4-4.19 Referral to or Consultation or Coordination With Another Postal Service Component or Agency

1. General. To the extent the responsive records originated from another Postal Service component or agency (see 4-4.5.b), the records custodian must refer the responsive records or information to the other Postal Service component or agency to process under the FOIA’s disclosure provisions and provide a direct response to the requester, except if one of the exceptions in paragraph b. is met. The three Postal Service components are the Postal Service, the Postal Inspection Service, and the Postal Service Office of Inspector General. The records custodian must identify responsive records appropriate for referral to another Postal Service component or agency as soon as practical during the course of processing the request. For requests referred from a FOIA RSC, consult the referring FOIA RSC as soon as possible when you believe that records may require consultation or referral.
2. Exceptions to Use of Referral Procedures. The records custodian may not use the referral procedures under the following circumstances:
1. Originator of Records is Not Subject to the FOIA. If the originator of the responsive records is not subject to the FOIA, the records custodian must follow the consultation process with respect to the responsive records (see 4-4.20). Only a federal entity that qualifies as an agency (see 4-4.5.b) is subject to the FOIA, which does not include the United States Congress, United States courts, state governmental entities, private entities, or individuals.
2. Agreement to Use Consultation Procedures. If there is joint agreement with the originating Postal Service component or other agency that the responsive records should be handled by way of a consultation instead of a referral, the records custodian must follow the consultation procedures (see 4-4.20) instead of the referral procedures.
3. Conditions for Coordinating a Response Are Met: If the conditions for coordinating a response with the other Postal Service component or agency are met (see 4-4.20), the records custodian must follow the coordination procedures instead of the referral procedures.
3. Procedures for Making a Referral. If referral to another Postal Service component or agency is appropriate, the records custodian must follow these procedures:
1. Determine whether the referring Postal Service component has an interest in whether the responsive records are disclosed to the requester.
2. Send the following to the originating Postal Service component or agency as soon as practical:
1. A copy of the request.
2. A copy of the responsive records.
3. A cover memorandum stating the following:
1. The FOIA tracking number the Postal Service assigned to the request.
2. The date the request was received by the Postal Service.
3. If applicable, the recommendation of the referring Postal Service component as to whether the responsive records must be disclosed to the requester.
3. Notify the requester that a referral of responsive records has been made for disclosure decision and direct response to the requester, provide the name of the Postal Service component or other agency to which the referral was directed, and include that component’s or agency’s FOIA contact information.
4. Maintain a copy of the responsive records being referred and the cover memorandum accompanying the referral.