1) Forms unfaced. (2) Forms with tape or staples. (3) Forms without a header card. (4) Writing over X in the delivery section on the form. c. Improperly completed forms: (1) Customer signature in the authorized redelivery/agent section rather than in the delivery section. (2) Form used for other than delivery (forward, return). (3) Signature missing, printed name missing, and/or address missing. In all instances, inform the delivery employee responsible for the discrepancy of the deficiencies and instruct him/her on the proper procedures to capture delivery receipt information Unresolved Errors on PS Form 3849 PS Forms 3849 returned from CFS with errors that cannot be resolved will be discarded. Failure to perform the proper functions at the time of delivery or when a form is returned from CFS will result in the record being unretrievable for future customer requests or for claims purposes. PS Forms 3849 that are used for functions other than delivery (notice left, postage due, etc.) can be discarded with recycled paper. Hardcopy delivery records filed prior to the signature capture activation date must be retained at your unit for the full retention period as stated in Administrative Support Manual (ASM) Handbook PO-610

26 Record Retrieval Record Retrieval 4-1 Retrieval Methods Record Inquiries There are two basic types of delivery record inquiries: external (USPS customer) and internal (USPS employee). Within each query type, the inquiry may be for the delivery status or for the delivery record of the mailpiece. a. status request. The customer wants to know if an item was delivered. This information can be released only for Express Mail, Confirmation, and Signature Confirmation items. Information is provided by calling or by accessing the Internet at b. record request. The customer wants a copy of the delivery record, including the signature. record requests can be made on most special service items refer to the Domestic Mail Manual (DMM) for restrictions. record requests include return receipt after mailing and duplicate return receipts. Note: record requests require additional fees or proof of purchase. Verbal confirmation of delivery (delivery status request) is not allowed for certified, COD, insured, international accountable, registered, and return receipt for merchandise mail. Retrieval of delivery records in the electronic record management system will be easy, quick, and convenient for offices with corporate intranet access. Offices without corporate intranet access will be required to use a centralized manual retrieval method much like routing forms to the office of delivery in the past. A USPS employee must verify all delivery record requests (i.e., proof of purchase or payment of fees). Additional information is provided in sections 4-2 through 4-9 and in Appendix A. 4-2 Multiple Storage Possibilities During the initial deployment stages of the signature capture program, multiple storage and retrieval scenarios are possible. Refer to the matrix in Appendix C for specific retrieval information by service type. The different retrieval scenarios include the following: a. Items Mailed Prior to Signature Capture Activation. These records will be filed at the office of delivery for the required retention period. For 23

27 4-3 Signature Capture and Electronic Record Management example, if activation of the signature capture program is, all delivery record inquiries for items mailed prior to that date would be filed manually at the office of delivery. b. Non-Electronic Record Management Site Items. These records will be filed manually at the office of delivery for the required retention period, regardless of the activation of the signature capture program. APO/FPO offices and certain territories, possessions, and freely associated states are not participating in the signature capture or electronic record management program at this time. A listing of participating sites is in POM 619. c. Items Mailed During Initial Program Implementation (Interim Storage Phase in Place). All delivery record requests for items delivered after program activation should be made electronically first. Offices without computer systems can use the manual process for PS Form 3811-A, Request for Information/Return Receipt after Mailing (March 2000 edition). Specific retrieval instructions are included in Appendixes A and B of this document. If a delivery record is not found electronically, a subsequent inquiry to the destination delivery unit could be made. After the interim storage phase is discontinued, only electronic inquiries will be supported, with the exception of items mailed prior to the program activation date or items mailed to non-electronic record management sites. d. Items Mailed After Full Program Activation Date (No Backup Storage in Place). All record requests for items delivered after program activation must be made electronically. Offices without intranet access can use the manual PS Form 3811-A inquiry process to request delivery records. Specific retrieval instructions are included in Appendixes A and B of this document. 4-3 Intranet Retrieval Electronic Records Offices with computer systems that have access to the corporate intranet will be able to query delivery records for any electronically filed record. A series of prompts will take you through the inquiry and delivery record request screens. To gain access to the delivery record database, go to the corporate intranet home page ( select Tools, and then select Track/Confirm. Corporate intranet applications will allow USPS employees to generate delivery record requests for customers or for internal use. See Appendix B for more details. To make your request, gather mailing and customer information on PS Form 3811-A. See Appendix A for a copy of PS Form 3811-A. After the inquiry is complete, the form can be discarded. 24 Handbook PO-610

