[Title 39 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2012 Edition]
[From the U.S. Government Printing Office]
[[Page i]]
Title 39
Postal Service
Revised as of July 1, 2012
Containing a codification of documents of general
applicability and future effect
As of July 1, 2012
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
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Table of Contents
Page
Explanation................................................. v
Title 39:
Chapter I--United States Postal Service 3
Chapter III--Postal Regulatory Commission 349
Finding Aids:
Table of CFR Titles and Chapters........................ 473
Alphabetical List of Agencies Appearing in the CFR...... 493
List of CFR Sections Affected........................... 503
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Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 39 CFR 1.1 refers to
title 39, part 1, section
1.
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[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
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name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
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LEGAL STATUS
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collection request.
[[Page vi]]
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This material, like any other properly issued regulation, has the force
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What is a proper incorporation by reference? The Director of the
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(b) The matter incorporated is in fact available to the extent
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(c) The incorporating document is drafted and submitted for
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What if the material incorporated by reference cannot be found? If
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[[Page vii]]
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Director,
Office of the Federal Register.
July 1, 2012.
[[Page ix]]
THIS TITLE
Title 39--Postal Service is composed of one volume. The contents of
this volume represent all current regulations codified under this title
of the CFR as of July 1, 2012.
For Chapter I--United States Postal Service, the ``Domestic Mail
Manual'', the ``Postal Service Publication 42, International Mail'' and
the ``Postal Contracting Manual, U.S. Postal Service Publication 41''
are incorporated by reference.
For this volume, Bonnie Fritts was Chief Editor. The Code of Federal
Regulations publication program is under the direction of Michael L.
White, assisted by Ann Worley.
[[Page 1]]
TITLE 39--POSTAL SERVICE
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Part
chapter i--United States Postal Service..................... 1
chapter iii--Postal Regulatory Commission................... 3000
[[Page 3]]
CHAPTER I--UNITED STATES POSTAL SERVICE
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SUBCHAPTER A--THE BOARD OF GOVERNORS OF THE U.S. POSTAL SERVICE
Part Page
BYLAWS OF THE BOARD OF GOVERNORS
1 Postal policy [Article I]................... 9
2 General and technical provisions [Article
II]..................................... 9
3 Board of Governors [Article III]............ 10
4 Officials [Article IV]...................... 14
5 Committees [Article V]...................... 16
6 Meetings [Article VI]....................... 16
7 Public observation [Article VII]............ 18
8-9
[Reserved]
10 Rules of conduct for Postal Service
Governors [Article X]................... 22
11 Advisory boards [Article XI]................ 23
SUBCHAPTER B--INTERNATIONAL MAIL
20 International Postal Service................ 24
SUBCHAPTER C--POST OFFICE SERVICES [DOMESTIC MAIL]
GENERAL INFORMATION ON POSTAL SERVICE
111 General information on Postal Service....... 26
121 Service standards for market-dominant mail
products................................ 28
122 Service standards for market-dominant
special services products............... 34
SUBCHAPTER D--ORGANIZATION AND ADMINISTRATION
211 Application of regulations.................. 36
221 General organization........................ 37
222 Delegations of authority.................... 40
223 Relationships and communication channels.... 41
INSPECTION SERVICE REQUIREMENTS
230 Office of Inspector General................. 42
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231 Protection of post offices.................. 49
232 Conduct on postal property.................. 49
233 Inspection Service authority................ 53
235 Defense Department liaison.................. 84
POST OFFICE ORGANIZATION AND ADMINISTRATION
241 Establishment classification, and
discontinuance.......................... 85
242 Change of site.............................. 95
243 Conduct of offices.......................... 96
GENERAL POSTAL ADMINISTRATION
254 Postal Service standards for facility
accessibility pursuant to the
Architectural Barriers Act.............. 96
255 Access of persons with disabilities to
Postal Service programs, activities,
facilities, and electronic and
information technology.................. 98
259 Services performed for other agencies....... 102
RECORDS AND INFORMATION
261 Records and information management.......... 104
262 Records and information management
definitions............................. 105
263 Records retention and disposition........... 108
264 Vital records............................... 108
265 Release of information...................... 109
266 Privacy of information...................... 136
267 Protection of information................... 147
268 Privacy of information--employee rules of
conduct................................. 150
273 Administration of Program Fraud Civil
Remedies Act............................ 151
DAMAGE TO OR DESTRUCTION OF FIRM MAILINGS
281 Firm mailings damaged or destroyed through
transportation accidents or catastrophes 156
SUBCHAPTER E--RESTRICTIONS ON PRIVATE CARRIAGE OF LETTERS
310 Enforcement of the private express statutes. 157
320 Suspension of the private express statutes.. 161
SUBCHAPTER F--PERSONNEL
447 Rules of conduct for postal employees....... 168
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491 Garnishment of salaries of employees of the
Postal Service and the Postal Rate
Commission.............................. 172
SUBCHAPTER G--POSTAGE PROGRAMS
501 Authorization to manufacture and distribute
postage evidencing systems.............. 176
551 Semipostal stamp program.................... 190
SUBCHAPTER H--PROCUREMENT SYSTEM FOR THE U.S. POSTAL SERVICE:
INTELLECTUAL PROPERTY RIGHTS OTHER THAN PATENTS
601 Purchasing of property and services......... 195
602 Intellectual property rights other than
patents................................. 205
SUBCHAPTER I [RESERVED]
SUBCHAPTER J--POSTAL SERVICE DEBT OBLIGATIONS; DISBURSEMENT POSTAL MONEY
ORDERS
760 Applicability of Treasury Department
regulations............................. 207
761 Book-entry procedures....................... 207
762 Disbursement postal money orders............ 210
SUBCHAPTER K--ENVIRONMENTAL REGULATIONS
775 National Environmental Policy Act procedures 215
776 Floodplain and wetland procedures........... 225
SUBCHAPTER L--SPECIAL REGULATIONS
777 Relocation assistance and real property
acquisition policies.................... 230
778 Intergovernmental review of Postal Service
facility actions........................ 249
SUBCHAPTER M [RESERVED]
SUBCHAPTER N--PROCEDURES
RULES OF PROCEDURE BEFORE THE OFFICE OF GENERAL COUNSEL
912 Procedures to adjudicate claims for personal
injury or property damage arising out of
the operation of the U.S. Postal Service 253
913 Procedures for the issuance of
administrative subpoenas under 39 U.S.C.
3016.................................... 256
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916
[Reserved]
RULES OF PROCEDURE BEFORE THE MAIL PROCESSING DEPARTMENT
927 Rules of procedure relating to fines,
deductions, and damages................. 258
931 Rules of procedure governing the compromise
of obligations.......................... 260
RULES OF PROCEDURE BEFORE THE POSTAL INSPECTION SERVICE
946 Rules of procedure relating to the
disposition of stolen mail matter and
property acquired by the Postal
Inspection Service for use as evidence.. 260
RULES OF PROCEDURE BEFORE THE JUDICIAL OFFICER
951 Procedure governing the eligibility of
persons to practice before the Postal
Service................................. 262
952 Rules of practice in proceedings relative to
false representation and lottery orders. 264
953 Rules of practice in proceedings relative to
mailability............................. 275
954 Rules of practice in proceedings relative to
the denial, suspension, or revocation of
periodicals mail privileges............. 278
955 Rules of practice before the Postal Service
Board of Contract Appeals............... 284
956
[Reserved]
957 Rules of practice in proceedings relative to
debarment and suspension from
contracting............................. 295
958 Rules of practice in proceedings relative to
civil penalties, clean-up costs and
damages for violation of hazardous
material regulations.................... 302
959 Rules of practice in proceedings relative to
the private express statutes............ 309
960 Rules relative to implementation of the
Equal Access to Justice Act in Postal
Service proceedings..................... 316
961 Rules of practice in proceedings relative to
employee hearing petitions under section
5 of the Debt Collection Act............ 323
962 Rules of practice in proceedings relative to
the Program Fraud Civil Remedies Act.... 326
963 Rules of practice in proceedings relative to
violations of the pandering
advertisements statute, 39 U.S.C. 3008.. 334
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964 Rules of practice governing disposition of
mail withheld from delivery pursuant to
39 U.S.C. 3003, 3004.................... 338
965 Rules of practice in proceedings relative to
mail disputes........................... 343
966 Rules of practice in proceedings relative to
administrative offsets initiated against
former employees of the Postal Service.. 345
[[Page 9]]
SUBCHAPTER A_THE BOARD OF GOVERNORS OF THE U.S. POSTAL SERVICE
Bylaws of the Board of Governors--Table of Contents
PART 1_POSTAL POLICY (ARTICLE I)--Table of Contents
Sec.
1.1 Establishment of the U.S. Postal Service.
1.2 Delegation of authority.
Authority: 39 U.S.C. 101, 202, 205, 401(2), 402, 403.
Source: 73 FR 78983, Dec. 24, 2008, unless otherwise noted.
Sec. 1.1 Establishment of the U.S. Postal Service.
The U.S. Postal Service is established under the provisions of the
Postal Reorganization Act (the Reorganization Act) of 1970, Public Law
91-375, 84 Stat. 719, as amended by the Postal Accountability and
Enhancement Act of 2006 (PAEA), Public Law 109-435, 120 Stat. 3198, as
an independent establishment of the executive branch of the Government
of the United States, under the direction of a Board of Governors, with
the Postmaster General as its chief executive officer. The Board of
Governors of the Postal Service (the Board) directs the exercise of its
powers through management that is expected to be honest, efficient,
economical, and mindful of the competitive business environment in which
the Postal Service operates. The Board consists of nine Governors
appointed by the President, by and with the advice and consent of the
Senate, to represent the public interest generally, together with the
Postmaster General and Deputy Postmaster General.
Sec. 1.2 Delegation of authority.
Except for powers, duties, or obligations specifically vested in the
Governors by law, the Board may delegate its authority to the Postmaster
General under such terms, conditions, and limitations, including the
power of redelegation, as it finds desirable. The bylaws of the Board
are the framework of the system through which the Board monitors the
exercise of the authority it has delegated, measures progress toward the
goals it has set, and shapes the policies to guide the future
development of the Postal Service. Delegations of authority do not
relieve the Board of full responsibility for carrying out its duties and
functions, and are revocable by the Governors in their exclusive
judgment.
PART 2_GENERAL AND TECHNICAL PROVISIONS (ARTICLE II)--Table of Contents
Sec.
2.1 Office of the Board of Governors.
2.2 Agent for receipt of process.
2.3 Offices
2.4 Seal.
2.5 Authority.
2.6 Severability, amendment, repeal, and waiver of bylaws.
Authority: 39 U.S.C. 202, 203, 205(c), 207, 401(2); 5 U.S.C.
552b(f), (g).
Source: 73 FR 78983, Dec. 24, 2008, unless otherwise noted.
Sec. 2.1 Office of the Board of Governors.
There shall be located in Washington, DC an Office of the Board of
Governors of the United States Postal Service. It shall be the function
of this Office to provide staff support for the Board, as directed by
the Chairman of the Board, to enable the Board to carry out effectively
its duties and responsibilities.
Sec. 2.2 Agent for receipt of process.
The General Counsel of the Postal Service shall act as agent for the
receipt of legal process against the Postal Service, and as agent for
the receipt of legal process against the Board of Governors or a member
of the Board, in his or her official capacity, and all other officers
and employees of the Postal Service to the extent that the process
arises out of the official functions of those officers and employees.
The General Counsel shall also issue public certifications concerning
closed meetings of the Board as appropriate under 5 U.S.C. 552b(f).
[[Page 10]]
Sec. 2.3 Offices.
The principal office of the Postal Service is located in Washington,
DC, with such regional and other offices and places of business as the
Postmaster General establishes from time to time, or the business of the
Postal Service requires.
Sec. 2.4 Seal.
(a) The Seal of the Postal Service is filed by the Board in the
Office of the Secretary of State, and is required by 39 U.S.C. 207 to be
judicially noticed. The Seal shall be in the custody of the General
Counsel, who shall affix it to all commissions of officers of the Postal
Service, and use it to authenticate records of the Postal Service and
for other official purposes. The following describes the Seal adopted
for the Postal Service:
(1) A stylized bald eagle is poised for flight, facing to the
viewer's right, above two horizontal bars between which are the words
``U.S. MAIL'', surrounded by a square border with rounded corners
consisting of the words ``UNITED STATES POSTAL SERVICE'' on the left,
top, and right, and consisting of nine five-pointed stars on the base.
(2) The color representation of the Seal shows, a white field on
which the bald eagle appears in dark blue, the words ``U.S. MAIL'' in
black, the bar above the words in red, the bar below in blue, and the
entire border consisting of the words ``UNITED STATES POSTAL SERVICE''
and stars in ochre.
[GRAPHIC] [TIFF OMITTED] TR24DE08.013
(b) The location and description of the Postal Service emblem is
described at 39 CFR 221.7.
Sec. 2.5 Authority.
These bylaws are adopted by the Board under the authority conferred
upon the Postal Service by 39 U.S.C. 401(2) and 5 U.S.C. 552b(g).
Sec. 2.6 Severability, amendment, repeal, and waiver of bylaws.
The invalidity of any provision of these bylaws does not affect the
validity of the remaining provisions, and for this purpose these bylaws
are severable. The Board may amend or repeal these bylaws at any special
or regular meeting, provided that each member of the Board has received
a written notice containing a statement of the proposed amendment or
repeal at least 5 days before the meeting. The members of the Board may
waive the 5 days' notice or the operation of any other provision of
these bylaws by unanimous consent, if that action is not prohibited by
law. The Secretary shall submit the text of any amendment to these
bylaws for publication in the Federal Register as soon as practicable
after the amendment is adopted by the Board.
PART 3_BOARD OF GOVERNORS (ARTICLE III)--Table of Contents
Sec.
3.1 Composition and responsibilities of Board.
3.2 Compensation of Board.
3.3 Matters reserved for decision by the Board.
3.4 Matters reserved for decision by the Governors.
3.5 Delegation of authority by Board.
3.6 Information furnished to Board--financial and operating reports.
3.7 Information furnished to Board--program review.
3.8 Information furnished to Board--special reports.
3.9 Establishment of rates and classes of competitive products of
general applicability.
3.10 Establishment of rates and classes of competitive products not of
general applicability.
Authority: 39 U.S.C. 202, 203, 205, 401 (2), (10), 402, 404(b), 414,
416, 1003, 2005, 2011, 2802-2804, 3013, 3622, 3632, 3642, 3652, 3654,
3691; 5 U.S.C. 552b(g), (j); 5 U.S.C. App.; Pub. L. 107-67, 115 Stat.
514 (2001).
Source: 73 FR 78983, Dec. 24, 2008, unless otherwise noted.
[[Page 11]]
Sec. 3.1 Composition and responsibilities of Board.
The composition of the Board is described in 39 U.S.C. 202. The
Board directs the exercise of the powers of the Postal Service, reviews
the practices and policies of the Postal Service, and directs and
controls the expenditures of the Postal Service. Consistent with the
broad delegation of authority to the Postmaster General in Sec. 3.5 of
these bylaws, and except for those powers, duties, or obligations which
are specifically vested by statute in the Governors, as distinguished
from the Board of Governors, the Board accomplishes its purposes by
monitoring the operations and performance of the Postal Service, and by
establishing basic objectives, broad policies, and long-range goals for
the Postal Service.
Sec. 3.2 Compensation of Board.
Section 202(a)(1) of title 39 provides for the compensation of the
Governors and for reimbursement for travel and reasonable expenses
incurred in attending Board meetings. Compensation is provided for not
more than 42 days of meetings per year.
Sec. 3.3 Matters reserved for decision by the Board.
The following matters are reserved for decision by the Board of
Governors:
(a) Adoption of, and amendments to, the bylaws of the Board.
(b) (1) Approval of the annual Postal Service Finance Plan;
(2) Approval of the annual Postal Service Operating Plan;
(3) Approval of the annual Postal Service Capital Plan.
(c) Approval of the annual financial statements of the Postal
Service following receipt of the annual report of the Postal Service's
independent, certified public accounting firm.
(d) Authorization of the Postal Service, in consultation with the
Postal Regulatory Commission, to establish service standards under 39
U.S.C. 3691.
(e) Authorization of the Postal Service to request that the Postal
Regulatory Commission submit an advisory opinion on a proposed change in
the nature of postal services which will generally affect service on a
nationwide or substantially nationwide basis.
(f) Approval of any use of the authority of the Postal Service to
borrow money under 39 U.S.C. 2005 and 39 U.S.C. 2011, except for short-
term borrowings, having maturities of one year or less, assumed in the
normal course of business.
(g) Approval of the terms and conditions of each series of
obligations issued by the Postal Service under 39 U.S.C. 2005 and 39
U.S.C. 2011, including the time and manner of sale and the underwriting
arrangements, except for short-term borrowings, having maturities of one
year or less, assumed in the normal course of business.
(h) Approval of any use of the authority of the Postal Service to
require the Secretary of the Treasury to purchase Postal Service
obligations under 39 U.S.C. 2006(b), or to request the Secretary of the
Treasury to pledge the full faith and credit of the Government of the
United States for the payment of principal and interest on Postal
Service obligations under 39 U.S.C. 2006(c).
(i) Determination of the number of officers, described in 39 U.S.C.
204 as Assistant Postmasters General, whether so denominated or not, as
the Board authorizes by resolution.
(j) Compensation and benefits of officers of the Postal Service
whose positions are included in Level II of the Postal Career Executive
Service.
(k) Approval of official statements adopting major policy positions
or departing from established major policy positions, and of official
positions on legislative proposals having a major impact on the Postal
Service.
(l) Approval of all major policy positions taken with the Department
of Justice on petitioning the Supreme Court of the United States for
writs of certiorari.
(m) Approval and transmittal to the President and the Congress of
the annual report of the Postmaster General under 39 U.S.C. 2402.
(n) Approval and transmittal to the Congress of the annual report of
the Board under 5 U.S.C. 552b(j).
(o) Approval of the annual comprehensive statement of the Postal
Service to Congress under 39 U.S.C. 2401(e).
(p) Approval and transmittal to the Congress of the semi-annual
report of
[[Page 12]]
the Postmaster General under 39 U.S.C. 3013, summarizing the
investigative activities of the Postal Service.
(q) Approval and transmittal to the President and the Congress of
the Postal Service's strategic plan pursuant to the Government
Performance and Results Act of 1993, 39 U.S.C. 2802; approval of the
Postal Service annual performance plan under 39 U.S.C. 2803 and the
Postal Service program performance report under 39 U.S.C. 2804, which
are included in the comprehensive statement under 39 U.S.C. 2401.
(r) All other matters that the Board may consider appropriate to
reserve for its decision.
Sec. 3.4 Matters reserved for decision by the Governors.
The following matters are reserved for decision by the Governors:
(a) Appointment, pay, term of service, and removal of the Postmaster
General, 39 U.S.C. 202(c).
(b) Appointment, term of service, and removal of the Deputy
Postmaster General (by the Governors and the Postmaster General, 39
U.S.C. 202(d)); pay of the Deputy Postmaster General, 39 U.S.C. 202(d).
(c) Election of the Chairman, 39 U.S.C. 202(a)(1), and Vice Chairman
of the Board of Governors.
(d) Establishment of rates and classes of competitive products of
both general and not of general applicability under 39 U.S.C. 3632 in
accordance with the procedures set out in sections 3.9 and 3.10 of these
bylaws.
(e) Authorization of the Postal Service to adjust the rates and fees
for market dominant products under 39 U.S.C. 3622.
(f) Authorization of the Postal Service to request that the Postal
Regulatory Commission, under 39 U.S.C. 3642, change the lists of market
dominant and competitive products by adding a product, removing a
product, or transferring a product.
(g) Authorization of the Postal Service to file a notice with the
Postal Regulatory Commission of substantive modifications to the product
descriptions in the Mail Classification Schedule.
(h) Authorization of the Postal Service to file a request with the
Postal Regulatory Commission for adjustment of rates on an expedited
basis due to extraordinary or exceptional circumstances, as provided in
39 U.S.C. 3622(d)(1)(E).
(i) Appointment and removal of the Inspector General under 39 U.S.C.
202(e).
(j) Exercise of the authority of the Governors under 5 U.S.C. App.
8G(f)(3)(A).
(k) The Governors shall meet annually in closed session to discuss
compensation and benefits, term of service, and appointment/removal of
the Board Secretary and other necessary staff.
(l) Transmittal to the Congress of the semi-annual report of the
Inspector General under section 5 of the Inspector General Act.
(m) Establishment of the price of the breast cancer research special
postage stamp under 39 U.S.C. 414 and any semipostal stamp under 39
U.S.C. 416.
(n) Selection of an independent, certified public accounting firm to
certify the accuracy of Postal Service financial statements as required
by 39 U.S.C. 2008(e).
Sec. 3.5 Delegation of authority by Board.
As authorized by 39 U.S.C. 402, these bylaws delegate to the
Postmaster General the authority to exercise the powers of the Postal
Service to the extent that this delegation of authority does not
conflict with powers reserved to the Governors or to the Board by law,
these bylaws, or resolutions adopted by the Board. Any of the powers
delegated to the Postmaster General by these bylaws may be redelegated
by the Postmaster General to any officer, employee, or agency of the
Postal Service.
Sec. 3.6 Information furnished to Board--financial and operating
reports.
(a) To enable the Board to monitor the performance of the Postal
Service during the most recent accounting periods for which data are
available, postal management shall furnish the Board (on a monthly
basis) financial and operating statements for the fiscal year to date,
addressing the following categories:
(1) Mail volume by class;
(2) Income and expense by principal categories;
[[Page 13]]
(3) Balance sheet information;
(4) service quality measurements;
(5) productivity measurements (reflecting workload and resource
utilization); and
(6) changes in postal costs.
(b) These statements shall include, where applicable, comparable
figures for the previous year and the current year's plan.
Sec. 3.7 Information furnished to Board--program review.
(a) To enable the Board to review the Postal Service operating
program, postal management shall furnish the Board information on all
aspects of the Postal Service budget plan, including:
(1) The tentative and final annual budgets submitted to the Office
of Management and Budget and the Congress, and amendments to the budget;
(2) Five-year plans, annual operating and investment plans, and
significant departures from estimates upon which the plans were based;
(3) The need for rate adjustments and the progress of any pending
matters before the Postal Regulatory Commission and related litigation;
and
(4) Debt financing needs, including a review of all borrowings of
the Postal Service from the U.S. Treasury and private sources.
(b) To enable the Board to review the effectiveness of the Postal
Service's equal employment opportunity program, performance data
relating to this program shall be furnished to the Board at least
quarterly. These data shall be categorized in such manner as the Board,
from time to time, specifies.
(c) Postal management shall also regularly furnish the Board
information regarding major programs for improving postal service or
reducing the cost of postal operations.
(d) Management shall furnish to the Board: information regarding any
significant, new program, policy, major modification or initiative; any
plan to offer a significant, new or unique product or system
implementation; or any significant, new project not related directly to
the core business function of the Postal Service. This information shall
be provided to the Board in advance of entering into any agreement in
furtherance of such project. For the purposes of this paragraph,
``significant'' means a project anticipated to have a notable or
conspicuous impact on corporate visibility or the operating budget
(including increases in expense amounts) or the capital investment
budget. The notification requirement of this paragraph governs
applicable projects regardless of the level of expenditure or potential
liability involved.
Sec. 3.8 Information furnished to Board--special reports.
To insure that the Board receives significant information of
developments meriting its attention, postal management shall bring to
the Board's attention the following matters:
(a) Major developments in personnel areas, including but not limited
to equal employment opportunity, career development and training, and
grade and salary structures.
(b) Major litigation activities. Postal management shall also notify
the Board in a timely manner whenever it proposes to seek review by any
United States Court of Appeals of an adverse judicial or regulatory
decision significantly impacting the Postal Service or involving a new,
novel, or potentially controversial issue.
(c) Any significant changes proposed in the Postal Service's system
of accounts or methods of accounting.
(d) Matters of special importance, including but not limited to
important research and development initiatives, major changes in Postal
Service organization or structure, major law enforcement activities, and
other matters having a significant impact upon the relationship of the
Postal Service with its employees, with any major branch of Government,
or with the general public.
(e) Information concerning any proposed grant of unique or exclusive
licenses to use Postal Service intellectual properties (other than
patents and technical data rights), or any proposed joint venture
involving the use of such property.
(f) Major or significant financial, operational and compliance
reports or studies the Postal Service is required by statute or
regulation to prepare.
[[Page 14]]
(g) Other matters having important policy implications.
Sec. 3.9 Establishment of rates and classes of competitive products of
general applicability.
This section relates to changes in rates or classes of competitive
products of general applicability.
(a) Prior to establishing changes in rates or classes of competitive
products of general applicability, postal management shall furnish to
the Governors the following:
(1) The proposed rate and classification changes; and
(2) Management analysis demonstrating compliance with the standards
of 39 U.S.C. 3633(a).
(b) Pursuant to Sec. 6.6(f) of these bylaws, the Governors shall
issue a written decision on any changes in rates or classes of
competitive products of general applicability, which shall include a
statement as to when the decision becomes effective.
(c) The Secretary shall certify that the vote of the Governors met
the condition set forth in section 6.6(f) of these bylaws.
(d) The Secretary shall cause the decision of the Governors and its
attached analysis, along with the record of the Governors' proceedings
in connection with such decision, to be published in the Federal
Register at least 30 days before the effective date of the changes in
rates or classes of competitive products of general applicability. The
record of the proceedings of the Governors consists of the certification
by the Secretary of the vote of the Governors.
Sec. 3.10. Establishment of rates and classes of competitive products
not of general applicability.
This section relates to changes in rates and classes of competitive
products not of general applicability.
(a) Prior to establishing rates or classes of competitive products
not of general applicability, postal management shall furnish to the
Governors the following:
(1) The proposed changes in rates or ranges of rates, along with the
proposed changes in classes; and
(2) Management analysis demonstrating compliance with the standards
of 39 U.S.C. 3633(a).
(b) Pursuant to Sec. 6.6(f) of these bylaws, the Governors shall
issue a written decision on any changes in rates or classes of
competitive products not of general applicability, which shall include a
statement as to when the decision becomes effective.
(c) The Secretary shall certify that the vote of the Governors met
the condition set forth in Sec. 6.6(f) of these bylaws.
(d) The Secretary shall cause any decision of the Governors under
this section, along with the record of any proceedings of the Governors,
and any supporting documentation required by 39 CFR Part 3015, to be
filed with the Postal Regulatory Commission. The record of the
proceedings of the Governors consists of the certification by the
Secretary of the vote of the Governors.
(e) Postal management is authorized to conclude agreements with
customers concerning any rates or classes of competitive products not of
general applicability, provided that any such rates are within the
range, or such classes are within the scope, of a decision of the
Governors then in effect.
PART 4_OFFICIALS (ARTICLE IV)--Table of Contents
Sec.
4.1 Chairman.
4.2 Vice Chairman.
4.3 Postmaster General.
4.4 Deputy Postmaster General.
4.5 Assistant Postmasters General, General Counsel, Judicial Officer,
Chief Postal Inspector.
4.6 Secretary of the Board.
Authority: 39 U.S.C. 202-205, 401(2), (10), 402, 1003, 3013, 3686.
Source: 73 FR 78983, Dec. 24, 2008, unless otherwise noted.
Sec. 4.1 Chairman.
(a) The Chairman of the Board of Governors is elected by the
Governors from among the members of the Board. The Chairman:
(1) Shall be elected at the Board's regularly scheduled November
meeting for a term that commences on December 1 of the calendar year in
which the
[[Page 15]]
election occurred, or upon the death, departure or resignation of the
current Chairman, whichever occurs first, and expires upon the election
and installation of a successor Chairman;
(2) Shall preside at all regular and special meetings of the Board,
and shall set the agenda for such meetings;
(3) Shall select and appoint the chairman, vice chairman (if any),
and members of any committee properly established by the Board.
(b) If the Postmaster General is elected Chairman of the Board, the
Governors shall also elect one of their number to preside during
proceedings dealing with matters upon which only the Governors may vote.
(c) In the event of the Chairman's death, departure or resignation
prior to the election of a successor, the Board, as soon as practicable,
shall elect a new Chairman who shall serve a term that commences
immediately upon election and expires upon the election and installation
of a successor Chairman.
(d)(1) Upon the election and installation of a new Chairman of the
Board, the immediate past Chairman shall become Chairman Pro Tempore of
the Board, to preside during the absence of the Chairman and Vice
Chairman at any meeting of the Board during the year or years following
the immediate past Chairman's tenure as Chairman and until another
Chairman has been elected.
(2) The Chairman Pro Tempore shall, at the request of the Chairman
or Vice Chairman, serve as the representative of the Board of Governors
at conferences, trade shows, ceremonial functions and other meetings
important to Postal Service business.
[77 FR 17333, Mar. 26, 2012]
Sec. 4.2 Vice Chairman.
The Vice Chairman is elected by the Governors from among the members
of the Board and shall perform the duties and exercise the powers of the
Chairman during the Chairman's absence or disability. The Vice Chairman
is elected at the Board's regularly scheduled November meeting for a
term that commences on December 1 of the calendar year in which the
election occurred or upon the death, departure or resignation of the
current Vice Chairman, whichever occurs first, and expires upon the
election and installation of a successor Vice Chairman. In the event of
the Vice Chairman's death, departure or resignation prior to the
election of a successor, the Board, as soon as practicable, shall elect
a new Vice Chairman who shall serve a term that commences immediately
upon election and expires upon the election and installation of a
successor Vice Chairman.
[77 FR 17333, Mar. 26, 2012]
Sec. 4.3 Postmaster General.
The appointment and role of the Postmaster General are described at
39 U.S.C. 202(c), 203. The Governors set the compensation and benefits
of the Postmaster General by resolution, subject to 39 U.S.C. 1003(a)
and 3686.
Sec. 4.4 Deputy Postmaster General.
The appointment and role of the Deputy Postmaster General are
described at 39 U.S.C. 202(d), 203. The Deputy Postmaster General shall
act as Postmaster General during the Postmaster General's absence or
disability, and when a vacancy exists in the office of Postmaster
General. The Governors set the compensation and benefits of the Deputy
Postmaster General, subject to 39 U.S.C. 1003(a) and 3686.
Sec. 4.5 Assistant Postmasters General, General Counsel, Judicial
Officer, Chief Postal Inspector.
There are within the Postal Service a General Counsel, a Judicial
Officer, a Chief Postal Inspector, and such number of officers,
described in 39 U.S.C. 204 as Assistant Postmasters General, whether so
denominated or not, as the Board authorizes by resolution. These
officers are appointed by, and serve at the pleasure of, the Postmaster
General. The Chief Postal Inspector shall report to, and be under the
general supervision of, the Postmaster General. The Postmaster General
shall promptly notify the Governors and both Houses of Congress in
writing if he or she removes the Chief Postal Inspector or transfers the
Chief Postal Inspector to another position or location within the Postal
Service, and shall include in
[[Page 16]]
any such notification the reasons for such removal or transfer.
Sec. 4.6 Secretary of the Board.
The Secretary of the Board of Governors is appointed by the
Governors and serves at the pleasure of the Governors. The Secretary
shall be responsible for carrying out the functions of the Office of the
Board of Governors, under the direction of the Chairman of the Board.
The Secretary shall also issue notices of meetings of the Board and its
committees, keep minutes of these meetings, and take steps necessary for
compliance with all statutes and regulations dealing with public
observation of meetings. The Secretary shall perform all those duties
incident to this office, including those duties assigned by the Board or
by the Chairman of the Board. The Chairman may designate such assistant
secretaries as may be necessary to perform any of the duties of the
Secretary.
PART 5_COMMITTEES (ARTICLE V)--Table of Contents
Sec.
5.1 Establishment and appointment.
5.2 Committee procedure.
Authority: 39 U.S.C. 202, 203, 204, 205, 401(2), (10), 1003.
Source: 73 FR 78983, Dec. 24, 2008, unless otherwise noted.
Sec. 5.1 Establishment and appointment.
From time to time the Board may establish by resolution special and
standing committees of one or more members of the Board. The Board shall
specify, in the resolution establishing any committee, whether the
committee is authorized to submit recommendations or preliminary
decisions to the Board, to conduct hearings for the Board, or otherwise
to take action on behalf of the Board. Each committee may exercise only
those duties, functions, and powers prescribed from time to time by the
Board, and the Board may affirm, alter, or revoke any action of any
committee. Each member of the Board may have access to all of the
information and records of any committee at any time. The Chairman of
the Board shall appoint the chairman, vice chairman (if any), and
members of each committee, who serve terms which expire at the end of
each annual meeting. Each committee chairman may assign responsibilities
to members of the committee that are considered appropriate. The
committee chairman, or the chairman's designee, shall preside at all
meetings of the committee.
Sec. 5.2 Committee procedure.
Each committee establishes its own rules of procedure, consistent
with these bylaws, and meets as provided in its rules. A majority of the
members of a committee constitute a quorum.
PART 6_MEETINGS (ARTICLE VI)--Table of Contents
Sec.
6.1 Regular meetings, annual meeting.
6.2 Special meetings.
6.3 Notice of meetings.
6.4 Attendance by conference telephone call.
6.5 Minutes of meetings.
6.6 Quorum and voting.
6.7 Notation voting.
Authority: 39 U.S.C. 202, 205, 401(2), (10), 1003, 3622, 3632; 5
U.S.C. 552b(e), (g).
Source: 73 FR 78983, Dec. 24, 2008, unless otherwise noted.
Sec. 6.1 Regular meetings, annual meeting.
The Board shall meet regularly on a schedule established by the
Board. The first regular meeting of each calendar year is designated as
the annual meeting. Consistent with the provisions of Sec. Sec. 6.6 and
7.5 of these bylaws, the time or place of a regular or annual meeting
may be varied by recorded vote, with the earliest practicable notice to
the Secretary. The Secretary shall distribute to the members an agenda
setting forth the proposed subject matter for any regular or annual
meeting in advance of the meeting.
Sec. 6.2 Special meetings.
Consistent with the provisions of Sec. Sec. 6.6 and 7.5 of these
bylaws, the Chairman may call a special meeting of the Board at any
place in the United States, with the earliest practicable notice to the
other members of the Board and to the Secretary, specifying the time,
date, place, and subject matter of the meeting. Consistent with the
[[Page 17]]
provisions of Sec. Sec. 6.6 and 7.5 of these bylaws, by recorded vote a
majority of the members of the Board may call a special meeting of the
Board at any place in the United States, with the earliest practicable
notice to the other members of the Board and to the Secretary,
specifying the time, date, place and subject matter of the meeting.
Sec. 6.3 Notice of meetings.
The Chairman or the members of the Board may give the notice
required under Sec. 6.1 or Sec. 6.2 of these bylaws in oral, written,
or e-mail form. Oral notice to a member may be delivered by telephone
and is sufficient if made to the member personally or to a responsible
person in the member's home or office. Any oral notice to a member must
be subsequently confirmed by written or e-mail notice. Written notice to
a member may be delivered by mail addressed to the member's mailing
address of record filed with the Secretary. Notice by e-mail may be
addressed to the member's e-mail address of record filed with the
Secretary. Except for written or e-mail notice confirming a previous
oral notice, a written or e-mail notice must be sent in sufficient time
to reach the address of record at least 2 days before the meeting date
under normal delivery conditions. A member waives notice of any meeting
by attending the meeting, and may otherwise waive notice of any meeting
at any time. No notice--whether oral, written, or e-mail--to the
Secretary is sufficient until actually received by the Secretary. The
Secretary may not waive notice of any meeting.
Sec. 6.4 Attendance by conference telephone call.
For regularly scheduled meetings of the Board, members are expected
to attend in person. Unless prohibited by law or by these bylaws,
however, a member of the Board, under exceptional circumstances, may
participate in a meeting of the Board by conference telephone or similar
communications equipment which enables all persons participating in the
meeting to hear each other and which permits full compliance with the
provisions of these bylaws concerning public observation of meetings.
Attendance at a meeting by this method constitutes presence at the
meeting and a member of the Board may be paid for his or her
participation provided such meeting addresses substantive, as opposed to
procedural or administrative, matters on which the Board has
decisionmaking authority.
Sec. 6.5 Minutes of meetings.
The Secretary shall preserve the minutes of Board meetings prepared
under Sec. 4.6 of these bylaws. After the minutes of any meeting are
approved by the Board, the Secretary shall promptly make available to
the public, in the Corporate Communications Department at Postal Service
Headquarters, or in another place easily accessible to the public,
copies of the minutes, except for those portions which contain
information inappropriate for public disclosure under 5 U.S.C. 552(b) or
39 U.S.C. 410(c).
Sec. 6.6 Quorum and voting.
As provided by 39 U.S.C. 205(c), and except for routine, non-
controversial, and administrative matters considered through the
notation voting process described in Sec. 6.7, the Board acts by
resolution upon a majority vote of those members who attend a meeting in
person or by teleconference. No proxies are allowed in any vote of the
members of the Board. Any 6 members constitute a quorum for the
transaction of business by the Board, except:
(a) In the appointment or removal of the Postmaster General, and in
setting the compensation and benefits of the Postmaster General and
Deputy Postmaster General, 39 U.S.C. 205(c)(1) requires a favorable vote
of an absolute majority of the Governors in office;
(b) In the appointment or removal of the Deputy Postmaster General,
39 U.S.C. 205(c)(2) requires a favorable vote of an absolute majority of
the Governors in office and the Postmaster General;
(c) In the appointment, removal, or in the setting of the
compensation and benefits of the Secretary, Assistant Secretary, or
other necessary staff, a favorable vote of an absolute majority of the
Governors in office is required;
[[Page 18]]
(d) In the determination to close a portion of a meeting or to
withhold information concerning a meeting, 5 U.S.C. 552b(d)(1) requires
a vote of a majority of the entire membership of the Board; and
(e) In the decision to call a meeting with less than a week's
notice, 5 U.S.C. 552b(e)(1) requires a vote of a majority of the members
of the Board. In the decision to change the subject matter of a meeting,
or the determination to open or close a meeting, 5 U.S.C. 552b(e)(2)
requires a vote of a majority of the entire membership of the Board.
(f) In establishing rates or classes of competitive products of both
general and not of general applicability in Sec. Sec. 3.9 and 3.10 of
these bylaws, 39 U.S.C. 3632(a) requires the concurrence of a majority
of all of the Governors then holding office.
(g) In removing the Inspector General for cause, 39 U.S.C. 202(e)
requires the written concurrence of at least 7 Governors.
[73 FR 78983, Dec. 24, 2008, as amended at 77 FR 17334, Mar. 26, 2012]
Sec. 6.7 Notation voting.
(a) General. Notation voting consists of the circulation of written
memoranda and voting sheets to each member of the Board simultaneously
and the tabulation of submitted responses. Notation voting may be used
only for routine, non-controversial, and administrative matters.
(b) Administrative Responsibility. The Secretary of the Board is
responsible for:
(1) Distributing notation voting memoranda and voting sheets;
(2) Establishing deadlines for notation voting sheets to be
completed and returned;
(3) Processing and tabulating all notation voting sheets; and
(4) Determining whether further action is required.
(c) Veto of notation voting. In view of the public policy for
openness reflected in the Government in the Sunshine Act and in these
bylaws, each Board member is authorized to veto the use of notation
voting for the consideration of any matter. If a Board member vetoes the
use of notation voting, the Secretary must notify all members of such
action, and must promptly take action to place the particular matter on
the agenda of the next regularly scheduled Board meeting following the
date of the veto, or to schedule a teleconference to consider the
matter, as appropriate.
(d) Disclosure of result. The Secretary shall maintain all records
pertaining to Board actions taken pursuant to the notation voting
process, and shall make such records available for public inspection,
consistent with the Freedom of Information Act, 5 U.S.C. 552.
[77 FR 17334, Mar. 26, 2012]
PART 7_PUBLIC OBSERVATION (ARTICLE VII)--Table of Contents
Sec.
7.1 Definitions.
7.2 Open meetings.
7.3 Exceptions.
7.4 Procedure for closing a meeting.
7.5 Public notice of meetings, subsequent changes.
7.6 Certification and transcripts of closed meetings.
7.7 Enforcement.
7.8 Open meetings, Freedom of Information, and Privacy of Information.
Authority: 39 U.S.C. 410; 5 U.S.C. 552b(a)-(m).
Source: 73 FR 78983, Dec. 24, 2008, unless otherwise noted.
Sec. 7.1 Definitions.
For purposes of Sec. Sec. 7.2 through 7.8 of these bylaws:
(a) The term Board means the Board of Governors, and any subdivision
or committee of the Board authorized to take action on behalf of the
Board.
