Summary Of Changes - American Postal Workers Union
Summary of ChangesHandbook AS-353, Guide to Privacy, the Freedom of Information Act,and Records ManagementHandbook AS-353, Guide to Privacy, the Freedom of Information Act, and Records Management, hasbeen updated with Postal Bulletin articles through February 6, 2014 as follows:The chapter,subchapter,part,appendix, orsection.titled.was.in PostalBulletinissuenumber.with anissue dateof.223822-6-14Appendix — Privacy Act System of RecordsSection EComplete Text ofSystems of Recordsrevised to account for the collection ofapplicant ID numbers from applicantswho file an inquiry or complaint.
TransmittalLetterGuide to Privacy,the Freedomof Information Act, andRecords ManagementHandbook AS-353February 2014Transmittal LetterA.Introduction. Key strategies of the Postal Service’s Transformation Plan are to achievegrowth by adding value for customers and to improve the workplace environment. Theproper collection, use, and protection of customer and employee information are keyparts of that value proposition.B.Instructions. This handbook replaces the original publication dated September 2005.C.Explanation. This handbook provides direction and guidance for Postal Service employees, suppliers, or other authorized users with access to Postal Service recordsand information resources. The handbook also provides direction and guidance forcustomers, employees, suppliers, or other individuals about how their information iscollected, maintained, used, disclosed, and safeguarded. This version of the handbookincludes a completely revised appendix of Privacy Act systems of records, as lastpublished in their entirety in the Federal Register. In addition, chapters 1 through 4 wererevised to clarify current procedures. For ease of use, rules involving special categoriesof records, such as customer names and addresses, were relocated from chapter 4 to anew chapter 5.D.Distribution. This handbook is available online on both the USPS Intranet(http://blue.usps.gov/cpim/) and the FOIA page at usps.com (http://www.usps.com/foia).E.Comments. Submit questions, comments, or suggestions about this handbook to:MARY ANNE GIBBONSGENERAL COUNSEL AND EXECUTIVE VICE PRESIDENTUS POSTAL SERVICE475 L'ENFANT PLZ SW RM 6004WASHINGTON DC 20260PHONE: 202-268-2950F.Effective Date. This handbook is effective February 2014.Mary Anne GibbonsGeneral Counsel and Executive Vice President
Contents1 Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-1 Purpose of This Handbook . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-2 Customer Trust and Privacy Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-3 Handbook Application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11-4 Roles and Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .21-4.1 General Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .21-4.2 Specific Responsibility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .21-4.2.1 Officers, Managers, and Employees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .21-4.2.2 Suppliers, Business Partners, and Customers . . . . . . . . . . . . . . . . . . . . . . . . . . . .21-4.2.3 Chief FOIA Officer. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .21-4.2.4 Chief Privacy Officer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .31-4.2.5 Manager, Records Office . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .31-4.2.6 Freedom of Information Act Requester Service Centers . . . . . . . . . . . . . . . . . . . .31-4.2.7 Freedom of Information Act Public Liaison . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .41-4.2.8 Freedom of Information Act Coordinator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .41-4.2.9 Records Custodian. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .51-4.2.10 Manager, Corporate Information Security Office . . . . . . . . . . . . . . . . . . . . . . . . . .51-4.2.11 General Counsel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .51-4.2.12 Chief Postal Inspector . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .51-4.2.13 Office of Inspector General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .61-5 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .61-5.1 Record. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .61-5.2 System of Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .61-5.3 Customers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .61-5.4 Individual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .61-5.5 Legal Hold Notice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .71-5.6 Retention Period . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .72 Laws, Guidelines, and Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .92-1 The Best of Public and Private Practices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .92-2 Mail Protections . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .92-3 Federal Laws. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .92-3.1 Postal Reorganization Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .92-3.2 Privacy Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .92-3.3 Freedom of Information Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .102-3.4 E-Government Act of 2002 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .102-3.5 Gramm-Leach-Bliley Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .11February 2014iii
