Effective June 7, 2007, we are revising Handbook AS–353, Guide to Privacy and the Freedom of Information Act, for clarity and administrative purposes.
The purpose for the revision is to update sections for administrative purposes, to clarify existing text and to update and add definitions. Among the changes is the addition of Chapter 6, Records Management, which incorporates text from the Administrative Support Manual about Postal Service™ policies and procedures for records management and retention.
Handbook AS 353, Guide to Privacy and the Freedom of Information Act
1 Introduction
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1-4 Roles and Responsibilities
1-4.1 General Responsibility
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1-4.2 Specific Responsibility
1-4.2.1 Officers, Managers, and Employees
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1-4.2.2 Suppliers, Business Partners, and Customers
[Revise item a of 1-4.2.2 to read as follows:]
Suppliers, business partners, and customers are responsible for the following:
a. Suppliers and Business Partners. All Postal Service suppliers and business partners who develop systems with or have access to information resources that contain customer, employee, or other individuals’ data, or who help to develop or implement a Postal Service Web site or marketing e-mail campaign, are responsible for complying with Postal Service privacy policies and related business, security, and contracting practices.***
1-4.2.3 Chief Privacy Officer
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1-4.2.4 Records Office Manager
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1-4.2.5 Freedom of Information Act Coordinator
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1-4.2.6 Records Custodian
[Revise 1-4.2.6 by replacing the second and third sentences, as follows:]
***Vice presidents or their designees are the custodians of records maintained at Headquarters. In the field, the records custodian is the head of a Postal Service facility such as an Area, District, Post Office, or other Postal Service installation or designee that maintains Postal Service records.***
[Revise the title and text of 1-4.2.7 to read as follows:]
1-4.2.7 Manager, Corporate Information Security Office
The manager, Corporate Information Security Office, is responsible for the following:
a. Ensuring compliance with information security policies, including the protection of information resources containing customer, employee, or other individuals’ information.
b. Safeguarding and disposing of electronic records (including e-mails) that are maintained in information systems, including those that are subject to legal holds.
c. Serving as the central contact for information security issues and providing security consultation as requested.
1-4.2.8 General Counsel
[Revise 1-4.2.8 to read as follows:]
The general counsel or designee is responsible for the following:
a. Deciding administrative appeals filed under the Privacy Act and Freedom of Information Act (FOIA). Appropriate legal counsel should be consulted by FOIA coordinators, records custodians, and others with legal questions about the Privacy Act or FOIA. For appeals related to records other than inspector general records, contact the general counsel’s designee at the following address:
CHIEF COUNSEL
CUSTOMER PROGRAMS
US POSTAL SERVICE
475 L'ENFANT PLZ SW RM 6138
WASHINGTON DC 20260
b. Issuing legal hold notices for the purpose of preserving Postal Service records relating to pending or anticipated legal proceedings, investigations, or audits.
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1-5 Definitions
[Revise 1-5 to read as follows:]
The types of records mentioned in this handbook are defined in 1-5.1.
[Revise 1-5.1 to read as follows:]
1-5.1 Types of Records
A Postal Service record includes information relating to the Postal Service or its business recorded in any medium (e.g., a hard copy or electronic document; recording in electronic, audio, video, or photographic format; tangible item; or other material) that is created, maintained, or received by Postal Service employees, business partners, and suppliers under the custody or control of the Postal Service. A record that is of a purely personal nature is not a Postal Service record. Legal holds may apply to Postal Service records as well as personal records.
Active record — Information that is used for conducting current business.
Inactive record — Information that is not used for conducting current business, but for which the retention period has not yet expired.
Permanent record — A record determined as having sufficient historical or other value to warrant continued preservation. All other records are considered temporary and must be scheduled for disposal.
Temporary record — A record determined to have insufficient value (on the basis of current standards) to warrant its permanent preservation.
1-5.2 System of Records
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1.5.3 Customers
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1-5.4 Individual
[Add sections 1-5.5 and 1-5.6 as follows:]
1-5.5 Legal Hold Notice
A legal hold notice is written notification issued in connection with a pending or anticipated legal proceeding, investigation, or audit that identifies records that must be preserved for the duration of the notice.
1-5.6 Retention Period
Retention period is the authorized length of time that a record series must be kept before its disposal. The period is usually stated in terms of months or years but sometimes is expressed as contingent upon the occurrence of an event. Authorized retention periods are published in eRIMS on the Postal Service intranet.