(b) The term meeting means the deliberations of at least the number
of individual members required to take action on behalf of the Board
under Sec. 5.2 or Sec. 6.6 of these bylaws, where such deliberations
determine or result in the joint conduct or disposition of the official
business of the Board. The term ''meeting'' does not include any
procedural deliberations required or permitted by Sec. Sec. 6.1, 6.2,
7.4, or 7.5 of the bylaws in this chapter, or the notation voting
process described in Sec. 6.7 of the bylaws in this chapter.
[73 FR 78983, Dec. 24, 2008, as amended at 77 FR 17334, Mar. 26, 2012]
[[Page 19]]
Sec. 7.2 Open meetings.
(a) It is the policy of the United States, established in section 2
of the Government in the Sunshine Act, Public Law 94-409, 90 Stat. 1241,
that the public is entitled to the fullest practicable information
regarding the decisionmaking processes of the Federal Government. The
Postal Service is charged to provide the public with this information
while protecting the rights of individuals and the ability of the
Government to carry out its responsibilities. Accordingly, except as
specifically permitted by statute, every portion of every meeting of the
Board of Governors is open to public observation.
(b) Except as provided in Sec. 7.3 of these bylaws, every portion
of every meeting of the Board is open to public observation. Members of
the Board may not jointly conduct or dispose of business of the Board
without complying with Sec. Sec. 7.2 through 7.8 of these bylaws.
Members of the public may obtain access to documents considered at
meetings to the extent provided in the regulations of the Postal Service
concerning the release of information.
(c) Without the permission of a majority of the Board, no person may
participate in, film, televise, or broadcast any portion of any meeting
of the Board. Any person may electronically record or photograph a
meeting, as long as that action does not tend to impede or disturb the
members of the Board in the performance of their duties, or members of
the public while attempting to attend or observe a meeting of the Board.
The rules and penalties of 39 CFR Part 232, concerning conduct on postal
property, apply with regard to meetings of the Board.
Sec. 7.3 Exceptions.
Section 7.2 of these bylaws does not apply to a portion of a
meeting, and Sec. Sec. 7.4 and 7.5 do not apply to information
concerning the meeting which otherwise would be required to be disclosed
to the public, if the Board properly determines that the public interest
does not require otherwise, and that such portion of the meeting or the
disclosure of such information is likely to:
(a) Disclose matters that are:
(1) Specifically authorized under criteria established by an
Executive order to be kept secret in the interests of national defense
or foreign policy, and
(2) In fact properly classified under that Executive order;
(b) Relate solely to the internal personnel rules and practices of
the Postal Service, including the Postal Service position in
negotiations or consultations with employee organizations.
(c) Disclose matters specifically exempted from disclosure by
statute (other than the Freedom of Information Act, 5 U.S.C. 552),
provided that the statute:
(1) Requires that the matters be withheld from the public in such a
manner as to leave no discretion on the issue, or
(2) Establishes particular criteria for withholding or refers to
particular types of matters to be withheld;
(d) Disclose trade secrets and commercial or financial information
obtained from a person and privileged or confidential, such as market
information pertinent to Postal Service borrowing or investments,
technical or patent information related to postal mechanization, or
commercial information related to purchases of real estate;
(e) Involve accusing any person of a crime, or formally censuring
any person;
(f) Disclose information of a personal nature, such as personal or
medical data regarding any individual if disclosure would constitute a
clearly unwarranted invasion of personal privacy;
(g) Disclose investigatory records compiled for law enforcement
purposes, or information which if written would be contained in those
records, but only to the extent that the production of those records or
information would:
(1) Interfere with enforcement proceedings,
(2) Deprive a person of a right to a fair trial or an impartial
adjudication,
(3) Constitute an unwarranted invasion of personal privacy,
(4) Disclose the identity of a confidential source and, in the case
of a record compiled by a criminal law enforcement authority in the
course of a criminal investigation, or by an agency conducting a lawful
national security
[[Page 20]]
intelligence investigation, confidential information furnished only by
the confidential source,
(5) Disclose investigative techniques and procedures, or
(6) Endanger the life or physical safety of law enforcement
personnel;
(h) Disclose information contained in or related to examination,
operating, or condition reports prepared by, on behalf of, or for the
use of an agency responsible for the regulation or supervision of
financial institutions;
(i) Disclose information the premature disclosure of which would be
likely significantly to frustrate implementation of a proposed action of
the Board, such as information relating to the negotiation of a labor
contract or proposed Postal Service procurement activity, except that
this provision does not apply in any instance where:
(1) The Postal Service has already disclosed to the public the
content or nature of the proposed action, or
(2) The Postal Service is required by law to make such disclosure on
its own initiative before taking final action on the proposal; or
(j) Specifically concern the issuance of a subpoena by the Postal
Service, or the participation of the Postal Service in a civil action or
proceeding, such as a postal rate or classification proceeding, an
action in a foreign court or international tribunal, or an arbitration,
or the initiation, conduct, or disposition by the Postal Service of a
particular case of formal adjudication under the procedures of 5 U.S.C.
554 or otherwise involving a determination on the record after
opportunity for a hearing.
Sec. 7.4 Procedure for closing a meeting.
(a) A majority of the entire membership of the Board may vote to
close a portion of a meeting or to withhold information concerning a
meeting under the provisions of Sec. 7.3 of these bylaws. The members
shall take a separate vote with respect to each meeting a portion of
which is proposed to be closed to the public, or with respect to any
information which is proposed to be withheld, and shall make every
reasonable effort to take any such vote at least 8 days before the date
of the meeting involved. The members may take a single vote with respect
to a series of meetings, portions of which are proposed to be closed to
the public, or with respect to information concerning the series, so
long as each portion of a meeting in the series involves the same
particular matters, and no portion of any meeting is scheduled to be
held more than 30 days after the initial portion of the first meeting in
the series.
(b) Whenever any person whose interest may be directly affected by a
portion of a meeting requests that the Board close that portion to the
public for any of the reasons referred to in Sec. 7.3(e), (f), or (g)
of these bylaws, upon request of any one of its members the Board shall
vote by recorded vote whether to close that portion of the meeting.
(c) The Secretary shall record the vote of each member participating
in a vote under paragraph (a) or (b) of this section. Within 1 day of
any vote under paragraph (a) or (b) of this section, the Secretary shall
make publicly available a written copy of the vote showing the vote of
each member on the question. If a portion of a meeting is to be closed
to the public, the Secretary shall, within 1 day of the vote, make
publicly available a full written explanation of the action closing the
portion, together with a list of all persons expected to attend the
meeting and their affiliation.
Sec. 7.5 Public notice of meetings, subsequent changes.
(a) At least one week before any meeting of the Board, the Secretary
shall publicly announce the time, date, place, and subject matter of the
meeting, whether it is to be open or closed to the public, and the name
and phone number of the official designated by the Board to respond to
requests for information about the meeting.
(b) By a recorded vote, a majority of the members of the Board may
determine that the business of the Board requires a meeting to be called
with less than a week's notice. At the earliest practicable time, the
Secretary shall publicly announce the time, date, place, and subject
matter of the meeting, and whether it is to be open or closed to the
public.
[[Page 21]]
(c) Following the public announcement required by paragraphs (a) or
(b) of this section:
(1) As provided in Sec. 6.1 of these bylaws, the Board may change
the time or place of a meeting. At the earliest practicable time, the
Secretary shall publicly announce the change.
(2) A majority of the entire membership of the Board may change the
subject matter of a meeting, or the determination to open or close a
meeting to the public, if it determines by a recorded vote that the
change is required by the business of the Board and that no earlier
announcement of the change was possible. At the earliest practicable
time, the Secretary shall publicly announce the change, and the vote of
each member upon the change.
(d) Immediately following each public announcement required under
paragraphs (a), (b), or (c) of this section, the Secretary shall submit
for publication in the Federal Register a notice of the time, date,
place, and subject matter of the meeting, whether the meeting is open or
closed, any change in the preceding, and the name and phone number of
the official designated by the Board to respond to requests for
information about the meeting. The Secretary shall also submit the
announcement and information to the Corporate Communications Department
for dissemination to the public.
Sec. 7.6 Certification and transcripts of closed meetings.
(a) At the beginning of every meeting or portion of a meeting closed
under Sec. 7.3(a) through (j) of these bylaws, the General Counsel
shall publicly certify that, in his or her opinion, the meeting or
portion of the meeting may be closed to the public, stating each
relevant exemptive provision. The Secretary shall retain this
certification, together with a statement from the officer presiding at
the meeting which sets forth the time and place of the meeting, and the
persons present.
(b) The Secretary shall arrange for a complete transcript or
electronic recording adequate to record fully the proceedings to be made
of each meeting or portion of a meeting of the Board which is closed to
the public. The Secretary shall maintain a complete verbatim copy of the
transcript, or a complete electronic recording of each meeting or
portion of a meeting closed to the public for at least 2 years after the
meeting, or for 1 year after the conclusion of any Postal Service
proceeding with respect to which the meeting was held, whichever occurs
later.
(c) Except for those items of discussion or testimony which the
Board, by a majority vote of those members who are present, determines
to contain information which may be withheld under Sec. 7.3 of these
bylaws, the Secretary shall promptly make available to the public, in
the Corporate Communications Department at Postal Service Headquarters,
or in another place easily accessible to the public, the transcript or
electronic recording of a closed meeting, including the testimony of any
witnesses received at the meeting. The Secretary shall furnish a copy of
this transcript, or a transcription of this electronic recording
disclosing the identity of each speaker, to any person at the actual
cost of duplication or transcription.
Sec. 7.7 Enforcement.
(a) Under 5 U.S.C. 552b(g), any person may bring a proceeding in the
United States Court of Appeals for the District of Columbia to set aside
any provisions of these bylaws which are not in accord with the
requirements of 5 U.S.C. 552b (a)-(f) and to require the promulgation of
provisions that are in accord with those requirements.
(b) Under 5 U.S.C. 552b(h) any person may bring a civil action
against the Board in an appropriate U.S. District Court to obtain
judicial review of the alleged failure of the Board to comply with 5
U.S.C. 552b(a)-(f). The burden is on the Board to sustain its action.
The court may grant appropriate equitable relief, including enjoining
future violations, or ordering the Board to make public information
improperly withheld from the public.
(c) Under 5 U.S.C. 552b(i) the court may assess against any party
reasonable attorney fees and other litigation costs reasonably incurred
by any other party who substantially prevails, except that the court may
assess costs against the plaintiff only if the court
[[Page 22]]
finds that he initiated the suit primarily for frivolous or dilatory
purposes.
Sec. 7.8 Open meetings, Freedom of Information, and Privacy of
Information.
The provisions of 5 U.S.C. 552b(c) (1)-(10), enacted by Public Law
94-409, the Government in the Sunshine Act, govern in the case of any
request under the Freedom of Information Act, 5 U.S.C. 552, to copy or
to inspect the transcripts or electronic recordings described in Sec.
7.6 of these bylaws. Nothing in 5 U.S.C. 552b authorizes the Board to
withhold from any individual any record, including the transcripts or
electronic recordings described in Sec. 7.6 of these bylaws, to which
the individual may otherwise have access under 5 U.S.C. 552a, enacted by
the Privacy Act of 1974, Public Law 93-579.
PARTS 8 9 [RESERVED]
PART 10_RULES OF CONDUCT FOR POSTAL SERVICE GOVERNORS (ARTICLE X)--Table
of Contents
Sec.
10.1 Applicability.
10.2 Advisory service.
10.3 Post-employment activities.
10.4 Financial disclosure reports.
Authority: 39 U.S.C. 401(2), (10).
Source: 73 FR 78983, Dec. 24, 2008, unless otherwise noted.
Sec. 10.1 Applicability.
This part contains rules of conduct for the members of the Board of
Governors of the United States Postal Service. As special employees
within the meaning of 18 U.S.C. 202(a), the members of the Board are
also subject to the Standards of Ethical Conduct for Employees of the
Executive Branch, 5 CFR part 2635, and Postal Service regulations
supplemental thereto, 5 CFR part 7001.
Sec. 10.2 Advisory service.
(a) The General Counsel is the Ethical Conduct Officer of the Postal
Service and the Designated Agency Ethics Official for purposes of the
Ethics in Government Act, as amended, and the implementing regulations
of the Office of Government Ethics, including 5 CFR part 2638.
(b) A Governor may obtain advice and guidance on questions of
conflicts of interest, and may request any ruling provided for by either
the Standards of Ethical Conduct for Employees of the Executive Branch,
or the Postal Service regulations supplemental thereto, from the General
Counsel or a designated assistant.
(c) If the General Counsel determines that a Governor is engaged in
activity which involves a violation of federal statute or regulation,
including the ethical conduct regulations contained in 5 CFR parts 2635
and 7001, or conduct which creates the appearance of such a violation,
he or she shall bring this to the attention of the Governor or shall
notify the Chairman of the Board of Governors, or the Vice Chairman, as
appropriate.
Sec. 10.3 Post-employment activities.
Governors are subject to the restrictions on the post-employment
activities of special Government employees imposed by 18 U.S.C. 207.
Guidance concerning post-employment restrictions applicable to Governors
may be obtained in accordance with section 10.2(b).
Sec. 10.4 Financial disclosure reports.
(a) Requirement of submission of reports. At the time of their
nomination, Governors complete a financial disclosure report which,
under the practice of the Senate Governmental Affairs Committee, is kept
confidential. Because the Director of the Office of Government Ethics
has ruled that Governors who do not perform the duties of their office
for more than 60 days in any calendar year are not required to file
financial disclosure reports that are open to the public, Governors file
non-public reports annually, in accordance with this section. A Governor
who performs the duties of his or her office for more than 60 days in a
particular calendar year is required to file a public report in
accordance with 5 CFR 2634.204(c).
(b) Person with whom reports should be filed and time for filing.
(1) A Governor shall file a financial disclosure report with the General
Counsel on or before
[[Page 23]]
May 15 of each year when the Governor has been in office for more than
60 consecutive calendar days during the previous year.
(2) The General Counsel may, for good cause shown, grant to a
Governor an extension of up to 45 days. An additional extension of up to
45 days may be granted by the Director of the Office of Government
Ethics for good cause shown.
(c) Information required to be reported. Each report shall be a full
and complete statement, on the form prescribed by the General Counsel
and the Office of Government Ethics and in accordance with instructions
issued by him or her. The form currently in use is Standard Form 278.
(d) Reviewing reports. (1) Financial disclosure reports filed in
accordance with the provisions of this section shall, within 60 days
after the date of filing, be reviewed by the General Counsel who shall
either approve the report, or make an initial determination that a
conflict or appearance thereof exists. If the General Counsel determines
initially that a conflict or the appearance of a conflict exists, he or
she shall inform the Governor of his determination.
(2) If the General Counsel considers that additional information is
needed to complete the report or to allow an adequate review to be
conducted, he or she shall request the reporting Governor to furnish
that information by a specified date.
(3) The General Counsel shall refer to the Chairman of the Board of
Governors or the Vice Chairman the name of any Governor he or she has
reasonable cause to believe has wrongfully failed to file a report or
has falsified or wrongfully failed to report required information.
(e) Custody of and public access to reports. (1) Retention of
reports. Each report filed with the General Counsel shall be retained by
him or her for a period of six years. After the six-year period, the
report shall be destroyed unless needed in connection with an
investigation then pending.
(2) Confidentiality of reports. Unless a public report is required
by this section, the financial disclosure reports filed by Governors
shall not be made public.
PART 11_ADVISORY BOARDS (ARTICLE XI)--Table of Contents
Authority: 39 U.S.C. 202, 205, 401(2), (10), 402, 403.
Sec. 11.1 Establishment.
The Board of Governors may create such advisory boards as it may
deem appropriate and may appoint persons to serve thereon or may
delegate such latter authority to the Postmaster General.
[73 FR 78983, Dec. 24, 2008]
[[Page 24]]
SUBCHAPTER B_INTERNATIONAL MAIL
PART 20_INTERNATIONAL POSTAL SERVICE--Table of Contents
Sec.
20.1 International Mail Manual; incorporation by reference.
20.2 Effective date of the International Mail Manual.
20.3 Availability of the International Mail Manual.
20.4 Amendments to the International Mail Manual.
20.5 [Reserved]
Authority: 5 U.S.C. 552(a); 13 U.S.C. 301-307; 18 U.S.C. 1692-1737;
39 U.S.C. 101, 401, 403, 404, 407, 414, 416, 3001-3011, 3201-3219, 3403-
3406, 3621, 3622, 3626, 3632, 3633, and 5001.
Source: 69 FR 59546, Oct. 5, 2004, unless otherwise noted.
Sec. 20.1 International Mail Manual; incorporation by reference.
(a) Section 552(a) of title 5, U.S.C., relating to the public
information requirements of the Administrative Procedure Act, provides
in pertinent part that matter reasonably available to the class of
persons affected thereby is deemed published in the Federal Register
when incorporated by reference therein with the approval of the Director
of the Federal Register. In conformity with that provision and 39 U.S.C.
410(b)(1), and as provided in this part, the Postal Service hereby
incorporates by reference its International Mail Manual (IMM), dated
April 17, 2011, updated with Postal Bulletin revisions through June 2,
2011, effective June 6, 2011. The Director of the Federal Register
approves this incorporation by reference in accordance with 5 U.S.C.
552(a) and 1 CFR Part 51.
(b) The current Issue of the IMM is incorporated by reference in
paragraph (a) of this section. Successive Issues of the IMM are listed
in the following table:
------------------------------------------------------------------------
International mail manual Date of issuance
------------------------------------------------------------------------
Issue 1.............................. November 13, 1981.
Issue 2.............................. March 1, 1983.
Issue 3.............................. July 4, 1985.
Issue 4.............................. September 18, 1986.
Issue 5.............................. April 21, 1988.
Issue 6.............................. October 5, 1988.
Issue 7.............................. July 20, 1989.
Issue 8.............................. June 28, 1990.
Issue 9.............................. February 3, 1991.
Issue 10............................. June 25, 1992.
Issue 11............................. December 24, 1992.
Issue 12............................. July 8, 1993.
Issue 13............................. February 3, 1994.
Issue 14............................. August 4, 1994.
Issue 15............................. July 9, 1995.
Issue 16............................. January 4, 1996.
Issue 17............................. September 12, 1996.
Issue 18............................. June 9, 1997.
Issue 19............................. October 9, 1997.
Issue 20............................. July 2, 1998.
Issue 21............................. May 3, 1999.
Issue 22............................. January 1, 2000.
Issue 23............................. July 1, 2000.
Issue 24............................. January 1, 2001.
Issue 25............................. July 1, 2001.
Issue 26............................. January 1, 2002.
Issue 27............................. June 30, 2002.
Issue 28............................. January 1, 2003.
Issue 29............................. July 1, 2003.
Issue 30............................. August 1, 2004.
Issue 31............................. May 31, 2005.
Issue 35............................. May 12, 2008.
Issue 36............................. May 11, 2009.
IMM.................................. April 17, 2011.
------------------------------------------------------------------------
[75 FR 34017, June 16, 2010, as amended at 76 FR 50414, Aug. 15, 2011]
Sec. 20.2 Effective date of the International Mail Manual.
The provisions of the International Mail Manual dated April 17,
2011, updated with Postal Bulletin revisions through June 2, 2011,
effective June 6, 2011, are applicable with respect to the international
mail services of the Postal Service.
[76 FR 50414, Aug. 15, 2011]
Sec. 20.3 Availability of the International Mail Manual.
Copies of the International Mail Manual may be purchased from the
Superintendent of Documents, U.S. Government Printing Office,
Washington, DC 20402-9371. The IMM is available for examination on the
Internet at http://pe.usps.gov. Copies are available for public
inspection during regular business hours at area and district offices of
the Postal Service and at all post offices, classified stations, and
classified branches. You may also inspect a copy at the U.S. Postal
Service Library, 475 L'Enfant Plaza West SW., Washington, DC 20260-1641,
or at the National Archives and Records Administration
[[Page 25]]
(NARA). For information on the availability of this material at NARA,
call 202-741-6030, or go to: http://www.archives.gov/federal--register/
code--of--federal--regulations/ibr--locations.html.
Sec. 20.4 Amendments to the International Mail Manual.
New issues of the International Mail Manual will be incorporated by
reference into this part and will be available at http://pe.usps.gov.
The text of amendments to the International Mail Manual will be
published in the Federal Register and will be available in the Postal
Bulletin, copies of which may be accessed at http://www.usps.com/cpim/
ftp/bulletin/pb.htm.
Sec. 20.5 [Reserved]
[[Page 26]]
SUBCHAPTER C_POST OFFICE SERVICES [DOMESTIC MAIL]
General Information on Postal Service--Table of Contents
PART 111_GENERAL INFORMATION ON POSTAL SERVICE--Table of Contents
Sec.
111.1 Mailing Standards of the United States Postal Service, Domestic
Mail Manual; incorporation by reference of regulations
governing domestic mail services.
111.2 Availability of the Mailing Standards of the United States Postal
Service, Domestic Mail Manual.
111.3 Amendments to the Mailing Standards of the United States Postal
Service, Domestic Mail Manual.
111.4 Approval of the Director of the Federal Register.
111.5 [Reserved]
Authority: 5 U.S.C. 552(a); 13 U.S.C. 301-307; 18 U.S.C. 1692-1737;
39 U.S.C. 101, 401, 403, 404, 414, 416, 3001-3011, 3201-3219, 3403-3406,
3621, 3622, 3626, 3632, 3633, and 5001.
Source: 44 FR 39852, July 6, 1979, unless otherwise noted.
Sec. 111.1 Mailing Standards of the United States Postal Service,
Domestic Mail Manual; incorporated by reference of regulations
governing domestic mail services.
Section 552(a) of title 5, U.S.C., relating to the public
information requirements of the Administrative Procedure Act, provides
in pertinent part that ``* * * matter reasonably available to the class
of persons affected thereby is deemed published in the Federal Register
when incorporated by reference therein with the approval of the Director
of the Federal Register.'' In conformity with that provision, and with
39 U.S.C. section 410(b)(1), and as provided in this part, the U.S.
Postal Service hereby incorporates by reference in this part, the
Mailing Standards of the United States Postal Service, Domestic Mail
Manual, a looseleaf document published and maintained by the Postal
Service.
[62 FR 14827, Mar. 28, 1997, as amended at 69 FR 59139, Oct. 4, 2004; 70
FR 14535, Mar. 23, 2005]
Sec. 111.2 Availability of the Mailing Standards of the United States
Postal Service, Domestic Mail Manual.
(a) Copies of the Mailing Standards of the United States Postal
Service, Domestic Mail Manual, both current and previous issues, are
available during regular business hours for reference and public
inspection at the U.S. Postal Service Library, National Headquarters in
Washington, DC. Copies of only the current issue are available during
regular business hours for public inspection at area and district
offices of the Postal Service and at all post offices, classified
stations, and classified branches. The Mailing Standards of the United
States Postal Service, Domestic Mail Manual is available for examination
on the Internet at http://pe.usps.gov.
(b) A copy of the current Mailing Standards of the United States
Postal Service, Domestic Mail Manual is on file at the National Archives
and Records Administration (NARA). For information on the availability
of this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
(c) Subscriptions to the Mailing Standards of the United States
Postal Service, Domestic Mail Manual can be purchased by the public from
the Superintendent of Documents, Washington, DC 20402-9375.
[62 FR 14827, Mar. 28, 1997, as amended at 69 FR 18803, Apr. 9, 2004; 69
FR 59139, Oct. 4, 2004; 70 FR 14535, Mar. 23, 2005]
Sec. 111.3 Amendments to the Mailing Standards of the United States
Postal Service, Domestic Mail Manual.
(a) Except for interim or final regulations published as provided in
paragraph (b) of this section, only notices rather than complete text of
changes made to the Mailing Standards of the United States Postal
Service, Domestic Mail Manual are published in the Federal Register.
These notices are published in the form of one summary
[[Page 27]]
transmittal letter for each issue of the Mailing Standards of the United
States Postal Service, Domestic Mail Manual. A complete issue of the
Mailing Standards of the United States Postal Service, Domestic Mail
Manual, including the text of all changes published to date, will be
filed with the Director, Office of the Federal Register. Subscribers to
the Mailing Standards of the United States Postal Service, Domestic Mail
Manual receive the latest issue of the Mailing Standards of the United
States Postal Service, Domestic Mail Manual from the Government Printing
Office.
(b) When the Postal Service invites comments from the public on a
proposed change to the Mailing Standards of the United States Postal
Service, Domestic Mail Manual, the proposed change and, if adopted, the
full text of the interim or the final regulation is published in the
Federal Register.
(c) The Postal Bulletin contains the full text of all interim and
final regulations published as provided in paragraph (b) of this
section, and the full text of all other changes to the Mailing Standards
of the United States Postal Service, Domestic Mail Manual that are
summarized in the notices published under paragraph (a) of this section,
except for nonsubstantive changes and corrections of typographical
errors. The Postal Bulletin is a biweekly document issued by the Postal
Service to amend and revise policies and procedures. A 1-year
subscription to the Postal Bulletin and certain back copies can be
purchased by the public from the Superintendent of Documents,
Washington, DC 20402-9371.
(d) Interim regulations published in full text or referenced as
provided in paragraphs (b) and (c) of this section, are published, as
appropriate, in the Mailing Standards of the United States Postal
Service, Domestic Mail Manual in full text or referenced at the place
where they would appear if they become final regulations.
(e) Announcements of changes to the Mailing Standards of the United
States Postal Service, Domestic Mail Manual not published in the Federal
Register as provided in paragraphs (a) and (b) of this section and not
published in the Postal Bulletin as provided in paragraph (c) are not
deemed final under the provisions of this part 111.
(f) For references to amendments to the Mailing Standards of the
United States Postal Service, Domestic Mail Manual adopted under
paragraph (b) of this section after issuance of the most recent
transmittal letter (termed Summary of Changes in the Mailing Standards
of the United States Postal Service, Domestic Mail Manual) listed below,
see Sec. 111.3 in the List of CFR Sections affected at the end of this
volume.
------------------------------------------------------------------------
Federal Register
Transmittal letter for issue Dated publication
------------------------------------------------------------------------
1............................... July 30, 1979..... 44 FR 39742.
2............................... May 15, 1980...... 45 FR 42616.
3............................... July 30, 1980..... 45 FR 73925.
4............................... Oct. 1, 1980...... 46 FR 10154.
5............................... Mar. 1, 1981...... 46 FR 25446.
6............................... July 7, 1981...... 46 FR 58079.
7............................... Nov. 1, 1981...... 47 FR 8179.
8............................... Jan. 21, 1982..... 47 FR 8358.
9............................... May 1, 1982....... 47 FR 27266.
10.............................. Aug. 1, 1982...... 47 FR 43952.
11.............................. Jan. 20, 1983..... 48 FR 10649.
13.............................. Dec. 29, 1983..... 49 FR 18304.
14.............................. Apr. 12, 1984..... 49 FR 26228.
15.............................. July 12, 1984..... 49 FR 33248.
16.............................. Sept. 27, 1984.... 49 FR 47232.
17.............................. Dec. 20, 1984..... 50 FR 5580.
18.............................. Feb. 21, 1985..... 50 FR 12019.
19.............................. June 7, 1985...... 50 FR 30834.
20.............................. Nov. 14, 1985..... 51 FR 8495.
21.............................. Sept. 4, 1986..... 51 FR 43910.
22.............................. Jan.22, 1987...... 52 FR 10750.
23.............................. May 1, 1987....... 52 FR 23981.
24.............................. Sept. 20, 1987.... 52 FR 34778.
25.............................. Dec. 20, 1987..... 52 FR 48437.
26.............................. April 3, 1988..... 53 FR 18557.
27.............................. June 19, 1988..... 53 FR 21821.
28.............................. Sept. 18, 1988.... 53 FR 35315.
29.............................. Dec.18, 1988...... 53 FR 49658.
30.............................. Mar. 19, 1989..... 54 FR 9212.
31.............................. June 18, 1989..... 54 FR 27880.
32.............................. Sept. 17, 1989.... 54 FR 37795.
33.............................. Dec. 17, 1989..... 54 FR 50619.
34.............................. Mar. 18, 1990..... 55 FR 10061.
35.............................. June 17, 1990..... 55 FR 24561.
36.............................. Sept. 16, 1990.... 55 FR 40658.
37.............................. Dec. 16, 1990..... 56 FR 1112.
38.............................. Feb. 24, 1991..... 56 FR 11513.
39.............................. June 16, 1991..... 56 FR 56015
40.............................. September 15, 1991 56 FR 56013
41.............................. December 15, 1991. 57 FR 21611
42.............................. March 15, 1992.... 57 FR 21613
43.............................. June 21, 1992..... 57 FR 37884
44.............................. September 20, 1992 61 FR 67218
45.............................. December 20, 1992. 61 FR 67218
46.............................. July 1, 1993...... 61 FR 67218
47.............................. April 10, 1994.... 61 FR 67218
48.............................. January 1, 1995... 61 FR 67218
49.............................. September 1, 1995. 61 FR 67218
50.............................. July 1, 1996...... 61 FR 60190
51.............................. January 1, 1997... 61 FR 64618
52.............................. July 1, 1997...... 62 FR 30457
53.............................. January 1, 1998... 62 FR 63851
54.............................. January 10, 1999.. 64 FR 39
[[Page 28]]
55.............................. January 10, 2000.. 65 FR 1321
56.............................. January 7, 2001... 66 FR 8370
57.............................. June 30, 2002..... 67 FR 46875
58.............................. August 10, 2003... 68 FR 66018
Premier Edition................. January 6, 2005... 70 FR 14535
Issue 300....................... January 8, 2006... 73 FR 25509
Issue 300....................... July 15, 2007..... 73 FR 25509
Issue 300....................... May 12, 2008...... 75 FR 31702
Issue 300....................... May 11, 2009...... 75 FR 31702
Issue 300....................... May 7, 2008....... 73 FR 25508
Issue 300....................... May 11, 2009...... 75 FR 31702
DMM 300......................... July 5, 2011...... 76 FR 48722.
------------------------------------------------------------------------
[45 FR 40115, June 13, 1980]
Editorial Note: For Federal Register citations affecting Sec.
111.3, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.fdsys.gov.
Sec. 111.4 Approval of the Director of the Federal Register.
Incorporation by reference of the publication now titled the Mailing
Standards of the United States Postal Service, Domestic Mail Manual was
approved by the Director of the Federal Register under 5 U.S.C 552(a)
and 1 CFR part 51 on August 9, 2011.
(5 U.S.C. 552(a); 39 U.S.C. 401, 404, 407, 408, 3001-3011, 3201-3218,
3403-3405, 3601, 3621; 42 U.S.C. 1973cc-13, 1973cc-14)
[49 FR 47389, Dec. 4, 1984, as amended at 70 FR 14535, Mar. 23, 2005; 73
FR 25509, May 7, 2008; 75 FR 31702, June 4, 2010; 76 FR 48722, Aug. 9,
2011]
Sec. 111.5 [Reserved]
PART 121_SERVICE STANDARDS FOR MARKET-DOMINANT MAIL PRODUCTS--Table of
Contents
Sec.
121.1 First-Class Mail.
121.2 Periodicals.
121.3 Standard Mail.
121.4 Package Services.
Appendix A to Part 121--Service Standard Day Range Tables
Authority: 39 U.S.C., 101, 401, 403, 404, 1001, 3691.
Source: 72 FR 72228, Dec. 19, 2007, unless otherwise noted.
Sec. 121.1 First-Class Mail.
(a)(1) Until February 1, 2014, a 1-day (overnight) service standard
is applied to intra-Sectional Center Facility (SCF) domestic First-Class
Mail[supreg] pieces properly accepted before the day-zero Critical Entry
Time (CET), except for mail between Puerto Rico and the U.S. Virgin
Islands, mail between American Samoa and Hawaii, and mail destined to
the following 3-digit ZIP Code areas in Alaska (or designated portions
thereof): 995 (5-digit ZIP Codes 99540 through 99599), 996, 997, 998,
and 999.
(2) On and after February 1, 2014, a 1-day (overnight) service
standard is applied to intra-SCF domestic Presort First-Class Mail
pieces properly accepted at the SCF before the day-zero CET, except for
mail between Puerto Rico and the U.S. Virgin Islands, and mail destined
to American Samoa and the following 3-digit ZIP Code areas in Alaska (or
designated portions thereof): 995 (5-digit ZIP Codes 99540 through
99599), 996, 997, 998, and 999.
(b)(1) Until February 1, 2014, a 2-day service standard is applied
to inter-SCF domestic First-Class Mail pieces properly accepted before
the day-zero CET if the drive time between the origin Processing &
Distribution Center or Facility (P&DC/F) and destination Area
Distribution Center (ADC) is 6 hours or less; or if the origin and
destination are separately in Puerto Rico and the U.S. Virgin Islands;
or if the origin or destination is in American Samoa or one of the
following 3-digit ZIP Code areas in Alaska (or designated portions
thereof): 995 (5-digit ZIP Codes 99540 through 99599), 996, 997, 998,
and 999.
(2) On and after February 1, 2014, a 2-day service standard is
applied to inter-SCF domestic First-Class Mail pieces properly accepted
before the day-zero CET if the drive time between the origin P&DC/F and
destination SCF is 6 hours or less; or if the origin and destination are
separately in Puerto Rico and the U.S. Virgin Islands; or if the origin
or destination is in American Samoa or one of the following 3-digit ZIP
Code areas in Alaska (or designated portions thereof): 995 (5-digit ZIP
Codes 99540 through 99599), 996, 997, 998, and 999.
(c) A 3-day service standard is applied to domestic First-Class Mail
pieces properly accepted before the day-zero
[[Page 29]]
CET, if the 1-day and 2-day service standards do not apply, and:
(1) Both the origin and the destination are within the contiguous 48
states;
(2) The origin is in the contiguous 48 states, and the destination
is in any of the following: the city of Anchorage, Alaska (5-digit ZIP
Codes 99501 through 99539); the 968 3-digit ZIP Code area in Hawaii; or
the 006, 007, or 009 3-digit ZIP Code areas in Puerto Rico;
(3) The origin is in the 006, 007, or 009 3-digit ZIP Code areas in
Puerto Rico, and the destination is in the contiguous 48 states;
(4) The origin is in Hawaii, and the destination is in Guam, or vice
versa;
(5) The origin is in Hawaii, and the destination is in American
Samoa, or vice versa; or
(6) Both the origin and destination are within Alaska.
(d) A 4-day service standard is applied to domestic First-Class Mail
pieces properly accepted before the day-zero CET, if the 1-day, 2-day,
and 3-day service standards do not apply, and:
(1) The origin is in the contiguous 48 states and the destination is
in any of the following: any portion of Alaska other than the city of
Anchorage (5-digit ZIP Codes 99501 through 99539); any portion of Hawaii
other than the 968 3-digit ZIP Code area; or the U.S. Virgin Islands;
(2) The destination is in the contiguous 48 states and the origin is
in Alaska, Hawaii, or the U.S. Virgin Islands; or
(3) The origin and destination are in different non-contiguous
states or territories, excluding mail to and from Guam and mail between
Puerto Rico and the U.S. Virgin Islands.
(e) A 5-day service standard is applied to all remaining domestic
First-Class Mail pieces properly accepted before the day-zero CET.
(f) The service standard for Outbound Single-Piece First-Class Mail
InternationalTM; pieces properly accepted before the day-zero
CET is equivalent to the service standard for domestic First-Class Mail
pieces originating from the same 3-digit ZIP Code area and destined to
the 3-digit ZIP Code area in which the designated International Service
Center is located.
(g) The service standard for Inbound Single-Piece First-Class Mail
International pieces properly accepted before the day-zero CET is
equivalent to the service standard for domestic First-Class Mail pieces
destined to the same 3-digit ZIP Code area and originating from the 3-
digit ZIP Code area in which the designated International Service Center
is located.
[77 FR 31196, May 25, 2012]
Sec. 121.2 Periodicals.
(a) End-to-End.
(1)(i) Until February 1, 2014, a 2- to 4-day service standard is
applied to Periodicals pieces properly accepted before the day-zero
Critical Entry Time (CET) and merged with First-Class Mail pieces for
surface transportation (as per the Domestic Mail Manual (DMM)), with the
standard specifically equaling the sum of 1 day plus the applicable
First-Class Mail service standard;
(ii) On and after February 1, 2014, a 3- to 4-day service standard
is applied to Periodicals pieces properly accepted before the day-zero
CET and merged with First-Class Mail pieces for surface transportation
(as per the DMM), with the standard specifically equaling the sum of 1
day plus the applicable First-Class Mail service standard.
(2) A 3-day service standard is applied to Periodicals pieces
properly accepted before the day-zero CET if: the origin and destination
are separately in Puerto Rico and the U.S. Virgin Islands; or if the
origin is in Alaska, the service standards set forth in paragraphs
(a)(1)(i) and (ii) do not apply, and the destination is in the following
3-digit ZIP Code areas in Alaska (or designated portions thereof): 995
(5-digit ZIP Codes 99540 through 99599), 996, 997, 998, and 999.
(3) A 4-day service standard is applied to Periodicals pieces
properly accepted before the day-zero CET if: the origin and destination
are separately in Hawaii and Guam; or the origin and destination are
separately in Hawaii and American Samoa.
(4)(i) A 5- to 8-day service standard is applied to Periodicals
pieces properly accepted before the day-zero CET if they originate and
destinate within the
[[Page 30]]
contiguous 48 states, they are not merged with First-Class Mail pieces
for surface transportation (as per the DMM), and the Area Distribution
Center (ADC) and Sectional Center Facility (SCF) are co-located, with
the standard specifically equaling the sum of 4 days plus the number of
additional days (from 1 to 4) required for surface transportation
between the applicable 3-digit ZIP Code origin-destination pairs;
(ii) A 6- to 9-day service standard is applied to Periodicals pieces
properly accepted before the day-zero CET if they originate and
destinate within the contiguous 48 states, they are not merged with
First-Class Mail pieces for surface transportation (as per the DMM), and
the ADC and SCF are not co-located, with the standard specifically
equaling the sum of 5 days plus the number of additional days (from 1 to
4) required for surface transportation between the applicable 3-digit
ZIP Code origin-destination pairs;
(5) A 12- to 26-day service standard is applied to all remaining
Periodicals pieces properly accepted before the day-zero CET, with the
standard specifically equaling the sum of 5 days plus the number of
additional days (from 7 to 21) required for intermodal (highway, boat,
air-taxi) transportation outside the contiguous 48 states for the
applicable 3-digit ZIP Code origin-destination pairs.
(b) Destination Entry.
(1) Destination Delivery Unit (DDU) Entered Mail. A 1-day
(overnight) service standard is applied to Periodicals pieces that
qualify for a DDU rate and are properly accepted before the day-zero CET
at the designated DDU.
(2) Destination Sectional Center Facility (DSCF) Entered Mail.
(i) A 1-day (overnight) service standard is applied to Periodicals
pieces that qualify for a DSCF rate and are properly accepted before the
day-zero CET at the designated DSCF, except for mail entered at the SCF
in Puerto Rico and destined to the U.S. Virgin Islands, mail entered at
the SCF in Hawaii and destined to American Samoa, and mail destined to
the following 3-digit ZIP Code areas in Alaska (or designated portions
thereof): 995 (5-digit ZIP Codes 99540 through 99599), 996, 997, 998,
and 999;
(ii) A 3-day service standard is applied to Periodicals pieces that
qualify for a DSCF rate and are properly accepted before the day-zero
CET at the designated DSCF, if the they are entered at the DSCF in
Puerto Rico and destined to the U.S. Virgin Islands, entered at the DSCF
in Hawaii and destined to American Samoa, or destined to the following
3-digit ZIP Code areas in Alaska (or designated portions thereof): 995
(5-digit ZIP Codes 99540 through 99599), 996, 997, 998, and 999.
(3) Destination Area Distribution Center (DADC) Entered Mail.
(i) A 1-day (overnight) service standard is applied to Periodicals
pieces that qualify for a DADC rate and are properly accepted before the
day-zero CET at the designated DADC, if the DADC and DSCF are co-
located;
(ii) A 2-day service standard is applied to Periodicals pieces that
qualify for a DADC rate and are properly accepted before the day-zero
CET at the designated DADC, if the DADC and DSCF are not co-located,
unless the mail is entered at a DADC within the contiguous 48 states and
destined outside the contiguous 48 states, or entered at the DADC in
Puerto Rico and destined to the U.S. Virgin Islands, or destined to
either American Samoa or the following 3-digit ZIP Code areas in Alaska
(or designated portions thereof): 995 (5-digit ZIP Codes 99540 through
99599), 996, 997, 998, and 999;
(iii) A 4-day service standard is applied to Periodicals pieces that
qualify for a DADC rate and are properly accepted before the day-zero
CET at the designated DADC, if they are entered at the DADC in Puerto
Rico and destined to the U.S. Virgin Islands, or if they are destined to
American Samoa or the following 3-digit ZIP Code areas in Alaska (or
designated portions thereof): 995 (5-digit ZIP Codes 99540 through
99599), 996, 997, 998, and 999;
(iv) An 11-day service standard is applied to Periodicals pieces
that qualify for a DADC rate, are properly accepted before the day-zero
CET at the designated DADC in the contiguous 48 states, and are destined
to the 998 or 999 3-digit ZIP Code areas in Alaska.