Guide to Privacy, the Freedom of Information Act, and Records Management2-3.6 Children’s Online Privacy Protection Act . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .112-4 Federal Agency Guidelines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .112-4.1 Federal Trade Commission Privacy Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .112-4.2 Office of Management and Budget Privacy Guidelines . . . . . . . . . . . . . . . . . . . . . . . . .122-5 Postal Service Policies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .122-5.1 Customer Privacy Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .122-5.2 Marketing E-mail Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .122-5.3 Supplier Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .132-5.4 Monitoring of Postal Service Equipment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .133 Privacy Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .153-1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .153-2 Collecting Information from Customers, Employees, or Other Individuals. . . . . . . . . . . . . . .153-2.1 Collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .153-2.2 Privacy Notice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .153-2.3 Customer Choice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .163-3 Managing Information Relating to Customers, Employees, or Other Individuals. . . . . . . . . .173-3.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .173-3.2 Managing a System of Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .173-3.3 Creating, Amending, or Deleting a System of Records . . . . . . . . . . . . . . . . . . . . . . . . .183-3.4 Privacy Impact Assessment and Security. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .193-4 Requests by Customers, Employees, or Other Individuals for InformationAbout Themselves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .193-4.1 Requests to Access Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .193-4.2 Requests to Amend Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .233-4.3 Appeals and Customer Redress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .253-4.4 Fees. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .253-5 Disclosing Customer, Employee, or Other Individuals’ Information to Third Parties . . . . . . .253-5.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .253-5.2 Internal Disclosures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .263-5.3 External Disclosures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .263-5.4 Validating Records and Noting Disputes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .263-5.5 Accounting of Disclosures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .263-6 Operating a Customer Web Site. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .283-7 Sending Marketing E-mail . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .283-8 Entering Into a Contract or Business Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .283-9 Computer Matching Programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .294 Freedom of Information Act Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . .314-1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .314-2 How to Make a Freedom of Information Act Request . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .314-2.1 Format and Content . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .314-2.2 Requests for Expedited Processing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .32ivHandbook AS-353
Contents4-2.3 Requests for Fee Waivers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .324-2.4 Where to Direct Freedom of Information Act Requests . . . . . . . . . . . . . . . . . . . . . . . . .324-3 How to Process a Freedom of Information Act Request . . . . . . . . . . . . . . . . . . . . . . . . . . . .334-3.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .354-3.2 Requests That Are Insufficient, Misdirected, or for Records That Do Not Exist. . . . . . .354-3.3 Searches . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .354-3.4 Releasing Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .354-3.5 Withholding Records. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .364-3.6 Appeal Rights . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .364-3.7 Time Limits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .364-3.8 Retention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .374-4 Records Available to the Public . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .374-4.1 Reading Rooms. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .374-4.2 Business Change of Address . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .384-4.3 Permit Holder Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .384-4.4 Postage Evidencing System User Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .384-5 Records Which May Be Withheld From Disclosure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .384-5.1 Exemption 1 (5 USC 552(b)(1)) — National Defense and Foreign Relations . . . . . . . . . .394-5.2 Exemption 2 (5 USC 552(b)(2)) — Personnel Rules and Practices . . . . . . . . . . . . . . . . .394-5.3 Exemption 3 (5 USC 552(b)(3)) — Federal Law. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .394-5.4 Exemption 4 (5 USC 552(b)(4)) — Trade Secrets and Privileged Information. . . . . . . . .404-5.5 Exemption 5 (5 USC 552(b)(5)) — Internal or Interagency Information . . . . . . . . . . . . . .404-5.6 Exemption 6 (5 USC 552(b)(6)) — Personal Information . . . . . . . . . . . . . . . . . . . . . . . . .404-5.7 Exemption 7 (5 USC 552(b)(7)) — Law Enforcement Records . . . . . . . . . . . . . . . . . . . .414-5.8 Exemption 8 (5 USC 552 (b)(8)) — Financial Institutions. . . . . . . . . . . . . . . . . . . . . . . . .414-5.9 Exemption 9 (5 USC 552 (b)(9)) — Geological Information . . . . . . . . . . . . . . . . . . . . . . .414-6 Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .424-6.