Summary of Changes - USPS

1 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, has been updated with Postal Bulletin articles through November 23, 2017, as follows:The chapter, subchapter, part, appendix, or Postal Bulletin issue an issue date 3 Protecting Individual Privacyrevised to update the entire 4 Records Notification, Access, and Disclosure Procedures Under the Privacy Act and Freedom of Information Actrevised to update the entire 5 Requests for Special Categories of Recordsrevised to update the entire Privacy Act System of RecordsSection EComplete Text of Systems of Recordsrevised to include modifications published in the Federal Register on February 23, to provide employees with the option to make their Form W-2 and Form 1095-C available to third-party tax preparation to serve as a guide for requesters, which provides instructions for individuals on how to submit a Privacy Act request and a FOIA request to the Postal LetterGuide to Privacy, the Freedom of Information Act.

2 And Records ManagementHandbook AS-353 January 2018 Transmittal Key strategies of the Postal Service s Transformation Plan are to achieve growth by adding value for customers and to improve the workplace environment. The proper collection, use, and protection of customer and employee information are key parts of that value This handbook replaces the March 2016 This handbook provides direction and guidance for Postal Service employees, suppliers, or other authorized users with access to Postal Service records and information resources. The handbook also provides direction and guidance for customers, employees, suppliers, or other individuals about how their information is collected, maintained, used, disclosed, and safeguarded. This version of the handbook includes a new Addendum. In addition, chapters 3 through 5 were revised to clarify current This handbook is available online on both the usps intranet ( ) and the FOIA page at ( ).

3 Submit questions, comments, or suggestions about this handbook to: THOMAS J MARSHALLGENERAL COUNSEL AND EXECUTIVE VICE PRESIDENTUS POSTAL SERVICE475 L'ENFANT PLZ SW RM 6004 WASHINGTON DC 20260 PHONE: Date. This handbook is effective January J. ElstonAssociate General Counsel and Chief Ethics & Compliance OfficerJanuary 2018iiiContentsSummary of ChangesTransmittal Letter ..i1 Introduction..11-1 Purpose of This Handbook .. 11-2 Customer Trust and Privacy Protection .. 11-3 Handbook Application .. 11-4 Roles and Responsibilities .. Responsibility .. Responsibility .. , Managers, and Employees.. , Business Partners, and Customers .. FOIA Officer .. Privacy Officer .. , Records Office .. of Information Act Requester Service Centers .. of Information Act Public Liaison .. of Information Act Coordinator .. Custodian.

4 Manager, Corporate Information Security Office .. General Counsel .. Chief Postal Inspector .. Office of Inspector General.. 61-5 Definitions .. of Records .. Hold Notice .. Period .. 72 Laws, Guidelines, and Policies ..92-1 The Best of Public and Private Practices .. 92-2 Mail Protections .. 9 Guide to Privacy, the Freedom of Information Act, and Records ManagementivHandbook AS-3532-3 Federal Laws.. Reorganization Act .. Act .. of Information Act .. Act of 2002 .. Act .. s Online Privacy Protection Act .. 112-4 Federal Agency Guidelines .. Trade Commission Privacy Principles .. of Management and Budget Privacy Guidelines .. 122-5 Postal Service Policies .. Privacy Policy .. E-mail Policy .. Policy .. of Postal Service Equipment .. 133 Protecting Individual Privacy..153-1 Overview.

5 Policy .. 153-2 Maintaining a System of Records.. , Changing, or Deleting an SOR .. for Changes to SORs .. 173-3 Collecting Personal Information .. by the Postal Service .. by Contractors .. on Collecting Information Related to Exercise of First Amendment Rights .. 183-4 Providing a Privacy Notice to Individuals .. of Providing Notice .. of the Privacy Notice .. of Providing Notice .. 203-5 Respecting Communication Preferences .. Choice to Individual Consumers .. Marketing Email .. 213-6 Requests for Amendment .. v. Significant Amendments .. for the Requester .. 22 ContentsJanuary for the Responder.. and Appeals .. 233-7 Legal Agreements Involving Personal Information .. by Contractors or Suppliers .. Sharing Agreements .. Matching Programs .. 243-8 Special Privacy Requirements .. Prohibitions Regarding Names and Addresses.

