[Federal Register Volume 65, Number 66 (Wednesday, April 5, 2000)]
[Rules and Regulations]
[Pages 17766-17768]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-8282]


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POSTAL SERVICE

39 CFR Part 111


Changes to Current Delivery Record Filing System

AGENCY: Postal Service.

ACTION: Final rule.

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SUMMARY: This final rule sets forth revised Domestic Mail Manual (DMM) 
standards adopted by the Postal Service to implement an electronic 
storage and retrieval system for delivery records. Conforming changes 
are proposed in portions of the Domestic Mail Manual concerning 
delivery record information to reflect the new system, in particular 
the fact that hardcopy records will no longer be retained at the office 
of address for delivery record inquiry and receipt purposes. 
Additionally, changes are proposed to the DMM to indicate the change in 
how information from the delivery record, requested using PS Form 3811-
A, Domestic Return Receipt (After Mailing), will be conveyed to 
customers. A notice of intent on this issue was published in the 
Federal Register on June 10, 1998 (63 FR 31815). Responses to that 
notice are addressed in this rule.

EFFECTIVE DATES: May 5, 2000.

FOR FURTHER INFORMATION CONTACT: Carrie Bornitz, (202)-268-6797.

SUPPLEMENTARY INFORMATION:
    Scope: A national Postal Service electronic database for 
maintaining records of delivery date, time, and other information is 
already in place and is being used for Express Mail and Delivery 
Confirmation items. Testing of the database included material handling, 
operations, and systems tests for the capturing, routing, optical 
scanning, storage, and retrieval of electronic records that include a 
signature. Testing of this universal strategy for signature capture 
began in November 1998 and was completed in December 1999. The 
increased accessibility of an electronic database will improve customer 
service and response time and speed up processes involving the filing 
of indemnity claims.
    Current Internal Use (Hardcopy Records): Delivery records are 
maintained for Postal Service use to reply to delivery inquiries and to 
substantiate indemnity claims (additional internal uses exist as well). 
Current delivery records include type of special service item, article 
number, recipient signature, printed name, delivery address, and 
delivery date. When applicable, the delivery record includes where a 
mailpiece was forwarded or if an item was returned or refused. Records 
are also made available to customers in the form of a Return Receipt 
After Mailing or Duplicate Return Receipt. The Postal Service currently 
maintains hardcopy delivery records for Express Mail, COD, Certified, 
Numbered Insured, Registered, Restricted Delivery, International 
Accountable, and Return Receipt for Merchandise items. Electronic 
records, without signature information, are maintained for Express Mail 
and Delivery Confirmation items in a centralized database.
    Internal Use Under the New System: The use of delivery record 
information will not change under this program. Hardcopy delivery 
records filed up to the implementation of this program will be 
maintained for the full stated

[[Page 17767]]