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .424-6.2 Aggregate Requests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .424-6.3 Fee Waivers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .424-6.4 Requester Categories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .424-6.5 How to Assess Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .434-6.6 Advance Notice and Payment. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .444-6.7 Accounting for Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .454-7 Appeals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .454-7.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .454-7.2 Time Limit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .454-7.3 Required Appeal Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .454-7.4 Final Decision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .464-8 Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .464-8.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .464-8.2 Submissions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .474-8.3 FOIA Annual Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .47February 2014v
Guide to Privacy, the Freedom of Information Act, and Records Management5 Requests for Special Categories of Records . . . . . . . . . . . . . . . . . . . . . . . . .495-1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .495-2 Requests for Employee or Customer Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .495-3 Congressional Requests. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .595-4 Records Subject to Litigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .596 Records Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .616-1 Records Management Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .616-1.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .616-1.2 What You Need to Know About Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .61vi6-1.3 Records Safeguards . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .626-2 Records Creation and Designation Guidelines. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .626-2.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .626-2.2 Creating a Record . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .626-2.3 Record Designation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .626-2.4 Micrographics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .636-2.4.1 Microform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .636-2.4.2 Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .636-2.4.3 Legal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .646-2.4.4 Archival . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .646-2.4.5 Maintenance and Disposal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .646-3 Retention. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .646-3.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .646-3.2 Record Series and Record Control Schedules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .646-3.3 Retention Periods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .646-4 Storage and Retrieval . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .656-4.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .656-4.2 Local Storage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .656-4.3 National Archives and Records Administration and Federal Records Centers . . . . . . .656-4.4 Vital Records . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .666-5 Disposal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .676-5.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .676-5.2 Disposal Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .686-5.3 Disposal Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .696-6 Separation Procedure (Employee or Non-Employee Available) . . . . . . . . . . . . . . . . . . . . . . .696-6.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .696-6.2 Separation Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .696-7 Records Subject to Litigation and Legal Holds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .706-7.1 General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .706-7.2 Procedures to Follow to Issue a Legal Hold Notice . . . . . . . . . . . . . . . . . . . . . . . . . . . .706-7.3 Procedures to Follow When a Legal Hold Notice Is Issued . . . . . . . . . . . . . . . . . . . . . .71Handbook AS-353
ContentsAppendix — Privacy Act Systems of Records . . . . . . . . . . . . . . . . . . . . . . . . . . .73Survey — Tell Us Your Thoughts!. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155February 2014vii
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ExhibitsExhibit 3-2.2Procedures to Provide a Privacy Notice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16Exhibit 3-2.3Procedures to Provide Choice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .17Exhibit 3-5.5Suggested Format for Memo on Disclosure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .28Exhibit 4-3FOIA Processing Checklist for Custodians . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .34Exhibit 4-5Exemption 3 Statutes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .39Exhibit 5-2aAddress Disclosure Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .54Exhibit 5-2bChange of Address or Boxholder Request Format — Process Servers . . . . . . . . . . . . . . . . . . . . . . .57Exhibit 5-2cAddress Information Request Format — Government Agencies . . . . . . . . . . . . . . . . . . . . . . . . . . . .58Exhibit 6-5.1Suggested Format for Records Disposal Notice. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .68February 2014ix