[[Page 31]]
(4) Destination Network Distribution Center (DNDC)/Auxiliary Service
Facility (ASF) Entered Mail.
(i) A 2-day service standard is applied to Periodicals pieces that
qualify for a DADC containerized rate, are properly accepted before the
day-zero CET at the designated DNDC or ASF in the contiguous 48 states,
and are destined within the contiguous 48 states, if the DADC and DSCF
are co-located;
(ii) A 3-day service standard is applied to Periodicals pieces that
qualify for a DADC containerized rate, are properly accepted before the
day-zero CET at the designated DNDC or ASF in the contiguous 48 states,
and are destined within the contiguous 48 states, if the DADC and DSCF
are not co-located;
(iii) An 8- to 10-day service standard is applied to Periodicals
pieces that qualify for a DADC containerized rate, are properly accepted
before the day-zero CET at the designated DNDC or ASF in the contiguous
48 states, and are destined outside the contiguous 48 states, if the
DADC and DSCF are co-located, with the specific standard being based on
the number of days required for transportation outside the contiguous 48
states;
(iv) A 9- to 11-day service standard is applied to Periodicals
pieces that qualify for a DADC containerized rate, are properly accepted
before the day-zero CET at the designated DNDC or ASF in the contiguous
48 states, and are destined outside the contiguous 48 states, if the
DADC and DSCF are not co-located, with the specific standard being based
on the number of days required for transportation outside the contiguous
48 states.
[77 FR 31196, May 25, 2012]
Sec. 121.3 Standard Mail.
(a) End-to-End. (1) The service standard for Sectional Center
Facility (SCF) turnaround Standard Mail[supreg] pieces accepted at
origin before the day-zero Critical Entry Time is 3 days when the origin
Processing & Distribution Center/Facility (OPD&C/F) and the SCF are the
same building, except for mail between the territories of Puerto Rico
and the U.S. Virgin Islands.
(2) The service standard for Area Distribution Center (ADC)
turnaround Standard Mail pieces accepted at origin before the day-zero
Critical Entry Time is 4 days when the OPD&C/F and the ADC are the same
building, unless the ADC is in the contiguous 48 states and the delivery
address is not, or the mail is between Puerto Rico and the U.S. Virgin
Islands, or the mail is between Hawaii and American Samoa.
(3) The service standard for intra-Network Distribution Center (NDC)
Standard Mail pieces accepted at origin before the day-zero Critical
Entry Time is 5 days for each remaining 3-digit ZIP Code origin-
destination pair within the same Network Distribution Center service
area if the origin and destination are within the contiguous 48 states;
the same standard applies to mail that is intra-Alaska or between the
state of Hawaii and the territory of Guam or American Samoa.
(4) For each remaining 3-digit ZIP Code origin-destination pair
within the contiguous 48 states, the service standard for Standard Mail
pieces accepted at origin before the day-zero Critical Entry Time is the
sum of 5 or 6 days plus the number of additional days (from 1 to 4)
required for surface transportation between each 3-digit ZIP Code
origin-destination pair.
(5) For each remaining 3-digit ZIP Code origin-destination pair, the
service standard for Standard Mail pieces accepted at origin before the
day-zero Critical Entry Time is the sum of 5 or 6 days plus the number
of additional days (from 7 to 21) required for intermodal (highway,
boat, air-taxi) transportation outside the contiguous 48 states for each
3-digit ZIP Code origin-destination pair.
(b) Destination Entry. (1) Standard Mail pieces that qualify for a
Destination Delivery Unit (DDU) rate and that are accepted before the
day-zero Critical Entry Time at the proper DDU have a 2-day service
standard.
(2) Standard Mail pieces that qualify for a Destination Sectional
Center Facility (DSCF) rate and that are accepted before the day-zero
Critical Entry Time at the proper DSCF have a 3-day service standard,
except for mail dropped at the SCF in the territory of Puerto Rico and
destined to the territory of the U.S. Virgin Islands, or mail destined
to American Samoa.
[[Page 32]]
(3) Standard Mail pieces that qualify for a Destination Sectional
Center Facility (DSCF) rate, are accepted before the day-zero Critical
Entry Time at the SCF, and are either entered in Puerto Rico and
destined to the U.S. Virgin Islands, or are destined to American Samoa,
have a 4-day service standard.
(4) Standard Mail pieces that qualify for a Destination Network
Distribution Center (DNDC) rate, and that are accepted before the day-
zero Critical Entry Time at the proper DNDC have a 5-day service
standard, if both the origin and the destination are in the contiguous
48 states.
(5) Standard Mail pieces that qualify for a Destination Network
Distribution Center (DNDC) rate, and that are accepted before the day-
zero Critical Entry Time at the proper DNDC in the contiguous 48 states
for delivery to addresses in the states of Alaska or Hawaii or the
territories of Guam, American Samoa, Puerto Rico, or the U.S. Virgin
Islands, have a service standard of 12-14 days, depending on the 3-digit
origin-destination ZIP Code pair. For each such pair, the applicable day
within the range is based on the number of days required for
transportation outside the contiguous 48 states.
[77 FR 31197, May 25, 2012]
Sec. 121.4 Package Services.
(a) End-to-End. (1) The service standard for Sectional Center
Facility (SCF) turnaround Package Services mail accepted at the origin
SCF before the day-zero Critical Entry Time is 2 days when the origin
Processing & Distribution Center/Facility and the SCF are the same
building, except for mail between the territories of Puerto Rico and the
U.S. Virgin Islands, and mail destined to American Samoa.
(2) The service standard for intra-Network Distribution Center (NDC)
Package Services mail accepted at origin before the day-zero Critical
Entry Time is 3 days, for each remaining (non-intra-SCF) 3-digit ZIP
Code origin-destination pair within a Network Distribution Center
service area, where the origin and destination is within the contiguous
48 states and is not served by an Auxiliary Service Facility; and for
mail between the territories of Puerto Rico and the U.S. Virgin Islands,
and for mail destined to American Samoa.
(3) The service standard for intra-Network Distribution Center (NDC)
Package Services mail accepted at origin before the day-zero Critical
Entry Time is 4 days for each remaining 3-digit ZIP Code origin-
destination pair within a Network Distribution Center service area,
where the destination delivery address is served by an Auxiliary Service
Facility; the same standard applies to all remaining intra-Alaska mail
and mail between the state of Hawaii and the territory of Guam, and mail
destined to American Samoa.
(4) For each remaining 3-digit ZIP Code origin-destination pair
within the contiguous 48 states, the service standard for Package
Services mail accepted at origin before the day-zero Critical Entry Time
is between 5 and 8 days. For each such 3-digit ZIP Code origin-
destination pair, this is the sum of 4 days, plus the number of
additional days (from 1 to 4) required for surface transportation
between each 3-digit ZIP Code origin-destination pair, plus an
additional day if the destination delivery address is served by an
Auxiliary Service Facility.
(5) For each remaining 3-digit ZIP Code origin-destination pair for
which either the origin or the destination is outside the contiguous 48
states, the service standard for Package Services mail accepted at
origin before the day-zero Critical Entry Time is between 10 and 26
days. For each such 3-digit ZIP Code origin-destination pair, this
represents the sum of 3 to 4 days, plus the number of days (ranging from
7 to 22) required for intermodal (highway, boat, air-taxi)
transportation between each 3-digit ZIP Code origin-destination pair.
(6) The service standard for Inbound Surface Parcel Post[supreg]
pieces (subject to Universal Postal Union rates) is the same as the
service standard for domestic Package Services mail from the 3-digit ZIP
Code area in which the International Network Distribution Center is
located in the 3-digit ZIP Code in which the delivery address is
located.
(b) Destination Entry. (1) Package Services mail that qualifies for
a Destination Delivery Unit (DDU) rate, and
[[Page 33]]
that is accepted before the day-zero Critical Entry Time at the proper
DDU, has a 1-day (overnight) service standard.
(2) Package Services mail that qualifies for a Destination Sectional
Center Facility (DSCF) rate, and that is accepted before the day-zero
Critical Entry Time at the proper DSCF, has a 2-day service standard,
except for mail dropped at the SCF in the territory of Puerto Rico and
destined to the territory of the U.S. Virgin Islands, and mail destined
to American Samoa.
(3) Package Services mail that qualifies for a Destination Sectional
Center Facility (DSCF) discount, is accepted before the day-zero
Critical Entry Time at the SCF, and is destined to either American Samoa
or the U.S. Virgin Islands, has a 3-day service standard.
(4) Package Services mail that qualifies for a Destination Network
Distribution Center (DNDC) rate, and is accepted before the day-zero
Critical Entry Time at the proper DNDC or Destination Auxiliary Service
Facility, and originates and destinates in the contiguous 48 states, has
a 3-day service standard.
(5) Package Services mail that qualifies for a Destination Network
Distribution Center (DNDC) rate, and that is accepted before the day-
zero Critical Entry Time at the proper DNDC in the contiguous 48 states
for delivery to addresses in the states of Alaska or Hawaii, or the
territories of Guam, American Samoa, Puerto Rico, or the U.S. Virgin
Islands has a service standard of either 11 or 12 days, depending on the
3-digit ZIP Code origin-destination pair. For each such pair, the
applicable day within the range is based on the number of days required
for transportation outside the contiguous 48 states.
[77 FR 31198, May 25, 2012]
Sec. Appendix A to Part 121--Tables Depicting Service Standard Day
Ranges
The following tables reflect the service standard day ranges
resulting from the application of the business rules applicable to the
market-dominant mail products referenced in Sec. Sec. 121.1 through
121.4:
Table 1. Prior to February 1, 2014, end-to-end service standard day
ranges for mail originating and destinating within the contiguous 48
states and the District of Columbia.
Contiguous United States
------------------------------------------------------------------------
Mail class End-to-end range (days)
------------------------------------------------------------------------
First-Class Mail.......................... 1-3
Periodicals............................... 2-9
Standard Mail............................. 3-10
Package Services.......................... 2-8
------------------------------------------------------------------------
Table 2. On and after February 1, 2014, end-to-end service standard
day ranges for mail originating and destinating within the contiguous 48
states and the District of Columbia.
Contiguous United States
------------------------------------------------------------------------
Mail class End-to-end range (days)
------------------------------------------------------------------------
First-Class Mail.......................... 1-3
Periodicals............................... 3-9
Standard Mail............................. 3-10
Package Services.......................... 2-8
------------------------------------------------------------------------
Table 3. Prior to February 1, 2014, end-to-end service standard day
ranges for mail originating and/or destinating in non-contiguous states
and territories.
Non-Contiguous States and Territories
--------------------------------------------------------------------------------------------------------------------------------------------------------
End-to-end
-----------------------------------------------------------------------------------------------
Intra state/territory To/From contiguous 48 states To/From states of Alaska and
---------------------------------------------------------------- Hawaii, and the territories of
Guam, Puerto Rico and the U.S.
Mail class Virgin Islands
Hawaii, Puerto Hawaii, Puerto -------------------------------
Alaska Guam, & Rico & Alaska Guam, & Rico & Hawaii,
American USVI American USVI Guam, & Puerto
Samoa Samoa Alaska American Rico &
Samoa USVI
--------------------------------------------------------------------------------------------------------------------------------------------------------
First-Class Mail........................................ 1-3 1-3 1-2 3-4 3-5 3-4 4-5 4-5 4-5
Periodicals............................................. 2-4 2-4 2-3 13-19 12-22 11-16 21-25 21-26 23-26
Standard Mail........................................... 3-5 3-5 3-4 14-20 13-23 12-17 23-26 23-27 24-27
Package Services........................................ * 2-4 2-4 2-3 12-18 11-21 10-15 21-26 20-26 20-24
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Excluding bypass mail.
[[Page 34]]
Table 4. On and after February 1, 2014, end-to-end service standard
day ranges for mail originating and/or destinating in non-contiguous
states and territories.
Non-Contiguous States and Territories
--------------------------------------------------------------------------------------------------------------------------------------------------------
End-to-end
-----------------------------------------------------------------------------------------------
Intra state/territory To/From contiguous 48 states To/From states of Alaska and
---------------------------------------------------------------- Hawaii, and the Territories of
Guam, Puerto Rico and the U.S.
Mail class Virgin Islands
Hawaii, Puerto Hawaii, Puerto -------------------------------
Alaska Guam, & Rico & Alaska Guam, & Rico & Hawaii,
American USVI American USVI Guam, & Puerto
Samoa Samoa Alaska American Rico &
Samoa USVI
--------------------------------------------------------------------------------------------------------------------------------------------------------
First-Class Mail........................................ 1-3 1-3 1-2 3-4 3-5 3-4 4-5 4-5 4-5
Periodicals............................................. 3-4 3-4 3 13-19 12-22 11-16 21-25 21-26 23-26
Standard Mail........................................... 3-5 3-5 3-4 14-20 13-23 12-17 23-26 23-27 24-27
Package Services........................................ * 2-4 2-4 2-3 12-18 11-21 10-15 21-26 20-26 20-24
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Excluding bypass mail.
Table 5. Destination-entry service standard day ranges for mail to
the contiguous 48 states and the District of Columbia.
Contiguous United States
----------------------------------------------------------------------------------------------------------------
Destination entry (at appropriate facility)
---------------------------------------------------
Mail class NDC/ASF
DDU (days) SCF (days) ADC (days) (days)
----------------------------------------------------------------------------------------------------------------
Periodicals................................................. 1 1 1-2 2-3
Standard Mail............................................... 2 3 ........... 5
Package Services............................................ 1 2 ........... 3
----------------------------------------------------------------------------------------------------------------
Table 6. Destination entry service standard day ranges for mail to
non-contiguous states and territories.
Non-Contiguous States and Territories
--------------------------------------------------------------------------------------------------------------------------------------------------------
Destination Entry (at appropriate facility)
-------------------------------------------------------------------------------------------------
SCF (Days) ADC (Days) NDC (Days)
----------------------------------------------------------------------------------------
Mail class DDU Hawaii, Hawaii, Hawaii,
(Days) Guam, & Puerto Guam, & Puerto Guam, & Puerto
Alaska American Rico & Alaska American Rico & Alaska American Rico &
Samoa USVI Samoa USVI Samoa USVI
--------------------------------------------------------------------------------------------------------------------------------------------------------
Periodicals........................................... 1 1-3 1 1-3 1-4 (AK) 1 (HI) 2 1-4 10-11 10 8-10
11 (JNU) (GU)
11 (KTN)
Standard Mail......................................... 2 3 3-4 3-4 ......... ......... ....... 14 13 12
Package Services...................................... 1 2 2-3 2-3 ......... ......... ....... 12 11 11
--------------------------------------------------------------------------------------------------------------------------------------------------------
AK = Alaska 3-digit ZIP Codes 995-997; JNU = Juneau AK 3-digit ZIP Code 998; KTN = Ketchikan AK 3-digit ZIP Code 999; HI = Hawaii 3-digit ZIP Codes 967
and 968; GU = Guam 3-digit ZIP Code 969.
[77 FR 31198, May 25, 2012]
PART 122_SERVICE STANDARDS FOR MARKET-DOMINANT SPECIAL SERVICES
PRODUCTS--Table of Contents
Sec.
122.1 Ancillary special services.
122.2 Stand-alone special services.
Authority: 39 U.S.C. 101, 401, 403, 404, 1001, 3691.
Source: 72 FR 72228, Dec. 19, 2007, unless otherwise noted.
Sec. 122.1 Ancillary special services.
(a) For the market-dominant mail products identified above in part
121, mailers may purchase various ancillary special services products,
which are designed to provide electronic access to information regarding
delivery-
[[Page 35]]
related events or forwarding addresses for individual mailpieces.
(1) For the following special services, the service standard for the
electronic provision of delivery-related information is that it be made
available to the sender no later than 24 hours after the time of the
recorded delivery-related scan performed by the Postal Service on mail
for which the following special services have been purchased: Domestic
Certified Mail\TM\ service, domestic Delivery Confirmation\TM\ service,
domestic and inbound international Registered Mail\TM\ service, domestic
Collect On Delivery, domestic electronic Return Receipt, and domestic
Signature Confirmation\TM\ scans.
(2) For domestic electronic Address Correction Service, the service
standard for the electronic provision of address change information is
that it be made available to the sender no later than 24 hours after the
time of the scan of the mailpiece by the Postal Automated Redirection
System.
(b) For the market-dominant mail products identified above in part
121, mailers may purchase insurance from the Postal Service\TM\ to
provide indemnity against loss or damage to the contents of a mailpiece.
The service standard for the administrative resolution of domestic
insurance claims is that a final agency decision must be transmitted to
the claimant no later than 30 calendar days after the date on which the
Postal Service has received all information from the claimant necessary
for analysis of the claim.
Sec. 122.2 Stand-alone special services.
(a) The service standard for P. O. Box\TM\ service is that mail be
available for pickup at the box each delivery day no later than the
daily ``up-time'' publicly posted at the Post Office\TM\ location that
includes the box section.
(b) The service standard for completion of Address List Services
(change-of-address information for election boards and registration
commissions, correction and ZIP Code placement of mailing lists, and
address sequencing) is transmission of the corrected addresses within 15
business days of receipt to the requester, except for the period from
November 16 through January 1.
(c) For the domestic market-dominant mail products identified above
in part 121, CONFIRM[reg] service allows subscribing
customers to obtain electronic information regarding when and where
mailpieces undergo barcode scans in mail processing operations. The
service standard for the electronic provision of CONFIRM service scan
information is that it be made available to the sender no later than 24
hours after the recorded time of the CONFIRM scan performed by the
Postal Service.
(d) The service standard for Postal Money Order Inquiry service is
transmission of a response to the customer's completed inquiry within 15
business days of receipt of the inquiry by the Postal Service, excluding
designated postal holidays.
(e) The service standards for Stamp Fulfillment Services order
fulfillment service is shipment of orders within the following
timeframes, based from the time of order receipt within SFS systems,
excluding designated postal holidays.
Stamp Fulfillment Services--Service Standards for Fulfillment Process
------------------------------------------------------------------------
Customer order Service standard \1\
------------------------------------------------------------------------
Internet Orders: Non-Philatelic/Non-Custom <= 2 Business Days.
Business Level Orders..................... <= 5 Business Days.
Philatelic/Custom and All Other Order <= 10 Business Days.
Sources.
------------------------------------------------------------------------
[72 FR 72228, Dec. 19, 2007, as amended at 76 FR 61053, Oct. 3, 2011]
[[Page 36]]
SUBCHAPTER D_ORGANIZATION AND ADMINISTRATION
PART 211_APPLICATION OF REGULATIONS--Table of Contents
Sec.
211.1 Disposition of former title 39, U.S.C.
211.2 Regulations of the Postal Service.
211.3 Executive orders and other executive pronouncements; circulars,
bulletins, and other issuances of the Office of Management and
Budget.
211.4 Interim personnel regulations.
Authority: 39 U.S.C. 201, 202, 401(2), 402, 403, 404, 410, 1001,
1005, 1209; Pub. L. 91-375, Secs. 3-5, 84 Stat. 773-75.
Source: 38 FR 20402, July 31, 1973, unless otherwise noted.
Sec. 211.1 Disposition of former title 39, U.S.C.
Except as otherwise continued in effect as postal regulations, all
provisions of former title 39, U.S.C., which were continued in effect as
regulations of the Postal Service by section 5(f) of the Postal
Reorganization Act, are revoked. This revocation does not apply to
postal regulations which embody or are derived from provisions of former
title 39.
Sec. 211.2 Regulations of the Postal Service.
(a) The regulations of the Postal Service consist of:
(1) The resolutions of the Governors and the Board of Governors of
the U.S. Postal Service and the bylaws of the Board of Governors;
(2) The Mailing Standards of the United States Postal Service,
Domestic Mail Manual; the Postal Operations Manual; the Administrative
Support Manual; the Employee and Labor Relations Manual; the Financial
Management Manual; the International Mail Manual; and those portions of
Chapter 2 of the former Postal Service Manual and chapter 7 of the
former Postal Manual retained in force.
(3) Headquarters Circulars, Management Instructions, Regional
Instructions, handbooks, delegations of authority, and other regulatory
issuances and directives of the Postal Service or the former Post Office
Department. Any of the foregoing may be published in the Federal
Register and the Code of Federal Regulations.
(b) Except as otherwise provided by law, the resolutions of the
Governors and the Board of Governors of the U.S. Postal Service and the
bylaws of the Board of Governors take precedence over all regulations
issued by other authority.
(c) The adoption, by reference or otherwise, of any rule of law or
regulation in this or any other regulation of the Postal Service shall
not be interpreted as any expression on the issue of whether such rule
of law or regulation would apply to the Postal Service if it were not
adopted as a regulation, nor shall it restrict the authority of the
Postal Service to amend or revoke the rule so adopted at a subsequent
time.
(d) All regulations of the Post Office Department in effect at the
time the U.S. Postal Service commenced operations, continue in effect,
except as subsequently modified or repealed by the Postal Service.
Except as otherwise continued in effect as postal regulations, all
regulations of other agencies of the United States continued in effect
as postal regulations by section 5(a) of the Postal Reorganization Act
are repealed.
[38 FR 20402, July 31, 1973, as amended at 46 FR 34329, July 1, 1981; 69
FR 36022, June 28, 2004; 69 FR 59545, Oct. 5, 2004; 70 FR 20293, Apr.
19, 2005]
Sec. 211.3 Executive orders and other executive pronouncements;
circulars, bulletins, and other issuances of the Office of Management
and Budget.
(a) By virtue of the Postal Reorganization Act, certain executive
orders, and other executive pronouncements and certain circulars,
bulletins, and other issuances of the Office of Management and Budget or
particular provisions thereof, or requirements therein, apply to the
Postal Service and certain others do not apply.
(b) It is the policy of the Postal Service to continue to comply
with issuances of the kind mentioned in paragraph (a) of this section
with
[[Page 37]]
which it has previously complied, unless a management decision by an
appropriate department head is made to terminate compliance, in whole or
in part, following advice from the General Counsel that the issuance is
not binding, in whole or in part, on the Postal Service. This policy is
not enforceable by any party outside the Postal Service. No party
outside the Postal Service is authorized to use the mere non-compliance
with this policy against the Postal Service in any way.
Sec. 211.4 Interim personnel regulations.
(a) Continuation of Personnel Regulations of the Post Office
Department. All regulations of the former Post Office Department dealing
with officers and employees, in effect at the time the U.S. Postal
Service commenced operations, continue in effect according to their
terms until modified or repealed by the Postal Service or pursuant to a
collective bargaining agreement under the Postal Reorganization Act.
(b) Continuation of Personnel Provisions of Former title 39, U.S.C.
Except as they may be inconsistent with other regulations adopted by the
Postal Service or with a collective bargaining agreement under the
Postal Reorganization Act, all provisions of former title 39, U.S.C.,
dealing with and applicable to postal officers and employees immediately
prior to the commencement of operations of the Postal Service continue
in effect as regulations of the Postal Service.
(c) Continuation of Other Laws and Regulations as Postal
Regulations. Except as they may be inconsistent with the provisions of
the Postal Reorganization Act, with other regulations adopted by the
Postal Service, or with a collective bargaining agreement under the
Postal Reorganization Act, all regulations of Federal agencies other
than the Postal Service or Post Office Department and all laws other
than provisions of revised title 39, U.S.C., or provisions of other laws
made applicable to the Postal Service by revised title 39, U.S.C.,
dealing with officers and employees applicable to postal officers and
employees immediately prior to the commencement of operations of the
Postal Service, continue in effect as regulations of the Postal Service.
Any regulation or law the applicability of which is continued by
paragraphs (a) through (c) of this section which requires any action by
any agency other than the Postal Service or Post Office Department shall
be deemed to require such action by the Postal Service, unless by
agreement with the Postal Service the other agency involved consents to
the continuation of its action.
(d) Effect of Collective Bargaining on Certain Regulations. All
rules and regulations continued or established by paragraphs (a) through
(c) of this section which establish fringe benefits as defined in title
39, U.S.C. 1005(f) of employees for whom there is a collective
bargaining representative continue to apply until modified by a
collective bargaining agreement concluded pursuant to the Postal
Reorganization Act. Those rules and regulations affecting other terms
and conditions of employment encompassed by section 8(d) of the National
Labor Relations Act, as amended, shall continue to apply to such
employees until such collective bargaining agreement has been concluded,
and, unless specifically continued by such agreement, shall apply
thereafter until modified or repealed by the Postal Service pursuant to
its authority under title 39, U.S.C. 1001(e) and other pertinent
provisions of the Postal Reorganization Act. In the event a condition
occurs which shall excuse the Postal Service from continuing
negotiations prior to the parties thereto concluding an agreement in
accordance with the Postal Reorganization Act, the Postal Service
reserves the right in accordance with the reorganization measures
mandated by the Congress and consistent with the provisions of the Act,
and any collective bargaining agreements in existence at that time,
insofar as they do not unduly impede such reorganization measures, to
continue, discontinue, or revise all compensation, benefits, and terms
and conditions of employment of such employees of the Postal Service.
PART 221_GENERAL ORGANIZATION--Table of Contents
Sec.
221.1 The United States Postal Service.
[[Page 38]]
221.2 Board of Governors.
221.3 Office of Inspector General.
221.4 Corporate officers.
221.5 Headquarters organization.
221.6 Field organization.
221.7 Postal Service emblem.
Authority: 39 U.S.C. 201, 202, 203, 204, 207, 401(2), 402, 403, 404,
409, 1001; Inspector General Act of 1978 (Pub. L. 95-452), 5 U.S.C. App.
3.
Source: 69 FR 53000, Aug. 31, 2004, unless otherwise noted.
Sec. 221.1 The United States Postal Service.
The United States Postal Service was established as an independent
establishment within the executive branch of the government of the
United States under the Postal Reorganization Act of August 12, 1970
(Pub. L. 91-375, 84 Stat. 719).
Sec. 221.2 Board of Governors.
(a) Composition. The Board of Governors consists of 11 members. Nine
governors are appointed by the President of the United States, by and
with the advice and consent of the Senate. Not more than five governors
may be adherents of the same political party. The governors are chosen
to represent the public interest generally, and they may not be
representatives of specific interests using the Postal Service. The
governors may be removed only for cause. The postmaster general and the
deputy postmaster general are also voting members of the Board of
Governors.
(b) Responsibilities. The Board of Governors directs the exercise of
the powers of the Postal Service, reviews the practices and policies of
the Postal Service, and directs and controls its expenditures.
Sec. 221.3 Office of Inspector General.
(a) Establishment. The Office of Inspector General (OIG) was
established as an independent law enforcement and oversight agency for
the United States Postal Service under the Inspector General Act of 1978
(5 U.S.C. App. 3), as amended in 1988 (Pub. L. 100-504, 102 Stat. 2515)
and 1996 (Pub. L. 104-208, 110 Stat. 3009).
(b) Responsibilities. The OIG was established to:
(1) Provide an independent and objective unit to conduct and
supervise audits and investigations relating to programs and operations
of the Postal Service.
(2) Provide leadership and coordination and recommend policies for
activities designed to:
(i) Promote economy, efficiency, and effectiveness in the
administration of postal programs and operations.
(ii) Prevent and detect fraud and abuse in postal programs and
operations.
(3) Provide a means of keeping the governors and Congress fully and
currently informed about:
(i) Problems and deficiencies relating to the administration of
postal programs and operations.
(ii) The necessity for corrective action.
(iii) The progress of corrective action.
(4) Provide oversight of all activities of the Postal Inspection
Service.
(c) Inspector General--(1) Appointment. The inspector general is
appointed for a 7-year term by the nine governors.
(2) Responsibilities. The inspector general is responsible for the
operations of the OIG: ensuring independent and objective audits and
investigations of postal operations and programs; overseeing the Postal
Inspection Service; and apprising the governors and Congress of
significant observations. The inspector general has no direct
responsibility for designing, installing, and/or operating postal
operations or programs.
(3) Extent of powers. In addition to the authority otherwise
provided by the Inspector General Act of 1978, as amended, the inspector
general is authorized to:
(i) Have unrestricted access to all Postal Service operations,
programs, records, and documents, whether in custody of the Postal
Service or available by law, contract, or regulation.
(ii) Have direct and prompt access to the governors when necessary
for any purpose pertaining to the performance of the functions and
responsibilities of the OIG.
(iii) Administer oaths when necessary in performance of the
functions assigned to the OIG.
[[Page 39]]
(iv) Require by subpoena the production of all information,
documents, reports, answers, records, accounts, papers, and other data
and documentary evidence necessary in the performance of the functions
of the OIG.
(v) Select, appoint, and employ such officers and employees as may
be necessary for carrying out the functions, powers, and duties of the
OIG.
(vi) Obtain the temporary or intermittent services of experts or
consultants in accordance with applicable laws and regulations.
Sec. 221.4 Corporate officers.
The Board of Governors determines the number of corporate officers
and appoints the postmaster general. The governors and the postmaster
general appoint the deputy postmaster general. The postmaster general
appoints the remaining corporate officers. The corporate officers of the
Postal Service are the following:
(a) The postmaster general and chief executive officer.
(b) The deputy postmaster general.
(c) The chief operating officer and executive vice president.
(d) The chief financial officer and executive vice president.
(e) The senior vice presidents.
(f) The general counsel and senior vice president.
(g) The vice presidents.
(h) The chief inspector.
(i) The consumer advocate and vice president.
(j) The judicial officer.
(k) Such other officers as the Board may designate from time to
time.
Sec. 221.5 Headquarters organization.
(a) Postmaster General--(1) Appointment. The postmaster general
(PMG), the chief executive officer of the Postal Service, is appointed
by and can be removed by a majority of the governors in office.
(2) Responsibilities. The postmaster general is responsible for the
overall operation of the Postal Service. The postmaster general
determines appeals from the actions of staff and corporate officers,
except in cases where he or she has delegated authority to make a
decision to a subordinate; such subordinate may also determine appeals
within the authority delegated.
(3) Extent of powers. The postmaster general, as directed by the
Board of Governors, exercises the powers of the Postal Service to the
extent that such exercise does not conflict with power reserved to the
Board by law. The postmaster general is authorized to direct any
officer, employee, or agent of the Postal Service to exercise such of
the postmaster general's powers as the postmaster general deems
appropriate.
(b) Deputy Postmaster General. The deputy postmaster general is
appointed and can be removed by the postmaster general and the governors
in office. The deputy postmaster general reports directly to the
postmaster general.
(c) Chief Operating Officer and Executive Vice President. The chief
operating officer and executive vice president is appointed by the
postmaster general and directs all processing, distribution, and
customer service functions.
(d) Officers in charge of Headquarters organizational units. The
officers in charge of Headquarters organizational units are appointed by
the postmaster general. They report directly to the postmaster general,
the deputy postmaster general, an executive vice president, a senior
vice president, or another officer, as the postmaster general may
direct.
(e) Responsibilities. The corporate officers head the organizational
units into which Headquarters and the field are divided. They are
responsible for the following:
(1) Program planning, direction, and review.
(2) Establishment of policies, procedures, and standards.
(3) Operational determinations not delegated to district officials.
Sec. 221.6 Field organization.
(a) General. There are 8 areas, each with a vice president.
(b) Area locations.
------------------------------------------------------------------------
Area name Location
------------------------------------------------------------------------
Eastern............................... Pittsburgh PA.
Great Lakes........................... Chicago IL.
New York Metro........................ New York NY.
Northeast............................. Windsor CT.
Pacific............................... San Francisco CA.
Southeast............................. Memphis TN.
Southwest............................. Dallas TX.
[[Page 40]]
Western............................... Denver CO.
------------------------------------------------------------------------
(c) Area functions. Functional units and reporting units are as
follows:
(1) Functional units. Each area is divided into functional units
responsible for finance, human resources, marketing, and operations
support.
(2) Reporting units. Areas are responsible for:
(i) Customer service districts (CSDs).
(ii) Post offices (POs).
(iii) Vehicle maintenance facilities (VMFs).
(iv) Processing and distribution centers (P&DCs).
(v) Processing and distribution facilities (P&DFs).
(vi) Air mail centers (AMCs).
(vii) Air mail facilities (AMFs).
(viii) Bulk mail centers (BMCs).
(ix) Bulk mail facilities (BMFs).
(x) Remote encoding centers (RECs).
(d) Customer Service District Offices. Functional units and
reporting relationships are as follows:
(1) Functional units. The 80 district offices coordinate the day-to-
day management of post offices and customer service activities other
than processing and distribution within a geographical area. EAS-26 and
above postmasters report to their district manager. Each district office
is organized into functional units responsible for post office
operations, operations programs support, customer service support,
finance, human resources, information technology, administrative
support, and marketing.
(2) Reporting relationships. Independent delivery distribution
centers and post offices level EAS-24 and below report to the functional
unit responsible for post office operations.
(e) Support--(1) General. Headquarters field units and service
centers provide support for area offices.
(2) Headquarters field units. As assigned, Headquarters field units
are responsible for legal services, corporate relations, human
resources, facility services, finance, information technology, and
supply management.
Sec. 221.7 Postal Service emblem.
The Postal Service emblem, which is identical with the seal, is
registered as a trademark and service mark by the U.S. Patent Office.
Except for the emblem on official stationery, the emblem must bear one
of the following notations: ``Reg. U.S. Pat. Off.'', ``Registered in
U.S. Patent Office'', or the letter R enclosed within a circle.
PART 222_DELEGATIONS OF AUTHORITY--Table of Contents
Sec.
222.1 Authority to administer postal affairs.
222.2 Authority to administer oaths or function as notaries public.
222.3 Other delegation.
Authority: 39 U.S.C. 201, 202, 203, 204, 207, 401(2), 402, 403, 404,
409, 1001, 1011; Inspector General Act of 1978 (Pub. L. 95-452), 5
U.S.C. App. 3.
Source: 69 FR 53000, Aug. 31, 2004, unless otherwise noted.
Sec. 222.1 Authority to administer postal affairs.
(a) The Postmaster General. The postmaster general has been
authorized by the Board of Governors to exercise the powers of the
Postal Service to the full extent that such exercise is lawful. The
postmaster general is empowered to authorize any employee or agent of
the Service to exercise any function vested in the Postal Service, in
the postmaster general, or in any other Postal Service employee.
(b) Corporate officers. Corporate officers are authorized to
exercise the powers and functions of the Postal Service under the Postal
Reorganization Act with respect to matters within their areas of
responsibility, except as limited by law or by the specific terms of
their assignment.
(c) General counsel. The general counsel is authorized to settle
federal tort claims under section 2672 of title 28, United States Code,
up to $100,000.
Sec. 222.2 Authority to administer oaths or function as notaries public.
(a) Authority to approve personnel actions and administer oaths of
office for employment. The postmaster general, corporate officers, and
their delegatees are authorized to effect appointments, administer oaths
of office for employment, and take other personnel actions.
[[Page 41]]
(b) Authority to administer oaths other than for employment. The
following are authorized to administer oaths concerning matters other
than employment:
(1) Postal inspectors, with regard to any matter coming before them
in the performance of their official duties;
(2) Any member of a board who is assigned to conduct hearings or
investigations in which sworn testimony, affidavits, or depositions are
required, and each officer or employee assigned to conduct such hearings
or investigations;
(3) Postmasters, where required in the performance of their official
duties.
(c) Authority to function as notaries public. (1) Postmasters in
Alaska have the authority to administer oaths and affirmations, take
acknowledgments and make and execute certificates thereof, and perform
all other functions of a notary public within Alaska when a
certification is necessary to meet any Act of Congress or the
Legislature of Alaska. No fees may be charged for notarial services.
(2) An officer or employee who is a notary public shall not charge
or receive compensation for notarial services for another officer or
employee regarding Government business; nor for notarial services for
any person during the hours of the notary's services to the Government,
including the lunch period.
Sec. 222.3 Other delegation.
(a) Documentation. All delegations of authority must be officially
documented.
(b) Position title. Delegations of authority must ordinarily be made
by position title rather than by name of the individual involved. An
officer or executive acting for a principal has the principal's full
authority.
(c) Level. When authority is delegated to an officer, the officers
above that officer shall have the same authority. Delegated authority
does not extend to aides unless an aide is acting for the supervisor
(see paragraph (b) of this section) or is specifically authorized by the
superior to exercise such authority.
(d) Agreement with law. A delegation must agree with the law and
regulations under which it is made and contain such specific limiting
conditions as may be appropriate.
(e) Further delegation. Authority may be further delegated unless
prohibited by law, a regulation that expressly prohibits further
delegation, or terms of the delegation.
PART 223_RELATIONSHIPS AND COMMUNICATION CHANNELS--Table of Contents
Sec.
223.1 Headquarters and areas.
223.2 Channels of communication, headquarters with area offices.
Authority: 39 U.S.C. 201, 202, 203, 204, 207, 401(2), 402, 403, 404.
Source: 69 FR 53000, Aug. 31, 2004, unless otherwise noted.
Sec. 223.1 Headquarters and areas.
Headquarters provides policy guidance, procedures, and
interpretation to area officials.
Sec. 223.2 Channels of communication, headquarters with area offices.
(a) General. Headquarters organizational units formulate the
directives to provide guidance to area officials.
(b) Policies. Policies are issued over the signatures of the vice
presidents of the functional organizations (unless the postmaster
general or deputy postmaster general issues these directives
personally). Whether published on paper or online, such policies must be
coordinated with other appropriate organizations before issuance, and
reviewed, published, and managed by Public Affairs and Communications.
If within the authority of the issuer, these policies have the same
effect as though sent by the postmaster general or deputy postmaster
general.
(c) Procedures. Regulations, instructions, and implementation
guidelines are issued over the signatures of vice presidents of
functional organizations or their accountable functional unit managers
and used to implement programs and business activities. Whether
published on paper or online, such procedures must be coordinated with
other appropriate organizations before issuance and reviewed, published,
and managed by Public Affairs and Communications.
[[Page 42]]
Inspection Service Requirements--Table of Contents
PART 230_OFFICE OF INSPECTOR GENERAL--Table of Contents
Subpart A_General Policy and Authority
Sec.
230.1 Establishment and authority.
230.2 Access to information and other responsibilities.
230.3 Cooperation with the Office of Inspector General.
230.4 Arrest and investigative powers of criminal investigators.
230.5 Release of information.
230.6 Contractor requirements.
Subpart B_Rules Governing Compliance with Subpoenas, Summonses, and
Court Orders by Postal Employees Within the Office of Inspector General
Where Neither the Postal Service, the United States, Nor Any Other
Federal Agency Is a Party
230.10 What do these rules govern?
230.11 What special definitions apply to these rules?
230.12 Can Office of Inspector General employees testify or produce
documents that would assist me in my civil proceeding?
230.13 Why are restrictions on Office of Inspector General employees in
civil proceedings necessary?
230.14 Who owns the written or recorded notes, memoranda, reports, and
transcriptions made pursuant to an official investigation,
audit, or review conducted by an employee of the Office of
Inspector General?
230.15 What must an Office of Inspector General employee do if served
with a demand requiring the production of documents or an
appearance in court?
230.16 Is there a prohibition on presenting Office of Inspector General
reports or records during an employee's testimony?
230.17 If an attempt is made to compel production of reports and records
during the employee's testimony, what is an Office of
Inspector General employee directed to do?
230.18 If authorization to testify or produce documents is not obtained
by the employee, what is the employee directed to do?
230.19 What criteria will the authorizing official use to determine
whether to authorize testimony or production of documents?
230.20 What records will not be released?
230.21 May the General Counsel to the Inspector General and/or a U.S.
Department of Justice attorney represent the employee in any
appearance?
230.22 May another employee be substituted for the employee requested to
appear?.
230.23 May an Office of Inspector General employee testify as an expert
or opinion witness?
230.24 How is a demand for employee documents or testimony made to the
Office of Inspector General?
230.25 Who pays the costs incurred when the Office of Inspector General
responds to a demand for documents or testimony?
230.26 Do these rules affect the service of process requirements of the
Federal Rules of Civil Procedure (28 U.S.C. Appendix)?
230.27 Do these rules create any right or benefit enforceable by a party
against the Postal Service?
Authority: 5 U.S.C. App.3; 39 U.S.C. 401(2) and 1001.
Source: 67 FR 16025, Apr. 4, 2002, unless otherwise noted.