retention periods. The electronic delivery record program only applies 
to domestically delivered items; APO and FPO deliveries are not 
included, nor are the majority of deliveries to territories, 
possessions, and freely associated states. The electronic delivery 
record will include the article number, date of delivery, signature of 
recipient, printed name of recipient, and addressee's delivery address. 
Information on items that were forwarded or returned to sender will 
also be maintained as part of the electronic mailpiece record. All 
electronic delivery records will be maintained in a Postal Service 
centralized database. PS Form 3811-A, Domestic Return Receipt (After 
Mailing), will not be used to convey electronic delivery record 
information to customers for records stored electronically. Instead, 
customers will receive a dated letter, generated from the centralized 
database, providing one of the following: (1) The full delivery record, 
(2) the delivery record absent the signature/name/address information 
(if that information is not available), (3) a statement that the 
delivery record could not be found, or (4) a statement that duplicate 
IDs prohibited final results. These responses, with the exception of 
response four, are similar to the current responses provided via the PS 
Form 3811-A. The time to respond to customer inquiries for electronic 
delivery records will improve significantly.
    Current Customer Use: Option 1: When a customer requests a Return 
Receipt After Mailing (PS Form 3811-A), the Postal Service provides the 
name and date of delivery only. Option 2: If a Duplicate Return Receipt 
is requested because the original return receipt was not provided, the 
Postal Service uses the delivery record to provide the recipient's 
name, date of delivery, and the addressee's delivery address if 
different from the address shown on the mailpiece. The customer is also 
informed if a record of delivery is not found. No actual signatures are 
provided with either option. All information is provided via the mail 
in hardcopy format.
    Customer Use Under the New System: Service will be improved for 
Duplicate Return Receipt and Return Receipt After Mailing by the 
inclusion of an electronically produced image of the customer/
recipient's signature, printed name, and address (when available) for 
items filed electronically. Requesters will receive a Duplicate Return 
Receipt or Return Receipt After Mailing for electronically filed items 
via fax or mail. The new form design is a letter which will be 
automatically generated by the centralized database. Requests for 
Duplicate Return Receipt and Return Receipt After Mailing must continue 
to be made at a post office.
    On June 10, 1998, the Postal Service published for public comment 
in the Federal Register (63 FR 31815), the proposed rule to convert to 
a system of electronic record keeping. Seven comments from two 
individuals were submitted to the Postal Service regarding the Federal 
Register notice. These comments concentrated on the following subject 
areas: Inclusion of printed name on delivery receipt, multiple uses of 
PS Form 3849, return receipt procedures, availability of records on web 
site, record security, and the extension of certain special services to 
other classes of mail. The comments were considered in developing the 
final rule.
    The notice stated that the capture of the recipient's printed name 
was optional. This has been changed in accordance with DMM section 
D042.1.7[b].
    The notice stated that the hardcopy record will no longer be 
maintained. The Uniform Photographic Copies of Business and Public 
Records as Evidence Act (UPA) and the Federal Business Records Act have 
made records and copies or reproductions that produce a durable medium 
for reproducing the original admissible in courts of law. The original 
may be destroyed in the regular course of business. The new process of 
record storage meets these requirements, and accordingly, the Postal 
Service will not longer retain these items for delivery record inquiry 
purposes.
    One comment asked how this system of electronic records will be 
used for recipients of large amounts of accountable mail and the 
completion of the return receipt (PS Form 3811). This program does not 
replace or change the current process for PS Form 3811, Return Receipt.
    One comment stated that it would be advantageous to have delivery 
records available on the USPS Web site. The availability of accessing 
delivery records via the Internet is limited, at this time, to Express 
Mail and Delivery Confirmation items only, but may be expanded in the 
future. No signature images will be shown on the Internet for any 
items.
    One commentor raised a question regarding system security to ensure 
tamper-proof records and originality. The comment asserted that the 
original delivery receipt must be maintained and be accessible, and 
that any duplicate return receipts must be validated as they presently 
are with both the postmark of the completing office and the initials of 
the postal employee. This electronic system of delivery records is 
designed to replace, rather than supplement, the current hardcopy 
filing system for the purpose of customer inquiries. The USPS database 
that houses delivery records is secure against outside access. 
Additionally, records are encrypted as they travel to and from the 
database to ensure record integrity. Delivery record responses will not 
carry a postmark or any employee designation but will be dated and 
clearly marked as Postal Service correspondence.
    An additional comment was made on the extension of the Signature 
Confirmation and Delivery Confirmation services to other classes of 
mail besides Priority Mail and Standard Mail. The electronic record 
management program does not address the issue of service offerings 
among classes of mail.
    For the reasons discussed above, the Postal Service hereby adopts 
the following amendments to the Domestic Mail Manual, which is 
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 following sections of the Domestic Mail Manual to 
read as follows:

R  Rates and Fees

R  900  Services

* * * * *
19.0  Return Receipt
    Fee, in addition to postage and other fees, per mailpiece:
    Requested at time of mailing (showing to whom delivered, signature, 
date of delivery, and addressee's address, if different) Requested 
after mailing (showing to whom delivered, signature, date of delivery, 
and delivery address, if available)

S  Special Services

* * * * *

[[Page 17768]]