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1Introduction1-1 Purpose of This HandbookHandbook AS-353, Guide to Privacy, the Freedom of Information Act, andRecords Management, describes Postal Service policies and proceduresgoverning the privacy of information relating to customers, employees, orother individuals, and the release, protection, and management of PostalService records. The Postal Service is mandated by law, and has adoptedpolicies, to protect the privacy of its customers, employees, individuals, andsuppliers. The Postal Service is also required to make its records available tothe public consistent with the Freedom of Information Act (FOIA) and goodbusiness practices.1-2 Customer Trust and Privacy ProtectionFor more than two centuries, the Postal Service has maintained a brand thatcustomers trust to protect the privacy and security of their information. Asthe privacy landscape evolves, the Privacy Office keeps up with developinglegal and policy frameworks, new technologies, and best-in-class businessmodels and practices. The Privacy Office has developed its customer privacypolicy and procedures on a synthesis of the best business models andpractices of the public and private sectors. This includes establishedgovernment agency laws, regulations, and guidelines, as well as privacyprinciples and best practices followed by the private sector.1-3 Handbook ApplicationThis handbook covers the laws, policies, and procedures for all PostalService records and information related to customers, employees,individuals, and suppliers. This handbook applies to Postal Serviceemployees, suppliers, or other authorized users with access to PostalService records and information resources. The policies and procedures inthis handbook cover the following types of information or informationsystems:February 2014 Postal Service records. Information related to customers, employees, other individuals, andsuppliers.1
1-4Guide to Privacy, the Freedom of Information Act, and Records Management Technologies, information systems, infrastructure, applications,products, services, and other information resources associated withcollecting, maintaining, using, disclosing, and safeguarding customer,employee, or other individuals’ information.1-4 Roles and Responsibilities1-4.1General ResponsibilityAll Postal Service employees, business partners and suppliers, and otherauthorized users are responsible for following the policies and procedures inthis handbook.1-4.21-4.2.1Specific ResponsibilityOfficers, Managers, and EmployeesAll officers, business and line managers, supervisors, and other employeesare responsible for implementing privacy policies as required by thishandbook and their Postal Service duties. Officers and managers ensurecompliance with privacy policies through organizations and informationresources under their direction, and provide resources required toappropriately protect the privacy of customer, employee, or other individuals’information.1-4.2.2Suppliers, Business Partners, and CustomersSuppliers, business partners, and customers are responsible for thefollowing:1-4.2.3a.Suppliers and Business Partners. All Postal Service suppliers andbusiness partners who develop systems with or have access toinformation resources that contain customer, employee, or otherindividuals’ data, or who help to develop or implement a Postal ServiceWeb site or marketing e–mail campaign, are responsible for complyingwith Postal Service privacy policies and related business, security, andcontracting practices.b.Customers. Customers must follow the applicable procedures forprivacy and FOIA.Chief FOIA OfficerThe chief FOIA officer is responsible for the following:2a.Overseeing Postal Service compliance with the FOIA.b.Making recommendations to the postmaster general regarding thePostal Service’s FOIA program.c.Monitoring and reporting on FOIA implementation and performance forthe Postal Service.Handbook AS-353
Introduction1-4.2.4Contact the chief FOIA officer at the following address:CHIEF FOIA OFFICERUS POSTAL SERVICE475 L’ENFANT PLZ SW RM 10433WASHINGTON DC 202601-4.2.4Chief Privacy OfficerThe chief privacy officer (CPO) is responsible for the following:a.Developing and implementing policies, processes, and procedures forprivacy, records, and FOIA.b.Reviewing privacy impact assessments and determining informationsensitivity during the business impact assessment process.c.Advising management on strategic direction and trends.d.Evaluating technology that impacts privacy.e.Providing guidance on privacy and records policies.f.Directing the activities of the Privacy Office and the Records Office,and reporting to the Consumer Advocate.Contact the Privacy Office at the following address:PRIVACY OFFICEUS POSTAL SERVICE475 L’ENFANT PLZ SW RM 10433WASHINGTON DC 20260e-mail: privacy@usps.gov1-4.2.5Manager, Records OfficeThe manager of the Records Office is responsible for the following:a.Managing the Records Office.b.Establishing procedures and guidelines to ensure that recordmanagement practices comply with the Privacy Act and FOIA.c.Answering questions about the policies and procedures in thishandbook.Contact the Records Office manager at the following address:MANAGER, RECORDS OFFICEUS POSTAL SERVICE475 L’ENFANT PLZ SW RM 5821WASHINGTON DC 20260Telephone: 202-268-26081-4.2.6Freedom of Information Act Requester Service CentersThe FOIA Requester Service Centers (RSCs) are responsible for thefollowing:February 2014a
Records Management, describes Postal Service policies and procedures governing the privacy of information relating to customers, employees, or other individuals, and the release, protection, and management of Postal Service records. The Postal Service is
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