Subpart A_General Policy and Authority
Sec. 230.1 Establishment and authority.
(a) There is established, pursuant to the Inspector General Act of
1978, as amended (5 U.S.C. App.3), and 39 U.S.C. 410, an independent
Office of Inspector General.
(b) The Inspector General reports directly to the nine
presidentially appointed Governors and shall not be supervised by, nor
report to, the Postmaster General and/or any designee appointed by the
Postmaster General.
(c) The Office of Inspector General includes an Inspector General,
an Assistant Inspector General for Audit, and an Assistant Inspector
General for Investigations. The Office of Inspector General maintains
its own legal counsel independent of the Postal Service Law Department
for matters that are within the jurisdiction of the Office.
(d) The Office of Inspector General is responsible for detecting and
preventing fraud, waste, and abuse in the programs and operations of the
Postal Service, including, investigating all allegations of violations
of postal laws or misconduct by postal employees, including mail theft,
and for reviewing existing and proposed legislation and regulations
relating to the programs and operations of the Postal Service.
[[Page 43]]
(e) The Inspector General has oversight responsibilities for all
activities of the Postal Inspection Service. The Chief Postal Inspector
must promptly report to the Inspector General significant activities and
other information related to the Inspection Service as required by law.
(f) The Inspector General has sole responsibility for directing the
Office of Inspector General, including the authority to select, appoint,
and employ such officers and employees that the Inspector General deems
necessary and appropriate to fulfill the mission of the Office. In
addition, the Inspector General may delegate to such officers and
employees of the Inspector General such powers, duties, and
responsibilities, as the Inspector General deems necessary and
appropriate for the proper functioning of the Office.
(g) All employees in the Office of Inspector General shall take and
subscribe to the oath of office required of all Postal Service employees
under 39 U.S.C. 1011, and the Inspector General, or designee, is
authorized to administer such oath and affirmation.
(h) The Inspector General has the authority to enter into contracts
or other arrangements with public agencies and with private entities,
and to make such payments as may be necessary to carry out the duties
and responsibilities of the Office of Inspector General.
(i) The Inspector General may hire and retain the services of expert
consultants and other personnel as necessary to fulfill the duties and
responsibilities of the Office.
(j) Except as required by law, the Governors may not transfer to the
Inspector General responsibility for performing any of the program
activities of the Postal Service.
[67 FR 16025, Apr. 4, 2002, as amended at 72 FR 39011, July 17, 2007]
Sec. 230.2 Access to information and other responsibilities.
(a) The Inspector General has authority to have access to all postal
records, reports, audits, reviews, documents, papers, information, and
other material relating to any matter related to the responsibilities of
the Inspector General;
(b) The Inspector General shall be the Investigating Official for
purposes of the Program Fraud Civil Remedies Act.
Sec. 230.3 Cooperation with the Office of Inspector General.
(a) All Postal Service employees shall cooperate with all audits,
reviews, and investigations conducted by the Office of Inspector
General. Deliberately submitting information known to be false or
misleading to the Office of Inspector General or failing to cooperate
with all audits, reviews, and investigations conducted by the Office of
Inspector General may be grounds for disciplinary or other legal action.
(b) Any employee who has authority to take, direct another to take,
recommend or approve any personnel action shall not retaliate against
any employee as a reprisal for cooperating and assisting with any Office
of Inspector General audit, review, or investigation (including
reporting facts or information to the Office of Inspector General that
leads to any audit, review, or investigation).
Sec. 230.4 Arrest and investigative powers of criminal investigators.
(a) Under the authority of 18 U.S.C. 3061, criminal investigators
employed by the Office of Inspector General are authorized to perform
the following functions in connection with their official duties:
(1) Serve warrants and subpoenas issued under the authority of the
United States;
(2) Make arrests without warrant for offenses against the United
States committed in their presence;
(3) Make arrests without warrant for felonies cognizable under the
laws of the United States if they have reasonable grounds to believe
that the person to be arrested has committed or is committing such a
felony;
(4) Carry firearms; and
(5) Make seizures of property as provided by law.
(b) Administrative subpoenas may be served by delivering a copy to a
person or by mailing a copy to the person's last known address. For the
purposes of this provision, delivery of a copy includes handing it to
the party or leaving it at the party's office or residence
[[Page 44]]
with a person of suitable age and discretion employed or residing
therein. Service by mail is complete upon mailing.
[67 FR 16025, Apr. 4, 2002, as amended at 71 FR 12285, Mar. 10, 2006]
Sec. 230.5 Release of information.
(a) The Office of Inspector General is responsible for maintaining
and storing its own records and for assuring compliance with applicable
records management, retention, and disclosure requirements.
(b) The Inspector General or a designee serves as the official
custodian of the records and documents of the Office of Inspector
General and is responsible for administering the rules and regulations
relating to public availability of Postal Service Office of Inspector
General records insofar as the information is subject to the provisions
of the Freedom of Information Act, contained in Section 552 of Title 5
of the U.S. Code and 39 U.S.C. 410 (c), and/or the Privacy Act, Section
552a of Title 5 of the U.S. Code.
(c) Requests for records and information under the Freedom of
Information Act or Privacy Act should be submitted in writing to the
Office of Inspector General, Freedom of Information/Privacy Act Officer,
located at 1735 N. Lynn Street, Arlington, Virginia, 22209-2020.
(d) The Office of Inspector General shall comply with and adhere to
the procedures governing the release of information maintained by the
U.S. Postal Service as set forth in Part 265 and related provisions of
these regulations to the extent such procedures do not conflict with any
provision in this part.
(e) Appeals from the denial of any request for information should be
directed to the General Counsel for the Office of Inspector General, who
is responsible for deciding any timely appeals authorized under this
section.
(f) Postal Service records in the custody of the Office of Inspector
General that contain proprietary information will not be released by the
Inspector General without consultation with the appropriate Postal
Service official responsible for the record.
Sec. 230.6 Contractor requirements.
(a) The Office of Inspector General shall be the exclusive judge of
its contractors' qualifications.
(b) The Office of Inspector General shall award contracts to and
make purchases from only responsible contractors. In order to award a
contract, a contracting officer must make an affirmative determination
of responsibility.
(c) A responsible prospective contractor is one who:
(1) Has the financial and logistical resources to perform the
contract;
(2) Has the necessary organization, experience, and technical
ability to perform the contract;
(3) Is able to comply with the delivery and performance schedules
established by the Office of Inspector General;
(4) Has a satisfactory performance record (although a lack of
relevant performance history shall not disqualify a prospective
contractor from award);
(5) Has a satisfactory record of integrity and business ethics; and,
(6) Is otherwise qualified and eligible to receive an award under
applicable federal laws and regulations.
[77 FR 6676, Feb. 9, 2012]
Subpart B_Rules Governing Compliance With Subpoenas, Summonses, and
Court Orders by Postal Employees Within the Office of Inspector General
Where Neither the Postal Service, the United States, Nor Any Other
Federal Agency Is a Party
Source: 68 FR 57372, Oct. 3, 2003, unless otherwise noted.
Sec. 230.10 What do these rules govern?
(a) Subpart B governs those situations where an employee of the
Office of Inspector General has been summoned, subpoenaed, or given a
court order in connection with any federal, state, local court,
administrative, or legislative proceeding.
(b) The rules in subpart B do not apply to:
[[Page 45]]
(1) Proceedings where the United States, the Postal Service, or any
other federal agency is named as a party;
(2) Congressional requests or subpoenas for testimony or documents;
(3) Employees serving as expert witnesses in connection with
professional and consultative services under Title 5, Code of Federal
Regulations, Part 7001, provided they state for the record that their
testimony reflects their personal opinions and should not be viewed as
the official position of the Postal Service;
(4) Employees making appearances in their private capacities in
proceedings that do not relate to their Postal Service employment, such
as traffic accidents or domestic relations matters; and do not involve
professional or consultative services;
(5) Situations where the Inspector General or an official designated
by the Inspector General determines that the best interests of the
public or the Office of Inspector General would be served by an
exemption from the regulations.
(c) These rules should be read together with the Freedom of
Information Act (FOIA), which provides additional information about
access to records.
Sec. 230.11 What special definitions apply to these rules?
The following definitions apply to Subpart B:
(a) Authorizing official means the Inspector General or an official
designated by the Inspector General to authorize release of documents or
permission to testify.
(b) Case or matter means any civil proceeding before a court of law,
administrative board, hearing officer, or other body conducting a
judicial or administrative proceeding in which the United States, the
Postal Service, or another federal agency is not a named party.
(c) Demand includes any request, order, or subpoena for testimony or
the production of documents.
(d) Document means all records, papers, or official files,
including, but not limited to, official letters, telegrams, memoranda,
reports, studies, calendar and diary entries, graphs, notes, charts,
tabulations, data analyses, statistical or information accumulations,
records of meetings and conversations, film impressions, magnetic tapes,
computer discs, and sound or mechanical reproductions.
(e) Employee or Office of Inspector General employee, for the
purpose of this subpart only, means a Postal Service employee currently
or formerly assigned to the Postal Service Office of Inspector General,
student interns, contractors, and employees of contractors who have
access to Office of Inspector General information and records.
(f) General Counsel to the Inspector General means the General
Counsel of the Office of Inspector General, or a person authorized by
the Inspector General to give legal advice to Office of Inspector
General employees. General Counsel to the Inspector General does not
mean the General Counsel of the Postal Service.
(g) Nonpublic includes any material or information not subject to
mandatory public disclosure under Sec. 265.6(b) or which must be kept
confidential under the Inspector General Act, 5 U.S.C. App. 3.
(h) Office of Inspector General means the organizational unit within
the Postal Service as outlined in part 221 of this chapter.
(i) Office of Inspector General Manual is the document containing
the standard operating procedures for criminal investigators,
evaluators, and other employees of the Office of Inspector General.
(j) Reports include all written reports, letters, recordings, or
other memoralizations made in conjunction with the duties of an Office
of Inspector General employee.
(k) Testify or testimony includes both in-person oral statements
before any body conducting a judicial or administrative proceeding and
statements made in depositions, answers to interrogatories,
declarations, affidavits, or other similar documents.
[[Page 46]]
Sec. 230.12 Can Office of Inspector General employees testify or
produce documents that would assist me in my civil proceeding?
No current or former employee within the Office of Inspector General
may testify or produce documents concerning information acquired in the
course of employment or as a result of his or her relationship with the
Postal Service in any proceeding to which this subpart applies (see
Sec. 230.10), unless authorized to do so by an authorizing official.
Sec. 230.13 Why are restrictions on Office of Inspector General
employees in civil proceedings necessary?
The restrictions are intended to reduce the risk of inappropriate
disclosures that might affect the operations of the Office of Inspector
General; prevent the expenditure of Office of Inspector General or
Postal Service resources for private purposes; and ensure that employee
time is serving the best interests of the public.
Sec. 230.14 Who owns the written or recorded notes, memoranda, reports,
and transcriptions made pursuant to an official investigation, audit,
or review conducted by an employee of the Office of Inspector General?
Notes, memoranda, reports, and transcriptions, whether written or
recorded and made pursuant to an official investigation, audit, or
review conducted by an employee of the Office of Inspector General, are
the property of the Office of Inspector General.
Sec. 230.15 What must an Office of Inspector General employee do if
served with a demand requiring the production of documents or an
appearance in court?
If an Office of Inspector General employee is served with a demand
requiring the production of documents or an appearance in court, the
employee must promptly inform the authorizing official of the nature of
the documents or testimony sought and all relevant facts and
circumstances. Office of Inspector General employees are directed to
appear as the subpoena or summons may require, but may not testify or
produce documents unless authorized.
Sec. 230.16 Is there a prohibition on presenting Office of Inspector
General reports or records during an employee's testimony?
Yes, Office of Inspector General reports or records will not be
presented during an employee's testimony, unless authorized by an
authorizing official.
Sec. 230.17 If an attempt is made to compel production of reports and
records during the employee's testimony, what is an Office of Inspector
General employee directed to do?
If an attempt is made to compel production of reports and records
during the employee's testimony, the employee is directed to decline to
produce the item or information and to state that the material cannot be
disclosed or produced without the approval of the authorizing official.
All such requests, and any other requests for documents in judicial or
administrative proceedings in which the United States is not a party,
shall be deemed to be a request for records under the Freedom of
Information Act and shall be handled pursuant to 39 CFR 230.5.
Sec. 230.18 If authorization to testify or produce documents is not
obtained by the employee, what is the employee directed to do?
Absent written authorization from the authorizing official, the
employee must respectfully decline to produce the requested documents,
testify, or otherwise disclose the requested information. If the
authorization is denied or not received by the return date, the
employee, together with counsel, where appropriate, shall appear at the
stated time and place, produce a copy of this section, and respectfully
decline to testify or produce any document on the basis of the
regulations in this section.
Sec. 230.19 What criteria will the authorizing official use to
determine whether to authorize testimony or production of documents?
(a) The authorizing official will determine whether testimony or the
production of documents will be authorized according to the following
criteria:
(1) Statutory restrictions, as well as any legal objection,
exemption, or privilege that may apply;
[[Page 47]]
(2) Relevant legal standards for disclosure of nonpublic information
and documents;
(3) Office of Inspector General rules and regulations;
(4) The public interest;
(5) Minimizing or preventing expenditures of Office of Inspector
General and Postal Service time and resources solely for private
purposes.
(6) Minimizing the appearance of improperly favoring one litigant
over another;
(7) Minimizing the possibility that the public will misconstrue
variances between personal opinions of Office of Inspector General
employees and agency policy; and
(8) Preserving the integrity of the administrative process.
(b) Permission to testify or to release documents in all cases will
be limited to matters outlined in the affidavit or declaration described
in section 230.24 of this part or to such matters as deemed appropriate
by the authorizing official. If the authorizing official allows the
release of documents or testimony to be given by an employee,
arrangements shall be made for the taking of testimony or receipt of
documents by the method least disruptive to the employee's official
duties. Testimony may, for example, be provided by affidavits, answers
to interrogatories, written depositions, or depositions transcribed,
recorded, or preserved by any other means allowable by law.
(c) Upon issuance of an unfavorable final determination by the
authorizing official, the party or the party's counsel seeking testimony
or documents may consult or negotiate with the authorizing official to
refine and limit the demand.
(d) The Office of Inspector General will offer all possible
assistance to the courts, but the question of disclosing information for
which an exemption may be claimed is a matter of discretion that rests
with the authorizing official. If in the opinion of the authorizing
official the documents should not be released or testimony should not be
furnished, that determination will be final.
Sec. 230.20 What records will not be released?
Generally, any record demanded by a subpoena duces tecum or
appropriate court order can be released by a properly authorized Office
of Inspector General employee, except for the following:
(a) Records required to remain confidential by the Freedom of
Information Act, the Privacy Act, and parts 230 and 262 of this chapter,
(b) Records containing information relating to an employee's
security or loyalty;
(c) Original records;
(d) Office of Inspector General criminal investigative reports,
unless there is specific authorization by an authorizing official, after
consulting with General Counsel to the Inspector General; and
(e) The Office of Inspector General Manual and other operating
instructions issued to Office of Inspector General employees, unless
there is specific authorization by an authorizing official, after
consultation with the General Counsel to the Inspector General. If the
requested information relates to confidential investigative techniques,
confidential sources of information, or information that must be kept
confidential under the Inspector General Act, 5 U.S.C. app. 3, because
release of the information would adversely affect the duties and
obligations or law enforcement mission of the Office of Inspector
General, the subpoenaed official, through the Inspector General, or an
authorizing official, may request an in camera, ex parte conference to
determine the necessity for the release of the information.
Sec. 230.21 May the General Counsel to the Inspector General and/or a
U.S. Department of Justice attorney represent the employee in any
appearance?
At the option of the Attorney General, or an authorizing official,
an Office of Inspector General legal counsel may represent and assist
the employee. The authorizing official designated by the Inspector
General may also request assistance from the U.S. Department of Justice
in representing and assisting the employee in any appearance.
[[Page 48]]
Sec. 230.22 May another employee be substituted for the employee
requested to appear?
The Inspector General or designee may, where appropriate, designate
another Office of Inspector General employee to respond to a request for
an appearance.
Sec. 230.23 May an Office of Inspector General employee testify as an
expert or opinion witness?
No, an Office of Inspector General employee may not testify as an
expert or opinion witness with regard to any matter arising out of the
employee's duties or functions at the Office of Inspector General for
any party other than the United States, except that in extraordinary
circumstances, and where the anticipated testimony will not be adverse
to the interest of the United States, the authorizing official may
approve such testimony in private litigation. A litigant must first
obtain the permission of an authorizing official designated by the
Inspector General before designating an Office of Inspector General
employee as an expert or opinion witness.
Sec. 230.24 How is a demand for employee documents or testimony made
to the Office of Inspector General?
(a) All demands for the production of nonpublic documents or
testimony of Office of Inspector General employees concerning matters
relating to their official duties and subject to the conditions set
forth in Sec. 230.10(b) shall be made in writing and conform to the
requirements outlined in paragraph (b) of this section.
(b) Before or simultaneously with service of a demand, the
requesting party shall serve on the General Counsel to the Inspector
General at the Office of Inspector General, 1735 North Lynn Street,
Arlington, VA 22209-2020, a summons or subpoena issued in accordance
with the appropriate rules of civil procedure along with an affidavit or
sworn declaration containing the following information:
(1) The title of the case and the forum where it will be heard;
(2) The party's interest in the case;
(3) The reasons for the demand;
(4) A showing that the requested information is available, by law,
to a party outside the Postal Service;
(5) If testimony is sought, a detailed summary of the anticipated
testimony;
(6) If testimony is sought, a showing that Office of Inspector
General records could not be provided and used in place of the requested
testimony;
(7) The intended use of the documents or testimony; and
(8) An affirmative statement that the documents or testimony is
necessary for defending or prosecuting the case at issue.
[68 FR 57372, Oct. 3, 2003, as amended at 71 FR 11161, Mar. 6, 2006]
Sec. 230.25 Who pays the costs incurred when the Office of Inspector
General responds to a demand for documents or testimony?
(a) Unless determined by 28 U.S.C. 1821 or other applicable statute,
the costs of providing testimony, including the cost of transcripts,
shall be borne by the requesting party. Furthermore, unless limited by
statute, such costs shall also include reimbursement to the Office of
Inspector General for the usual and ordinary expenses attendant upon the
employee's absence from his or her official duties in connection with
the case or matter, including the employee's salary and applicable
overhead charges, and any necessary travel expenses as follows:
(1) The Office of Inspector General is authorized to charge
reasonable fees to parties demanding documents or information. Such
fees, calculated to reimburse the Office of Inspector General for the
cost of responding to a demand, may include the costs of time expended
by Office of Inspector General employees, including attorneys, to
process and respond to the demand; attorney time for reviewing the
demand and for legal work in connection with the demand; expenses
generated by equipment used to search for, produce, and copy the
requested information; and travel costs of the employee and the agency
attorney or other representative, including lodging and per diem. Such
fees shall be assessed at the rates and in the manner specified in 39
CFR 265.9.
(2) At the discretion of the Office of Inspector General where
appropriate,
[[Page 49]]
fees and costs may be estimated and collected before testimony is given.
(b) The provisions of Subpart B do not affect rights and procedures
governing public access to official documents pursuant to the Freedom of
Information Act, 5 U.S.C. 552a.
Sec. 230.26 Do these rules affect the service of process requirements
of the Federal Rules of Civil Procedure (28 U.S.C. Appendix)?
No, the rules in subpart B in no way modify the requirements of the
Federal Rules of Civil Procedure regarding service of process.
Sec. 230.27 Do these rules create any right or benefit enforceable
by a party against the Postal Service?
No, subpart B is intended to provide instructions to Office of
Inspector General employees and members of the public. It does not
create any right or benefit, substantive or procedural, enforceable by
any party against the Office of Inspector General or the Postal Service.
PART 231_PROTECTION OF POST OFFICES--Table of Contents
Sec.
231.1 Responsibility.
231.2 Security Control Officer.
Sec. 231.1 Responsibility.
(a) The protection of mail, postal funds, and property is a
responsibility of every postal employee.
(b) The Chief Postal Inspector is designated as the Security Officer
for the U.S. Postal Service. That official is responsible for the
issuance of instructions and regulations pertaining to security
requirements within the Postal Service.
(39 U.S.C. 401)
[36 FR 4762, Mar. 12, 1971]
Sec. 231.2 Security Control Officer.
The postmaster or a supervisor designated by the postmaster shall
act as Security Control Officer for each post office. The Security
Control Officer shall be responsible for the general security of the
post office, its stations and branches, in accordance with rules and
regulations issued by the Chief Postal Inspector.
(39 U.S.C. 401)
[36 FR 4762, Mar. 12, 1971]
PART 232_CONDUCT ON POSTAL PROPERTY--Table of Contents
Authority: 18 U.S.C. 13, 3061, 3571; 21 U.S.C. 802, 844; 39 U.S.C.
401, 403(b)(3), 404(a)(7), 1201(2).
Sec. 232.1 Conduct on postal property.
(a) Applicability. This section applies to all real property under
the charge and control of the Postal Service, to all tenant agencies,
and to all persons entering in or on such property. This section shall
be posted and kept posted at a conspicuous place on all such property.
This section shall not apply to--
(i) Any portions of real property, owned or leased by the Postal
Service, that are leased or subleased by the Postal Service to private
tenants for their exclusive use;
(ii) With respect to sections 232.1(h)(1) and 232.1(o), sidewalks
along the street frontage of postal property falling within the property
lines of the Postal Service that are not physically distinguishable from
adjacent municipal or other public sidewalks, and any paved areas
adjacent to such sidewalks that are not physically distinguishable from
such sidewalks.
(b) Inspection, recording presence. (1) Purses, briefcases, and
other containers brought into, while on, or being removed from the
property are subject to inspection. However, items brought directly to a
postal facility's customer mailing acceptance area and deposited in the
mail are not subject to inspection, except as provided by section 274 of
the Administrative Support Manual. A person arrested for violation of
this section may be searched incident to that arrest.
(2) Vehicles and their contents brought into, while on, or being
removed from restricted nonpublic areas are subject to inspection. A
prominently displayed sign shall advise in advance that vehicles and
their contents are subject to inspection when entering the restricted
nonpublic area, while in the confines of the area, or
[[Page 50]]
when leaving the area. Persons entering these areas who object and
refuse to consent to the inspection of the vehicle, its contents, or
both, may be denied entry; after entering the area without objection,
consent shall be implied. A full search of a person and any vehicle
driven or occupied by the person may accompany an arrest.
(3) Except as otherwise ordered, properties must be closed to the
public after normal business hours. Properties also may be closed to the
public in emergency situations and at such other times as may be
necessary for the orderly conduct of business. Admission to properties
during periods when such properties are closed to the public may be
limited to authorized individuals who may be required to sign the
register and display identification documents when requested by security
force personnel or other authorized individuals.
(c) Preservation of property. Improperly disposing of rubbish,
spitting, creating any hazard to persons or things, throwing articles of
any kind from a building, climbing upon the roof or any part of a
building, or willfully destroying, damaging, or removing any property or
any part thereof, is prohibited.
(d) Conformity with signs and directions. All persons in and on
property shall comply with official signs of a prohibitory or directory
nature, and with the directions of security force personnel or other
authorized individuals.
(e) Disturbances. Disorderly conduct, or conduct which creates loud
and unusual noise, or which impedes ingress to or egress from post
offices, or otherwise obstructs the usual use of entrances, foyers,
corridors, offices, elevators, stairways, and parking lots, or which
otherwise tends to impede or disturb the public employees in the
performance of their duties, or which otherwise impedes or disturbs the
general public in transacting business or obtaining the services
provided on property, is prohibited.
(f) Gambling. Participating in games for money or other personal
property, the operation of gambling devices, the conduct of a lottery or
pool, or the selling or purchasing of lottery tickets, is prohibited on
postal premises. In accordance with 20 U.S.C. 107a(a)(5), this
prohibition does not apply to the vending or exchange of State Lottery
tickets at vending facilities operated by licensed blind persons where
such lotteries are authorized by state law.
(g) Alcoholic beverages, drugs, and smoking. (1) A person under the
influence of an alcoholic beverage or any drug that has been defined as
a ``controlled substance'' may not enter postal property or operate a
motor vehicle on postal property. The possession, sale, or use of any
``controlled substance'' (except when permitted by law) or the sale or
use of any alcoholic beverage (except as authorized by the Postmaster
General or designee) on postal premises is prohibited. The term
``controlled substance'' is defined in section 802 of title 21 U.S.C.
(2) Smoking (defined as having a lighted cigar, cigarette, pipe, or
other smoking material) is prohibited in all postal buildings and office
space, including public lobbies.
(h) Soliciting, electioneering, collecting debts, vending, and
advertising. (1) Soliciting alms and contributions, campaigning for
election to any public office, collecting private debts, soliciting and
vending for commercial purposes (including, but not limited to, the
vending of newspapers and other publications), displaying or
distributing commercial advertising, collecting signatures on petitions,
polls, or surveys (except as otherwise authorized by Postal Service
regulations), are prohibited. These prohibitions do not apply to:
(i) Commercial or nonprofit activities performed under contract with
the Postal Service or pursuant to the provisions of the Randolph-
Sheppard Act;
(ii) Posting notices on bulletin boards as authorized in Sec.
243.2(a) of this chapter;
(iii) The solicitation of Postal Service and other Federal military
and civilian personnel for contributions by recognized agencies as
authorized under Executive Order 12353, of March 23, 1982.
(2) Solicitations and other actions which are prohibited by
paragraph (h)(1) of this section when conducted on Postal Service
property should not be directed by mail or telephone to postal
[[Page 51]]
employees on Postal Service property. The Postal Service will not accept
or distribute mail or accept telephone calls directed to its employees
which are believed to be contrary to paragraph (h)(1) of this section.
(3) Leafleting, distributing literature, picketing, and
demonstrating by members of the public are prohibited in lobbies and
other interior areas of postal buildings open to the public. Public
assembly and public address, except when conducted or sponsored by the
Postal Service, are also prohibited in lobbies and other interior areas
of postal building open to the public.
(4) Voter registration. Voter registration may be conducted on
postal premises only with the approval of the postmaster or installation
head provided that all of the following conditions are met:
(i) The registration must be conducted by government agencies or
nonprofit civic leagues or organizations that operate for the promotion
of social welfare but do not participate or intervene in any political
campaign on behalf of any candidate or political party for any public
office.
(ii) Absolutely no partisan or political literature may be
available, displayed, or distributed. This includes photographs,
cartoons, and other likenesses of elected officials and candidates for
public office.
(iii) The registration is permitted only in those areas of the
postal premises regularly open to the public.
(iv) The registration must not interfere with the conduct of postal
business, postal customers, or postal operations.
(v) The organization conducting the voter registration must provide
and be responsible for any equipment and supplies.
(vi) Contributions may not be solicited.
(vii) Access to the workroom floor is prohibited.
(viii) The registration activities are limited to an appropriate
period before an election.
(5) Except as part of postal activities or activities associated
with those permitted under paragraph (h)(4) of this section, no tables,
chairs, freestanding signs or posters, structures, or furniture of any
type may be placed in postal lobbies or on postal walkways, steps,
plazas, lawns or landscaped areas, driveways, parking lots, or other
exterior spaces.
(i) Photographs for news, advertising, or commercial purposes.
Except as prohibited by official signs or the directions of security
force personnel or other authorized personnel, or a Federal court order
or rule, photographs for news purposes may be taken in entrances,
lobbies, foyers, corridors, or auditoriums when used for public
meetings. Other photographs may be taken only with the permission of the
local postmaster or installation head.
(j) Dogs and other animals. Dogs and other animals, except those
used to assist persons with disabilities, must not be brought upon
postal property for other than official purposes.
(k) Vehicular and pedestrian traffic. (1) Drivers of all vehicles in
or on property shall be in possession of a current and valid state or
territory issued driver's license and vehicle registration, and the
vehicle shall display all current and valid tags and licenses required
by the jurisdiction in which it is registered.
(2) Drivers who have had their privilege or license to drive
suspended or revoked by any state or territory shall not drive any
vehicle in or on property during such period of suspension or
revocation.
(3) Drivers of all vehicles in or on property shall drive in a
careful and safe manner at all times and shall comply with the signals
and directions of security force personnel, other authorized
individuals, and all posted traffic signs.
(4) The blocking of entrances, driveways, walks, loading platforms,
or fire hydrants in or on property is prohibited.
(5) Parking without authority, parking in unauthorized locations or
in locations reserved for other persons, or continuously in excess of 18
hours without permission, or contrary to the direction of posted signs
is prohibited. This section may be supplemented by the postmaster or
installation head from time to time by the issuance and posting of
specific traffic directives as may be required. When so issued and
[[Page 52]]
posted such directives shall have the same force and effect as if made a
part hereof.
(l) Weapons and explosives. Notwithstanding the provisions of any
other law, rule or regulation, no person while on postal property may
carry firearms, other dangerous or deadly weapons, or explosives, either
openly or concealed, or store the same on postal property, except for
official purposes.
(m) Nondiscrimination. There must be no discrimination by
segregation or otherwise against any person or persons because of race,
color, religion, national origin, sex, or disability, in furnishing, or
by refusing to furnish to such person or persons the use of any facility
of a public nature, including all services, privileges, accommodations,
and activities provided on postal property.
(n) Conduct with regard to meetings of the Board of Governors. (1)
Without the permission of the chairman no person may participate in,
film, televise, or broadcast any portion of any meeting of the Board or
any subdivision or committee of the Board. Any person may electronically
record or photograph a meeting, as long as that action does not tend to
impede or disturb the members of the Board in the performance of their
duties, or members of the public while attempting to attend or observe a
meeting.
(2) Disorderly conduct, or conduct which creates loud or unusual
noise, obstructs the ordinary use of entrances, foyers, corridors,
offices, meeting rooms, elevators, stairways, or parking lots, or
otherwise tends to impede or disturb the members of the Board in the
performance of their duties, or members of the public while attempting
to attend or observe a meeting of the Board or of any subdivision, or
committee of the Board, is prohibited.
(3) Any person who violates paragraph (n) (1) or (2) of this section
may, in addition to being subject to the penalties prescribed in
paragraph (p) of this section, be removed from and barred from
reentering postal property during the meeting with respect to which the
violation occurred.
(4) A copy of the rules of this section governing conduct on postal
property, including the rules of this paragraph appropriately
highlighted, shall be posted in prominent locations at the public
entrances to postal property and outside the meeting room at any meeting
of the Board of Governors or of any subdivision or committee of the
Board.
(o) Depositing literature. Depositing or posting handbills, flyers,
pamphlets, signs, poster, placards, or other literature, except official
postal and other Governmental notices and announcements, on the grounds,
walks, driveways, parking and maneuvering areas, exteriors of buildings
and other structures, or on the floors, walls, stairs, racks, counters,
desks, writing tables, window-ledges, or furnishings in interior public
areas on postal premises, is prohibited. This prohibition does not apply
to:
(1) Posting notices on bulletin boards as authorized in Sec.
243.2(a) of this chapter;
(2) Interior space assigned to tenants for their exclusive use;
(3) Posting of notices by U.S. Government-related organizations,
such as the Inaugural Committee as defined in 36 U.S.C. 501.
(p) Penalties and other law. (1) Alleged violations of these rules
and regulations are heard, and the penalties prescribed herein are
imposed, either in a Federal district court or by a Federal magistrate
in accordance with applicable court rules. Questions regarding such
rules should be directed to the regional counsel for the region
involved.
(2) Whoever shall be found guilty of violating the rules and
regulations in this section while on property under the charge and
control of the Postal Service is subject to a fine as provided in 18
U.S.C. 3571 or imprisonment of not more than 30 days, or both. Nothing
contained in these rules and regulations shall be construed to abrogate
any other Federal laws or regulations or any State and local laws and
regulations applicable to any area in which the property is situated.
(q) Enforcement. (1) Members of the U.S. Postal Service security
force shall exercise the powers provided by 18 U.S.C. 3061(c)(2) and
shall be responsible for enforcing the regulations in
[[Page 53]]
this section in a manner that will protect Postal Service property and
persons thereon.
(2) Local postmasters and installation heads may, pursuant to 40
U.S.C. 1315(d)(3) and with the approval of the chief postal inspector or
his designee, enter into agreements with State and local enforcement
agencies to insure that these rules and regulations are enforced in a
manner that will protect Postal Service property.
(3) Postal Inspectors, Office of Inspector General Criminal
Investigators, and other persons designated by the Chief Postal
Inspector may likewise enforce regulations in this section.
[37 FR 24346, Nov. 16, 1972]
Editorial Note: For Federal Register citations affecting Sec.
232.1, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.fdsys.gov.
PART 233_INSPECTION SERVICE AUTHORITY--Table of Contents
Sec.
233.1 Arrest and investigative powers of Postal Inspectors.
233.2 Circulars and rewards.
233.3 Mail covers.
233.4 Withdrawal of mail privileges.
233.5 Requesting financial records from a financial institution.
233.6 Test purchases under 39 U.S.C. 3005(e).
233.7 Forfeiture authority and procedures.
233.8 Expedited forfeiture proceedings for property seizures based on
violations involving the possession of personal use quantities
of a controlled substance.
233.9 Regulations governing remission or mitigation of administrative,
civil, and criminal forfeitures.
233.10 [Reserved]
233.11 Mail reasonably suspected of being dangerous to persons or
property.
233.12 Civil penalties.
Authority: 39 U.S.C. 101, 102, 202, 204, 401, 402, 403, 404, 406,
410, 411, 1003, 3005(e)(1); 12 U.S.C. 3401-3422; 18 U.S.C. 981, 983,
1956, 1957, 2254, 3061; 21 U.S.C. 881; Omnibus Budget Reconciliation Act
of 1996, sec. 662 (Pub. L. 104-208).
Sec. 233.1 Arrest and investigative powers of Postal Inspectors.
(a) Authorization. Postal Inspectors are authorized to perform the
following functions in connection with their official duties:
(1) Serve warrants and subpoenas issued under the authority of the
United States;
(2) Make arrests without warrant for offenses against the United
States committed in their presence;
(3) Make arrests without warrant for felonies cognizable under the
laws of the United States if they have reasonable grounds to believe
that the person to be arrested has committed or is committing such a
felony;
(4) Carry firearms; and
(5) Make seizures of property as provided by law.
(b) Limitations. The powers granted by paragraph (a) of this section
shall be exercised only--
(1) In the enforcement of laws regarding property in the custody of
the Postal Service, property of the Postal Service, the use of the
mails, and other postal offenses. With the exception of enforcing laws
related to the mails:
(i) The Office of Inspector General will investigate all allegations
of violations of postal laws or misconduct by postal employees,
including mail theft; and
(ii) The Inspection Service will investigate all allegations of
violations of postal laws or misconduct by all other persons.
(2) To the extent authorized by the Attorney General pursuant to
agreement between the Attorney General and the Postal Service, in the
enforcement of other laws of the United States, if the Attorney General
determines that the violation of such laws will have a detrimental
effect upon the operations of the Postal Service.
(c) Administrative subpoenas may be served by delivering a copy to a
person or by mailing a copy to his or her last known address. For the
purposes of this provision, delivery of a copy includes handing it to
the party or leaving it at the party's office or residence with a person
of suitable age and discretion employed or residing therein. Service by
mail is complete upon mailing.
[[Page 54]]
(d) In conducting any investigation, Postal Inspectors are
authorized to accept, maintain custody of, and deliver mail.
[36 FR 4762, Mar. 12, 1971, as amended at 38 FR 19124, July 18, 1973.
Redesignated at 46 FR 34330, July 1, 1981; 52 FR 12901, Apr. 20, 1987;
56 FR 55823, Oct. 30, 1991; 60 FR 5581, Jan. 30, 1995; 67 FR 16024, Apr.
4, 2002; 72 FR 39011, July 17, 2007]
Sec. 233.2 Circulars and rewards.
(a) Wanted circulars. The Inspection Service issues wanted circulars
to assist in locating and arresting fugitive postal offenders. Post
these circulars in the most conspicuous place in the post office lobby
and in other prominent places. Post near the Notice of Reward sign.
Telephone or telegraph immediately to the postal inspector in charge any
information on the possible location of the person wanted. Remove and
destroy circulars immediately when notified of their cancellation or
when the circular is not listed in the periodic Postal Bulletin notices
of current wanted circulars.
(b) Rewards. (1) Rewards will be paid up to the amounts and under
the conditions stated in Poster 296, Notice of Reward, for the arrest
and conviction of persons for the following postal offenses:
(i) Robbery or attempted robbery.
(ii) Mailing or causing to be mailed bombs, explosives, poison,
weapons of mass destruction, or controlled substances.
(iii) Post office burglary.
(iv) Stealing or unlawful possession of mail or money or property of
the United States under the custody or control of the Postal Service,
including property of the Postal Service.
(v) Destroying, obstructing or retarding the passage of mail.
(vi) Altering, counterfeiting, forging, unlawful uttering or passing
of postal money orders; or the unlawful use, counterfeiting or forgery
of postage stamps or other postage; or the use, sale or possession with
intent to use or sell, any forged or counterfeited postage stamp or
other postage.
(vii) Assault on postal employee.
(viii) Murder or manslaughter of a postal employee.
(ix) Mailing or receiving through the mail any visual depiction
involving the use of a minor engaging in sexually explicit conduct, or
the use of the mail to facilitate any crime relating to the sexual
exploitation of children.
(x) Mailing or causing to be mailed any money which has been
obtained illegally, or the use of Postal Money Orders to launder illicit
proceeds.
(2) The postmaster or a designated employee should personally
present reward notices to representatives of firms transporting mail,
security or detective units of firms, police officers, sheriffs and
their deputies, if practicable, and encourage their cooperation in
protecting mail and Postal Service property. (See 273.14 of the
Administrative Support Manual).
Note: The text of Poster 296, referred to in paragraph (b)(1) of
this section, reads as follows:
The United States Postal Service offers a reward up to the amounts shown
for information and services leading to the arrest and conviction of any
person for the following offenses:
Murder or Manslaughter, $100,000. The unlawful killing of any
officer or employee of the Postal Service while engaged in or on account
of the performance of their official duties.
Bombs or Explosives, $100,000. Mailing or causing to be mailed any
bombs or explosives which may kill or harm another, or injure the mails
or other property, or the placing of any bomb or explosive in a postal
facility, vehicle, depository or receptacle established, approved or
designated by the Postmaster General for the receipt of mail.
Offenses Involving the Mailing of Threatening Communications,
Weapons of Mass Destruction, Poisons, or Hazardous Materials, $100,000.
Mailing or causing to be mailed any threatening communications, actual
or simulated weapons of mass destruction, dangerous chemicals or
biological materials, which may kill or injure another, or injure the
mails or other property.
Assault on Postal Employees, $50,000. Forcibly assaulting any
officer or employee of the Postal Service while engaged in or on account
of the performance of their official duties.
Controlled Substances, Illegal Drugs, or Cash Proceeds from Illegal
Drugs, $50,000. Mailing or causing to be mailed any controlled
substances, illegal drugs, or proceeds from the sale of illegal drugs.
Money Laundering, $50,000. Mailing or causing to be mailed any money
which has been obtained illegally, or the use of postal money orders to
launder illicit proceeds.
[[Page 55]]
Postage or Meter Tampering, $50,000. The unlawful use, reuse, or
forgery of postage stamps, postage meter stamps, permit imprints or
other postage; or the use, sale or possession with intent to use or
sell, any used, forged or counterfeited postage stamp or other postage.
Robbery, $50,000. Robbery or attempted robbery of any custodian of
any mail, or money or other property of the United States under the
control and jurisdiction of the United States Postal Service.
Sexual Exploitation of Children, $50,000. The use of the mails to
traffic in child pornography, or facilitate any other crime relating to
the sexual exploitation of children.
Burglary of Post Office, $10,000. Breaking into, or attempting to
break into, a post office, station, branch, or building used wholly or
partially as a post office, or any building or area in a building where
the business of the Postal Service is conducted, with intent to commit a
larceny or other depredation therein.
Offenses Involving Postal Money Orders, $10,000. Theft or possession
of stolen postal money orders or any Postal Service equipment used to
imprint money orders; or altering, counterfeiting, forging, unlawful
uttering, or passing of postal money orders.
Theft, Possession, Destruction, or Obstruction of Mail, $10,000.
Theft or attempted theft of any mail, or the contents thereof, or the
theft of money or any other property of the United States under the
custody and control of the United States Postal Service from any
custodian, postal vehicle, railroad depot, airport, or other transfer
point, post office or station or receptacle or depository established,
approved, or designated by the Postmaster General for the receipt of
mail; or destroying, obstructing, or retarding the passage of mail, or
any carrier or conveyance carrying the mail.