S900  Special Postal Services

S910  Security and Accountability

S911  Registered Mail

1.0  Basic Information

1.1  Description

    Registered mail is the most secure service that the USPS offers. It 
incorporates a system of receipts to monitor the movement of the mail 
from the point of acceptance to delivery. Registered mail service 
provides the sender with a mailing receipt, and a delivery record is 
maintained by the Postal Service.
* * * * *

S912  Certified Mail

1.0  Basic Information

1.1  Description

    Certified mail service provides the sender with a mailing receipt, 
and a delivery record is maintained by the Postal Service. No record is 
kept at the office from which certified mail is mailed. No insurance 
coverage is provided. Certified mail is dispatched and handled in 
transit as ordinary mail.
* * * * *

S913  Insured Mail

1.0  Basic Information

1.1  Description

    Retail insured mail provides up to $5,000 indemnity coverage for a 
lost, rifled, or damaged article, subject to the standards for the 
service and payment of the applicable fee. A bulk insurance discount is 
available for insured articles entered by authorized mailers who meet 
the criteria in 3.0. No record of insured mail is kept at the office of 
mailing. Insured mail service provides the sender with a mailing 
receipt. For mail insured for more than $50, a delivery record is 
maintained by the Postal Service. Insured mail is dispatched and 
handled in transit as ordinary mail.
* * * * *

S915--Return Receipt

1.0  Basic Information

1.1  Description

    Return receipt service provides a mailer with evidence of delivery 
(to whom the mail was delivered and date of delivery). A return receipt 
may be requested before or after mailing. A return receipt requested 
before mailing also supplies the recipient's actual delivery address, 
if the delivery address is different from the address used by the 
sender.
* * * * *
2.0  OBTAINING SERVICE
* * * * *

2.2  After Mailing

    The mailer may request a return receipt after mailing by completing 
Form 3811-A and paying the appropriate fee. The acceptance office will 
initiate the inquiry or send the form to the delivery post office for 
completion. When a delivery record is available, the USPS provides the 
mailer information from that record, including to whom the mail was 
delivered and the date of delivery. A request for a return receipt 
after mailing for Express Mail must be requested within 90 days after 
the date of mailing, and all other requests are limited to 2 years.
* * * * *
4.0  REQUESTS FOR DELIVERY INFORMATION

4.1  Receipt Not Received

    After a reasonable period, not longer than 2 years after the date 
of mailing, a mailer who did not receive return receipt service for 
which the mailer had paid may request information from the delivery 
record, using Form 3811-A. Any request for such information for Express 
Mail must be filed within 90 days after the date of mailing.

4.2  Form 3811-A

    The mailer may request information from the delivery record at any 
post office by completing Form 3811-A. The applicable fee is waived if 
the mailer can produce a mailing receipt showing the applicable return 
receipt fee was paid.
* * * * *

S917  Return Receipt for Merchandise

1.0  Basic Information

1.1  Description

    Return receipt for merchandise service is a form of return receipt 
service that provides the sender with a mailing receipt and a return 
receipt. A delivery record is maintained by the Postal Service, but no 
record is kept at the office of mailing. A return receipt for 
merchandise also supplies the recipient's actual delivery address if it 
is different from the address used by the sender. Mail using this 
service is dispatched and handled in transit as ordinary mail. This 
service does not include insurance coverage. A return receipt for 
merchandise may not be requested after mailing, and restricted delivery 
service is not available.
* * * * *

S921  Collect on Delivery (COD) Mail

1.0  Basic Information

1.1  Description

    Any mailer may use collect on delivery (COD) service to mail an 
article for which the mailer has not been paid and have its price and 
the cost of the postage collected from the recipient. If the recipient 
remits the amount due by check payable to the mailer, the USPS forwards 
the check to the mailer. If the recipient pays in cash, the USPS sends 
a postal money order to the mailer. The amount collected from the 
recipient may not exceed $600. COD service provides the mailer with a 
mailing receipt, and a delivery record is maintained by the Postal 
Service.
* * * * *
    An appropriate amendment to 39 CFR 111.3 will be published to 
reflect these changes.

Stanley F. Mires,
Chief Counsel, Legislative.
[FR Doc. 00-8282 Filed 4-4-00; 8:45 am]
BILLING CODE 7710-12-P