Forms, Logs, and Documentation

📝 5.1 PS Form 3996 – Carrier Auxiliary Control

• Used to request auxiliary assistance or overtime before leaving for the street.
• Carriers must request and complete the form when they anticipate exceeding 8 hours.
• Supervisors must approve or disapprove and provide reasons in writing.
• Always retain a personal copy of submitted PS Form 3996.
• If conditions change on the street, carriers may notify management and revise the form.

Reference: M-41 §131.4, ELM §432.32, NALC Route Inspection Guide

📊 5.2 PS Form 1838-C – Carrier's Count of Mail

• Used during the week of mail count to record daily volume of letters, flats, parcels, and DPS.
• Carriers enter their own mail volumes and review for accuracy with supervisors.
• Required during formal six-day route inspections to document workload.
• A carrier's accurate entries protect against underestimation of office and street time.
• Forms should be signed daily and copies retained by the carrier.

Reference: Route Protection Program Ch. 1, M-39 §222.2

🛰️ 5.3 PS Form 3999 – Street Observation

• Used by management to record a carrier's actual street time and line of travel.
• Conducted on the selected day of inspection, typically with a manager accompanying the carrier.
• Records time at delivery points, vehicle travel, and any pauses or delays.
• Carriers should behave normally—no speeding or artificial slowing.
• Abnormal conditions should be noted clearly and discussed during review.

Reference: M-39 §221.3, M-01766 COR Guide Ch. 2

📋 5.4 PS Form 1840 and 1840 Reverse – Route Evaluation Summary

• Form 1840 summarizes office and street times and proposed adjustments.
• The reverse side must include detailed explanations for any time deductions or additions.
• Used in conjunction with Form 3999 and mail count data to propose changes.
• Carriers have the right to review and comment on both sides of the form.
• In COR adjustments, this form is critical for documenting compliance with M-01661.

Reference: M-01766 COR Guide Ch. 11, Route Protection Ch. 2 & 3

🗒️ 5.5 Letter Carrier's Daily Log (NALC Form)

• Informal tool provided by NALC to help carriers track their day in detail.
• Includes mail volumes, clock rings, start/stop times, breaks, and assistance received.
• Helps carriers verify management documentation during route reviews or disputes.
• Encouraged for daily use—especially during inspection periods or route adjustments.
• Not an official USPS form but highly recommended by NALC.

Reference: Letter Carrier's Daily Log PDF (NALC, 2014)

🗓️ 5.6 PS Form 3971 – Request for or Notification of Absence

• Used for requesting leave or reporting sick days or emergencies.
• Must be submitted in advance for scheduled leave or immediately upon return from unscheduled leave.
• Both carrier and supervisor must sign the form to confirm acknowledgment.
• Incorrect or untimely use can affect attendance records and disciplinary outcomes.
• Always retain a copy and submit through the proper channels.

Reference: ELM §513.32–513.362

✉️ 5.7 Documentation for Accountable Mail

• Accountables (e.g., certified, registered, insured) must be signed out at the office and delivered per protocol.
• PS Forms 3849 and 3811 are used to notify recipients or capture signatures.
• Improper handling or failure to return undeliverable accountables may result in disciplinary action.
• Scan devices must record delivery, attempted delivery, or return.
• Record of custody and attempted delivery should always be complete and accurate.

Reference: POM §641–644, M-41 §261

📒 5.8 Personal Documentation Best Practices

• Keep copies of key forms you complete or receive (3996, 1838-C, 3971, etc.).
• Use a pocket notebook or digital log to record route conditions, delays, or supervisory instructions.
• Document any route changes or irregular instructions in writing.
• Report unsafe conditions using PS Form 1767 and track management's response.
• If possible, maintain a personal calendar of events, including mail volume spikes or incidents.

Reference: ELM §666, Route Protection Ch. 2, NALC Best Practices

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