Workers' Compensation Fraud, $10,000. Defrauding the Workers'
Compensation Program by any current or former postal employee.
Related Offenses
The United States Postal Service also offers rewards as stated above
for information and services leading to the arrest and conviction of any
person: (1) For being an accessory to any of the above crimes; (2) for
receiving or having unlawful possession of any mail, money or property
secured through the above crimes; and (3) for conspiracy to commit any
of the above crimes.
General Provisions
1. The Postal Inspection Service investigates the above described
crimes. Information concerning the violations, requests for applications
for rewards, and written claims for rewards should be furnished to the
nearest Postal Inspector. The written claim for reward payment must be
submitted within six months from the date of conviction of the offender,
or the date of formally deferred prosecution or the date of the
offender's death, if killed in committing a crime or resisting lawful
arrest for one of the above offenses.
2. The amount of any reward will be based on the significance of
services rendered, character of the offender, risks and hazards
involved, time spent, and expenses incurred. Amounts of rewards shown
above are the maximum amounts which will be paid.
3. The term ``custodian'' as used herein includes any person having
lawful charge, control, or custody of any mail matter, or any money or
other property of the United States under the control and jurisdiction
of the United States Postal Service.
4. The Postal Service reserves the right to reject a claim for
reward where there has been collusion, criminal involvement, or improper
methods have been used to effect an arrest or to secure a conviction. It
has the right to allow only one reward when several persons were
convicted of the same offense, or one person was convicted of several of
the above offenses. Postal employees are not eligible to receive a
reward for the offenses listed above, other than Workers' Compensation
fraud. Employees assigned to the Postal Inspection Service, the General
Counsel's office, and those who manage or administer the Injury
Compensation Program are not eligible to receive rewards.
5. Other rewards not specifically referred to in this notice may be
offered upon the approval of the Chief Postal Inspector (39 U.S.C.
404(a)(8)).
(c) The Chief Postal Inspector or his delegate is authorized to pay
a reward to any person who provides information leading to the detection
of persons or firms who obtain, or seek to obtain, funds, property, or
services from the Postal Service based upon false or fraudulent
activities, statements or claims. The decision as to whether a reward
shall be paid and the amount thereof shall be solely within the
discretion of the Chief Postal Inspector or his delegate and the
submission of information or a claim for a reward shall not establish a
contractual right to receive any reward. The reward shall not exceed
one-half of the amount collected by the Postal Service as a result of
civil or criminal proceedings to recover losses or penalties as a result
of false or fraudulent claims or statements submitted to the Postal
Service. Postal employees assigned to the Postal Inspection Service or
the Law Department are not eligible to receive a
[[Page 56]]
reward under this section for information obtained while so employed.
The Chief Inspector may establish such procedures and forms as may be
desirable to give effect to this section including procedures to protect
the identity of persons claiming rewards under this section.
[36 FR 4673, Mar. 12, 1971, as amended at 42 FR 43836, Aug. 31, 1977.
Redesignated at 46 FR 34330, July 1, 1981, and amended at 47 FR 26832,
June 22, 1982; 47 FR 46498, Oct. 19, 1982; 49 FR 15191, Apr. 18, 1984;
54 FR 37795, Sept. 13, 1989; 55 FR 32251, Aug. 8, 1990; 59 FR 5326, Feb.
4, 1994; 60 FR 54305, Oct. 23, 1995; 63 FR 52160, Sept. 30, 1998; 69 FR
16166, Mar. 29, 2004]
Sec. 233.3 Mail covers.
(a) Policy. The U.S. Postal Service maintains rigid control and
supervision with respect to the use of mail covers as an investigative
technique for law enforcement or the protection of national security.
(b) Scope. These regulations constitute the sole authority and
procedure for initiating a mail cover, and for processing, using and
disclosing information obtained from mail covers.
(c) Definitions. For purpose of these regulations, the following
terms are hereby defined.
(1) Mail cover is the process by which a nonconsensual record is
made of any data appearing on the outside cover of any sealed or
unsealed class of mail matter, or by which a record is made of the
contents of any unsealed class of mail matter as allowed by law, to
obtain information in order to:
(i) Protect national security,
(ii) Locate a fugitive,
(iii) Obtain evidence of commission or attempted commission of a
crime,
(iv) Obtain evidence of a violation or attempted violation of a
postal statute, or
(v) Assist in the identification of property, proceeds or assets
forfeitable under law.
(2) For the purposes of Sec. 233.3 record is a transcription,
photograph, photocopy or any other facsimile of the image of the outside
cover, envelope, wrapper, or contents of any class of mail.
(3) Sealed mail is mail which under postal laws and regulations is
included within a class of mail maintained by the Postal Service for the
transmission of letters sealed against inspection. Sealed mail includes:
First-Class Mail; Priority Mail; Express Mail; Express Mail
International; Global Express Guaranteed items containing only
documents; Priority Mail International flat-rate envelopes and small
flat-rate boxes; International Priority Airmail, except M-bags;
International Surface Air Lift, except M-bags; First-Class Mail
International; Global Bulk Economy, except M-bags; certain Global Direct
mail as specified by customer contract; and International Transit Mail.
(4) Unsealed mail is mail which under postal laws or regulations is
not included within a class of mail maintained by the Postal Service for
the transmission of letters sealed against inspection. Unsealed mail
includes: Periodicals; Standard Mail; Package Services; incidental
First-Class Mail attachments and enclosures; Global Express Guaranteed
items containing non-documents; Priority Mail International, except
flat-rate envelopes and small flat-rate boxes; International Direct
Sacks--M-bags; certain Global Direct mail as specified by customer
contract; and all items sent via ``Free Matter for the Blind or
Handicapped'' under 39 U.S.C. 3403-06 and International Mail Manual 270.
(5) Fugitive is any person who has fled from the United States or
any State, the District of Columbia, territory or possession of the
United States, to avoid prosecution for a crime, to avoid punishment for
a crime, or to avoid giving testimony in a criminal proceeding.
(6) Crime, for the purposes of this section, is any commission of an
act or the attempted commission of an act that is punishable by law by
imprisonment for a term exceeding one year.
(7) Postal statute refers to a statute describing criminal activity,
regardless of the term of imprisonment, for which the Postal Service has
investigative authority, or which is directed against the Postal
Service, its operations, programs, or revenues.
(8) Law enforcement agency is any authority of the Federal
Government or any authority of a State or local government, one of whose
functions is to:
(i) Investigate the commission or attempted commission of acts
constituting a crime, or
[[Page 57]]
(ii) Protect the national security.
(9) Protection of the national security means to protect the United
States from any of the following actual or potential threats to its
security by a foreign power or its agents:
(i) An attack or other grave, hostile act;
(ii) Sabotage, or international terrorism; or
(iii) Clandestine intelligence activities, including commercial
espionage.
(10) Emergency situation refers to circumstances which require the
immediate release of information to prevent the loss of evidence or in
which there is a potential for immediate physical harm to persons or
property.
(d) Authorizations--Chief Postal Inspector. (1) The Chief Postal
Inspector is the principal officer of the Postal Service in the
administration of all matters governing mail covers. The Chief Postal
Inspector may delegate any or all authority in this regard to not more
than two designees at Inspection Service Headquarters.
(2) Except for national security mail covers, the Chief Postal
Inspector may also delegate any or all authority to the Manager,
Inspector Service Operations Support Group, and, for emergency
situations, to Inspectors in Charge. The Manager, Inspection Service
Operations Support Group, may delegate this authority to no more than
two designees at each Operations Support Group.
(3) All such delegations of authority shall be issued through
official, written directives. Except for delegations at Inspection
Service Headquarters, such delegations shall only apply to the
geographic areas served by the Manager, Inspection Service Operation
Support Group, or designee.
(e) The Chief Postal Inspector, or his designee, may order mail
covers under the following circumstances:
(1) When a written request is received from a postal inspector that
states reason to believe a mail cover will produce evidence relating to
the violation of a postal statute.
(2) When a written request is received from any law enforcement
agency in which the requesting authority specifies the reasonable
grounds to demonstrate the mail cover is necessary to:
(i) Protect the national security,
(ii) Locate a fugitive,
(iii) Obtain information regarding the commission or attempted
commission of a crime, or
(iv) Assist in the identification of property, proceeds or assets
forfeitable because of a violation of criminal law.
(3) When time is of the essence, the Chief Postal Inspector, or
designee, may act upon an oral request to be confirmed by the requesting
authority in writing within three calendar days. Information may be
released by the Chief Postal Inspector or designee, prior to receipt of
the written request, only when the releasing official is satisfied that
an emergency situation exists.
(f)(1) Exceptions. A postal inspector, or a postal employee acting
at the direction of a postal inspector, may record the information
appearing on the envelope or outer wrapping, of mail without obtaining a
mail cover order, only under the circumstances in paragraph (f)(2) of
this section.
(2) The mail must be:
(i) Undelivered mail found abandoned or in the possession of a
person reasonably believed to have stolen or embezzled such mail,
(ii) Damaged or rifled, undelivered mail, or
(iii) An immediate threat to persons or property.
(g) Limitations. (1) No person in the Postal Service except those
employed for that purpose in dead-mail offices, may open, or inspect the
contents of, or permit the opening or inspection of sealed mail without
a federal search warrant, even though it may contain criminal or
otherwise nonmailable matter, or furnish evidence of the commission of a
crime, or the violation of a postal statute.
(2) No employee of the Postal Service shall open or inspect the
contents of any unsealed mail, except for the purpose of determining:
(i) Payment of proper postage, or
(ii) Mailability.
(3) No mail cover shall include matter mailed between the mail cover
subject and the subject's known attorney.
(4) No officer or employee of the Postal Service other than the
Chief Postal Inspector, Manager, Inspection
[[Page 58]]
Service Operations Support Group, and their designees, are authorized to
order mail covers. Under no circumstances may a postmaster or postal
employee furnish information as defined in Sec. 233.3(c)(1) to any
person, except as authorized by a mail cover order issued by the Chief
Postal Inspector or designee, or as directed by a postal inspector under
the circumstances described in Sec. 233.3(f).
(5) Except for mail covers ordered upon fugitives or subjects
engaged, or suspected to be engaged, in any activity against the
national security, no mail cover order shall remain in effect for more
than 30 days, unless adequate justification is provided by the
requesting authority. At the expiration of the mail cover order period,
or prior thereto, the requesting authority may be granted additional 30-
day periods under the same conditions and procedures applicable to the
original request. The requesting authority must provide a statement of
the investigative benefit of the mail cover and anticipated benefits to
be derived from its extension.
(6) No mail cover shall remain in force longer than 120 continuous
days unless personally approved for further extension by the Chief
Postal Inspector or designees at National Headquarters.
(7) Except for fugitive cases, no mail cover shall remain in force
when an information has been filed or the subject has been indicted for
the matter for which the mail cover is requested. If the subject is
under investigation for further criminal violations, or a mail cover is
required to assist in the identification of property, proceeds or assets
forfeitable because of a violation of criminal law, a new mail cover
order must be requested consistent with these regulations.
(8) Any national security mail cover request must be approved
personally by the head of the law enforcement agency requesting the
cover or one designee at the agency's headquarters level. The head of
the agency shall notify the Chief Postal Inspector in writing of such
designation.
(h) Records. (1) All requests for mail covers, with records of
action ordered thereon, and all reports issued pursuant thereto, shall
be deemed within the custody of the Chief Postal Inspector. However, the
physical storage of this data shall be at the discretion of the Chief
Postal Inspector.
(2) If the Chief Postal Inspector, or his designee, determines a
mail cover was improperly ordered, all data acquired while the cover was
in force shall be destroyed, and the requesting authority notified of
the discontinuance of the mail cover and the reasons therefor.
(3) Any data concerning mail covers shall be made available to any
mail cover subject in any legal proceeding through appropriate discovery
procedures.
(4) The retention period for files and records pertaining to mail
covers shall be 8 years.
(i) Reporting to requesting authority. Once a mail cover has been
duly ordered, authorization may be delegated to any employee in the
Postal Inspection Service to transmit mail cover reports directly to the
requesting authority.
(j) Review. (1) The Chief Postal Inspector, or his designee at
Inspection Service Headquarters shall periodically review mail cover
orders issued by the Manager, Inspection Service Operations Support
Group or their designees to ensure compliance with these regulations and
procedures.
(2) The Chief Postal Inspector shall select and appoint a designee
to conduct a periodic review of national security mail cover orders.
(3) The Chief Postal Inspector's determination in all matters
concerning mail covers shall be final and conclusive and not subject to
further administrative review.
(k) Military postal system. Section 233.3 does not apply to the
military postal system overseas or to persons performing military postal
duties overseas. Information about regulations prescribed by the
Department of Defense for the military postal system overseas may be
obtained from the Department of Defense.
[58 FR 36599, July 8, 1993, as amended at 61 FR 42557, Aug. 16, 1996; 74
FR 18297, Apr. 22, 2009]
Sec. 233.4 Withdrawal of mail privileges.
(a) False representation and lottery orders--(1) Issuance. Pursuant
to 39 U.S.C.
[[Page 59]]
3005, the Judicial Officer of the Postal Service, acting upon a
satisfactory evidentiary basis, may issue a mail-stop order against
anyone seeking mailed remittance of money or property by means of a
false-representation or lottery scheme. Such orders provide for return
of mail and refund of postal money orders to remitters.
(2) Enforcement. Notice of these orders, including any necessary
instructions on enforcement responsibilities and procedures, is
published in the Postal Bulletin. Generally, an order against a domestic
enterprise is enforced only by the post office designated in the order.
All personnel processing mail for dispatch abroad assist in enforcing
orders against foreign enterprises by forwarding mail addressed to such
enterprises to designated post offices.
(b) Fictitious name or address and not residents of the place of
address orders--(1) Issuance. Pursuant to 39 U.S.C. 3003, 3004, when
there is satisfactory evidence that mail is addressed to a fictitious
name, title, or address used for any unlawful business, and no one has
established a right to have the mail delivered to him, or that mail is
addressed to places not the residence or regular business address of the
person for whom they are intended to enable the person to escape
identification, the Judicial Officer may, pursuant to Part 964, order
that the mail be returned to the sender.
(2) Notice. (i) The Chief Postal Inspector or his delegate must give
notice to the addressee of mail withheld from delivery pursuant to 39
U.S.C. 3003, 3004 that such action has been taken and advise him that he
may:
(A) Obtain such mail upon presenting proof of his identity and right
to receive such mail, or
(B) Petition the Judicial Officer for the return of such mail. (ii)
The notice must be in writing and served by personal service upon the
addressee or by Certified Mail (Return Receipt Requested) and by First
Class Mail.
(3) Enforcement. Notice of any order issued pursuant to 39 U.S.C.
3003, 3004, and any necessary implementing instructions, are published
in the Postal Bulletin.
[45 FR 1613, Jan. 8, 1980. Redesignated at 46 FR 34330, July 1, 1981,
and amended at 53 FR 1780, Jan. 22, 1988]
Sec. 233.5 Requesting financial records from a financial institution.
(a) Definitions. The terms used in this section have the same
meaning as similar terms used in the Right to Financial Privacy Act of
1978, Title XI of Pub. L. 95-630. Act means the Right to Financial
Privacy Act of 1978.
(b) Purpose. The purpose of these regulations is: (1) To authorize
the Inspection Service Department of the U.S. Postal Service to request
financial records from a financial institution pursuant to the formal
written request procedure authorized by section 1108 of the Act and (2)
to set forth the conditions under which such request may be made.
(c) Authorization. The Inspection Service Department is authorized
to request financial records of any customer from a financial
institution pursuant to a formal written request under the Act only if:
(1) No administrative summons or subpoena authority reasonably
appears to be available to the Inspection Service Department to obtain
financial records for the purpose for which the records are sought;
(2) There is reason to believe that the records sought are relevant
to a legitimate law enforcement inquiry and will further that inquiry;
(3) The request is issued by a supervisory official of a rank
designated by the Chief Postal Inspector. Officials so designated shall
not delegate this authority to others;
(4) The request adheres to the requirements set forth in paragraph
(d) of this section; and
(5) The notice requirements set forth in section 1108(4) of the Act,
or the requirements pertaining to the delay of notice in section 1109 of
the Act, are satisfied, except in situations (e.g., section 1113(g))
where no notice is required.
(d) Written request. (1) The formal request must be in the form of a
letter or memorandum to an appropriate official
[[Page 60]]
of the financial institution and must contain:
(i) The signature of the issuing official and the official's name,
title, business address, and business phone number;
(ii) The identity of the customer or customers to whom the records
pertain;
(iii) A reasonable description of the records sought; and
(iv) Any additional information which may be appropriate--e.g., the
date when the opportunity for the customer to challenge the formal
written request expires, the date when the Inspection Service Department
expects to present a certificate of compliance with the applicable
provisions of the Act, the name and title of the individual (if known)
to whom disclosure is to be made.
(2) In cases where customer notice is delayed by court order, a copy
of the court order must be attached to the formal written request.
(e) Certification. Before obtaining the requested records following
a formal written request, a supervisory official authorized to issue a
request must certify in writing to the financial institution that the
Inspection Service Department has complied with the applicable
provisions of the Act.
[44 FR 39161, July 5, 1979. Redesignated at 46 FR 34330, July 1, 1981]
Sec. 233.6 Test purchases under 39 U.S.C. 3005(e).
(a) Scope. This section, which implements 39 U.S.C. 3005(e),
supplements any postal regulations or instructions regarding test
purchases or test purchase procedures. It is limited to test purchases
conducted according to 39 U.S.C. 3005(e).
(b) Definitions--(1) Test purchase. The acquisition of any article
or service, for which money or property are sought through the mails,
from the person or representative offering the article or service. The
purpose is to investigate possible violations of postal laws.
(2) Test Purchase Request. A written document requesting the sale of
an article or service pursuant to 39 U.S.C. 3005(e) and containing the
following information:
(i) The name and address of the person, firm, or corporation to whom
the request is directed;
(ii) The name, title, signature, office mailing address, and office
telephone number of the person making the request;
(iii) A description of the article or service requested which is
sufficient to enable the person to whom the request is made to identify
the article or service being sought;
(iv) A statement of the nature of the conduct under investigation;
(v) A statement that the article or service must be tendered at the
time and place stated in the purchase request, unless the person making
the request and the person to whom it is made agree otherwise in
writing;
(vi) A verbatim statement of 39 U.S.C. 3005, 3007; and
(vii) A statement that failure to provide the requested article or
service may be considered in a proceeding under 39 U.S.C. 3007 to
determine whether probable cause exists to believe that 39 U.S.C. 3005
is being violated.
(c) Service of Test Purchase Request. (1) The original of the Test
Purchase Request must be delivered to the person, firm, or corporation
to whom the request is made or to his or its representative. It must be
accompanied by a check or money order in the amount for which the
article or service is offered for sale, made payable to the person, firm
or corporation making the offer.
(2) The person serving the Test Purchase Request must make and sign
a record, stating the date and place of service and the name of the
person served. The person making the request must retain a copy of the
Test Purchase Request, the record of service, and the money order
receipt or a photocopy of the issued check or the cancelled check.
Alternatively, the request may be made by certified mail.
(d) Authorizations. The Chief Postal Inspector is the principal
officer of the Postal Service for the administration of all matters
governing test purchases under this section. The Chief Inspector may
delegate any or all authority in
[[Page 61]]
this regard to any or all postal inspectors.
[49 FR 7230, Feb. 28, 1984; 49 FR 8250, Mar. 6, 1984]
Sec. 233.7 Forfeiture authority and procedures.
(a) Scope of regulations. (1) The regulations in this section apply
to all forfeitures administered by the United States Postal Service with
the exception of seizures and forfeitures under the statutes listed in
18 U.S.C. 983(i). The authority to conduct administrative forfeitures
derives from the procedural provisions of the Customs laws (19 U.S.C.
1602-1618) where those provisions are incorporated by reference in the
substantive forfeiture statutes.
(2) The regulations in this section will apply to all forfeiture
actions commenced on or after May 31, 2012.
(b) Designation of officials having administrative forfeiture
authority. (1) Administrative forfeiture authority. The Chief Postal
Inspector is authorized to conduct administrative forfeitures under the
statutes identified in paragraph (b)(2) of this section, following,
where applicable, the procedures provided by the customs laws of the
United States (19 U.S.C. 1602-1618) and to pay valid liens and mortgages
against property that has been so forfeited.
(2) Authority of the Chief Postal Inspector. The Chief Postal
Inspector is authorized to perform all duties and responsibilities
necessary on behalf of the Postal Service and the Office of Inspector
General to enforce 18 U.S.C. 981, 983, 2254; 21 U.S.C. 863(c), 881; and
31 U.S.C. 5317; following, where applicable, the procedures provided by
the Customs laws of the United States (19 U.S.C. 1602-1618), and to pay
valid liens and mortgages against property that has been so forfeited.
The Chief Postal Inspector is authorized to delegate all or any part of
this authority to Deputy Chief Inspectors, Inspectors in Charge, and
Inspectors of the Postal Inspection Service, and to issue such
instructions as may be necessary to carry out this authority.
(3) State adoption. The seizure of property by a state or local law
enforcement agency or other entity or individual may be adopted for
forfeiture by the Postal Inspection Service, as appropriate under its
seizure authority pursuant to paragraphs (b)(1) and (2) of this section.
(c) Definitions. As used in this section, the following terms shall
have the meanings specified:
(1) Administrative forfeiture means the process by which property
may be forfeited by the Postal Inspection Service rather than through
judicial proceedings. Administrative forfeiture has the same meaning as
nonjudicial forfeiture, as that term is used in 18 U.S.C. 983.
(2) Appraised value means the estimated market value of property at
the time and place of seizure if such or similar property was freely
offered for sale between a willing seller and a willing buyer.
(3) Appropriate official means the Chief Postal Inspector or that
person's designee, or where the term ``appropriate official'' means the
office or official identified in the notice published or personal
written notice in accordance with paragraph (j) of this section.
(4) Contraband means:
(i) Any controlled substance, hazardous raw material, equipment or
container, plants, or other property subject to summary forfeiture
pursuant to sections 511(f) or (g) of the Controlled Substances Act (21
U.S.C. 881(f) or (g)); or
(ii) Any controlled substance imported into the United States, or
exported out of the United States, in violation of law.
(5) Civil forfeiture proceeding means a civil judicial forfeiture
action as that term is used in 18 U.S.C. 983.
(6) Domestic value means the same as the term appraised value as
defined in paragraph (c)(2) of this section.
(7) Expense means all costs incurred to detain, inventory,
safeguard, maintain, advertise, sell, or dispose of property under
seizure, detained, or forfeited pursuant to any law.
(8) File or filed has the following meanings:
(i) A claim or any other document submitted in an administrative
forfeiture proceeding is not deemed filed until actually received by the
appropriate official identified in the personal written notice and the
published notice
[[Page 62]]
specified in paragraph (i) of this section. A claim is not considered
filed if it is received by any other office or official. In addition, a
claim in an administrative forfeiture proceeding is not considered filed
if received only by an electronic or facsimile transmission.
(ii) For purposes of computing the start of the 90-day period set
forth in 18 U.S.C. 983(a)(3), an administrative forfeiture claim is
filed on the date when the claim is received by the designated official,
even if the claim is received from an incarcerated pro se prisoner.
(9) Interested party means any person who reasonably appears to have
an interest in the property, based on the facts known to the Postal
Inspection Service before a declaration of forfeiture is entered.
(10) Judicial forfeiture means either a civil or a criminal
proceeding in a United States District Court that may result in a final
judgment and order of forfeiture.
(11) Mail includes regular or certified U.S. mail, and mail and
package transportation and delivery services provided by other private
or commercial interstate carriers.
(12) Nonjudicial forfeiture has the same meaning as administrative
forfeiture. See paragraph (b)(1) of this section.
(13) Person means an individual, partnership, corporation, joint
business enterprise, estate, or other legal entity capable of owning
property.
(14) Property subject to administrative forfeiture means any
personal property of the kinds described in 19 U.S.C. 1607(a)(1)(4).
(15) Property subject to forfeiture refers to all property that
Federal law authorizes to be forfeited to the United States of America
in any administrative forfeiture proceeding, in any civil judicial
forfeiture proceeding, or in any criminal forfeiture proceeding.
(d) Seizing property subject to forfeiture--(1) Authority to seize
property. Postal Inspectors may seize assets under any Federal statute
over which the Postal Inspection Service has investigative or forfeiture
jurisdiction.
(2) Turnover of assets seized by state and local agencies. (i)
Property that is seized by a state or local law enforcement agency and
transferred to the Postal Inspection Service for administrative or civil
forfeiture may be adopted for administrative forfeiture without the
issuance of any Federal seizure warrant or other Federal judicial
process.
(ii) Where a state or local law enforcement agency maintains custody
of property pursuant to process issued by a state or local judicial
authority, and notifies the Postal Inspection Service of the impending
release of such property, the Postal Inspection Service may seek and
obtain a Federal seizure warrant in anticipation of a state or local
judicial authority releasing the asset from state process for purposes
of Federal seizure, and may execute such seizure warrant when the state
or local law enforcement agency releases the property as allowed or
directed by its judicial authority.
(e) Inventory. The Postal Inspection Service shall prepare an
inventory of any seized property.
(f) Custody. (1) All property seized by Postal Inspectors for
forfeiture shall be delivered to the custody of the U.S. Marshals
Service, or custodian approved by the U.S. Marshals Service, as soon as
possible after seizure, unless it is retained as evidence.
(2) Seized U.S. currency (and to the extent practicable seized
foreign currency and negotiable instruments) must be deposited promptly
in the Holding Account--Seizure and Forfeiture under the control of the
Postal Inspection Service pending forfeiture. Provisional exceptions to
this requirement may be granted as follows:
(i) If the seized currency has a value less than $5,000, and a
supervisory official within the U.S. Attorney's Office determines in
writing that the currency is reasonably likely to serve a significant,
independent, tangible, evidentiary purpose, or that retention is
necessary while the potential evidentiary significance of the currency
is being determined by scientific testing or otherwise, or
(ii) The seized currency has a value greater than $5,000, and the
Chief, Asset Forfeiture Money Laundering Section (AFMLS) determines in
writing that the currency is reasonably likely to serve a significant,
independent, tangible, evidentiary purpose,
[[Page 63]]
or that retention is necessary while the potential evidentiary
significance of the currency is being determined by scientific testing
or otherwise.
(3) Seized currency has a significant independent, evidentiary
purpose as those terms are used in paragraphs (f)(2)(i) and (f)(2)(ii)
of this section if, for example, it bears fingerprint evidence, is
packaged in an incriminating fashion, or contains a traceable amount of
narcotic residue or some other substance of evidentiary significance. If
only a portion of the seized currency has evidentiary value, only that
portion should be retained; the balance should be deposited.
(g) Appraisal. The Postal Inspection Service shall determine the
domestic value of the seized property as soon as practicable following
seizure.
(h) Release before claim. (1) After seizure for forfeiture and prior
to the filing of any claim, the appropriate official is authorized to
release property seized for forfeiture provided:
(i) The property is not contraband, evidence of a violation of law,
or any property, the possession of which by the claimant, petitioner, or
the person from whom it was seized is prohibited by state or Federal
law, and does not have a design or other characteristic that
particularly suits it for use in illegal activities; and
(ii) The appropriate official determines within 10 days of seizure
that there is an innocent party with the right to immediate possession
of the property or that the release would be in the best interest of
justice or the Government.
(2) Further, at any time after seizure and before any claim is
filed, such seized property may be released if the appropriate official
determines that there is an innocent party with the right to immediate
possession of the property or that the release would be in the best
interest of justice or the Government.
(i) Commencing an administrative forfeiture. An administrative
forfeiture proceeding begins when notice is first published in
accordance with paragraph 233.7(i)(1), or the first personal written
notice is sent in accordance with paragraph 233.7(i)(2), whichever
occurs first.
(j) Notice of administrative forfeiture--(1) Notice by publication.
(i) After seizing property subject to administrative forfeiture, the
Appropriate Official shall select from the following options a means of
publication reasonably calculated to notify potential claimants of the
seizure and intent to forfeit and sell or otherwise dispose of the
property:
(A) Publication once each week for at least three successive weeks
in a newspaper generally circulated in the judicial district where the
property was seized; or
(B) Posting a notice on an official Government Internet site for at
least 30 consecutive days.
(ii) The published notice shall:
(A) Describe the seized property;
(B) State the date, statutory basis, and place of seizure;
(C) State the deadline for filing a claim when personal written
notice has not been received, at least 30 days after the date of final
publication of the notice of seizure; and
(D) State the identity of the appropriate official of the Postal
Inspection Service and address where the claim must be filed.
(2) Personal written notice--(i) Manner of providing notice. After
seizing property subject to administrative forfeiture, the Postal
Inspection Service, in addition to publishing notice, shall send
personal written notice of the seizure to each interested party in a
manner reasonably calculated to reach such parties.
(ii) Content of personal written notice. The personal written notice
sent by the Postal Inspection Service shall:
(A) State the date when the personal written notice is sent;
(B) State the deadline for filing a claim, at least 35 days after
the personal written notice is sent;
(C) State the date, statutory basis, and place of seizure;
(D) State the identity of the appropriate official of the Postal
Inspection Service and the address where the claim must be filed; and
(E) Describe the seized property.
(3) Timing of notice--(i) Date of personal notice. Personal written
notice is sent on the date when the Postal Inspection Service causes it
to be placed
[[Page 64]]
in the mail, or otherwise sent by means reasonably calculated to reach
the interested party. The personal written notice required by paragraph
(i)(2) of this section shall be sent as soon as practicable, and in no
case more than 60 days after the date of seizure (or 90 days after the
date of seizure by a state or local law enforcement agency if the
property was turned over to the Postal Inspection Service for the
purpose of forfeiture under Federal law).
(ii) Civil judicial forfeiture. If, before the time period for
sending notice expires, the Government files a civil judicial forfeiture
action against the seized property and provides notice of such action as
required by law, personal notice of administrative forfeiture is not
required under this paragraph.
(iii) Criminal indictment. If, before the time period for sending
notice under this paragraph expires, no civil judicial forfeiture action
is filed, but a criminal indictment or information is obtained
containing an allegation that the property is subject to forfeiture, the
seizing agency shall either:
(A) Send timely personal written notice and continue the
administrative forfeiture proceeding; or
(B) After consulting with the U.S. Attorney, terminate the
administrative forfeiture proceeding and notify the custodian to return
the property to the person having the right to immediate possession
unless the U.S. Attorney takes steps necessary to maintain custody of
the property as provided in the applicable criminal forfeiture statute.
(4) Subsequent Federal seizure. If property is seized by a state or
local law enforcement agency, but personal written notice is not sent to
the person from whom the property is seized within the time period for
providing notice under paragraph (j)(3)(i) of this section, then any
administrative forfeiture proceeding against the property may commence
if:
(i) The property is subsequently seized or restrained by the Postal
Inspection Service pursuant to a Federal seizure warrant or restraining
order and the Postal Inspection Service sends notice as soon as
practicable, and in no case more than 60 days after the date of the
Federal seizure; or
(ii) The owner of the property consents to forfeiture of the
property.
(5) Tolling. (i) In states or localities where orders are obtained
from a state court authorizing the turnover of seized assets to the
Postal Inspection Service, the period from the date an application or
motion is presented to the state court for the turnover order through
the date when such order is issued by the court shall not be included in
the time period for providing notice under paragraph (j)(3)(i) of this
section.
(ii) If property is detained at an international border or port of
entry for the purpose of examination, testing, inspection, obtaining
documentation, or other investigation relating to the importation of the
property into, or the exportation of the property from the United
States, such period of detention shall not be included in the period
described in paragraph (j)(3)(i) of this section. In such cases, the 60-
day period shall begin to run when the period of detention ends, if a
seizing agency seizes the property for the purpose of forfeiture to the
United States.
(6) Identity of interested party. If the Postal Inspection Service
determines the identity or interest of an interested party after the
seizure or adoption of the property, but before entering a declaration
of forfeiture, the Postal Inspection Service shall send written notice
to such interested party under paragraph 3(i) not later than 60 days
after determining the identity of the interested party or the interested
party's interest.
(7) Extending deadline for notice. The Chief Counsel for the Postal
Inspection Service may extend the period for sending personal written
notice under these regulations in a particular case for a period not to
exceed 30 days (which period may not be further extended except by a
court pursuant to 18 U.S.C. 983(a)(1)(C), (D)), if the Chief Counsel for
the Postal Inspection Service determines, and states in writing, that
there is reason to believe that notice may have an adverse result,
including: Endangering the life or physical safety of an individual;
flight from prosecution; destruction of or tampering with evidence;
intimidation of
[[Page 65]]
potential witnesses; or otherwise seriously jeopardizing an
investigation, or unduly delaying a trial.
(8) Certification. The Chief Counsel for the Postal Inspection
Service shall provide the written certification required under 18 U.S.C.
983(a)(1)(C) when the Government requests it and the conditions
described in 18 U.S.C. 983(a)(1)(D) are present.
(k) Claims--(1) Filing. In order to contest the forfeiture of seized
property in Federal court, any person asserting an interest in seized
property subject to an administrative forfeiture proceeding under these
regulations must file a claim with the appropriate official, after the
commencement of the administrative forfeiture proceeding as defined in
paragraph (h) of this section, and not later than the deadline set forth
in a personal notice letter sent pursuant to paragraph (i)(2) of this
section. If personal written notice is sent but not received, then the
intended recipient must file a claim with the appropriate official not
later than 30 days after the date of the final publication of the notice
of seizure.
(2) Contents of claim. A claim shall:
(i) Identify the specific property being claimed;
(ii) Identify the claimant and state the claimant's interest in the
property; and
(iii) Be made under oath by the claimant, not counsel for the
claimant, and recite that it is made under the penalty of perjury,
consistent with the requirements of 28 U.S.C. 1746. An acknowledgement,
attestation, or certification by a notary public alone is insufficient.
(3) Availability of claim forms. The claim need not be made in any
particular form. However, the Postal Inspection Service will make claim
forms generally available on request. Such forms shall be written in
easily understandable language. A request for a claim form does not
extend the deadline for filing a claim. Any person may obtain a claim
form by requesting one in writing from the appropriate official.
(4) Cost bond not required. Any person may file a claim under
paragraph 233.7(k)(1) without posting bond, except in forfeitures under
statutes listed in 18 U.S.C. 983(i).
(5) Referral of claim. Upon receipt of a claim that meets the
requirements of paragraphs (k)(1) and (2) of this section, the Postal
Inspection Service shall return the property or suspend the
administrative forfeiture proceeding and promptly transmit the claim,
together with a description of the property and a complete statement of
the facts and circumstances surrounding the seizure, to the appropriate
U.S. Attorney for commencement of judicial forfeiture proceedings. Upon
making the determination that the seized property will be released, the
Postal Inspection Service shall promptly notify the person with a right
to immediate possession of the property, informing that person to
contact the property custodian within a specified period for release of
the property, and further informing that person that failure to contact
the property custodian within the specified period for release of the
property will result in abandonment of the property pursuant to
applicable regulations. The Postal Inspection Service shall notify the
property custodian of the identity of the person to whom the property
should be released. The property custodian shall have the right to
require presentation of proper identification and/or to take other steps
to verify the identity of the person who seeks the release of property,
or both.
(6) Premature filing. If a claim is filed with the appropriate
official after the seizure of the property, but before the commencement
of the administrative forfeiture proceeding as defined in paragraph (i)
of this section, the claim shall be deemed filed on the 30th day after
the commencement of the administrative forfeiture proceeding. If such
claim meets the requirements of paragraph (k)(2) of this section, the
Postal Inspection Service shall suspend the administrative forfeiture
proceedings and promptly transmit the claim, together with a description
of the property and a complete statement of the facts and circumstances
surrounding the seizure to the appropriate U.S. Attorney for
commencement of judicial forfeiture proceedings.
[[Page 66]]
(7) Defective claims. If the Postal Inspection Service determines
that an otherwise timely claim does not meet the requirements of
paragraph (k)(2) of this section, the Postal Inspection Service may
notify the claimant of this determination and allow the claimant a
reasonable time to cure the defect(s) in the claim. If, within the time
allowed by the Postal Inspection Service, the requirements of paragraph
(k)(2) of this section are not met, the claim shall be void and the
forfeiture proceedings shall proceed as if no claim had been submitted.
If the claimant timely cures the deficiency, then the claim shall be
deemed filed on the date when the appropriate official receives the
cured claim.
(l) Interplay of administrative and criminal judicial forfeiture
proceedings. An administrative forfeiture proceeding pending against
seized or restrained property does not bar the Government from alleging
that the same property is forfeitable in a criminal case.
Notwithstanding the fact that an allegation of forfeiture has been
included in a criminal indictment or information, the property may be
administratively forfeited in a parallel proceeding.
(m) Requests for hardship release of seized property. (1) Under
certain circumstances, a claimant may be entitled to immediate release
of seized property on the basis of hardship.
(2) Any person filing a request for hardship release must also file
a claim to the seized property pursuant to paragraph (k) of this section
and as defined in 18 U.S.C. 983(a).
(3) The timely filing of a valid claim pursuant to paragraph (k) of
this section does not entitle the claimant to possession of the seized
property, but a claimant may request immediate release of the property
while forfeiture is pending, based on hardship.
(4) A claimant seeking release of property under 18 U.S.C. 983(f)
and these regulations must file a written request with the appropriate
official. The request must establish that:
(i) The claimant has a possessory interest in the property;
(ii) The claimant has sufficient ties to the community to provide
assurance that the property will be available at the time of trial;
(iii) The continued possession by the Government pending the final
disposition of forfeiture proceedings will cause substantial hardship to
the claimant, such as preventing the functioning of a business,
preventing an individual from working, or leaving an individual
homeless;
(iv) The claimant's likely hardship from the continued possession by
the Government of the seized property outweighs the risk that the
property will be destroyed, damaged, lost, concealed, or transferred if
it is returned to the claimant during the pendency of the proceeding;
and
(v) The property is not:
(A) Contraband, any property, the possession of which by the
claimant, petitioner, or person from whom it was seized is prohibited by
state or Federal law, currency, or other monetary instrument, or
electronic funds unless such currency or other monetary instrument or
electronic funds constitutes the assets of a legitimate business which
has been seized;
(B) Intended to be used as evidence of a violation of law;
(C) By reason of design or other characteristic, particularly suited
for use in illegal activities; or
(D) Likely to be used to commit additional criminal acts if returned
to the claimant.
(5) A hardship release request pursuant to this paragraph shall be
deemed to have been made on the date when it is received by the
appropriate official as defined in paragraph (c)(3) of this section, or
the date the claim was deemed filed under paragraph (k) of this section.
If the request is ruled on and denied by the appropriate official or the
property has not been released within the 15-day time limit period, the
claimant may file a petition in Federal district court pursuant to 18
U.S.C. 983(f)(3). If a petition is filed in Federal district court, the
claimant must send a copy of the petition to the appropriate official to
whom the hardship petition was originally submitted and to the U.S.
Attorney in the judicial district where the judicial petition was filed.
[[Page 67]]
(6) If a civil forfeiture complaint is filed on property and the
claimant files a claim with the court pursuant to 18 U.S.C. 983(a)(4)(A)
and Rule G(5) of the Supplemental Rules for Certain Admiralty and
Maritime Claims, a hardship petition may be submitted to the individual
identified in the public or personal notice of the civil forfeiture
action.
(n) Disposition of property before forfeiture. (1) Whenever it
appears to the Postal Inspection Service that any seized property is
liable to perish or to waste, or to be greatly reduced in value during
its detention for forfeiture, or that the expense of keeping the
property is or will be disproportionate to its value, the Chief Counsel
for the Postal Inspection Service may order destruction, sale, or other
disposition of such property prior to forfeiture. In addition, the owner
may obtain release of the property by posting a substitute monetary
amount with the Postal Inspection Service to be held subject to
forfeiture proceedings in place of the seized property to be released.
Upon approval by the Chief Counsel for the Postal Inspection Service,
the property will be released to the owner upon the payment of an amount
equal to the Government appraised value of the property if the property
is not evidence of a violation of law, is not contraband, and has no
design or other characteristics that particularly suit it for use in
illegal activities. This payment must be in the form of a money order,
an official bank check, or a cashier's check made payable to the Postal
Inspection Service. A bond in the form of a cashier's check or official
bank check will be considered as paid once the check has been accepted
for payment by the financial institution that issued the check. If a
substitute amount is posted and the property is administratively
forfeited, the Postal Inspection Service will forfeit the substitute
amount in lieu of the property. The pre-forfeiture destruction, sale, or
other disposition of seized property pursuant to this subsection shall
not extinguish any person's rights to the value of the property under
applicable law. The authority vested in the Chief Counsel for the Postal
Inspection Service under this subsection may not be delegated.
