4-3.5 Accounting for Disclosures to External Third Parties Under the Privacy Act

4-3.5.1 Keeping Accounting of Disclosures

A records custodian must keep an accurate accounting of each disclosure to an external person or agency of records about an individual in a system of records (see 4-3.3.3), except if the disclosed records are available to the general public (see 4-2).

A records custodian must keep an accounting of a disclosure even if the disclosure was made to the external person or agency at the request or consent of the individual to whom the disclosed records pertain
(see 4-3.3.3.e).

An accounting of a disclosure is not kept under either of the following conditions:

1. Disclosure was to the individual to whom the disclosed records pertain (see 4-3.2).
2. Disclosure was to a Postal Service employee or employee of a Postal Service contractor because the employee needed the disclosed records in the performance of his or her Postal Service duties
   (see 4-3.3.2).

4-3.5.2 Preparing Accounting of Disclosure Record

1. General. Except as provided in paragraph b., the records custodian may keep an accounting of a disclosure in hard copy or electronic form and it may consist of a memorandum to the file (see suggested format in Exhibit 4-3.5), a copy of the correspondence transmitting the disclosed records, or a log or other listing that must show the following information:
1. The date, nature (e.g., employee accident file), and purpose (e.g., legal proceeding) of the disclosure.
2. The name and address of the external person or agency to whom the disclosure was made.
2. OPFs and eOPFs. PS Form 6100-B, OPF Disclosure Accounting Form, must be used to account for a disclosure to a law enforcement official of records in a hard copy Official Personnel Folder (OPF) or electronic Official Personnel Folder (eOPF). PS Form 6100-A, OPF Disclosure Accounting Form, must be used to account for all other disclosures of records in a hard copy OPF or eOPF. In lieu of those forms, a system-generated accounting may be used for disclosure from an eOPF.
3. Collective Bargaining Agents. Except for disclosures from a hard copy OPF or eOPF, PS Form 6105, Disclosure of Information About Employees to Collective Bargaining Agents, must be used to account for disclosures to collective bargaining agents.
4. Postal Inspection Service. IS Form 2099, Inspection Service Disclosure Record, may be used to account for disclosure of Postal Inspection Service investigative records.

Exhibit 4-3.5 

Suggested Format for Memo Documenting External Disclosure of Records

 

Record of External Disclosure of Records About an Individual From a System of Records in Compliance with the Privacy Act (5 U.S.C. 552a(c)) Date of disclosure: ________________ Disclosed records pertain to: ____________________________ [name of individual] Disclosed to: ________________________________________ [name and address of third party] Records disclosed: ______________________________ [state, summarize, or otherwise identify] Source of disclosed records: ____________________________ [no. and name of system of records] Purpose of disclosure: __________________________________ Authority for disclosure: _____________________________ [Privacy Act section; no. of routine use; identification of individual’s written request or consent]

4-3.5.3 Filing and Retention of Accounting of Disclosure Record

1. Filing. The accounting of disclosure records must be filed, cross-indexed, or otherwise associated with the disclosed records so that a complete accounting of their disclosure can be constructed, if necessary.
2. Retention Period. The accounting of disclosure records must be retained for at least 5 years after the date of the disclosure, or for the life of the disclosed records, whichever is longer.

4-3.5.4 Request for Accounting of Disclosures and Response

1. Request. Except as provided in paragraph b., an individual may request an accounting of the disclosure to external persons or agencies of records about the individual in a system of records for which an accounting is required to be kept (see 4-3.5.1). The individual must submit the request to the records custodian, and the request must clearly identify the requester and the records/system of records for which the requester seeks an accounting of disclosures. However, a request for an accounting of disclosures made pursuant to a computer matching program must be submitted to the manager of the Privacy and Records Management Office at the address provided in 1-4.2.5.
2. Response.
1. General. Except as provided in paragraph (2), the records custodian must take one of the following actions no later than 30 business days (excluding weekends and Postal Service holidays) after receipt of a proper request for an accounting of disclosures:
1. Notify the requester that no relevant disclosures have been made.
2. Provide the requester with an accounting of the relevant disclosures that have been made.
2. Certain External Disclosures Made for Criminal or Civil Law Enforcement Activity. The records custodian must not provide to the requester an accounting of any disclosures that have been made under the Privacy Act-authorized disclosure category relating to certain disclosures made to other agencies or instrumentalities of governmental jurisdictions within or under the control of the United States for a criminal or civil law enforcement activity (5 U.S.C. 552a(b)(7)) (see 4-3.3.3.e).