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[Add Chapter 6 to read as follows:]
6 Guide to Privacy and the Freedom of Information Act
6-1 Records Management Policy
6-1.1 General
Postal Service records management is based on best practices, business needs, and legal requirements. The policy applies to all Postal Service employees, business partners and suppliers who create, receive, or maintain records for the Postal Service. Procedures that provide specific instruction on various records management requirements are referenced in this section.
Proper and systematic management of Postal Service records is essential to Postal Service business needs and to assure compliance with applicable laws and regulations. Policy objectives are to:
a. Set standards for the management of records throughout their lifecycle.
b. Facilitate Postal Service compliance with records retention requirements.
c. Ensure that records relevant for ongoing business purposes, or for current or future litigation, investigations or audits are appropriately preserved and reasonably accessible.
d. Safeguard records including third-party records.
e. Reduce inefficiencies in the records management process.
6-1.2 What You Need to Know About Records
All records, including e-mails and instant messages, created or received by the Postal Service or its employees are the property of the Postal Service and shall be managed in accordance with this policy and related procedures.
Each Postal Service functional area will have a records control schedule that lists its official record categories and sets forth the applicable retention periods (see section 6-3). The Records Office coordinates the development and updates of all records control schedules. Final approval is required by the functional area, the Law Department, Inspection Service, and the Privacy Office. Records must be disposed of at the end of the retention period, unless there is a legal hold requiring preservation of the records.
Each Postal Service functional area is responsible for properly designating records, including identifying any vital records (see section 6-2) and for safeguarding records in its possession.
6-1.3 Records Safeguards
Appropriate safeguards, such as access restrictions, passwords, records controls, lockable cabinets, or lockable rooms, must be provided to ensure the security and privacy of records in order to protect the interests of the Postal Service, its employees, customers, suppliers, and the general public. (See Handbook AS 805, Information Security.)
Information contained in records may be proprietary to a supplier. That information must be managed in accordance with relevant contractual obligations, if any, that the Postal Service may have entered into with that supplier, as well as any applicable laws, including FOIA.
6-2 Records Creation and Designation Guidelines
6-2.1 General
This section sets forth procedures for creating and designating records.
6-2.2 Creating a Record
Records often survive long past their business need and later may be interpreted by people with little or no understanding of their context. When creating a record, use the following steps:
1. Create only those records that are necessary to meet a Postal Service business need.
2. Use clear, accurate, and professional language when creating a record.
3. Take steps to ensure that confidentiality is preserved where appropriate.
6-2.3 Record Designation
Some records warrant special designation and protection. The Postal Service uses four designations for such records: sensitive, critical, classified, and vital.
Sensitivity of records measures the need to protect the confidentiality and integrity of personal and business information. The three levels in order of decreasing sensitivity are as follows:
a. Sensitive.
b. Business-controlled sensitive.
c. Nonsensitive.
Criticality of records measures the need for continuous availability of the records. The three levels in order of decreasing criticality are as follows:
a. Critical.
b. Business-controlled critical.
c. Noncritical.
Classified records are records that contain information about the national defense and foreign relations that have been determined under relevant executive orders to require protection against unauthorized disclosure. Classified records in the custody of the Postal Service are managed by the Inspection Service. There are three types of classified records as follows:
a. Top secret.
b. Secret.
c. Confidential.
Vital records are records that must be available in the event of an emergency in order to ensure the continuity of Postal Service operations and the preservation of the rights and interests of the Postal Service, its employees, suppliers, and customers. Loss of or damage to these records means that the Postal Service would not be able to re-establish normal business operations.
The two types of vital records are as follows:
a. Emergency operating records — Records that are necessary to support essential functions of the Postal Service during and immediately following a national emergency.
b. Rights and interests records — Records that are maintained to ensure the preservation of the rights and interests of the Postal Service, its employees, suppliers, and customers.
If the designation indicated on a record is no longer warranted, the custodian may manage the record in accordance with the business rules for the required designation. Custodians may indicate the new designation on records, as appropriate, by placing a single line through the former designation so that it remains legible.
6-2.4 Micrographics
Micrographics or optical imaging is a technology that reduces any form of information to a microform medium.
6-2.4.1 Microform
Microform is a generic term for any form, either film or paper, that contains micro-images, a unit of information, such as a page of text or drawing, too small to be read without magnification.
6-2.4.2 Policy
Micrographics may be used for the following purposes:
a. Preservation of deteriorating records.
b. Production of archival or intermediate records.
c. Duplication of information for dissemination to other locations.
d. Increased efficiency in searching records.
e. Greater security for sensitive records.
f. Reduction of paper record holdings or use of space.