28 Record Retrieval Non-Intranet/Other Retrieval Electronic Records For electronic delivery record requests, offices without corporate intranet access must complete PS Form 3811-A and send it to the location designated by their district for an electronic inquiry. See 4-5 and Appendix A for additional information. The inquiry result will be sent directly to the customer/requestor. Each district will designate an established network to support manual delivery record inquiries from offices without corporate intranet access. Each office in your district without computer access will forward PS Forms 3811-A to a designated location for delivery record inquiries. Your Confirmation coordinator will provide specifics on your designated location. 4-5 PS Form 3811-A, Request for Information/Return Receipt After Mailing Records that cannot be retrieved electronically can be requested via PS Form 3811-A, Request for Information/Return Receipt After Mailing. See Appendix A for a copy of this form. PS Form 3811-A must be used to make the following types of inquiries: a. Inquiries for items mailed to sites not participating in the electronic record management program. b. Inquiries for items mailed prior to program activation (made to the delivery office). c. Inquiries for offices without corporate intranet access (made to the designated district site). Additionally, in all cases, PS Form 3811-A must be used to capture customer information for electronic inquiries. In these cases, this form is destroyed after the record search is completed. PS Forms 3811-A prior to the March 2000 edition can be used for inquiries; however, if a customer requests a fax response, this information will have to be recorded on the form in a prominent location. 4-6 PS Form 3819, Electronic Record When a delivery record request is made via the corporate intranet against an electronically stored record, the postal employee is required to enter the customer s name and fax number or name and address information designating where the search result is to be sent (the system will not allow both a fax and mail request). Offices with intranet access will be able to print delivery receipts locally; however, this option should be used only when necessary. The majority of customer responses should be provided through the automatic generation of PS Form 3819, Electronic Record, from the centralized database. 25

29 4-7 Signature Capture and Electronic Record Management Electronic record searches will result in four possible responses: a. Item Found Signature Appended. b. Item Found Signature Missing. c. Item Not Found. d. Duplicate Unable to Resolve. Exhibit 4-6 shows a sample response letter for an item found with a signature appended. 4-7 Retention Retention periods for current hardcopy records apply as stated in ASM and Exhibit Electronic records will also follow this retention guide (as shown below). General rules apply as stated below for customer access: a. Express Mail: 6 months. b. Confirmation: 6 months (proposal to increase to 1 year). c. Certified, COD, insured, international accountable, registered, and return receipt for merchandise mail: 2 years. 4-8 Archiving Based on current retention periods, delivery records will be kept live in the PTS database for 6 months. After that time, items requiring additional retention periods will be sent to archive storage (see 4-7). All archive storage requests must be made off-line (an immediate response will not be provided all off-line searches result in a written response). If information on an article is not found in a live database search, an archived database search will be activated based on service type, mailing date, and destination ZIP Code. The requestor will be required to enter additional data to initiate the archive search. All archive searches require some type of delayed, written response. A response will be either mailed or faxed to the requestor as soon as the archived search is complete generally, 24 hours will be required for archive searches. When an article is found during an archive search, the record will be restored in the live database in case additional inquiry is required. 26 Handbook PO-610

30 Record Retrieval 4-8 Exhibit 4-6 Sample of Computer-Generated PS Form 3819, Electronic Record Date: March 30, 2000 JOHN DOE PO BOX 12 ANYTOWN US Dear John Doe: The following is in response to your March 29, 2000 request for delivery information on your Certified item number The delivery record shows that this item was delivered on March 20, 2000 at 10:31 a.m. The scanned image of the recipient information is provided below. Signature of Recipient: Address of Recipient: Thank you for selecting the Postal Service for your mailing needs. If you require additional assistance, please contact your local post office or Postal Service representative. Sincerely, United States Postal Service 27

31 4-9 Signature Capture and Electronic Record Management 4-9 Electronic Record Exceptions Non-Electronic Record Management Sites Certain offices do not have the ability to link mailpieces to signature IDs and store these records electronically. Regardless of the mailing date (unless the retention period has expired), all inquiries for non-electronic record management sites must be directed to the delivery site using PS Form 3811-A. A listing of participating sites is in POM 619. Non-electronic record management sites should use PS Form 3849 to capture signatures for all items, including Express Mail and firm items. The Express Mail label itself should still be routed for processing to an Expedited Special Services or designated office, as appropriate. PS Forms 3849 must be kept on file at the non-electronic record management site (as are the records for all other special services listed in 1-1). Recording multiple items on a single PS Form 3849 is prohibited. A single PS Form 3849 must be used for each mailpiece Claims and Inquiry Process Basic processes for handling indemnity claims have not changed. Domestic items delivered/filed after program activation can be researched electronically. Records filed prior to program activation and non-electronic records must be researched at the delivery post office Disposition of Forms As stated previously, all PS Forms 3849 must be routed to CFS for optical scanning. Remaining forms should be handled as follows in electronic record management sites: a. Express Mail Labels. The recording of delivery information (date and time) on the Express Mail label is not required under any circumstances. The return of the delivery copy of the Express Mail label is not required, unless the postmaster has received a written request from the Postal Inspection Service to retain delivery copies of the Express Mail labels for investigative purposes. Unless these alternative local instructions are received, do not return the delivery copy of the Express Mail label to the post office. b. COD Labels. Continue to use the appropriate COD label for sending payment to the mailer. Because of the electronic record management system, COD labels do not need to be retained for filing purposes. c. Firm Sheet Receipts (PS Form 3883). Continue to use copies of the firm sheet for clearance and customer receipts. Firm sheet receipts do not need to be retained for filing purposes. 28 Handbook PO-610