6 A Customer Website .. 253-9 Business Information .. of Notice.. of Providing Notice .. on Communicating with Business Customers .. Choice to Business Customers .. 264 Records Notification, Access, and Disclosure Procedures Under the Privacy Act and Freedom of Information Act ..274-1 General .. Act of 1974 .. of Information Act .. Guidance for Responding to Requests Under the Privacy Act and FOIA .. Postal Service Resources .. of Justice Guidance .. of Management and Budget Guidance .. 284-2 Public Records and Information Under FOIA .. Available in Reading Rooms .. of Records Custodians .. Rooms .. Information Available to the Public .. Information About Postal Service Customers .. Information About Postal Service Employees .. 304-3 Responding to Notification, Access, and Disclosure Requests Under the Privacy Act.

7 For Responding to Notification, Access, or Disclosure Requests Under the Privacy Act .. to Requester s Request for Notification of or Access to Records About Himself or Herself Under the Privacy Act .. Under the FOIA a Request for Access by Requester to His or Her Records .. Qualification as a Covered Individual, Record, and System of Records .. Sufficiency of Form of Request .. 34 Guide to Privacy, the Freedom of Information Act, and Records ManagementviHandbook Sufficiency of Content of Request .. Requester s Identity for Access Request.. for Responsive Records .. Whether Records Responsive to Access Request Are Also About Someone Other Than the Requester .. Postal Reorganization Act Exemptions for an Access Request.. Privacy Act Exemptions .. Handling Medical or Psychological Records Responsive to an Access Request.. Assessing and Collecting Fees for Access Request.

8 Responding to the Requester .. Creating and Retaining the Administrative File.. Preserving the Responsive Records.. to Request by Third Party for Disclosure of Records About an Individual Under the Privacy Act .. Qualification as a Covered Individual, Record, System of Records, Person, and Agency .. Internal Disclosures .. External Disclosures .. Records Before Making Certain External Disclosures .. to Certain External Third Parties of Correction of Records or Notation of Dispute .. Appeals Relating to Notification and Access Requests Under the Privacy Act .. for Deciding Appeal.. and Content of Appeal .. Period for Filing Appeal .. and Content of Appeal Decision .. Adjudication if Privacy Act Suit Filed .. Decision on Issues Appealed .. for Disclosures to External Third Parties Under the Privacy Act .. Accounting of Disclosures.

9 Accounting of Disclosure Record .. and Retention of Accounting of Disclosure Record .. for Accounting of Disclosures and Response .. 484-4 Responding to Requests Under the Freedom of Information Act .. Required by FOIA to be Made Available to the Public .. FOIA Tracking Number to and Acknowledgment of Request .. for Responding to a Request Under the FOIA .. First Under the Privacy Act a Request for Disclosure to the Requester of His or Her Records .. Qualification as a Covered Person and Record .. Sufficiency of Form of Request .. Whether a Request Asks for Disclosure of Records .. 51 ContentsJanuary Whether a Request Provides the Requester s Full Name and Mailing Address .. Sufficiency of Content of Request.. Requesting Additional Information About the Request .. Verifying the Requester s Identity .. Determining Whether to Neither Confirm Nor Deny the Existence of Records.

10 Assessment and Collection of Fees.. Time Limits.. Time Extensions.. Multitrack Processing .. Expedited Processing .. Searching for Responsive Records .. Referral to or Consultation or Coordination With Another Postal Service Component or Agency .. Coordinating Response With Another Postal Service Component or Agency .. Procedures Upon Receipt of a Consultation from Another Agency .. Considering FOIA Exclusions .. Considering Postal Reorganization Act Exemptions .. Considering FOIA Exemptions.. General .. Exemptions .. Exemption 1 Information Properly Classified Under Executive Order to Be Kept Secret in National Defense or Foreign Policy Interest .. Exemption 2 Information Related Solely to Agency Internal Personnel Rules and Practices .. Exemption 3 Specifically Exempted Form Disclosure by Another Federal Statute.