6-2.4.3 Legal
Federal statute (28 U.S.C. 1732) provides for the legality and admissibility of microforms and electronic images that accurately reproduce or form a durable medium for reproducing the original record. To meet the requirements of this statute, microform records must be produced in the regular course of business and be able to be satisfactorily identified and certified.
Original documents sometimes must be retained to resolve questions of document authenticity. If the authenticity of documents having legal significance could be subject to question, obtain the advice of the Area Managing Counsel’s Office (or for Headquarters organizations, the Managing Counsel, Civil Practice) before disposing of the original.
6-2.4.4 Archival
Only original silver halide microfilm has sufficient archival quality to be substituted for documents requiring permanent retention or to produce microforms of permanent retention value.
6-2.4.5 Maintenance and Disposal
Microforms are subject to all regulations on retention, disclosure, privacy, and security of Postal Service records and information.
6-3 Retention
6-3.1 General
The retention periods for records are determined by business, historical, or legal needs of the organization.
6-3.2 Record Series and Record Control Schedules
Postal Service records are grouped into record series. A record series is a group of records that relate to the same subject and have the same retention period. A record control schedule provides for all aspects of records management for a record series including storage, transfer, retention periods, and disposal instructions. All records control schedules will specify a cutoff period. A cutoff period is the termination of a file or information in a file at regular periodic intervals that allows for their disposal or transfer.
6-3.3 Retention Periods
General. Retention periods are contained in the records control schedule for the applicable record series. They are available in eRIMS. Keep records for the period indicated and then dispose of them as specified in section 6-5.
E-Mail Retention. E-mails and their attachments are Postal Service records that must be managed in accordance with Postal Service policies and procedures. Refer to Management Instruction AS-870-2006-1, Electronic Messaging for the retention of e-mails created on, sent from, or received by Postal Service systems.
Extension of Retention Periods. Retention periods may be extended in response to a court order, if subject to a legal hold or needed for a special use. Other records should not be maintained for longer than the periods specified.
6-4 Storage and Retrieval
6-4.1 General
Records should be stored within the control of each department. However, records no longer required for active reference and having a remaining life of more than 1 year, but not yet eligible for destruction, may be transferred to local storage or a Federal Records Center (FRC) unless subject to a legal hold. For information regarding where a record should be stored, see the appropriate records control schedule found in eRIMS.
6-4.2 Local Storage
Local storage may include commercial storage sites or Postal Service facilities. For inactive Headquarters records, personnel should follow storage procedures found in Management Instruction AS-510-97-5, Storage and Retrieval of Headquarters Records. Field personnel should check with their facilities manager for transfer and retrieval instructions. All transfers to local Postal Service storage must be accompanied by PS Form 773, Records Transmittal and Receipt.
6-4.3 National Archives and Records Administration and Federal Records Centers
The National Archives and Records Administration (NARA) is the government agency that stores and maintains the U.S. Government’s permanent collection of documents that records important events in American history. NARA also stores federal government inactive temporary records across the country in secure FRCs.
The following procedures apply with respect to transferring records to the FRCs:
a. Conditions. Forward to FRCs only:
1. Records series approved by the Records Office and having a remaining life of more than 1 year.
2. Volumes of records consisting of 1 cubic foot or more. (The installation must keep quantities of less than 1 cubic foot and destroy them in house when the retention period expires.)
b. Procedures. Separated employee personnel and medical records are stored in the National Personnel Records Center (NPRC) in St. Louis, Missouri; for applicable procedures, contact the Records Office. For all other FRCs, use the following procedures:
1. Assemble records to be shipped and pack (95 percent to capacity) in 1 cubic foot boxes obtained for this purpose from the General Services Administration (Item # 8115-00-117-8249). Prepare a box list, identifying the folders in each box, in duplicate. Insert one copy of the box list in the first box of the accession to be shipped with the records, and retain one copy locally.
2. Complete two copies of Standard Form (SF)-135, Records Transmittal and Receipt. This form may be obtained from the NARA Web site at: http://www.archives.gov/records_center_program/forms/sf_135_intro.html. Send both copies to the receiving FRC at least 2 weeks before the intended shipping date.
3. The FRC shows approval by returning one annotated copy of the SF-135 to the requesting installation.
4. Place a copy of the SF-135 in the first box of the shipment and ship. Hold a copy in your office until the FRC returns the receipted copy.