(2) The Postal Inspection Service shall commence forfeiture
proceedings, regardless of the disposition of the property under this
paragraph. A person with an interest in the property that was destroyed
or otherwise disposed of under this paragraph may file a claim to
contest the forfeiture of the property or a petition for remission or
mitigation of the forfeiture. No employee of the Postal Inspection
Service shall be liable for the destruction or other disposition of
property made pursuant to this paragraph. The destruction or other
disposition of the property does not impair in rem jurisdiction.
(o) Declaration of administrative forfeiture. If the Postal
Inspection Service commences a timely proceeding against property
subject to administrative forfeiture, and no valid and timely claim is
filed, the appropriate official shall declare the property forfeited.
The declaration of forfeiture shall have the same force and effect as a
final decree and order of forfeiture in a Federal judicial forfeiture
proceeding.
(p) Return of property. (1) If, under 18 U.S.C. 983(a)(3), the
Postal Inspection Service is notified by the U.S. Attorney in charge of
the matter that the 90-day deadline was not met, the Postal Inspection
Service is required to release the seized property. Under this
subsection, the Postal Inspection Service is not required to return
property for which it has an independent basis for continued custody
including, but not limited to, contraband or evidence of a violation of
law.
(2) Upon becoming aware that the seized property must be released,
the Postal Inspection Service shall promptly notify the person with a
right to immediate possession of the property, informing that person to
contact the property custodian within a specified period for release of
the property, and further informing that person that failure to contact
the property custodian within the specified period for release of the
property may result in the initiation of abandonment proceedings against
the property pursuant to 39 CFR part 946. The property custodian will be
notified of the identity of the person to whom the property should be
released.
[[Page 68]]
(3) The property custodian shall have the right to require
presentation of proper identification or to verify the identity of the
person who seeks the release of property.
(q) Disposition of forfeited property. (1) Whenever property is
forfeited administratively, the Postal Inspection Service may:
(i) Retain the property for official use;
(ii) Transfer ownership of the property to any Federal, state or
local law enforcement agency that participated in the investigation
leading to the forfeiture;
(iii) Sell any property that is not required to be destroyed by law
and that is not harmful to the public;
(iv) Destroy the property; or
(v) Dispose of the property as otherwise permitted by law.
(2) If the laws of a state in which an article of forfeited property
is located prohibit the sale or possession of such property, or if the
Postal Service and the Marshals Service are of the opinion that it would
be more advantageous to sell the forfeited property in another district,
the property may be moved to and sold in such other district.
(r) Attorney fees and costs. The Postal Inspection Service is not
liable for attorney fees or costs in any administrative forfeiture
proceeding, including such proceedings in which a claim is filed, the
matter is referred to the U.S. Attorney, and the U.S. Attorney declines
to commence judicial forfeiture proceedings.
[77 FR 25596, May 1, 2012]
Sec. 233.8 Expedited forfeiture proceedings for property seizures based
on violations involving the possession of personal use quantities of a
controlled substance.
(a) Purpose and scope. (1) The following definitions, regulations,
and criteria are designed to establish and implement procedures required
by section 6079 of the Anti-Drug Abuse Act of 1988, Public Law 100-690,
102 Stat. 4181. They are intended to supplement existing law and
procedures relative to the forfeiture of property under the identified
statutory authority. These regulations do not affect the existing legal
and equitable rights and remedies of those with an interest in property
seized for forfeiture, nor do these provisions relieve interested
parties from their existing obligations and responsibilities in pursuing
their interests through such courses of action. These regulations are
intended to reflect the intent of Congress to minimize the adverse
impact on those entitled to legal or equitable relief occasioned by the
prolonged detention of property subject to forfeiture due to violations
of law involving personal use quantities of controlled substances. The
definition of personal use quantities of a controlled substance as
contained herein is intended to distinguish between those small
quantities, which are generally considered to be possessed for personal
consumption and not for further distribution, and those larger
quantities generally considered to be subject to further distribution.
(2) In this regard, for violations involving the possession of
personal use quantities of a controlled substance, section 6079(b)(2)
requires either that administrative forfeiture be completed within 21
days of the seizure of the property, or alternatively, that procedures
are established that provide a means by which an individual entitled to
relief may initiate an expedited administrative review of the legal and
factual basis of the seizure for forfeiture. Should an individual
request relief pursuant to these regulations and be entitled to the
return of the seized property, such property shall be returned
immediately following that determination, but not later than 20 days
after filing of a petition for expedited release by an owner, and the
administrative forfeiture process shall cease. Should the individual not
be entitled to the return of the seized property, however, the
administrative forfeiture of that property shall proceed. The owner may,
in any event, obtain release of property pending the administrative
forfeiture by submitting to the agency making the determination property
sufficient to preserve the Government's vested interest for purposes of
the administrative forfeiture.
(b) Definitions. As used in this section, the following terms shall
have the meanings specified:
[[Page 69]]
(1) Commercial fishing industry vessel means a vessel that:
(i) Commercially engages in the catching, taking, or harvesting of
fish or an activity that can reasonably be expected to result in the
catching, taking, or harvesting of fish;
(ii) Commercially prepares fish or fish products other than by
gutting, decapitating, gilling, skinning, shucking, icing, freezing, or
brine chilling; or
(iii) Commercially supplies, stores, refrigerates, or transports
fish, fish products, or materials directly related to fishing or the
preparation of fish to or from a fishing, fish processing, or fish
tender vessel or fish processing facility.
(2) Controlled substance has the meaning given in 21 U.S.C. 802(6).
(3) Normal and customary manner means that inquiry suggested by
particular facts and circumstances that would customarily be undertaken
by a reasonably prudent individual in a like or similar situation.
Actual knowledge of such facts and circumstances is unnecessary, and
implied, imputed, or constructive knowledge is sufficient. An
established norm, standard, or custom is persuasive but not conclusive
or controlling in determining whether an owner acted in a normal and
customary manner to ascertain how property would be used by another
legally in possession of the property. The failure to act in a normal
and customary manner as defined herein will result in the denial of a
petition for expedited release of the property and is intended to have
the desirable effect of inducing owners of the property to exercise
greater care in transferring possession of their property.
(4) Owner means one having a legal and possessory interest in the
property seized for forfeiture. Even though one may hold primary and
direct title to the property seized, such person may not have sufficient
actual beneficial interest in the property to support a petition as
owner if the facts indicate that another person had dominion and control
over the property.
(5) Personal use quantities means those amounts of controlled
substances in possession in circumstances where there is no other
evidence of an intent to distribute, or to facilitate the manufacturing,
compounding, processing, delivering, importing, or exporting of any
controlled substance.
(i) Evidence that possession of quantities of a controlled substance
is for other than personal use may include, for example:
(A) Evidence, such as drug scales, drug distribution paraphernalia,
drug records, drug packaging material, method of drug packaging, drug
``cutting'' agents and other equipment, that indicates an intent to
process, package, or distribute a controlled substance;
(B) Information from reliable sources indicating possession of a
controlled substance with intent to distribute;
(C) The arrest or conviction record of the person or persons in
actual or constructive possession of the controlled substance for
offenses under Federal, state, or local law that indicates an intent to
distribute a controlled substance;
(D) Circumstances or reliable information indicating that the
controlled substance is related to large amounts of cash or any amount
of prerecorded Government funds;
(E) Circumstances or reliable information indicating that the
controlled substance is a sample intended for distribution in
anticipation of a transaction involving large quantities, or is part of
a larger delivery;
(F) Statements by the possessor, or otherwise attributable to the
possessor, including statements of conspirators, that indicate
possession with intent to distribute; or
(G) The fact that the controlled substance was recovered from
sweepings.
(ii) Possession of a controlled substance shall be presumed to be
for personal use when there are no indicia of illicit drug trafficking
or distribution --such as, but not limited to, the factors listed
above--and the amounts do not exceed the following quantities:
(A) One gram of a mixture or substance containing a detectable
amount of heroin;
(B) One gram of a mixture or substance containing a detectable
amount of the following:
(1) Coca leaves, except coca leaves and extracts of coca leaves from
which cocaine, ecgonine, and derivations of
[[Page 70]]
ecgonine or their salts have been removed;
(2) Cocaine, its salts, optical and geometric isomers, and salts of
isomers;
(3) Ecgonine, its derivatives, their salts, isomers, and salts of
isomers; or
(4) Any compound, mixture, or preparation that contains any quantity
of any of the substances referred to in (ii)(B)(1) through (ii)(B)(3) of
this definition;
(C) One-tenth gram of a mixture or substance described in (ii)(B) of
this definition that contains cocaine base;
(D) One-tenth gram of a mixture or substance containing a detectable
amount of phencyclidine (PCP);
(E) Five hundred micrograms of lysergic acid diethylamide (LSD);
(F) One ounce of a mixture or substance containing a detectable
amount of marijuana;
(G) One gram of methamphetamine, its salts, isomers, and salts of
its isomers, or one gram of a mixture or substance containing a
detectable amount of methamphetamine, its salts, isomers, or salts of
its isomers.
(iii) The possession of a narcotic, a depressant, a stimulant, a
hallucinogen or a cannabis-controlled substance will be considered in
excess of personal use quantities if the dosage unit amount possessed
provides the same or greater equivalent efficacy as described in (ii)(B)
of this definition.
(6) Property means property subject to forfeiture under 21 U.S.C.
881(a)(4), (6), or (7); 19 U.S.C. 1595a; or 49 U.S.C. 80303.
(7) Seizing agency means the Federal agency that has seized the
property or adopted the seizure of another agency and has the
responsibility for administratively forfeiting the property;
(8) Statutory rights or defenses to the forfeiture means all legal
and equitable rights and remedies available to a claimant of property
seized for forfeiture.
(c) Petition for expedited release in an administrative forfeiture
proceeding. (1) Where property is seized for administrative forfeiture
involving controlled substances in personal use quantities, the owner
may petition the Postal Inspection Service for expedited release of the
property.
(2) Where property described in paragraph (c)(1) of this section is
a commercial fishing industry vessel proceeding to or from a fishing
area or intermediate port of call or actually engaged in fishing
operations, which would be subject to seizure for administrative
forfeiture for a violation of law involving controlled substances in
personal use quantities, a summons to appear shall be issued in lieu of
a physical seizure. The vessel shall report to the port designated in
the summons. The Postal Inspection Service shall be authorized to effect
administrative forfeiture as if the vessel had been physically seized.
Upon answering the summons to appear on or prior to the last reporting
date specified in the summons, the owner of the vessel may file a
petition for expedited release pursuant to paragraph (c)(1) of this
section, and the provisions of paragraph (c)(1) and other provisions in
this section pertaining to a petition for expedited release shall apply
as if the vessel had been physically seized.
(3) The owner filing the petition for expedited release shall
establish the following:
(i) The owner has a valid, good faith interest in the seized
property as owner or otherwise;
(ii) The owner reasonably attempted to ascertain the use of the
property in a normal and customary manner; and
(iii) The owner did not know of or consent to the illegal use of the
property, or in the event that the owner knew or should have known of
the illegal use, the owner did what reasonably could be expected to
prevent the violation.
(4) In addition to those factors listed in paragraph (c)(3) of this
section, if an owner can demonstrate that the owner has other statutory
rights or defenses that would cause the owner to prevail on the issue of
forfeiture, such factors shall also be considered in ruling on the
petition for expedited release.
(5) A petition for expedited release must be received by the Postal
Inspection Service within 20 days from the date of the first publication
of the notice of seizure in ordered to be considered by the Postal
Inspection Service. The petition must be executed and sworn to by the
owner, and both the
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envelope and the request must be clearly marked ``PETITION FOR EXPEDITED
RELEASE.'' Such petition shall be filed with the appropriate office or
official identified in the personal written notice and the publication
notice.
(6) The petition shall include the following:
(i) A complete description of the property, including identification
numbers, if any, and the date and place of seizure;
(ii) The petitioner's interest in the property, which shall be
supported by title documentation, bills of sale, contracts, mortgages,
or other satisfactory documentary evidence; and
(iii) A statement of the facts and circumstances, to be established
by satisfactory proof, relied upon by the petitioner to justify
expedited release of the seized property.
(d) Ruling on petition for expedited release in an administrative
forfeiture proceeding. (1) If a final administrative determination of
the case, without regard to the provisions of this section, is made
within 21 days of the seizure, the Postal Inspection Service need take
no further action under this section on a petition for expedited release
received pursuant to paragraph (c) of this section.
(2) If no such final administrative determination is made within 21
days of the seizure, the following procedure shall apply. The Postal
Inspection Service shall, within 20 days after the receipt of the
petition for expedited release, determine whether the petition filed by
the owner has established the factors listed in paragraph (c)(3) of this
section and:
(i) If the Postal Inspection Service determines that those factors
have been established, it shall terminate the administrative proceedings
and return the property to the owner (or in the case of a commercial
fishing industry vessel for which a summons has been issued shall
dismiss the summons), except where it is evidence of a violation of law;
or
(ii) If the Postal Inspection Service determines that those factors
have not been established, the agency shall proceed with the
administrative forfeiture.
(e) Posting of substitute monetary amount in an administrative
forfeiture proceeding. (1) Where property is seized for administrative
forfeiture involving controlled substances in personal use quantities,
the owner may obtain release of the property by posting a substitute
monetary amount with the Postal Inspection Service to be held subject to
forfeiture proceedings in place of the seized property to be released.
The property will be released to the owner upon the payment of an amount
equal to the Government-appraised value of the property if the property
is not evidence of a violation of law and has no design or other
characteristics that particularly suit it for use in illegal activities.
This payment must be in the form of a traveler's check, a money order, a
cashier's check, or an irrevocable letter of credit made payable to the
Postal Inspection Service. A bond in the form of a cashier's check will
be considered as paid once the check has been accepted for payment by
the financial institution that issued the check.
(2) If a substitute monetary amount is posted and the property is
administratively forfeited, the Postal Inspection Service will forfeit
the substitute amount in lieu of the property.
(f) Notice provisions. At the time of seizure of property defined in
paragraph (b)(6) of this section for violations involving the possession
of personal use quantities of a controlled substance, the Postal
Inspection Service must provide written notice to the possessor of the
property specifying the procedures for filing of a petition for
expedited release and for the posting of a substitute monetary bond as
set forth in section 6079 of the Anti-Drug Abuse Act of 1988 and
implementing regulations.
[77 FR 25600, May 1, 2012]
Sec. 233.9 Regulations governing remission or mitigation of
administrative, civil, and criminal forfeitures.
(a) Purpose, authority, and scope--(1) Purpose. This section sets
forth the procedures for Postal Inspection Service officials to follow
when considering remission or mitigation of administrative forfeitures
under the jurisdiction of the Postal Inspection Service. The
[[Page 72]]
purpose of these regulations is to provide a basis for the partial or
total remission of forfeiture for individuals who have an interest in
the forfeited property but who did not participate in, or have knowledge
of, the conduct that resulted in the property being subject to
forfeiture and, where required, took all reasonable steps under the
circumstances to ensure that such property would not be used, acquired,
or disposed of contrary to law. Additionally, the regulations provide
for partial or total mitigation of the forfeiture and imposition of
alternative conditions in appropriate circumstances.
(2) Authority to grant remission and mitigation. (i) Remission and
mitigation functions in administrative forfeitures under the
jurisdiction of the Postal Inspection Service are performed by the Chief
Counsel.
(ii) Remission and mitigation functions in judicial cases are
performed by the Criminal Division of the Department of Justice. Within
the Criminal Division, authority to grant remission and mitigation is
delegated to the Chief, Asset Forfeiture and Money Laundering Section.
(iii) The powers and responsibilities delegated by the regulations
in this section may be re-delegated to attorneys or managers working
under the supervision of the Chief Counsel.
(3) Scope. This section governs any petition for remission filed
with the Postal Inspection Service and supersedes any Postal Service
regulation governing petitions for remission, to the extent such
regulation is inconsistent with this section.
(4) Applicability. The time periods and internal requirements
established in this section are designed to guide the orderly
administration of the remission and mitigation process and are not
intended to create rights or entitlements in favor of individuals
seeking remission or mitigation. The regulations will apply to all
forfeiture actions commenced on or after May 1, 2012.
(b) Definitions. As used in this section:
(1) Administrative forfeiture means the process by which property
may be forfeited by the Postal Inspection Service rather than through
judicial proceedings. Administrative forfeiture has the same meaning as
``nonjudicial forfeiture,'' as that term is used in 18 U.S.C. 983.
(2) Appraised value means the estimated market value of an asset at
the time and place of seizure if such or similar property was freely
offered for sale between a willing seller and a willing buyer.
(3) Assets Forfeiture Fund means the Department of Justice Assets
Forfeiture Fund, Department of the Treasury Assets Forfeiture Fund, or
the Postal Service's Assets Forfeiture Fund, depending upon the identity
of the seizing agency.
(4) Attorney General means the Attorney General of the United States
or that official's designee.
(5) Beneficial owner means a person with actual use of, as well as
an interest in, the property subject to forfeiture.
(6) Chief, Asset Forfeiture and Money Laundering Section, and Chief,
refer to the Chief of the Asset Forfeiture and Money Laundering Section,
Criminal Division, United States Department of Justice.
(7) General creditor means one whose claim or debt is not secured by
a specific right to obtain satisfaction against the particular property
subject to forfeiture.
(8) Judgment creditor means one who has obtained a judgment against
the debtor but has not yet received full satisfaction of the judgment.
(9) Judicial forfeiture means either a civil or a criminal
proceeding in a United States District Court that may result in a final
judgment and order of forfeiture.
(10) Lienholder means a creditor whose claim or debt is secured by a
specific right to obtain satisfaction against the particular property
subject to forfeiture. A lien creditor qualifies as a lienholder if the
lien:
(i) Was established by operation of law or contract;
(ii) Was created as a result of an exchange of money, goods, or
services; and
(iii) Is perfected against the specific property forfeited for which
remission or mitigation is sought (e.g., a real estate mortgage; a
mechanic's lien).
[[Page 73]]
(11) Net equity means the amount of a lienholder's monetary interest
in the property subject to forfeiture. Net equity shall be computed by
determining the amount of unpaid principal and unpaid interest at the
time of seizure, and by adding to that sum unpaid interest calculated
from the date of seizure through the last full month prior to the date
of the decision on the petition. Where a rate of interest is set forth
in a security agreement, the rate of interest to be used in this
computation will be the annual percentage rate so specified in the
security agreement that is the basis of the lienholder's interest. In
this computation, however, there shall be no allowances for attorneys'
fees, accelerated or enhanced interest charges, amounts set by contract
as damages, unearned extended warranty fees, insurance, service contract
charges incurred after the date of seizure, allowances for dealer's
reserve, or any other similar charges.
(12) Nonjudicial forfeiture has the same meaning as administrative
forfeiture as defined in this section.
(13) Owner means the person in who primary title is vested or whose
interest is manifested by the actual and beneficial use of the property,
even though the title is vested in another. A victim of an offense, as
defined in paragraph (b)(22) of this section, may also be an owner if
that person has a present legally cognizable ownership interest in the
property forfeited. A nominal owner of property will not be treated as
its true owner if that person is not its beneficial owner.
(14) Person means an individual, partnership, corporation, joint
business enterprise, estate, or other legal entity capable of owning
property.
(15) Petition means a petition for remission or mitigation of
forfeiture under the regulations in this part. This definition includes
a petition for restoration of the proceeds of sale of forfeited property
and a petition for the value of the forfeited property placed into
official use.
(16) Petitioner means the person applying for remission, mitigation,
restoration of the proceeds of sale, or for the appraised value of
forfeited property, under this part. A petitioner may be an owner as
defined in paragraph (b)(13) of this section, a lienholder as defined in
paragraph (b)(10), or a victim as defined in paragraph (b)(22), subject
to the limitations of paragraph (h) of this section.
(17) Property means real or personal property of any kind capable of
being owned or possessed.
(18) Record means a series of arrests for related crimes, unless the
arrestee was acquitted or the charges were dismissed for lack of
evidence, a conviction for a related crime or completion of sentence
within 10 years of the acquisition of the property subject to
forfeiture, or two convictions for a related crime at any time in the
past.
(19) Related crime as used in paragraphs (b)(18) and (f) of this
section means any crime similar in nature to that which gives rise to
the seizure of property for forfeiture. For example, where property is
seized for a violation of the Federal laws relating to drugs, a related
crime would be any offense involving a violation of the Federal laws
relating to drugs, or the laws of any state or political subdivision
thereof relating to drugs.
(20) Related offense as used in paragraph (h) of this section means:
(i) Any predicate offense charged in a Federal Racketeer Influenced
and Corrupt Organizations Act (RICO) count for which forfeiture was
ordered; or
(ii) An offense committed as part of the same scheme or design, or
pursuant to the same conspiracy, as was involved in the offense for
which forfeiture was ordered.
(21) Ruling Official means any official to whom decision making
authority has been delegated pursuant to paragraph (a)(2) of this
section.
(22) Seizing agency means any Federal agency that seized the
property or adopted the seizure of another agency for Federal
forfeiture.
(23) Victim means a person who has incurred a pecuniary loss as a
direct result of the commission of the offense underlying a forfeiture.
A drug user is not considered a victim of a drug trafficking offense
under this definition. A victim does not include one who acquires a
right to sue the perpetrator of the criminal offense for any loss by
assignment, subrogation, inheritance, or
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otherwise from the actual victim, unless that person has acquired an
actual ownership interest in the forfeited property; provided however,
that if a victim has received compensation from insurance or any other
source with respect to a pecuniary loss, remission may be granted to the
third party who provided compensation, up to the amount of the victim's
pecuniary loss as defined in paragraph (h)(3) of this section.
(24) Violator means the person whose use or acquisition of the
property in violation of the law subjected such property to seizure for
forfeiture.
(c) Petitions in administrative forfeiture cases. (1) Notice of
seizure. The notice of seizure and intent to forfeit the property shall
advise any persons who may have a present ownership interest in the
property to submit their petitions for remission or mitigation within 30
days of the date they receive the notice in order to facilitate
processing. Petitions shall be considered any time after notice until
the property has been forfeited, except in cases involving petitions to
restore the proceeds from the sale of forfeited property. A notice of
seizure shall include the Ruling Official, the mailing and street
address of the official to whom petitions should be sent, and an asset
identifier number.
(2) Persons who may file. (i) A petition for remission or mitigation
must be filed by a petitioner as defined in paragraph (b)(16) of this
section, or as prescribed in paragraph (i)(7) and (8) of this section. A
person or person acting on their behalf may not file a petition if,
after notice or knowledge of the fact that a warrant or process has been
issued for his apprehension, in order to avoid criminal prosecution the
person:
(A) Purposely leaves the jurisdiction of the United States;
(B) Declines to enter or reenter the United States to submit to its
jurisdiction; or
(C) Otherwise evades the jurisdiction of the court in which a
criminal matter is pending against the person.
(ii) Paragraph (c)(2)(i)(A) of this section applies to a petition
filed by a corporation if any majority shareholder, or individual filing
the claim on behalf of the corporation:
(A) Purposely leaves the jurisdiction of the United States;
(B) Declines to enter or reenter the United States to submit to its
jurisdiction; or
(C) Otherwise evades the jurisdiction of the court in which a
criminal case is pending against the person.
(3) Contents of petition. (i) All petitions must include the
following information in clear and concise terms:
(A) The name, address, and social security or other taxpayer
identification number of the person claiming an interest in the seized
property who is seeking remission or mitigation;
(B) The name of the seizing agency, the asset identifier number, and
the date and place of seizure;
(C) A complete description of the property, including make, model,
and serial numbers, if any; and
(D) A description of the petitioner's interest in the property as
owner, lienholder, or otherwise, supported by original or certified
bills of sale, contracts, deeds, mortgages, or other documentary
evidence. Such documentation includes evidence establishing the source
of funds for seized currency or the source of funds used to purchase the
seized asset.
(ii) Any factual recitation or documentation of any type in a
petition must be supported by a declaration under penalty of perjury
that meets the requirements of 28 U.S.C. 1746.
(4) Releases. In addition to the contents of the petition for
remission or mitigation set forth in paragraph (c)(3) of this section,
upon request, the petitioner shall also furnish the agency with an
instrument executed by the titled or registered owner and any other
known claimant of an interest in the property releasing interest in such
property.
(5) Filing a petition. (i) A petition for remission or mitigation
subject to administrative forfeiture is to be sent to the official
address provided in the notice of seizure and shall be sworn to by the
petitioner or by the petitioner's attorney upon information and belief,
supported by the client's sworn notice of representation pursuant to 28
U.S.C. 1746, as set out in paragraph (i)(7).
(ii) If the notice of seizure does not provide an official address,
the petition
[[Page 75]]
shall be addressed to the Asset Forfeiture Unit at the following
address: Asset Forfeiture Unit, Criminal Investigations, U.S. Postal
Inspection Service, P.O. Box 44373, Washington, DC 20026-4373.
(iii) Submission by facsimile or other electronic means will not be
accepted.
(6) Agency investigation. Upon receipt of a petition, the Postal
Inspection Service shall investigate the merits of the petition and
prepare a written report containing the results of that investigation.
This report shall be submitted to the Ruling Official for review and
consideration.
(7) Ruling. Upon receipt of the petition and the agency report, the
Ruling Official for the Postal Inspection Service shall review the
petition and the report, if any, and shall rule on the merits of the
petition. No hearing shall be held.
(8) Petitions granted. If the Ruling Official grants a remission or
mitigation of the forfeiture, a copy of the decision shall be mailed to
the petitioner or, if represented by an attorney, to the petitioner's
attorney. A copy shall also be sent to the U.S. Marshals Service, or
other property custodian. The written decision shall include the terms
and conditions, if any, upon which the remission or mitigation is
granted, and the procedures the petitioner must follow to obtain release
of the property or the monetary interest therein.
(9) Petitions denied. If the Ruling Official denies a petition, a
copy of the decision shall be mailed to the petitioner or, if
represented by an attorney, to the petitioner's attorney of record. A
copy of the decision shall also be sent to the U.S. Marshals Service, or
other property custodian. The decision shall specify the reason that the
petition was denied. The decision shall advise the petitioner that a
request for reconsideration of the denial of the petition may be
submitted to the Ruling Official in accordance with paragraph (c)(10) of
this section.
(10) Request for reconsideration. (i) A request for reconsideration
of the denial of the petition shall be considered if:
(A) It is postmarked or received by the office of the Ruling
Official within 10 days from the receipt of the notice of denial of the
petition by the petitioner; and
(B) The request is based on information or evidence not previously
considered that is material to the basis for the denial or presents a
basis clearly demonstrating that the denial was erroneous.
(ii) In no event shall a request for reconsideration be decided by
the same Ruling Official who ruled on the original petition.
(iii) Only one request for reconsideration of a denial of a petition
shall be considered.
(11) Restoration of proceeds from sale. (i) A petition for
restoration of the proceeds from the sale of forfeited property, or for
the appraised value of forfeited property when the forfeited property
has been retained by or delivered to a Government agency for official
use, may be submitted by an owner or lienholder in cases in which the
petitioner:
(A) Did not know of the seizure prior to the entry of a declaration
of forfeiture; and
(B) Could not reasonably have known of the seizure prior to the
entry of a declaration of forfeiture.
(ii) Such a petition shall be submitted pursuant to paragraphs
(c)(2) through (c)(5) of this section within 90 days of the date the
property is sold or otherwise disposed of.
(d) Petitions in judicial forfeiture cases--(1) Notice of seizure.
The notice of seizure and intent to forfeit the property shall advise
any persons who may have a present ownership interest in the property to
submit their petitions for remission or mitigation within 30 days of the
date they receive the notice in order to facilitate processing.
Petitions shall be considered any time after notice until such time as
the forfeited property is placed in official use, sold, or otherwise
disposed of according to law, except in cases involving petitions to
restore property. A notice of seizure shall include the title of the
Ruling Official and the mailing and street address of the official to
whom petitions should be sent, the name of the agency seizing the
property, an asset identifier number, and the district court docket
number.
[[Page 76]]
(2) Persons who may file. A petition for remission or mitigation
must be filed by a petitioner as defined in paragraph (b)(16) of this
section, or as prescribed in paragraph (i)(7) and (8) of this section.
(3) Contents of petition. (i) All petitions must include the
following information in clear and concise terms:
(A) The name, address, and Social Security or other taxpayer
identification number of the person claiming an interest in the seized
property who is seeking remission or mitigation;
(B) The name of the seizing agency, the asset identifier number, and
the date and place of seizure;
(C) The district court docket number;
(D) A complete description of the property, including the address or
legal description of real property, and make, model, and serial numbers
of personal property, if any; and
(E) A description of the petitioner's interest in the property as
owner, lienholder, or otherwise, supported by original or certified
bills of sale, contracts, mortgages, deeds, or other documentary
evidence.
(ii) Any factual recitation or documentation of any type in a
petition must be supported by a declaration under penalty of perjury
that meets the requirements of 28 U.S.C. 1746.
(4) Releases. In addition to the content of the petition for
remission or mitigation set forth in paragraph (d)(3) of this section,
the petitioner, upon request, also shall furnish the agency with an
instrument executed by the titled or registered owner and any other
known claimant of an interest in the property releasing the interest in
such property.
(5) Filing petition with Department of Justice. A petition for
remission or mitigation of a judicial forfeiture shall be addressed to
the Attorney General; shall be sworn to by the petitioner or by the
petitioner's attorney upon information and belief, supported by the
client's sworn notice of representation pursuant to 28 U.S.C. 1746, as
set forth in paragraph (i)(7) of this section; and shall be submitted to
the U.S. Attorney for the district in which the judicial forfeiture
proceedings are brought.
(6) Agency investigation and recommendation; U.S. Attorney's
recommendation. Upon receipt of a petition, the U.S. Attorney shall
direct the seizing agency to investigate the merits of the petition
based on the information provided by the petitioner and the totality of
the agency's investigation of the underlying basis for forfeiture. The
agency shall submit to the U.S. Attorney a report of its investigation
and its recommendation on whether the petition should be granted or
denied. Upon receipt of the agency's report and recommendation, the U.S.
Attorney shall forward to the Chief, Asset Forfeiture and Money
Laundering Section, the petition, the seizing agency's report and
recommendation, and the U.S. Attorney's recommendation on whether the
petition should be granted or denied.
(7) Ruling. The Chief shall rule on the petition. No hearing shall
be held. The Chief shall not rule on any petition for remission if such
remission was previously denied by the administrative agency pursuant to
paragraph (c) of this section.
(8) Petitions granted. If the Chief grants a remission or mitigates
the forfeiture, the Chief shall mail a copy of the decision to the
petitioner (or, if represented by an attorney, to the petitioner`s
attorney), and shall mail or transmit electronically a copy of the
decision to the appropriate U.S. Attorney, the U.S. Marshals Service or
other property custodian, and the seizing agency. The written decision
shall include the terms and conditions, if any, upon which the remission
or mitigation is granted and the procedures the petitioner must follow
to obtain release of the property or the monetary interest therein. The
Chief shall advise the petitioner or the petitioner`s attorney to
consult with the U.S. Attorney as to such terms and conditions. The U.S.
Attorney shall confer with the seizing agency regarding the release and
shall coordinate disposition of the property with that office and the
U.S. Marshals Service or other property custodian.
(9) Petitions denied. If the Chief denies a petition, a copy of that
decision shall be mailed to the petitioner (or, if represented by an
attorney, to the petitioner`s attorney of record), and mailed or
transmitted electronically to
[[Page 77]]
the appropriate U.S. Attorney, the U.S. Marshals Service or other
property custodian, and the seizing agency. The decision shall specify
the reason that the petition was denied. The decision shall advise the
petitioner that a request for reconsideration of the denial of the
petition may be submitted to the Chief at the address provided in the
decision, in accordance with paragraph (d)(10) of this section.
(10) Request for reconsideration. (i) A request for reconsideration
of the denial shall be considered if:
(A) It is postmarked or received by the Asset Forfeiture and Money
Laundering Section at the address contained in the decision denying the
petition within 10 days from the receipt of the notice of denial of the
petition by the petitioner;
(B) A copy of the request is also received by the appropriate U.S.
Attorney within 10 days of the receipt of the denial by the petitioner;
and
(C) The request is based on information or evidence not previously
considered that is material to the basis for the denial or presents a
basis clearly demonstrating that the denial was erroneous.
(ii) In no event shall a request for reconsideration be decided by
the Ruling Official who ruled on the original petition.
(iii) Only one request for reconsideration of a denial of a petition
shall be considered.
(iv) Upon receipt of the request for reconsideration of the denial
of a petition, disposition of the property will be delayed pending
notice of the decision at the request of the Chief. lf the request for
reconsideration is not received within the prescribed period, the U.S.
Marshals Service may dispose of the property.
(11) Restoration of proceeds from sale. (i) A petition for
restoration of the proceeds from the sale of forfeited property, or for
the appraised value of forfeited property when the forfeited property
has been retained by or delivered to a Government agency for official
use, may be submitted by an owner or lienholder in cases in which the
petitioner:
(A) Did not know of the seizure prior to the entry of a final order
of forfeiture; and
(B) Could not reasonably have known of the seizure prior to the
entry of a final order of forfeiture.
(ii) Such a petition must be submitted pursuant to paragraphs (d)(2)
through (d)(5) of this section within 90 days of the date the property
was sold or otherwise disposed of.
(e) Criteria governing administrative and judicial remission and
mitigation--(1) Remission. (i) The Ruling Official shall not grant
remission of a forfeiture unless the petitioner establishes that the
petitioner has a valid, good faith, and legally cognizable interest in
the seized property as owner or lienholder as defined in this part and
is an innocent owner within the meaning of 18 U.S.C. 983(d)(2)(A) or
(d)(3)(A).
(ii) For purposes of this paragraph (e), the knowledge and
responsibilities of a petitioner's representative, agent, or employee
are imputed to the petitioner where the representative, agent, or
employee was acting in the course of that person's employment and in
furtherance of the petitioner's business.
(iii) The petitioner has the burden of establishing the basis for
granting a petition for remission or mitigation of forfeited property, a
restoration of proceeds of sale or appraised value of forfeited
property, or a reconsideration of a denial of such a petition. Failure
to provide information or documents and to submit to interviews, as
requested, may result in a denial of the petition.
(iv) The Ruling Official shall presume a valid forfeiture and shall
not consider whether the evidence is sufficient to support the
forfeiture.
(v) Willful, materially false statements or information made or
furnished by the petitioner in support of a petition for remission or
mitigation of forfeited property, the restoration of proceeds or
appraised value of forfeited property, or the reconsideration of a
denial of any such petition shall be grounds for denial of such petition
and possible prosecution for the filing of false statements.
(2) Mitigation. (i) The Ruling Official may grant mitigation to a
party not involved in the commission of the offense underlying
forfeiture:
[[Page 78]]
(A) Where the petitioner has not met the minimum conditions for
remission, but the Ruling Official finds that some relief should be
granted to avoid extreme hardship, and that return of the property
combined with imposition of monetary or other conditions of mitigation
in lieu of a complete forfeiture will promote the interest of justice
and will not diminish the deterrent effect of the law. Extenuating
circumstances justifying such a finding include those circumstances that
reduce the responsibility of the petitioner for knowledge of the illegal
activity, knowledge of the criminal record of a user of the property, or
failure to take reasonable steps to prevent the illegal use or
acquisition by another for some reason, such as a reasonable fear of
reprisal; or
(B) Where the minimum standards for remission have been satisfied
but the overall circumstances are such that, in the opinion of the
Ruling Official, complete relief is not warranted.
(ii) The Ruling Official may as a matter of discretion grant
mitigation to a party involved in the commission of the offense
underlying the forfeiture where certain mitigating factors exist,
including, but not limited to: The lack of a prior record or evidence of
similar criminal conduct; if the violation does not include drug
distribution, manufacturing, or importation, the fact that the violator
has taken steps, such as drug treatment, to prevent further criminal
conduct; the fact that the violation was minimal and was not part of a
larger criminal scheme; the fact that the violator has cooperated with
Federal, state, or local investigations relating to the criminal conduct
underlying the forfeiture; or the fact that complete forfeiture of an
asset is not necessary to achieve the legitimate purposes of forfeiture.
(iii) Mitigation may take the form of a monetary condition or the
imposition of other conditions relating to the continued use of the
property, and the return of the property, in addition to the imposition
of any other costs that would be chargeable as a condition to remission.
This monetary condition is considered as an item of cost payable by the
petitioner, and shall be deposited into the Postal Inspection Service's
Fund as an amount realized from forfeiture in accordance with the
applicable statute. If the petitioner fails to accept the Ruling
Official's mitigation decision or any of its conditions, or fails to pay
the monetary amount within 20 days of the receipt of the decision, the
property shall be sold, and the monetary amount imposed and other costs
chargeable as a condition to mitigation shall be subtracted from the
proceeds of the sale before transmitting the remainder to the
petitioner.
(f) Special rules for specific petitioners--(1) General creditors. A
general creditor may not be granted remission or mitigation of
forfeiture unless that person otherwise qualifies as petitioner under
this part.
(2) Rival claimants. If the beneficial owner of the forfeited
property and the owner of a security interest in the same property each
files a petition, and if both petitions are found to be meritorious, the
claims of the beneficial owner shall take precedence.
(3) Voluntary bailments. A petitioner who allows another to use the
petitioner's property without cost, and who is not in the business of
lending money secured by property or of leasing or renting property for
profit, shall be granted remission or mitigation of forfeiture in
accordance with the provisions of paragraph (e) of this section.
(4) Lessors. A person engaged in the business of leasing or renting
real or personal property on a long-term basis with the right to
sublease shall not be entitled to remission or mitigation of a
forfeiture of such property unless the lessor can demonstrate compliance
with all the requirements of paragraph (e) of this section.
(5) Straw owners. A petition by any person who has acquired a
property interest recognizable under this part, and who knew or had
reason to believe that the interest was conveyed by the previous owner
for the purpose of circumventing seizure, forfeiture, or the regulations
in this part, shall be denied. A petition by a person who purchases or
owns property for another who has a record for related crimes as defined
in paragraph (b)(19), or a petition by a lienholder who knows or has
reason to believe that the purchaser or owner of record is not the real
purchaser or
[[Page 79]]
owner, shall be denied unless both the purchaser of record and the real
purchaser or owner meet the requirements of paragraph (e) of this
section.
(6) Judgment creditors. (i) A judgment creditor will be recognized
as a lienholder if:
(A) The judgment was duly recorded before the seizure of the
property for forfeiture;
(B) Under applicable state or other local law, the judgment
constitutes a valid lien on the property that attached to it before the
seizure of the property for forfeiture; and
(C) The petitioner had no knowledge of the commission of any act or
acts giving rise to the forfeiture at the time the judgment became a
lien on the forfeited property.
(ii) A judgment creditor will not be recognized as a lienholder if
the property in question is not property of which the judgment debtor is
entitled to claim ownership under applicable state or other local law
(e.g., stolen property). A judgment creditor is entitled under this part
to no more than the amount of the judgment, exclusive of any interest,
costs, or other fees including attorney's fees associated with the
action that led to the judgment or its collection.
(iii) A judgment creditor's lien must be registered in the district
where the property is located if the judgment was obtained outside the
district.
(g) Terms and conditions of remission and mitigation--(1) Owners.
(i) An owner's interest in property that has been forfeited is
represented by the property itself or by a monetary interest equivalent
to that interest at the time of seizure. Whether the property or a
monetary equivalent will be remitted to an owner shall be determined at
the discretion of the Ruling Official.
(ii) If a civil judicial forfeiture action against the property is
pending, release of the property must await an appropriate court order.
(iii) Where the Government sells or disposes of the property prior
to the grant of the remission, the owner shall receive the proceeds of
that sale, less any costs incurred by the Government in the sale. The
Ruling Official, as a matter of discretion, may waive the deduction of
costs and expenses incident to the forfeiture.
(iv) Where the owner does not comply with the conditions imposed
upon release of the property by the Ruling Official, the property shall
be sold. Following the sale, the proceeds shall be used to pay all costs
of the forfeiture and disposition of the property, in addition to any
monetary conditions imposed. The remaining balance shall be paid to the
owner.
(2) Lienholders. (i) When the forfeited property is to be retained
for official use or transferred to a state or local law enforcement
agency or foreign government pursuant to law, and remission or
mitigation has been granted to a lienholder, the recipient of the
property shall assure that:
(A) In the case of remission, the lien is satisfied as determined
through the petition process; or
(B) In the case of mitigation, an amount equal to the net equity,
less any monetary conditions imposed, is paid to the lienholder prior to
the release of the property to the recipient agency of foreign
government.