32 Retail Retail 5-1 Lobby Sweeps If lobby sweeps are conducted in your office to reduce customer waiting time in line, the employee conducting the sweep must have access to either a POS ONE terminal or a handheld scanner to capture the appropriate delivery information for signature items. 5-2 Entering Customer Name To avoid having the customer verbally state his or her name, it is recommended that you manually enter the name from the customer identification card (i.e., driver s license, passport, etc.) or from the signed PS Form Signature Waiver Items Signature waivers do not apply to retail operations. If a customer is at the window to pick up an item, the waiver no longer applies. 5-4 Verifying Address on PS Form 3849 For each delivery made, the retail employee must verify that the delivery address is recorded on the barcoded side (delivery section) of PS Form If the address is not present, the employee is responsible for recording this information. The address on PS Form 3849 must reflect the address of the customer picking up the mailpiece. 29

33 Retrieval by Offices Without Corporate Intranet Access Appendix A Appendix A Retrieval by Offices Without Corporate Intranet Access Offices without corporate intranet access need to rely on sites that have access to request delivery records for their customers. The process is simple: 1. Gather customer information and complete PS Form 3811-A, Request for Information/Return Receipt After Mailing (March 2000 edition). 2. Send PS Form 3811-A to the designated location within your district. 3. The designated location will input the data. 4. The response will be generated from the database and sent directly to the customer using PS Form 3819, Electronic Record. (See Exhibit 4-6 for a sample of a completed PS Form 3819.) Additionally, all requests for non-electronic record management site deliveries and records filed prior to program activation need to be submitted using PS Form 3811-A. The process is simple: 1. Gather customer information and complete PS Form 3811-A (March 2000 edition). 2. Send PS Form 3811-A to the office or delivery unit. 3. The response will be generated by the delivery unit and sent directly to the customer using Section 3 of PS Form 3811-A. PS Form 3811-A is a single-sheet form that can be used both in a manual and electronic system of records. It can be used locally for an electronic retrieval and then discarded. Also, for requested items filed prior to program activation, PS Form 3811-A can be folded and mailed in an envelope to the delivery unit (for non-electronic record management site deliveries) or to the designated input location (for offices without intranet access). A copy of PS Form 3811-A is shown on the following page. This form is also accessible on the corporate intranet home page ( by selecting Information, then Policies and Procedures, then Forms, and then the desired form number. 31

34 Appendix A Signature Capture and Electronic Record Management Exhibit A1 Sample PS Form 3811-A, Request for Information/Return Receipt After Mailing 32 Handbook PO-610

35 Corporate Intranet Retrieval Appendix B Appendix B Corporate Intranet Retrieval Exhibit B1 Corporate Intranet Retrieval: Screen 1 Corporate intranet retrieval is fast and efficient. To gain access to the delivery record database, go to the corporate intranet home page ( and select Tools and then Track/Confirm. Shown on the following pages are the screens that will appear for record inquiry. Use PS Form 3811-A in Appendix A to gather customer information to make your query. 33

36 Appendix B Signature Capture and Electronic Record Management Exhibit B2 Corporate Intranet Retrieval: Screen 2 34 Handbook PO-610

37 Corporate Intranet Retrieval Appendix B Exhibit B3 Corporate Intranet Retrieval: Screen 3 35

38 Appendix B Signature Capture and Electronic Record Management Exhibit B4 Corporate Intranet Retrieval: Screen 4 Note: If neither the View Signature button nor the View Address button is accessible, then the item might not yet have been delivered. It is also possible that the item might have been delivered only recently and the signature record might not yet have been scanned into the database during CFS operations. In either case, you should try to access the record again later. If the View Signature button is not accessible but the View Address button is accessible, then a signature was not captured for this record. 36 Handbook PO-610

39 Corporate Intranet Retrieval Appendix B Exhibit B5 Corporate Intranet Retrieval: Screens 5a and 5b 37

40 Appendix B Signature Capture and Electronic Record Management Exhibit B6 Corporate Intranet Retrieval: Screens 6a and 6b 38 Handbook PO-610