5. File the receipted copies locally in the event they are needed for retrieval of the stored records prior to their disposal.
c. Location. See eRIMS or visit the NARA Web site (http://www.archives.gov/frc/) for Federal Record Center addresses and areas served.
d. Retrieval. The installation from where the records were sent handles their retrieval. For the retrieval process of medical records, contact the Headquarters Medical Program Office. Requests for retrievals are made on Optional Form (OF) 11, Reference Request– Federal Records Centers, or through NARA’s electronic retrieval system, Centers Information Processing System (CIPS). FEDSTRIP ordering offices order Form OF-11, directly from GSA. Non-FEDSTRIP ordering offices order this form from their supporting supply section or from their GSA Customer Supply Center. Retrievals are made at the Federal Records Centers by the accession number and the box location number recorded on the SF-135 when the records were approved for transfer.
6-4.4 Vital Records
Department heads or their designees, in conjunction with the manager, Records Office, are responsible for reviewing their record series to identify their department’s vital records, if any. Vital records should be listed on the Vital Records Inventory Form, which can be obtained through the manager, Records Office.
a. Hard-copy Vital Records
1. The manager, Records Office, designates appropriate hard-copy vital records storage facilities away from the locations housing original hard-copy vital records with safeguards appropriate to ensure the quality and integrity of the vital records.
2. Unless an alternate process has been set up and approved in writing by the manager, Records Office, when a new hard copy (e.g., paper, microform, or CD) vital record is created or received, the employee responsible for the vital record forwards a copy to his or her Postal Service manager. The record should be clearly labeled as a vital record.
3. The Postal Service manager or his or her designee contacts the manager, Records Office to review and transfer the copy of the vital record to the appropriate storage facility.
b. Electronic Vital Records
The vice president responsible for the vital record(s) and the chief technology officer verify that an adequate disaster recovery plan is in place for each department’s electronic vital records. Information Technology ensures that backup for electronic vital records is located at an appropriate facility away from the locations housing original electronic vital records with safeguards appropriate to ensure the quality and integrity of the vital records.
Postal Service managers should review their departments’ Vital Records Inventory Form at least once a year to verify that it is current and that each record designated as a vital record continues to warrant that designation. After the Postal Service managers review the Vital Records Inventory Form, they should send it to their vice president for approval and transmittal to the manager, Records Office.
6-5 Disposal
6-5.1 General
Postal Service records that are eligible for disposal and not subject to a Legal Hold Notice should be disposed of in accordance with the appropriate records control schedule.
To dispose of records that are maintained at an FRC or commercial storage, a Records Disposal Notice (Exhibit 6–5.1) is used. A Records Disposal Notice is a written notification that lists records that are eligible for disposal.
6-5.2 Disposal Methods
Records authorized for disposition may be disposed of using the following methods:
a. Transferring to the National Archives.
b. Donating to the Smithsonian Institution, local museums, or historical societies.
c. Selling as waste material.
d. Discarding.
e. Physically destroying.
For guidance on the appropriate disposal method, see eRIMS or contact the Records Office.
Hard-copy records with retention periods that have expired and that are not subject to a Legal Hold Notice may be sold as waste paper unless they contain information that cannot be disclosed to the general public, such as personal information. Hard-copy records containing personal information must be destroyed pursuant the applicable Privacy Act systems of records (see appendix). Any contract for sale must prohibit the resale of the hard-copy records as records or documents. Film or plastic records may be sold under the same conditions and in the same manner. Hard-copy records that cannot be sold should be destroyed by shredding, pulping or burning.
6-5.3 Disposal Procedures
Records Stored Locally or On-Site. The records custodian or his or her designee will notify each Postal Service manager of his or her responsibility to dispose of records under his or her jurisdiction via a Records Disposal Notice. Specific disposal certification instructions are found on the notice.
Exhibit 6-5.1
Suggested Format for Records Disposal Notice
[Date]
[To]
Records Disposal Notice
[Below or attached] is a list of inactive records for which your office is functionally responsible. The records were transferred to an off-site record storage facility and are now eligible for disposal as indicated. These records will be destroyed 30 days from the date of this Notice, unless we are otherwise notified.
Please provide copies of the list to the managers currently responsible for these records. Each manager should review the list, initial their concurrence with the disposal of their records and return the list to ________________________. However, if any of these records are to be retained, a contact name and number must be identified. We will then coordinate proposed extensions of the disposal dates.
Records ready for disposal:
Transfer ID Number Box # Disposal Date Reviewed by
_________________ ____ ___________ ___________
_________________ ____ ___________ ___________
_________________ ____ ___________ ___________
Comments: _______________________________________
Please return this completed Notice to: [contact name, number and address]
Records Stored in Federal Record Centers. The storing FRC will notify the records custodian 90 days before the scheduled disposal date of records eligible for disposal. The records custodian or designee will provide a Records Disposal Notice to the responsible Postal Service manager to certify and return to the records custodian. The Records Disposal Notice must be returned within 30 days of receipt.