(ii) When the forfeited property is not retained for official use or
transferred to another agency or foreign government pursuant to law, the
lienholder shall be notified by the Ruling Official of the right to
select either of the following alternatives:
(A) Return of Property. The lienholder may obtain possession of the
property after paying the United States, through the Ruling Official,
the costs and expenses incident to the forfeiture, the amount, if any,
by which the appraised value of the property exceeds the lienholder's
net equity in the property, and any amount specified in the Ruling
Official's decision as a condition to remit the property. The Ruling
Official, as a matter of discretion, may waive costs and expenses
incident to the forfeiture. The Ruling Official shall forward a copy of
the decision, a memorandum of disposition, and the original releases to
the division or field office responsible for the seizure and custody of
the property or, if applicable, to the U.S. Marshals Service, who shall
thereafter release the property to the lienholder; or
[[Page 80]]
(B) Sale of Property and Payment to Lienholder. Subject to the
provisions of paragraph (i)(1) of this section, upon sale of the
property, the lienholder may receive the payment of a monetary amount up
to the sum of the lienholder's net equity, less the expenses and costs
incident to the forfeiture and sale of the property, and any other
monetary conditions imposed. The Ruling Official, as a matter of
discretion, may waive costs and expenses incident to the forfeiture.
(iii) If the lienholder does not notify the Ruling Official of the
selection of one of the two options set forth in this paragraph
(g)(2)(ii) within 20 days of the receipt of notification, the Ruling
Official shall direct the division or field office responsible for the
seizure or custody, or if applicable, the U.S. Marshals Service, to sell
the property and pay the lienholder an amount up to the net equity, less
the costs and expenses incurred incident to the forfeiture and sale, and
any monetary conditions imposed. In the event a lienholder subsequently
receives a payment of any kind on the debt owed for which he or she
received payment as a result of the granting of remission or mitigation,
the lienholder shall reimburse the Postal Service Forfeiture Fund to the
extent of the payment received.
(iv) Where the lienholder does not comply with the conditions
imposed upon the release of the property, the property shall be sold
after forfeiture. From the proceeds of the sale, all costs incident to
the forfeiture and sale shall first be deducted, and the balance up to
the net equity, less any monetary conditions, shall be paid to the
lienholder.
(h) Remission procedures for victims. This section applies to
victims of an offense underlying the forfeiture of property, or of a
related offense, who do not have a present ownership interest in the
forfeited property (or, in the case of multiple victims of an offense,
who do not have a present ownership interest in the forfeited property
that is clearly superior to that of other petitioner victims). This
section applies only with respect to property forfeited pursuant to
statutes that explicitly authorize restoration or remission of forfeited
property to victims. A victim requesting remission under this section
may concurrently request remission as an owner, pursuant to the
regulations set forth in paragraphs (c), (d), and (g) of this section.
The claims of victims granted remission as both an owner and victim
shall, like other owners, have priority over the claims of any non-owner
victims whose claims are recognized under this section.
(1) Remission procedure for victims--(i) Where to file. Persons
seeking remission as victims shall file petitions for remission with the
appropriate deciding official as described in paragraph (c)(5)
(administrative forfeiture) or (d)(5) (judicial forfeiture) of this
section.
(ii) Time of decision. The Ruling Official or that person's designee
as described in paragraph (a)(2) of this section may consider petitions
filed by persons claiming eligibility for remission as victims at any
time prior to the disposal of the forfeited property in accordance with
law.
(iii) Request for reconsideration. Persons denied remission under
this section may request reconsideration of the denial, in accordance
with paragraph (c)(10) (administrative forfeiture) or (d)(10) (judicial
forfeiture) of this section.
(2) Qualification to file. A victim, as defined in paragraph (b)(22)
of this section, may be granted remission, if in addition to complying
with the other applicable provisions of this paragraph (h), the victim
satisfactorily demonstrates that:
(i) A pecuniary loss of a specific amount has been directly caused
by the criminal offense, or related offense, that was the underlying
basis for the forfeiture, and that the loss is supported by documentary
evidence including invoices and receipts;
(ii) The pecuniary loss is the direct result of the illegal acts and
is not the result of otherwise lawful acts that were committed in the
course of a criminal offense;
(iii) The victim did not knowingly contribute to, participate in,
benefit from, or act in a willfully blind manner towards commission of
the offense, or related offense, that was the underlying basis of the
forfeiture;
(iv) The victim has not in fact been compensated for the wrongful
loss of
[[Page 81]]
the property by the perpetrator or others; and
(v) The victim does not have recourse reasonably available to other
assets from which to obtain compensation for the wrongful loss of the
property.
(3) Pecuniary loss. The amount of the pecuniary loss suffered by a
victim for which remission may be granted is limited to the fair market
value of the property of which the victim was deprived as of the date of
the occurrence of the loss. No allowance shall be made for interest
forgone or for collateral expenses incurred to recover lost property or
to seek other recompense.
(4) Torts. A tort associated with illegal activity that formed the
basis for the forfeiture shall not be a basis for remission, unless it
constitutes the illegal activity itself, nor shall remission be granted
for physical injuries to a petitioner or for damage to a petitioner's
property.
(5) Denial of petition. As a matter of discretion, the Ruling
Official may decline to grant remission where:
(i) There is substantial difficulty in calculating the pecuniary
loss incurred by the victim or victims;
(ii) The amount of the remission, if granted, would be small
compared with the amount of expenses incurred by the Government in
determining whether to grant remission; or
(iii) The total number of victims is large and the monetary amount
of the remission so small as to make its granting impractical.
(6) Pro rata basis. In granting remission to multiple victims
pursuant to this section, the Ruling Official should generally grant
remission on a pro rata basis to recognized victims when petitions
cannot be granted in full due to the limited value of the forfeited
property. However, the Ruling Official may consider, among others, the
following factors in establishing appropriate priorities in individual
cases:
(i) The specificity and reliability of the evidence establishing a
loss;
(ii) The fact that a particular victim is suffering an extreme
financial hardship;
(iii) The fact that a particular victim has cooperated with the
Government in the investigation related to the forfeiture or to a
related persecution or civil action; and
(iv) In the case of petitions filed by multiple victims of related
offenses, the fact that a particular victim is a victim of the offense
underlying the forfeiture.
(7) Reimbursement. Any petitioner granted remission pursuant to this
part shall reimburse the Postal Service Forfeiture Fund for the amount
received, to the extent the individual later receives compensation for
the loss of property from any other source. The petitioner shall
surrender the reimbursement upon payment from any secondary source.
(8) Claims of financial institution regulatory agencies. In cases
involving property forfeitable under 18 U.S.C. 981(a)(1)(C) or (D), the
Ruling Official may decline to grant a petition filed by a petitioner in
whole or in part due to the lack of sufficient forfeitable funds to
satisfy both the petitioner and claims of the financial institution
regulatory agencies pursuant to 18 U.S.C. 981(e)(3) or (7). Generally,
claims of financial institution regulatory agencies pursuant to 18
U.S.C. 981(e)(3) or (7) shall take priority over claims of victims.
(9) Amount of remission. Consistent with the Assets Forfeiture Fund
statute (28 U.S.C. 524(c)), the amount of remission shall not exceed the
victim's share of the net proceeds of the forfeitures associated with
the activity that caused the victim's loss. The calculation of net
proceeds includes, but is not limited to, the deduction of allowable
Government expenses and valid third-party claims.
(i) Miscellaneous provisions--(1) Priority of payment. Except where
otherwise provided in this part, costs incurred by the Postal Inspection
Service, the U.S. Marshals Service, and other agencies participating in
the forfeiture that were incident to the forfeiture, sale, or other
disposition of the property shall be deducted from the amount available
for remission or mitigation. Such costs include, but are not limited to,
court costs, storage costs, brokerage and other sales-related costs, the
amount of any liens
[[Page 82]]
and associated costs paid by the Government on the property, costs
incurred in paying the ordinary and necessary expenses of a business
seized for forfeiture, awards for information as authorized by statute,
expenses of trustees or other assistants pursuant to paragraph (i)(3) of
this section, investigative or prosecutorial costs specially incurred
incident to the particular forfeiture, and costs incurred incident to
the processing of petitions for remission or mitigation. The remaining
balance shall be available for remission or mitigation. The Ruling
Official shall direct the distribution of the remaining balance in the
following order or priority, except that the Ruling Official may
exercise discretion in determining the priority between petitioners
belonging to classes described in paragraph (i)(1)(iii) and (iv) of this
section in exceptional circumstances:
(i) Owners;
(ii) Lienholders;
(iii) Federal financial institution regulatory agencies (pursuant to
paragraph (i)(5) of this section), not constituting owners or
lienholders; and
(iv) Victims not constituting owners or lienholders pursuant to
paragraph (h) of this part.
(2) Sale or disposition of property prior to ruling. If forfeited
property has been sold or otherwise disposed of prior to a ruling, the
Ruling Official may grant relief in the form of a monetary amount. The
amount realized by the sale of property is presumed to be the value of
the property. Monetary relief shall not be greater than the appraised
value of the property at the time of seizure and shall not exceed the
amount realized from the sale or other disposition. The proceeds of the
sale shall be distributed as follows:
(i) Payment of the Government's expenses incurred incident to the
forfeiture and sale, including court costs and storage charges, if any;
(ii) Payment to the petitioner of an amount up to that person's
interest in the property;
(iii) Payment to the Postal Service Forfeiture Fund of all other
costs and expenses incident to the forfeiture;
(iv) In the case of victims, payment of any amount up to the amount
of that person's loss; and
(v) Payment of the balance remaining, if any, to the Postal Service
Forfeiture Fund.
(3) Trustees and other assistants. As a matter of discretion, the
Ruling Official, with the approval of the Chief Postal Inspector, may
use the services of a trustee, other Government official, or appointed
contractors to notify potential petitioners, process petitions, and make
recommendations to the Ruling Official on the distribution of property
to petitioners. The expense for such assistance shall be paid out of the
forfeited funds.
(4) Other agencies of the United States. Where another agency of the
United States is entitled to remission or mitigation of forfeited assets
because of an interest that is recognizable under this part or is
eligible for such transfer pursuant to 18 U.S.C. 981(e)(6), such agency
shall request the transfer in writing, in addition to complying with any
applicable provisions of paragraphs (c) through (e) of this section. The
decision to make such transfer shall be made in writing by the Ruling
Official.
(5) Financial institution regulatory agencies. A Ruling Official may
direct the transfer of property under 18 U.S.C. 981(e) to certain
Federal financial institution regulatory agencies or an entity acting in
their behalf, upon receipt of a written request, in lieu of ruling on a
petition for remission or mitigation.
(6) Transfers to foreign governments. A Ruling Official may decline
to grant remission to any petitioner other than an owner or lienholder
so that forfeited assets may be transferred to a foreign government
pursuant to 18 U.S.C. 981(i)(1); 19 U.S.C. 1616a(c)(2); or 21 U.S.C.
881(e)(1)(E).
(7) Filing by attorneys. (i) A petition for remission or mitigation
may be filed by a petitioner or by that person's attorney or legal
guardian. If an attorney files on behalf of the petitioner, the petition
must include a signed and sworn statement by the client-petitioner
stating that:
(A) The attorney has the authority to represent the petitioner in
this proceeding;
(B) The petitioner has fully reviewed the petition; and
[[Page 83]]
(C) The petition is truthful and accurate in every respect.
(ii) Verbal notification of representation is not acceptable.
Responses and notification of rulings shall not be sent to an attorney
claiming to represent a petitioner unless a written notice of
representation is filed. No extensions of time shall be granted due to
delays in submission of the notice of representation.
(8) Consolidated petitions. At the discretion of the Ruling Official
in individual cases, a petition may be filed by one petitioner on behalf
of other petitioners, provided the petitions are based on similar
underlying facts, and the petitioner who files the petition has written
authority to do so on behalf of other petitioners. This authority must
be either expressed in documents giving the petitioner the authority to
file petitions for remission, or reasonably implied from documents
giving the petitioner express authority to file claims or lawsuits
related to the course of conduct in question on behalf of these
petitioners. An insurer or an administrator of an employee benefit plan,
for example, which itself has standing to file a petition as a
``victim'' within the meaning of paragraph (b)(22) of this section, may
also file a petition on behalf of its insured or plan beneficiaries for
any claims they may have based on co-payments made to the perpetrator of
the offense underlying the forfeiture, or the perpetrator of a ``related
offense'' within the meaning of paragraph (b)(20), if the authority to
file claims or lawsuits is contained in the document or documents
establishing the plan. Where such a petition is filed, any amounts
granted as remission must be transferred to the other petitioners, not
the party filing the petition; although, as a matter of discretion, the
Ruling Official may use the actual petitioner as an intermediary for
transferring the amounts authorized as a remission to the other
petitioners.
[77 FR 25602, May 1, 2012]
Sec. 233.10 [Reserved]
Sec. 233.11 Mail reasonably suspected of being dangerous to persons
or property.
(a) Screening of mail. When the Chief Postal Inspector determines
that there is a credible threat that certain mail may contain a bomb,
explosives, or other material that would endanger life or property,
including firearms which are not mailable under Section C024 of the
Domestic Mail Manual, the Chief Postal Inspector may, without a search
warrant or the sender's or addressee's consent, authorize the screening
of such mail by any means capable of identifying explosives, nonmailable
firearms, or other dangerous contents in the mails. The screening must
be within the limits of this section and without opening mail that is
sealed against inspection or revealing the contents of correspondence
within mail that is sealed against inspection. The screening is
conducted according to these requirements.
(1) Screening of mail authorized by paragraph (a) of this section
must be limited to the least quantity of mail necessary to respond to
the threat.
(2) Such screening must be done in a manner that does not avoidably
delay the screened mail.
(3) The Chief Postal Inspector may authorize screening of mail by
postal employees and by persons not employed by the Postal Service under
such instruction that require compliance with this part and protect the
security of the mail. No information obtained from such screening may be
disclosed unless authorized by this part.
(4) Mail of insufficient weight to pose a hazard to air or surface
transportation, or to contain firearms which are not mailable under
Section C024 of the Domestic Mail Manual, and international transit mail
must be excluded from such screening.
(5) After screening conducted under paragraph (a) of this section,
mail that is reasonably suspected of posing an immediate and substantial
danger to life or limb, or an immediate and substantial danger to
property, may be treated by postal employees as provided in paragraph
(b) of this section.
[[Page 84]]
(6) After screening, mail sealed against inspection that presents
doubts about whether its contents are hazardous, that cannot be resolved
without opening, must be reported to the Postal Inspection Service. Such
mail must be disposed of under instructions promptly furnished by the
Inspection Service.
(b) Threatening pieces of mail. Mail, sealed or unsealed, reasonably
suspected of posing an immediate danger to life or limb or an immediate
and substantial danger to property may, without a search warrant, be
detained, opened, removed from postal custody, and processed or treated,
but only to the extent necessary to determine and eliminate the danger
and only if a complete written and sworn statement of the detention,
opening, removal, or treatment, and the circumstances that prompted it,
signed by the person purporting to act under this section, is promptly
forwarded to the Chief Postal Inspector.
(c) Reports. Any person purporting to act under this section who
does not report his or her action to the Chief Postal Inspector under
the requirements of this section, or whose action is determined after
investigation not to have been authorized, is subject to disciplinary
action or criminal prosecution or both.
[61 FR 28060, June 4, 1996]
Sec. 233.12 Civil penalties.
False representation and lottery orders--
(a) Issuance. Pursuant to 39 U.S.C. 3005, the Judicial Officer of
the Postal Service, acting upon a satisfactory evidentiary basis, may
issue a mail return and/or a cease and desist order against anyone
engaged in conducting a scheme or device for obtaining money or property
through the mail by means of a false representation, including the
mailing of matter which is nonmailable, or engaged in conducting a
lottery, gift enterprise, or scheme for the distribution of money or of
real or personal property, by lottery, chance, or drawing of any kind.
(b) Enforcement. Pursuant to 39 U.S.C. 3012, any person:
(1) Who, through the use of the mail, evades or attempts to evade
the effect of an order issued under 39 U.S.C. 3005(a)(1) or 3005(a)(2);
(2) Who fails to comply with an order issued under 39 U.S.C.
3005(a)(3); or
(3) Who (other than a publisher described by 39 U.S.C. 3007(b)) has
actual knowledge of any such order, is in privity with any person
described by paragraph (b) (1) or (2) of this section, and engages in
conduct to assist any such person to evade, attempt to evade, or fail to
comply with such order, as the case may be, through the use of the mail;
Shall be liable to the United States for a civil penalty in an amount
not to exceed $11,000 for each day that such person engages in conduct
described by this paragraph (b). A separate penalty may be assessed
under this paragraph (b) with respect to the conduct described by
paragraphs (b) (1), (2), or (3) of this section.
[61 FR 56450, Nov. 1, 1996]
PART 235_DEFENSE DEPARTMENT LIAISON--Table of Contents
Sec.
235.1 Postal Service to the Armed Forces.
235.2 Civil preparedness.
Sec. 235.1 Postal Service to the Armed Forces.
(a) Publication 38, Postal Agreement with the Department of Defense,
defines the Postal Service's responsibilities for providing postal
service to the Armed Forces.
(b) The Chief Inspector is responsible for military liaison.
(c) Postal inspectors provide liaison between postmasters and
military commanders, visit military installations as required, and make
any necessary recommendations.
(39 U.S.C. 401(2), 402, 403, 404, as enacted by Pub. L. 91-375, 84 Stat.
719)
[38 FR 26193, Sept. 9, 1973]
Sec. 235.2 Civil preparedness.
(a) Mission. The prime objective of postal emergency preparedness
planning is to maintain or restore essential postal service in a
national emergency, natural disaster, or disruptive domestic crisis.
[[Page 85]]
(b) Emergency Coordinator. The Chief Inspector is designated
Emergency Coordinator for the Postal Service. As Emergency Coordinator,
he provides general direction and coordination of the following
programs:
(1) National Civil Preparedness and Defense Mobilization;
(2) Natural Disaster Preparedness;
(3) Emergency Response to Disruptive Domestic Crisis.
(c) Regional Emergency Coordinator. The Chief Inspector may delegate
authority to Regional Chief Postal Inspectors, or others, for the
function of Regional Emergency Coordinator and the general direction and
coordination of all such programs within the Postal Regions, as are
conducted by him at the National level.
(d) Postmaster General emergency line of succession. (1) Deputy
Postmaster General; (2) Senior Assistant Postmaster General,
Administration; (3) Senior Assistant Postmaster General, Operations.
(e) Headquarters and field lines of succession. Each Headquarters
organizational unit shall establish its own internal line of succession
to provide for continuity under emergency conditions. Each Regional
Postmaster General, Regional Chief Inspector, Postal Data Center
Director, Inspector in Charge, and postmaster at first-class post
offices shall prepare a succession list of officials who will act in his
stead in the event he is incapacitated or absent in an emergency. Orders
of succession shall be shown by position titles, except those of the
Inspection Service may be shown by names.
(f) Field responsibilities. Postmasters and heads of other
installations shall:
(1) Carry out civil preparedness assignments, programs, etc., as
directed by regional officials.
(2) Comply with, and cooperate in community civil preparedness plans
(including exercise) for evacuation, take cover and other survival
measures prescribed for local populations.
(3) Designate representatives for continuing liaison with local
civil preparedness organizations where such activity will not interfere
with normal duties.
(4) Endeavor to serve (at their own option) as members on the staff
of the local civil preparedness director, provided such service will not
interfere with their primary postal responsibility in an emergency.
(5) Authorize and encourage their employees to participate
voluntarily in nonpostal pre-emergency training programs and exercises
in cooperation with States and localities.
(39 U.S.C. 401(2), 402, 403, 404, as enacted by Pub. L. 91-375, 84 Stat.
719)
[38 FR 26193, Sept. 9, 1973]
Post Office Organization and Administration--Table of Contents
PART 241_ESTABLISHMENT CLASSIFICATION, AND DISCONTINUANCE--Table of
Contents
Sec.
241.1 Post offices.
241.2 Stations and branches.
241.3 Discontinuance of USPS-operated retail facilities.
241.4 Expansion, relocation, and construction of post offices.
Authority: 39 U.S.C. 101, 401, 403, 404, 410, 1001.
Sec. 241.1 Post offices.
(a) Establishment. Post Offices are established and maintained at
locations deemed necessary to ensure that regular and effective postal
services are available to all customers within specified geographic
boundaries. A Post Office may be operated or staffed by a postmaster or
by another type of postal employee at the direction of the postmaster,
including when the postmaster is not physically present.
(b) Classification. As of October 1 of each year, Post Offices are
categorized through a cost ascertainment grouping (CAG) process based on
allowable postal revenue units for the second preceding fiscal year as
follows:
(1) CAG A-G. Post offices having 950 or more revenue units.
(2) CAG H-J. Post offices having 190 but less than 950 revenue
units.
(3) CAG K. Post offices having 36 but less than 190 revenue units.
(4) CAG L. Post offices having less than 36 revenue units.
[76 FR 41420, July 14, 2011, as amended at 76 FR 66187, Oct. 26, 2011]
[[Page 86]]
Sec. 241.2 Stations and branches.
(a) Description. (1) Stations are established within the corporate
limits or boundary, and branches are established outside the corporate
limits or boundary of the city, town, or village in which the main post
office is located. Stations and branches may be designated by number,
letter or name. As a general rule, branches are named.
(2) Stations and branches transact registry and money order
business, sell postage supplies, and accept matter for mailing. Delivery
service, post office boxes, and other services may be provided when
directed by the postmaster.
(3) Stations and branches, except nonpersonnel rural stations and
branches, are designated as independent when registered and other mail
is received or dispatched without passing through the main office.
(b) Classification--(1) Classified. Operated by postal employees in
quarters provided by the Federal Government.
(2) Contract. Operated under contract by persons who are not Federal
Government employees. Persons operating contract stations and branches
are independent contractors and neither the contractors nor any person
employed by them to assist in the conduct of contract stations or
branches shall be employees of the Federal Government for any purpose
whatsoever.
(39 U.S.C. 401)
[36 FR 4764, Mar. 12, 1971]
Sec. 241.3 Discontinuance of USPS-operated retail facilities.
(a) Introduction--(1) Coverage. (i) This section establishes the
rules governing the Postal Service's consideration of whether an
existing retail Post Office, station, or branch should be discontinued.
The rules cover any proposal to:
(A) Replace a USPS-operated post office, station, or branch with a
contractor-operated retail facility;
(B) Combine a USPS-operated Post Office, station, or branch with
another USPS-operated retail facility, or
(C) Discontinue a USPS-operated post office, station, or branch
without providing a replacement facility.
(ii) The conversion of a Post Office into, or the replacement of a
Post Office with, another type of USPS-operated retail facility is not a
discontinuance action subject to this section. A change in the staffing
of a Post Office such that it is staffed only part-time by a postmaster,
or not staffed at all by a postmaster, but rather by another type of
USPS employee, is not a discontinuance action subject to this section.
(iii) The regulations in this section are mandatory only with
respect to discontinuance actions for which initial feasibility studies
have been initiated on or after July 14, 2011. Unless otherwise provided
by responsible personnel, the rules under Sec. 241.3 as in effect prior
to July 14, 2011 shall apply to discontinuance actions for which initial
feasibility studies have been initiated prior to July 14, 2011.
Discontinuance actions pending as of December 1, 2011, that pertain to
the conversion of a Post Office to another type of USPS-operated
facility are no longer subject to these regulations.
(2) Definitions. As used in this section, the following terms have
the following meanings:
(i) ``USPS-operated retail facility'' includes any Postal Service
employee-operated post office, station, or branch, but does not include
any station, branch, community post office, or other retail facility
operated by a contractor.
(ii) ``Contractor-operated retail facility'' includes any station,
branch, community post office, or other facility, including a private
business, offering retail postal services that is operated by a
contractor, and does not include any USPS-operated retail facility.
(iii) ``Closing'' means an action in which Post Office operations
are permanently discontinued without providing a replacement facility in
the community.
(iv) ``Consolidation'' means an action that converts a Postal
Service-operated retail facility into a contractor-operated retail
facility. The resulting contractor-operated retail facility reports to a
Postal Service-operated retail facility.
(v) ``Discontinuance'' means either a closure or a consolidation.
(3) Requirements. A District Manager or the responsible Headquarters
Vice
[[Page 87]]
President, or a designee of either, may initiate a feasibility study of
a USPS-operated facility for possible discontinuance. Any decision to
close or consolidate a USPS-operated retail facility may be effected
only upon the consideration of certain factors. These include the effect
on the community served; the effect on employees of the USPS-operated
retail facility; compliance with government policy established by law
that the Postal Service must provide a maximum degree of effective and
regular postal services to rural areas, communities, and small towns
where post offices are not self-sustaining; the economic savings to the
Postal Service; and any other factors the Postal Service determines
necessary. In addition, certain mandatory procedures apply as follows:
(i) The public must be given 60 days' notice of a proposed action to
enable the persons served by a USPS-operated retail facility to evaluate
the proposal and provide comments.
(ii) After public comments are received and taken into account, any
final determination to close or consolidate a USPS-operated retail
facility must be made in writing and must include findings covering all
the required considerations.
(iii) The written determination must be made available to persons
served by the USPS-operated retail facility at least 60 days before the
discontinuance takes effect.
(iv) Within the first 30 days after the written determination is
made available, any person regularly served by a Post Office subject to
discontinuance may appeal the decision to the Postal Regulatory
Commission. Where persons regularly served by another type of USPS-
operated retail facility subject to discontinuance file an appeal with
the Postal Regulatory Commission, the General Counsel reserves the right
to assert defenses, including the Commission's lack of jurisdiction over
such appeals. For purposes of determining whether an appeal is filed
within the 30-day period, receipt by the Commission is based on the
postmark of the appeal, if sent through the mail, or on other
appropriate documentation or indicia, if sent through another lawful
delivery method.
(v) The Commission may only affirm the Postal Service determination
or return the matter for further consideration but may not modify the
determination.
(vi) The Commission is required to make any determination subject to
39 U.S.C. 404(d)(5) no later than 120 days after receiving the appeal.
(vii) The following table summarizes the notice and appeal periods
defined by statute.
Public Notice of Proposal
------------------------------------------------------------------------
-------------------------------------------------------------------------
60-day notice
------------------------------------------------------------------------
Public Notice of Final Determination
------------------------------------------------------------------------
------------------------------------------------------------------------
30 days for filing any appeal Wait at least 60 days from
Up to 120 days for appeal consideration first day after posting
and decision final determination before
closing or consolidating
USPS-operated retail
facility.
------------------------------------------------------------------------
(4) Additional requirements. This section also includes:
(i) Rules to ensure that the community's identity as a postal
address is preserved.
(ii) Rules for consideration of a proposed discontinuance and for
its implementation, if approved. These rules are designed to ensure that
the reasons leading to discontinuance of a particular USPS-operated
retail facility are fully articulated and disclosed at a stage that
enables customer participation to make a helpful contribution toward the
final decision.
(5) Initial feasibility study. A District Manager, the responsible
Headquarters Vice President, or a designee of either may initiate a
feasibility study of a USPS-operated retail facility's potential
discontinuance, in order to assist the District Manager in determining
whether to proceed with a written proposal to discontinue the facility.
(i) Permissible circumstances. The initial feasibility study may be
based upon circumstances including, but not limited to, the following:
(A) A postmaster vacancy;
(B) Emergency suspension of the USPS-operated retail facility due to
cancellation of a lease or rental agreement when no suitable alternate
quarters are available in the community, a fire or natural disaster,
irreparable damage when no suitable alternate
[[Page 88]]
quarters are available in the community, challenge to the sanctity of
the mail, or similar reasons;
(C) Earned workload below the minimum established level for the
lowest non-bargaining (EAS) employee grade;
(D) Insufficient customer demand, evidenced by declining or low
volume, revenue, revenue units, local business activity, or local
population trends;
(E) The availability of reasonable alternate access to postal
services for the community served by the USPS-operated retail facility;
or
(F) The incorporation of two communities into one or other special
circumstances.
(ii) Impermissible circumstances. The following circumstances may
not be used to justify initiation of an initial feasibility study:
(A) Any claim that the continued operation of a building without
handicapped modifications is inconsistent with the Architectural
Barriers Act (42 U.S.C. 4151 et seq.);
(B) The absence of running water or restroom facilities;
(C) Compliance with the Occupational Safety and Health Act of 1970
(29 U.S.C. 651 et seq.); or
(D) In the absence of any circumstances identified in paragraph
(a)(5)(i) of this section, the operation of a small Post Office at a
deficit.
(iii) Notice to customers. Local management must provide
notification and questionnaires to customers at the USPS-operated retail
facility under study. Local management may determine whether
notification is appropriate through media outlets. In addition, the
following customers that receive delivery service from the USPS-operated
retail facility must receive notification and questionnaires by mail:
(A) Post Office Box customers at the USPS-operated retail facility
under study;
(B) Customers whose delivery carrier is stationed out of the USPS-
operated retail facility under study;
(C) Customers in the delivery area of the same ZIP Code as the
retail facility under study, regardless of whether the delivery carriers
for those customers are stationed out of the retail facility under study
or out of a nearby facility; and
(D) Customers whom the retail facility under study serves for allied
delivery services such as mail pick-up.
(iv) Initial feasibility study due to emergency suspension. Wherever
possible when an initial feasibility study is to be initiated under
Sec. 241.3(a)(5)(i)(B) (for example, when it is anticipated that a
lease or rental agreement will be cancelled with no suitable alternate
quarters available in the community), responsible personnel should
initiate the initial feasibility study sufficiently in advance of the
circumstance prompting the emergency suspension to allow a meaningful
opportunity for public input to be taken into account. If public input
cannot be sought sufficiently in advance of the end date of the lease or
rental agreement, responsible personnel should endeavor, to the extent
possible, to continue operation of the USPS-operated retail facility for
the duration necessary to gather public input and make a more fully
informed decision on whether to proceed with a discontinuance proposal.
Customers formerly served by the suspended facility should receive
notice under paragraph (a)(5)(iii) of this section, including by mail,
to the same extent that they would have if the facility were not in
suspended status at the time of the initial feasibility study, proposal,
or final determination.
(b) Preservation of community address--(1) Policy. The Postal
Service permits the use of a community's separate address to the extent
practicable.
(2) ZIP Code assignment. The ZIP Code for each address formerly
served from the discontinued USPS-operated retail facility should be
kept, wherever practical. In some cases, the ZIP Code originally
assigned to the discontinued USPS-operated retail facility may be
changed if the responsible District Manager receives approval from his
or her Vice President, Area Operations, before any proposal to
discontinue the USPS-operated retail facility is posted.
(i) In a consolidation, the ZIP Code for the replacement contractor-
operated retail facility is the ZIP Code originally assigned to the
discontinued facility.
[[Page 89]]
(ii) If the ZIP Code is changed and the parent or gaining USPS-
operated retail facility covers several ZIP Codes, the ZIP Code must be
that of the delivery area within which the facility is located.
(3) USPS-operated retail facility's city name in address. If all the
delivery addresses using the city name of the USPS-operated retail
facility being discontinued continue to use the same ZIP Code, customers
may continue to use the discontinued facility's city name in their
addresses, instead of that of the new delivering USPS-operated retail
facility.
(4) Name of facility established by consolidation. If a USPS-
operated retail facility is consolidated by establishing in its place a
contractor-operated facility, the replacement unit can be given the same
name of the facility that is replaced, if appropriate in light of the
nature of the contract and level of service provided.
(c) Initial proposal--(1) In general. If a District Manager believes
that the discontinuance of a USPS-operated retail facility within his or
her responsibility may be warranted, the District Manager:
(i) Must use the standards and procedures in Sec. 241.3(c) and (d).
(ii) Must investigate the situation.
(iii) May propose the USPS-operated retail facility be discontinued.
(2) Consolidation. The proposed action may include a consolidation
of USPS-operated retail facilities. A consolidation arises when a USPS-
operated retail facility is replaced with a contractor-operated retail
facility.
(3) Views of postmasters. Whether the discontinuance under
consideration involves a consolidation or not, the District Manager must
discuss the matter with the postmaster (or the officer in charge) of the
USPS-operated retail facility considered for discontinuance, and with
the postmaster of any other USPS-operated retail facility affected by
the change. The District Manager should make sure that these officials
are invited to submit written comments and suggestions as part of the
record when the proposal is reviewed.
(4) Preparation of written proposal. The District Manager, or a
designee, must gather and preserve for the record all documentation used
to assess the proposed change. If the District Manager thinks the
proposed action is warranted, he or she, or a designee, must prepare a
document titled ``Proposal to (Close) (Consolidate) the (Facility
Name).'' This document must describe, analyze, and justify in sufficient
detail to Postal Service management and affected customers the proposed
service change. The written proposal must address each of the following
matters in separate sections:
(i) Responsiveness to community postal needs. It is the policy of
the Government, as established by law, that the Postal Service will
provide a maximum degree of effective and regular postal services to
rural areas, communities, and small towns where post offices are not
self-sustaining. The proposal should:
(A) Contrast the services available before and after the proposed
change;
(B) Describe how the changes respond to the postal needs of the
affected customers; and
(C) Highlight particular aspects of customer service that might be
less advantageous as well as more advantageous.
(ii) Effect on community. The proposal must include an analysis of
the effect the proposed discontinuance might have on the community
served, and discuss the application of the requirements in Sec.
241.3(b).
(iii) Effect on employees. The written proposal must summarize the
possible effects of the change on postmasters and other employees of the
USPS-operated retail facility considered for discontinuance.
(iv) Savings. The proposal must include an analysis of the economic
savings to the Postal Service from the proposed action, including the
cost or savings expected from each major factor contributing to the
overall estimate.
(v) Other factors. The proposal should include an analysis of other
factors that the District Manager determines are necessary for a
complete evaluation of the proposed change, whether favorable or
unfavorable.
(vi) Summary. The proposal must include a summary that explains why
the
[[Page 90]]
proposed action is necessary, and assesses how the factors supporting
the proposed change outweigh any negative factors. In taking competing
considerations into account, the need to provide regular and effective
service is paramount.
(vii) Notice. The proposal must include the following notices:
(A) Supporting materials. ``Copies of all materials on which this
proposal is based are available for public inspection at (Facility Name)
during normal office hours.''
(B) Nature of posting. ``This is a proposal. It is not a final
determination to (close) (consolidate) this facility.''
(C) Posting of final determination. ``If a final determination is
made to close or consolidate this facility, after public comments on
this proposal are received and taken into account, a notice of that
final determination will be posted in this facility.''
(D) Appeal rights. ``The final determination will contain
instructions on how affected customers may appeal a decision to close or
consolidate a post office to the Postal Regulatory Commission. Any such
appeal must be received by the Commission within 30 days of the posting
of the final determination.'' The notice in this clause is provided when
the USPS-operated retail facility under study is a post office. For
purposes of this clause, the date of receipt by the Commission is based
on the postmark of the appeal, if sent through the mail, or on other
appropriate documentation or indicia, if sent through another lawful
delivery method.
(d) Notice, public comment, and record--(1) Posting proposal and
comment notice. A copy of the written proposal and a signed invitation
for comments must be posted prominently, with additional copies to be
given to customers upon request, in the following locations:
(i) The USPS-operated retail facility under study, unless service at
the facility has been suspended;
(ii) The USPS-operated retail facility proposed to serve as the
supervising facility;
(iii) Any USPS-operated retail facility likely to serve a
significant number of customers of the USPS-operated retail facility
under study; and
(iv) If service at the facility under study has been suspended, any
USPS-operated retail facility providing alternative service for former
customers of the facility under study.
(2) Contents of comment notice. The invitation for comments must:
(i) Ask interested persons to provide written comments within 60
days, to a stated address, offering specific opinions and information,
favorable or unfavorable, on the potential effect of the proposed change
on postal services and the community.
(ii) State that copies of the proposal with attached optional
comment forms are available in the affected USPS-operated retail
facilities.
(iii) Provide a name and telephone number to call for information.
(3) Other steps. In addition to providing notice and inviting
comment, the District Manager must take any other steps necessary to
ensure that the persons served by affected USPS-operated retail
facilities understand the nature and implications of the proposed
action. A community meeting must be held to provide outreach and gain
public input after the proposal is posted, unless otherwise instructed
by the responsible Headquarters Vice President or the applicable Vice
President, Area Operations. Authorization to forgo a community meeting
should issue only where exceptional circumstances make a community
meeting infeasible, such as where the community no longer exists because
of a natural disaster or because residents have moved elsewhere.
(i) If oral contacts develop views or information not previously
documented, whether favorable or unfavorable to the proposal, the
District Manager should encourage persons offering the views or
information to provide written comments to preserve them for the record.
(ii) As a factor in making his or her decision, the District Manager
may not rely on communications received from anyone unless submitted in
writing for the record.
(4) Record. The District Manager must keep, as part of the record
for
[[Page 91]]
consideration and review, all documentation gathered about the proposed
change.
(i) The record must include all information that the District
Manager considered, and the decision must stand on the record. No
written information or views submitted by customers may be excluded.
(ii) The docket number assigned to the proposal must be the ZIP Code
of the office proposed for closing or consolidation.
(iii) The record must include a chronological index in which each
document contained is identified and numbered as filed.
(iv) As written communications are received in response to the
public notice and invitation for comments, they are included in the
record.
(v) A complete copy of the record must be available for public
inspection during normal office hours at the USPS-operated retail
facilities where the proposal was posted under paragraph (d)(1) of this
section, beginning no later than the date on which notice is posted and
extending through the posting period. When appropriate, certain
personally identifiable information, such as individual names or
residential addresses, may be redacted from the publicly accessible copy
of the record.
(vi) Copies of documents in the record (except the proposal and
comment form) are provided on request and on payment of fees as noted in
chapter 4 of Handbook AS-353, Guide to Privacy, the Freedom of
Information Act, and Records Management.
(e) Consideration of public comments and final local
recommendation--(1) Analysis of comments. The District Manager or a
designee must prepare an analysis of the public comments received for
consideration and inclusion in the record. If possible, comments
subsequently received should also be included in the analysis. The
analysis should list and briefly describe each point favorable to the
proposal and each point unfavorable to the proposal. The analysis should
identify to the extent possible how many comments support each point
listed.
(2) Re-evaluation of proposal. After completing the analysis, the
District Manager must review the proposal and re-evaluate all the
tentative conclusions previously made in light of additional customer
information and views in the record.
(i) Discontinuance not warranted. If the District Manager decides
against the proposed discontinuance, he or she must post, in the USPS-
operated retail facilities where the proposal was posted under paragraph
(d)(1) of this section, a notice stating that the proposed closing or
consolidation is not warranted.
(ii) Discontinuance warranted. If the District Manager decides that
the proposed discontinuance is justified, the appropriate sections of
the proposal must be revised, taking into account the comments received
from the public. After making necessary revisions, the District Manager
must:
(A) Transmit the revised proposal and the entire record to the
responsible Headquarters Vice President.
(B) Certify that all documents in the record are originals or true
and correct copies.
(f) Postal Service decision.--(1) In general. The responsible
Headquarters Vice President or a designee must review the proposal of
the District Manager and decide on the merits of the proposal. This
review and the decision must be based on and supported by the record
developed by the District Manager. The responsible Headquarters Vice
President can instruct the District Manager to provide more information
to supplement the record. Each instruction and the response must be
added to the record. The decision on the proposal of the District
Manager, which must also be added to the record, may approve or
disapprove the proposal, or return it for further action as set forth in
this paragraph (f).
(2) Approval. The responsible Headquarters Vice President or a
designee may approve the proposed discontinuance, with or without
further revisions. If approved without further revision, the term
``Final Determination'' is substituted for ``Proposal'' in the title. A
copy of the Final Determination must be provided to the District
Manager. The Final Determination constitutes the Postal Service
determination for the purposes of 39 U.S.C. 404(d).
[[Page 92]]
(i) Supporting materials. The Final Determination must include the
following notice: ``Copies of all materials on which this Final
Determination is based are available for public inspection at the
(Facility Name) during normal office hours.''
(ii) Appeal rights. If the USPS-operated retail facility subject to
discontinuance is a post office, the Final Determination must include
the following notice: ``Pursuant to Public Law 94-421 (1976), this Final
Determination to (close) (consolidate) the (Facility Name) may be
appealed by any person served by that office to the Postal Regulatory
Commission, 901 New York Avenue, NW., Suite 200, Washington, DC 20268-
0001. Any appeal must be received by the Commission within 30 days of
the first day this Final Determination was posted. If an appeal is
filed, copies of appeal documents prepared by the Postal Regulatory
Commission, or the parties to the appeal, must be made available for
public inspection at the (Facility Name) during normal office hours.''
(3) Disapproval. The responsible Headquarters Vice President or a
designee may disapprove the proposed discontinuance and return it and
the record to the District Manager with written reasons for disapproval.