Electronic Records. Information technology (IT) is responsible for disposing of electronic records (including e-mails) that are stored in Postal Service systems repositories in accordance with Postal Service records controls schedules. The records custodian or Postal Service manager is responsible for forwarding all relevant Records Disposal Notices to IT for action.
6-6 Separation Procedure (Employee or Non-Employee Available)
6-6.1 General
Separation procedures set forth the process for managing records in the possession, custody, or control of employees who are separating from the Postal Service and suppliers who cease to perform services for the Postal Service.
6-6.2 Separation Procedures
When a Postal Service manager is aware that an employee will be separating or that a supplier for whose services he or she is responsible will be discontinuing services, the manager must ensure that the employee or supplier completes the appropriate checklist. For HQ, use PS Form 292, Headquarters Clearance Checklist. For the field, use PS Form 337, Clearance Record for Separated Employee.
The employee or the supplier completes the activities specified on the checklist and signs the form to certify that he or she has relinquished all records (regardless of medium) in his or her possession and submits the form to his or her Postal Service manager.
The Postal Service manager reviews the checklist to determine that no exceptions are indicated on the form, takes steps to determine that the activities specified on the form have been performed, and then signs the form. By signing the form, the Postal Service manager certifies that he or she has taken custody of all records (regardless of medium) and authorizes termination of the individual’s IT account. IT should immediately terminate the individual’s IT account, dispose of records residing in the individual’s electronic repositories (unless otherwise designated by the manager), and sign the form to certify that this has occurred. Corporate Personnel Management retains the completed form.
The manager is responsible for ensuring that hard-copy and electronic records that should be maintained are transferred to appropriate personnel and that all other records are disposed of per the appropriate record schedule.
6-7 Records Subject to Litigation and Legal Holds
6-7.1 General
For records sought pursuant to subpoena, court order, summons, or regarding matters that are in litigation or likely to become the subject of litigation, the custodian must immediately advise appropriate legal counsel. Records may only be released outside the Postal Service on advice of counsel. Postal Service regulations concerning providing records subject to legal proceedings are contained in 39 CFR 265.11–13.
Legal holds are required to preserve Postal Service records for the purposes of pending or anticipated litigation. The Office of General Counsel is responsible for issuing Legal Hold Notices to ensure that relevant Postal Service records are preserved and for issuing Release Notices when the legal hold is lifted.
6-7.2 Procedures to Follow to Issue a Legal Hold Notice
In connection with any pending or anticipated legal proceeding, investigation, or audit, the Office of General Counsel determines whether it is necessary to issue one or more Legal Hold Notices. In those instances, the Office of General Counsel will develop and issue a Legal Hold Notice.
When a legal hold is no longer necessary, the Office of General Counsel will issue a Release Notice.
6-7.3 Procedures to Follow If a Legal Hold Notice Is Issued
Once a Legal Hold Notice has been issued, records subject to the Notice must be preserved until a Release Notice is issued. Retention schedules for these materials are superseded. Records that are subject to a Legal Hold Notice or that are reasonably likely to be relevant to any pending or anticipated legal proceeding, investigation, or audit must not, under any circumstances, be altered, mutilated, concealed, deleted, destroyed, or otherwise disposed of without the specific authorization of counsel.
Recipients of Legal Hold Notices must confirm receipt of the Notice and compliance, as requested by counsel. Recipients should also notify counsel if additional distribution is necessary to other employees or parties.
Any employee or party who maintains or controls records subject to the Legal Hold Notice shall manage those items to ensure that they are retained in their original form. Any duplicate of a record that has been altered or annotated in any way is a distinct record and must be retained. If records or items covered by the legal hold are subsequently received, they must also be retained.
Failure to preserve a record subject to a Legal Hold Notice can subject the Postal Service and employees to fines, sanctions, and other legal penalties.
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We will incorporate these revisions into the next printed version of the handbook and also into the online update, available on the Postal Service™ PolicyNet Web site:
(The direct URL for the Postal Service PolicyNet Web site is http://blue.usps.gov/cpim.) It is also available on the Postal Service Internet:
- Go to www.usps.com.
- Click on About USPS & News, then Forms & Publications, then Postal Periodicals and Publications, and then Handbooks.
— Consumer Policy and Strategy,
Consumer Advocate, 6-7-07