The District Manager or a designee must post, in each affected USPS-
operated retail facility where the proposal was posted under paragraph
(d)(1) of this section, a notice that the proposed closing or
consolidation has been determined to be unwarranted.
(4) Return for further action. The responsible Headquarters Vice
President or a designee may return the proposal of the District Manager
with written instructions to give additional consideration to matters in
the record, or to obtain additional information. Such instructions must
be placed in the record.
(5) Public file. Copies of each Final Determination and each
disapproval of a proposal by the responsible Headquarters Vice President
must be placed on file in the Postal Service Headquarters library.
(g) Implementation of final determination--(1) Notice of final
determination to discontinue USPS-operated retail facility. The District
Manager must:
(i) Provide notice of the Final Determination by posting a copy
prominently in the USPS-operated retail facilities in each affected
USPS-operated retail facilities where the proposal was posted under
paragraph (d)(1) of this section, including the USPS-operated retail
facilities likely to be serving the affected customers. The date of
posting must be noted on the first page of the posted copy as follows:
``Date of posting.''
(ii) Ensure that a copy of the completed record is available for
public inspection during normal business hours at each USPS-operated
retail facility where the Final Determination is posted for 30 days from
the posting date.
(iii) Provide copies of documents in the record on request and
payment of fees as noted in chapter 4 of Handbook AS-353, Guide to
Privacy, the Freedom of Information Act, and Records Management.
(2) Implementation of determinations not appealed. If no appeal is
filed, the official closing date of the office must be published in the
Postal Bulletin and effective, at the earliest, 60 days after the first
day that Final Determination was posted. A District Manager may request
a different date for official discontinuance in the Retail Change
Announcement document submitted to the responsible Headquarters Vice
President or a designee. However, the USPS-operated retail facility may
not be discontinued sooner than 60 days after the first day of the
posting of the notice required by paragraph (g)(1) of this section.
(3) Actions during appeal--(i) Implementation of discontinuance. If
an appeal is filed, only the responsible Headquarters Vice President may
direct a discontinuance before disposition of the appeal. However, the
USPS-operated retail facility may not be permanently discontinued sooner
than 60 days after the first day of the posting of the notice required
by paragraph (g)(1) of this section.
(ii) Display of appeal documents. The Office of General Counsel must
provide the District Manager with copies of all pleadings, notices,
orders, briefs, and opinions filed in the appeal proceeding.
[[Page 93]]
(A) The District Manager must ensure that copies of all these
documents are prominently displayed and available for public inspection
in the USPS-operated retail facilities where the Final Determination was
posted under paragraph (g)(1)(i) of this section. If the operation of
that USPS-operated retail facility has been suspended, the District
Manager must ensure that copies are displayed in the USPS-operated
retail facilities likely to be serving the affected customers.
(B) All documents except the Postal Regulatory Commission's final
order and opinion must be displayed until the final order and opinion
are issued. The final order and opinion must be displayed at the USPS-
operated retail facility to be discontinued for 30 days or until the
effective date of the discontinuance, whichever is earlier. The final
order and opinion must be displayed for 30 days in all other USPS-
operated retail facilities where the Final Determination was posted
under paragraph (g)(1)(i) of this section.
(4) Actions following appeal decision --(i) Determination affirmed.
If the Commission dismisses the appeal or affirms the Postal Service's
determination, the official closing date of the office must be published
in the Postal Bulletin, effective anytime after the Commission renders
its opinion, if not previously implemented under Sec. 241.3(g)(3)(i).
However, the USPS-operated retail facility may not be discontinued
sooner than 60 days after the first day of the posting of the notice
required under Sec. 241.3(g)(1).
(ii) Determination returned for further consideration. If the
Commission returns the matter for further consideration, the responsible
Headquarters Vice President must direct that either:
(A) Notice be provided under paragraph (f)(3) of this section that
the proposed discontinuance is determined not to be warranted or
(B) The matter be returned to an appropriate stage under this
section for further consideration following such instructions as the
responsible Headquarters Vice President may provide.
[76 FR 41420, July 14, 2011; 76 FR 43898, July 22, 2011, as amended at
76 FR 66187, Oct. 26, 2011]
Sec. 241.4 Expansion, relocation, and construction of post offices.
(a) Application. (1) This section applies when the USPS contemplates
any one of the following projects with respect to a customer service
facility: expansion, relocation to another existing building, or new
construction, except when the project is to meet an emergency
requirement or for temporary use. Emergency situations include, but are
not limited to, earthquakes, floods, fire, lease terminations, safety
factors, environmental causes, or any other actions that would force an
immediate relocation from an existing facility. Temporary relocation of
space is used for, but not limited to, holidays, special events, or for
overflow business. Use of emergency and temporary space will be limited
to 180 days in duration. Any additional incremental time periods of up
to 180 days each must be approved by the Vice President, Facilities.
(2) This section does not apply when the project under consideration
is limited to repair and alterations, such as--
(i) Painting;
(ii) Repairs;
(iii) Replacement or upgrade of structural or functional elements of
a postal building or of its equipment;
(iv) Paving, striping, or other repair of parking areas;
(v) Landscaping.
(b) Purpose. The purpose of the procedures required by this section
is to assure increased opportunities for members of the communities who
may be affected by certain USPS facility projects, along with local
officials, to convey their views concerning the contemplated project and
have them considered prior to any final decision to expand, relocate to
another existing building, or construct a new building that is owned or
leased.
(c) Expansion, relocation, new construction. When a need is
identified that will require the expansion, relocation, or new
construction of a customer service facility, postal representatives
responsible for the project will take the following steps in accordance
with the time schedule shown:
(1) Personally visit one or more of the highest ranking local public
officials (generally individuals holding
[[Page 94]]
elective office). During the visit, the postal representatives will--
(i) Identify the need and fully describe the project that is under
consideration to meet it, explain the process by which the Postal
Service will solicit and consider input from the affected community, and
solicit a working partnership with the community officials for the
success of the project.
(ii) Emphasize that in meeting a need for increased space, the first
priority is to expand the existing facility; the second priority is to
find an existing building in the same area as the current facility; and
the third option is to build on a new site; all within the downtown
area, if possible.
(iii) Ask that a Postal Service presentation of the project be
placed on the regular agenda of a public meeting or hearing. If no such
meeting is planned within the next 60 days or the agenda of a planned
meeting cannot accommodate the project, the USPS will schedule its own
public hearing concerning the project, and will advertise the meeting or
hearing in a local general circulation newspaper.
(iv) Give the local officials a letter describing the intended
project.
(2) Notify the lessor of the affected facility of the project, in
writing.
(3) Send an initial news release to local communications media.
(4)(i) Post in the public lobby of the affected post offices a copy
of the letter given to local officials, or the news release, or, space
permitting, both. If such information is available at the time, include
in the posting a public notice of the date, time, and location of a
public meeting or hearing at least 7 days prior to the meeting or
hearing.
(ii) Except as provided in this paragraph, attend, or conduct, one
or more public hearings to describe the project to the community, invite
questions, solicit written comment, and describe the process by which
community input will be considered. If it is believed at the time that
the existing facility is not able to be expanded or that expansion is
impracticable, disclose that fact and the reasons supporting that
belief. If, during the public meeting or hearing process, a new
development should occur to allow for an expansion of the existing
facility, the Postal Service will make a good faith effort in pursuing
this alternative. Under exceptional circumstances that would prevent
postal representatives from attending a public meeting or conducting a
postal hearing on the planned project within a reasonable time, and
subject to approval of the Vice President, Facilities, the Postal
Service may distribute a notification card to all affected customers,
seeking their comments or other feedback. An example of exceptional
circumstances would be a project in a sparsely populated area remote
from the seat of local government or any forum where a postal conducted
meeting could be held.
(iii) At any public meeting or hearing, advise local officials and
the community of their appeal rights and the process by which an appeal
can be made. Information provided must include time limitations and an
address for the appeal.
(5) Review comments and notify local officials of decision. Not less
than 15 days after the date of the most recent public meeting, or after
receipt of notification cards, make a decision that takes into account
community input and is consistent with postal objectives (e.g.,
expansion, relocation to another building, or construction of a new
owned or leased facility), and notify local officials in writing. This
notification must include information on the availability and terms of
review under paragraph (c)(6) of this section. At the same time, post a
copy of the notification letter in the local post office for the
community. Take no action on the decision for at least 30 days following
notification of local officials and the community.
(6) Within the time period identified in paragraph (c)(5) of this
section, any person may request in writing that the decision be reviewed
by the Vice President, Facilities, at Postal Service Headquarters. No
particular format is required for requesting review, but the request
must be in writing and identify the post office or location affected;
and should identify the decision objected to, and state the reasons for
the objection. The Vice President, Facilities, will obtain the views of
the decision maker, review relevant parts of the project file, and if
necessary request
[[Page 95]]
more information from the appellant. Upon review of the facts, the Vice
President, or a representative, will issue a written determination, if
possible, within 15 days. In no event will the Postal Service take
action on the decision being reviewed until 15 days following issuance
of the final review determination. If the determination on review is to
set aside the decision, the project process will return to the public
hearing stage of paragraph (c)(4) of this section.
(7) Advertise for sites and existing buildings, in accordance with
existing postal procedures.
(d) Discontinuance of post offices; historic preservation. (1) It is
the policy of the Postal Service, by virtue of Board of Governors
Resolution No. 82-7, to comply with Section 106 of the general
provisions of the National Historic Preservation Act, 16 U.S.C. 470, et
seq., Executive Order 12072, and Executive Order 13006. Therefore, any
facility project that will have an effect on cultural resources will be
undertaken in accordance with that policy.
(2) Any action involving the closing or other discontinuance of a
post office shall be undertaken only in accordance with 39 U.S.C. 404(b)
and 39 CFR 243.1. In the event a facility action is subject to both this
section, and either the NHPA or the post office discontinuance
requirements, all comment periods and other public participation matters
shall be governed by those statutes.
(e) Site selection. (1) When the decision is to advertise for sites
and existing buildings, and after such sites have been identified,
advise local officials in writing of all contending sites, and with
respect to all sites not selected, provide an explanation. This notice
will advise local officials, and the community, that no decision to
select a site will be made for a minimum of 30 days, and that comments
or discussions of all sites are solicited. Post a copy of this letter in
the lobby of the affected post office for public notice.
(2) Once a specific site is then selected, notify local officials in
writing of the selection decision.
(3) Take no final action to acquire or lease the selected site for
30 days following the notification in paragraph (e)(2) of this section.
(f) Planning, zoning, building codes. In carrying out customer
service facilities projects, it is the policy of the Postal Service to
comply with local planning and zoning requirements and building codes
consistent with prudent business practices and unique postal
requirements. In order to promote a partnership with local officials and
assure conformance with local building codes, plans and drawings will be
sent to the appropriate building department or other officials for
review. Where payment of fees is normally required of private entities,
the Postal Service will pay a reasonable fee for the review. The Postal
Service will give local public officials written notice of any timely,
written objections or recommendations that it does not plan to adopt or
implement.
(g) Continuing communication. During construction, whether
renovation or new construction, the postmaster should keep local
officials and the community informed via letters and news releases. The
postmaster and other postal officials should plan, conduct and invite
the community and local officials to any ``grand opening'', as
appropriate.
[63 FR 46656, Sept. 2, 1998]
PART 242_CHANGE OF SITE--Table of Contents
Sec. 242.2 Change of site--fourth-class offices.
Report by memorandum to chief, organization and management branch,
when change in site is necessary. Complete Form 1021 when furnished.
Retain one copy in files. If new location is one-fourth of a mile or
more from existing location, furnish a statement signed by majority of
customers approving change. When a change involves moving a post office
from one county to another, notify the Deputy Postmaster General, of the
circumstances (including a sketch showing present and proposed sites),
and await approval of that Division.
(39 U.S.C. 401)
[36 FR 4765, Mar. 12, 1971]
[[Page 96]]
PART 243_CONDUCT OF OFFICES--Table of Contents
Sec. 243.2 Quarters.
(a) Employee bulletin boards. Bulletin boards may be placed in
workrooms and employees' lunchrooms for displaying notices as prescribed
in this manual and Management Labor Organization Agreements.
(b) Location of offices. Postal units may not be located in, or
directly connected to, a room in which intoxicating liquor is sold to be
consumed on the premises.
(c) Lost articles. When articles are turned in to employees, the
name and address of the finder shall be recorded so the article may be
returned to him if not claimed by the loser. If the name of the finder
cannot be obtained, and the article is not claimed within 30 days, it
must be disposed of in the same manner as unidentified material found
loose in the mail. Do not return postal money orders to the finder. Mail
to Money Order Branch, Accounting Division, U.S. Postal Service, General
Accounting Office Building, Washington, DC 20260, with a memorandum of
explanation.
(d) Public use of restrooms. Restrooms off public corridors shall
normally be kept open during regular hours of business for the benefit
of the public. Where vandalism or loitering cannot be controlled,
postmasters may lock restrooms, furnishing those agencies served by the
restrooms, keys for employee use. This shall not be construed to permit
access by nonpostal personnel to restrooms in restricted postal areas.
(e) Letter drops. At all except fourth-class post offices, provide a
regulation letterbox for depositing mail in front of or next to the post
office. Show collection time schedules on letterboxes. At fourth-class
offices, if a letterbox is not supplied, provide a slot in the outer
post office door. When messengers or star route carriers have access to
lobbies, door slot deposits must lead to a locked box.
(f) Hour signs. Display hours of window service prominently at all
first-, second-, and third-class post offices, classified stations and
branches, and annexes. Use Sign 41, Hours decal set, available in supply
centers.
(g) Service of process on postal premises. Postmasters or other
installation heads shall permit service on postal premises of civil and
criminal process affecting employees in personal matters, when such
service of process will not interfere with postal operations. Process
servers should be directed to the postmaster's or installation head's
office, where the employee will be called in and service made. Section
265.10 of this chapter contains rules regarding compliance with subpoena
duces tecum, court orders, and summonses where official business or
official records are involved.
(h) Public service areas--prohibited items. Photographs of an
incumbent or former President or Postmaster General are not to be
displayed in post office lobbies or in common use public service areas
such as elevator lobbies and corridors in facilities owned by or leased
to the Postal Service. Further, such photographs are not to be
requisitioned or purchased by postal installations at Postal Service
expense.
(39 U.S.C. 501)
[36 FR 4765, Mar. 12, 1971, as amended at 39 FR 38376, Oct. 31, 1974; 40
FR 8820, Mar. 3, 1975; 42 FR 33722, July 1, 1977; 44 FR 39854, July 6,
1979]
General Postal Administration--Table of Contents
PART 254_POSTAL SERVICE STANDARDS FOR FACILITY ACCESSIBILITY PURSUANT
TO THE ARCHITECTURAL BARRIERS ACT--Table of Contents
Sec.
254.1 Adoption of U.S. Access Board Standards as Postal Service
Standards of Facility Accessibility
254.2 Definition of primary function area and criteria used to determine
whether an alteration has an effect on an area containing a
primary function that is disproportionate to the overall
alterations.
Authority: 39 U.S.C 101, 401, 403; 29 U.S.C. 792(b)(3) and 42 U.S.C.
12204.
Source: 70 FR 28214, May 17, 2005, unless otherwise noted.
[[Page 97]]
Sec. 254.1 Adoption of U.S. Access Board Standards as Postal Service
Standards of Facility Accessibility.
(a) The United States Postal Service adopts as its Architectural
Barriers Act (ABA) ``Standards for Facility Accessibility,'' the
following sections of 36 CFR part 1191:
Appendix A to Part 1191, Table of Contents for apps. C, D, and E.
Appendix C to Part 1191, Architectural Barriers Act, Scoping (which
contains ABA Chapter 1, Application and Administration, and ABA Chapter
2, Scoping requirements); pertinent parts of Appendix D to Part 1191,
Technical (which includes Chapters 3 through 10).
Appendix E to Part 1191, List of Figures and Index.
(b) These sections listed in paragraph (a) of this section are
adopted verbatim, with the exception of the Advisory Notes, which are
expressly excluded.
Sec. 254.2 Definition of primary function area and criteria used to
determine whether an alteration has an effect on an area containing a
primary function that is disproportionate to the overall alterations.
(a) Terminology. The new accessibility guidelines require that
certain terms be defined by the participating federal agencies. In the
U.S. Access Board's 36 CFR part 1191, Appendix C, ABA chapter 2, section
F202.6.2 requires that ``primary function areas'' be defined and Section
F202.4 contains requirements for alterations affecting ``primary
function areas'' stating, ``* * *an alteration that affects or could
affect the usability of or access to an area containing a primary
function shall be made so as to ensure that, to the maximum extent
feasible, the path of travel to the altered area, including the rest
rooms, telephones, and drinking fountains serving the altered area, are
readily accessible to and usable by individuals with disabilities,
unless such alterations are disproportionate to the overall alterations
in terms of cost and scope as determined under criteria established by
the Administrator of * * * the United States Postal Service.''
(b) Primary function areas. For purposes of this part, the primary
function of the Postal Service is to provide mail service for its
customers, that is to accept, distribute, transport and deliver the
mail. Two essential facilities for fulfilling these functions are
customer lobby areas where customers conduct their retail transactions,
access mail depositories and post office boxes and work room areas where
postal employees distribute the mail and perform other core postal
operations. Therefore, for purposes of the accessibility guidelines
applicable to the Postal Service under the Architectural Barriers Act,
two primary function areas are identified: Customer Lobbies and Workroom
Areas.
(c) Disproportionality. (1) According to Section F202.6.2,
``alteration'' of elements in a primary function area can trigger a
requirement to make accessibility improvements along the path of travel
to the area and improvements to rest rooms, telephones, and drinking
fountains that serve the altered area if the alteration ``affects or
could affect the usability of or access to an area containing a primary
function.'' It is conceivable that almost any repair or alteration
project in a ``primary function area'' could affect the usability of the
area. Therefore a literal interpretation of this provision could require
an expansion of the scope of virtually any alteration in a primary
function area, regardless of the size and scope of the original project.
According to Section F202.6.2, accessibility improvements must be made
to the path of travel to the altered area and to rest rooms, telephones,
and drinking fountains that serve the altered area ``unless such
alterations are disproportionate to the overall alterations in terms of
cost and scope''.
(2) For purposes of the accessibility guidelines applicable to the
Postal Service under the Architectural Barriers Act, two criteria must
be considered in making a determination whether accessibility
improvements are disproportionate to the cost and scope of the original
alteration: a magnitude threshold for the original alteration and a
maximum ``percentage threshold'' for the accessibility alteration.
(d) Magnitude threshold. It is anticipated that, in most cases, a
significant additional effort would be required to assess physical
conditions along the
[[Page 98]]
path of travel and for rest rooms, telephones, and drinking fountains
that serve the altered area, and to determine the scope, budget and
appropriate design requirements for any corrective alterations. Unless
the original alteration is of substantial magnitude, a disproportionate
effort would be devoted to such investigation, design, and
administration leaving few, if any funds to accomplish corrective work.
Accordingly, a ``magnitude threshold'' is established such that no
accessibility improvements to the path of travel, nor to any associated
facilities, shall be required under F202.6.2 for alterations that have
an estimated total cost less than 20 percent of the fair market value of
the facility.
(e) Percentage threshold. For alterations subject to F202.6.2 that
meet or exceed the ``magnitude threshold,'' the maximum cost for
accessibility improvements to the path of travel, including all costs
for accessibility improvements to rest rooms, telephones, and drinking
fountains that serve the altered area, shall not exceed 20 percent of
the total cost of the original alteration. Costs for accessibility
improvements in excess of the 20 percent threshold shall be deemed
``disproportionate.''
PART 255_ACCESS OF PERSONS WITH DISABILITIES TO POSTAL SERVICE PROGRAMS,
ACTIVITIES, FACILITIES, AND ELECTRONIC AND INFORMATION TECHNOLOGY--Table
of Contents
Sec.
255.1 Purpose.
255.2 Definitions.
255.3 Nondiscrimination under any program or activity conducted by the
Postal Service.
255.4 Accessibility to electronic and information technology.
255.5 Employment.
255.6 Processing of complaints.
255.7 Special arrangements for postal services.
255.8 Access to postal facilities.
255.9 Other postal regulations; authority of postal managers and
employees.
Authority: 39 U.S.C. 101, 401, 403, 1001, 1003, 3403, 3404; 29
U.S.C. 791, 794, 794d.
Source: 69 FR 44962, July 28, 2004, unless otherwise noted.
Sec. 255.1 Purpose.
(a) This part implements section 504 of the Rehabilitation Act of
1973, as amended. Section 504 prohibits discrimination on the basis of
disability in programs or activities conducted by executive agencies or
by the Postal Service. This part also implements section 508 of the
Rehabilitation Act of 1973, as amended. Section 508 requires that
executive agencies and the Postal Service ensure, absent an undue
burden, that individuals with disabilities have access to electronic and
information technology that is comparable to the access of individuals
who are not disabled.
(b) The standards relating to electronic and information technology
expressed in this part are intended to be consistent with the standards
announced by the Architectural and Transportation Barriers Compliance
Board on December 21, 2000. Those standards are codified at 36 CFR part
1194.
Sec. 255.2 Definitions.
(a) Agency as used in this part means the Postal Service.
(b) Area/functional vice president also includes his or her
designee.
(c) Electronic and information technology (EIT) includes
``information technology'' and any equipment or interconnected system or
subsystem of equipment that is used in the creation, conversion, or
duplication of data or information. The term does not include any
equipment that contains embedded information technology that is used as
an integral part of the product, but the principal function of which is
not the acquisition, storage, manipulation, management, movement,
control, display, switching, interchange, transmission, or reception of
data or information.
(d) Formal complaint means a written statement that contains the
complainant's name, address, and telephone number, sets forth the nature
of the complainant's disability, and describes the agency's alleged
discriminatory action in sufficient detail to inform the agency of the
nature of the alleged violation of section 504 or of section 508. It
shall be signed by the complainant or
[[Page 99]]
by someone authorized to do so on the complainant's behalf.
(e) Individual with a disability. For purposes of this part,
``individual with a disability'' means any person who--
(1) Has a physical or mental impairment that substantially limits
one or more of such person's major life activities;
(2) Has a record of such an impairment; or
(3) Is regarded as having such an impairment.
(f) Information technology means any equipment, or interconnected
system or subsystem of equipment, that is used in the automatic
acquisition, storage, manipulation, management, movement, control,
display, switching, interchange, transmission, or reception of data or
information.
(g) Postal manager. As used in this part, ``postal manager'' means
the manager or official responsible for a service, facility, program, or
activity.
(h) Qualified individual with a disability. For purposes of this
part, ``qualified individual with a disability'' means--
(1) With respect to any Postal Service program or activity, except
for employment, under which a person is required to perform services or
to achieve a level of accomplishment, an individual with a disability
who meets the essential eligibility requirements and who can achieve the
purpose of the program or activity without modifications in the program
or activity that the agency can demonstrate would result in a
fundamental alteration in its nature; or
(2) With respect to any other program or activity, except for
employment, an individual with a disability who meets the essential
eligibility requirements for participation in, or receipt of benefits
from, that program or activity; or
(3) With respect to employment, an individual with a disability who
can perform the essential functions of the job in question with or
without reasonable accommodation.
(i) Section 501 means section 501 of the Rehabilitation Act of 1973,
as amended. Section 501 is codified at 29 U.S.C. 791.
(j) Section 504 means section 504 of the Rehabilitation Act of 1973,
as amended. Section 504 is codified at 29 U.S.C. 794.
(k) Section 508 means section 508 of the Rehabilitation Act of 1973,
as amended. Section 508 is codified at 29 U.S.C. 794d.
(l) Undue burden means significant difficulty or expense.
(m) Vice President and Consumer Advocate also includes his or her
designee.
Sec. 255.3 Nondiscrimination under any program or activity conducted
by the Postal Service.
In accordance with section 504 of the Rehabilitation Act, no
qualified individual with a disability shall, solely by reason of his or
her disability, be excluded from participation in, be denied the
benefits of, or be subjected to discrimination under, any program or
activity conducted by the Postal Service.
Sec. 255.4 Accessibility to electronic and information technology.
(a) In accordance with section 508 of the Rehabilitation Act, the
Postal Service shall ensure, absent an undue burden, that the electronic
and information technology the agency procures allows--
(1) Individuals with disabilities who are Postal Service employees
or applicants to have access to and use of information and data that is
comparable to the access to and use of information and data by Postal
Service employees or applicants who are not individuals with
disabilities; and
(2) Individuals with disabilities who are members of the public
seeking information or services from the Postal Service to have access
to and use of information and data that is comparable to the access to
and use of information and data by members of the public who are not
individuals with disabilities.
(b) When procurement of electronic and information technology that
meets the standards published by the Architectural and Transportation
Barriers Compliance Board would pose an undue burden, the Postal Service
shall provide individuals with disabilities covered by paragraph (a) of
this section with the information and data by an alternative means of
access that allows
[[Page 100]]
the individuals to use the information and data.
Sec. 255.5 Employment.
No qualified individual with a disability shall, on the basis of
disability, be subjected to discrimination in employment with the Postal
Service. The definitions, requirements, and procedures of section 501 of
the Rehabilitation Act of 1973, as established by the Equal Employment
Opportunity Commission in 29 CFR part 1614 shall apply to employment
within the Postal Service.
Sec. 255.6 Processing of complaints.
(a) Section 504 complaints, employment. The Postal Service shall
process complaints of employees and applicants alleging violations of
section 504 with respect to employment according to the procedures
established by the Equal Employment Opportunity Commission in 29 CFR
part 1614 pursuant to section 501 of the Rehabilitation Act of 1973, as
amended, 29 U.S.C. 791. In accordance with 29 CFR part 1614, the Postal
Service has established procedures for processing complaints of alleged
employment discrimination, based upon disability, in the agency's
handbook, Equal Employment Opportunity Complaint Processing.
(b) Section 504 complaints, members of the public. The procedures of
this part shall apply to section 504 complaints alleging disability
discrimination in any program or activity of the Postal Service and
brought by members of the public.
(c) Section 508 complaints, members of the public, employees, and
applicants. The procedures of this part shall apply to section 508
complaints alleging failure to provide access to electronic and
information technology and brought by members of the public or by
employees or applicants. Section 508 complaints shall be processed to
provide the remedies required by section 508 of the Rehabilitation Act.
(d) Complaint Procedures. Any individual with a disability who
believes that he or she has been subjected to discrimination prohibited
by this part or by the alleged failure of the agency to provide access
to electronic and information technology may file a complaint by
following the procedures described herein. A complainant shall first
exhaust informal administrative procedures before filing a formal
complaint.
(1) Informal complaints relating to Postal Service programs or
activities and to EIT. (i) A complainant initiates the informal process
by informing the responsible postal manager orally or in writing of the
alleged discrimination or inaccessibility of Postal Service programs,
activities, or EIT. Postal managers or employees who receive informal
complaints that they lack the authority to resolve must promptly refer
any such informal complaint to the appropriate postal manager, and at
the same time must notify the complainant of the name, address, and
telephone number of the person handling the complaint.
(ii) Resolution of the informal complaint and time limits. Within 15
days of receipt of the informal complaint, the responsible postal
manager must send the complainant a written acknowledgement of the
informal complaint. The written acknowledgment will include the date the
complaint was filed and a description of the issue(s). If the matter
cannot be resolved within 30 days of its receipt, the complainant must
be sent a written interim report which explains the status of the
informal complaint and the proposed resolution of the matter. On or
before the 60th day from the agency's receipt of the informal complaint,
the appropriate area/functional vice president within the Postal Service
shall send a written decision to the complainant detailing the final
disposition of the informal complaint and the reasons for that
disposition. The decision shall contain the notice that the complainant
may challenge an informal decision which denies relief either by
proceeding in any other appropriate forum or by filing a formal
complaint with the Vice President and Consumer Advocate. The notice will
give the address of the Vice President and Consumer Advocate. The notice
shall also state that if the complainant chooses to file a formal
complaint, the complainant shall exhaust the formal complaint procedures
before filing suit in any other forum.
[[Page 101]]
(iii) Automatic review. The responsible postal manager's proposed
disposition of the informal complaint shall be submitted to the
appropriate district/program manager for review. The district/program
manager shall forward the proposed disposition to the area/functional
vice president for review and issuance of the written decision. This
automatic review process shall be completed such that the written
decision of the area/functional vice president shall be sent to the
complainant no later than the 60th day from the agency's receipt of the
informal complaint.
(2) Formal complaints. If an informal complaint filed under
paragraph (d)(1) of this section denies relief, the complainant may seek
relief in any other appropriate forum, including the right to file a
formal complaint with the Vice President and Consumer Advocate in
accordance with the following procedures. If the complainant files a
formal complaint with the Vice President and Consumer Advocate, the
complainant shall exhaust the formal complaint procedures before filing
suit in any other forum.
(i) Where to file. Formal complaints relating to programs or
activities conducted by the Postal Service or to access of Postal
Service EIT may be filed with the Vice President and Consumer Advocate,
United States Postal Service, 475 L'Enfant Plaza, SW., Washington, DC
20260.
(ii) When to file. A formal complaint shall be filed within 30 days
of the date the complainant receives the decision of the area/functional
vice president to deny relief. For purposes of determining when a formal
complaint is timely filed under paragraph (d)(2)(ii) of this section, a
formal complaint mailed to the agency shall be deemed filed on the date
it is postmarked. Any other formal complaint shall be deemed filed on
the date it is received by the Vice President and Consumer Advocate.
(iii) Acceptance of the formal complaint. The Vice President and
Consumer Advocate shall accept a timely filed formal complaint that
meets the requirements of Sec. 255.2(d), that is filed after fulfilling
the informal exhaustion procedures of Sec. 255.6(d)(1), and over which
the agency has jurisdiction. The Vice President and Consumer Advocate
shall notify the complainant of receipt and acceptance of the formal
complaint within 15 days of the date the Vice President and Consumer
Advocate received the formal complaint.
(iv) Resolution of the formal complaint. Within 180 days of receipt
and acceptance of a formal complaint over which the agency has
jurisdiction, the Vice President and Consumer Advocate shall notify the
complainant of the results of the investigation of the formal complaint.
The notice shall be a written decision stating whether or not relief is
being granted and the reasons for granting or denying relief. The notice
shall state that it is the final decision of the Postal Service on the
formal complaint.
(e) No retaliation. No person shall be subject to retaliation for
opposing any practice made unlawful by the Rehabilitation Act of 1973,
as amended, 29 U.S.C. 791, or for participating in any stage of
administrative or judicial proceedings under the statute.
Sec. 255.7 Special arrangements for postal services.
Members of the public who are unable to use or who have difficulty
using certain postal services may be eligible under postal regulations
for special arrangements. Some of the special arrangements that the
Postal Service has authorized are listed below. No one is required to
use any special arrangement offered by the Postal Service, but an
individual's refusal to make use of a particular special arrangement
does not require the Postal Service to offer other special arrangements
to that individual.
(a) The Postal Operations Manual offers information on special
arrangements for the following postal services:
(1) Carrier delivery services and programs.
(2) Postal retail services and programs.
(i) Stamps by mail or phone.
(ii) Retail service from rural carriers.
(iii) Self-service postal centers. Self-service postal centers
contain vending equipment for the sale of stamps and stamp items, and
deposit boxes for parcels and letter mail. Many centers are
[[Page 102]]
accessible to individuals in wheelchairs. Information regarding the
location of the nearest center may be obtained from a local post office.
(b) The Domestic Mail Manual, the Administrative Support Manual, and
the International Mail Manual contain information regarding postage-free
mailing for mailings that qualify.
(c) Inquiries and requests. Members of the public wishing further
information about special arrangements for particular postal services
may contact their local postal manager.
(d) Response to a request or complaint regarding a special
arrangement for postal services. A local postal manager receiving a
request or complaint about a special arrangement for postal services
must provide any arrangement as required by postal regulations. If no
special arrangements are required by postal regulations, the local
postal manager, in consultation with the district manager or area
manager, as needed, may provide a special arrangement or take any action
that will accommodate an individual with a disability as required by
section 504 or by this part.
Sec. 255.8 Access to postal facilities.
(a) Legal requirements and policy--(1) ABA Standards. Where the
design standards of the Architectural Barriers Act (ABA) of 1968, 42
U.S.C. 4151 et seq., do not apply, the Postal Service may perform a
discretionary retrofit to a facility in accordance with this part to
accommodate individuals with disabilities.
(2) Discretionary modifications. The Postal Service may modify
facilities not legally required to conform to ABA standards when it
determines that doing so would be consistent with efficient postal
operations. In determining whether modifications not legally required
should be made, due regard is to be given to:
(i) The cost of the discretionary modification;
(ii) The number of individuals to be benefited by the modification;
(iii) The inconvenience, if any, to the general public;
(iv) The anticipated useful life of the modification to the Postal
Service;
(v) Any requirement to restore a leased premises to its original
condition at the expiration of the lease, and the cost of such
restoration;
(vi) The historic or architectural significance of the property in
accordance with the National Historic Preservation Act of 1966, 16
U.S.C. 470 et seq.;
(vii) The availability of other options to foster service
accessibility; and
(viii) Any other factor that is relevant and appropriate to the
decision.
(b) Inquiries and requests. (1) Inquiries concerning access to
postal facilities, and requests for discretionary alterations of postal
facilities not covered by the design standards of the ABA, may be made
to the local postal manager of the facility involved.
(2) The local postal manager's response to a request or complaint
regarding an alteration to a facility will be made after consultation
with the district manager or the area manager. If the determination is
made that modification to meet ABA design standards is not required, a
discretionary alteration may be made on a case-by-case basis in
accordance with the criteria listed in paragraph (a)(2) of this section.
If a discretionary alteration is not made, the local postal manager
should determine if a special arrangement for postal services under
Sec. 255.7 can be provided.
Sec. 255.9 Other postal regulations; authority of postal managers and
employees.
This part supplements all other postal regulations. Nothing in this
part is intended either to repeal, modify, or amend any other postal
regulation, to authorize any postal manager or employee to violate or
exceed any regulatory limit, or to confer any budgetary authority on any
postal official or employee outside normal budgetary procedures.
PART 259_SERVICES PERFORMED FOR OTHER AGENCIES--Table of Contents
Sec.
259.1 Government.
259.2 Red Cross.
Sec. 259.1 Government.
(a) Policy. The Postal Service cooperates with Federal Agencies
whenever the overall costs to Government will be
[[Page 103]]
reduced. Assistance in a number of special projects and programs is
provided when the knowledge and abilities of postal employees are
helpful.
(b) Reimbursement. The Postal Service establishes reasonable fees
and charges for nonpostal services performed for agencies of the Federal
as well as State governments. In establishing such fees and charges, the
Postal Service considers the value of time of the personnel directly
involved in the performance of the service, including direct supervision
and supporting functions, plus the cost of materials and supplies
specifically sold, used or consumed. Also included is an element
representing a reasonable share of Postal Service general overhead costs
which are not attributable or assignable specifically to any product or
service. The establishment of such fees and charges shall be reasonably
consistent with the methods employed in establishing rates and fees for
postal services then in effect.
(c) Except as provided in paragraph (d) of this section,
arrangements for Postal Service participation in special surveys,
censuses, and other activities must be made between the national
headquarters of the requesting agencies and the Customer Services
Department, U.S. Postal Service, Washington, DC 20260. Refer all
requests to the Regional Postmaster General for forwarding to
Headquarters. Authority to perform services for Government agencies is
announced in the Postal Bulletin or by individual letters to the offices
involved.
(d) Housing Vacancy Surveys--(1) General. An interagency agreement
between the U.S. Postal Service (USPS) and the Federal Home Loan Bank
Board (FHLBB) establishes the terms and conditions and reimbursement
rates under which USPS will conduct Housing Vacancy Surveys in City
Delivery offices when requested by FHLBB.
(2) Restrictions. The Agreement only authorizes the disclosure of
aggregate statistical data. Postal managers must not permit the name or
address of any past or present postal patron, or any other person to be
disclosed unless such disclosure is authorized in writing by USPS
Regions or Headquarters and is not in violation of 39 U.S.C. 412.
(3) Postmaster's Responsibility. (i) A postmaster will receive
notification from FHLBB when his office has been selected to conduct a
Housing Vacancy Survey. Normally, written notification will be mailed to
the postmaster 30 days in advance of the date FHLBB would like USPS to
conduct the survey, since USPS is under no obligation to use overtime or
auxiliary assistance to conduct these surveys. The postmaster or his
designee will schedule the survey on or near the date requested and will
promptly reply to FHLBB so that the necessary forms will be provided on
time.
(ii) All necessary forms and instructions will be supplied directly
to each post office to be surveyed. Postmasters will designate a manager
in each delivery unit to coordinate the survey within the unit and to
review completed survey forms for accuracy.
(iii) FHLBB may request USPS to perform special or emergency surveys
with less than 30 days advance notice. Since FHLBB has agreed to
reimburse USPS at twice the normal rates for promptly performing such
surveys, every reasonable effort should be made to accommodate such
requests in a timely manner.
(iv) Housing Vacancy Surveys will not be conducted during the month
of December of any year.
(v) Postmasters will notify the Office of Delivery and Collection,
Washington, DC 20260, of the number of each type survey form completed
for FHLBB. FHLBB will then remit payment directly to Headquarters, USPS.
(vi) USPS will not release or publish any survey results except in
response to a court order, subpoena, or as required by the Freedom of
Information Act.
(e) Unauthorized projects prohibited. Do not conduct special surveys
or otherwise participate in any cooperative projects without the
authorization in paragraph (c) of this section.
(39 U.S.C. 401, 411)
[36 FR 4773, Mar. 12, 1971, as amended at 40 FR 26511, June 24, 1975; 41
FR 56196, Dec. 27, 1976; 42 FR 58170, Nov. 8, 1977; 42 FR 63170, Dec.
15, 1977]
[[Page 104]]
Sec. 259.2 Red Cross.
(a) General. The Postal Service and the Red Cross cooperate to
maintain communication between the individual and the community during
times of disaster. This applies only to natural disasters such as those
caused by floods, tornados, hurricanes, earthquakes, fires, explosions,
etc., and not to those caused by enemy action.
(b) Role of Postal Service. The Postal Service and the Red Cross
will share information on the whereabouts of persons displaced by
disasters, and otherwise cooperate with each other, as follows:
(1) The Red Cross will use Form 3575, Change of Address Order, as a
standard item in Red Cross disaster relief. It will urge disaster
victims displaced from their homes to obtain and complete the forms, it
will distribute the forms to disaster victims who need them, and it will
collect from the victims and turn over to the Postal Service any
completed forms received.
(2) The Postal Service will provide the Red Cross the blank forms
needed.
(3) During each disaster and subsequent disaster relief efforts, the
Postal Service will establish a separate file of change of address forms
completed by disaster victims, and will make available to the Red Cross
information in the file. This information will be used by the Red Cross
only to locate individuals and families, to answer inquiries from
relatives and friends concerning the whereabouts and welfare of the
disaster victims, or to make contact with disaster victims who have
applied for assistance from the Red Cross but who cannot be located
because of a change of address.
(4) The Postal Service and the Red Cross will encourage appropriate
local postal officials and Red Cross chapters to maintain contact with
each other and to participate in local and community planning for
disasters.
(5) When appropriate, the Postal Service and the Red Cross will meet
and exchange information at the national headquarters level concerning
the effectiveness of their joint efforts for disaster relief.
(6) Regional Postmasters General and Postal Inspectors in Charge are
responsible for seeing that post offices implement these cooperative
arrangements in disaster situations.
(7) The instructions in Sec. 259.2 serve as a broad framework
within which field officials of both agencies may coordinate their
facilities and resources. However, postal officials shall cooperate with
Red Cross officials to the maximum feasible degree during times of
natural disasters.
(39 U.S.C. 401, 411)
[36 FR 4773, Mar. 12, 1971, as amended at 40 FR 26511, June 24, 1975]
Records and Information--Table of Contents
PART 261_RECORDS AND INFORMATION MANAGEMENT--Table of Contents
Sec.
261.1 Purpose and scope.
261.2 Authority.
261.3 Policy.
261.4 Responsibility.
Authority: 39 U.S.C. 401.
Sec. 261.1 Purpose and scope.
As a result of the Postal Reorganization Act, 39 U.S.C. 410, the
U.S. Postal Service is no longer subject to the provisions of the
Federal Records Act of 1950, or any of its supporting regulations which
provide for the conduct of records management in Federal agencies. The
objective of Parts 261 through 268 is to provide the basis for a Postal
Service-wide records and information management program affecting all
organizational components having the custody of any form of information
and records.
[40 FR 45721, Oct. 2, 1975; 40 FR 48511, Oct. 16, 1975]
Sec. 261.2 Authority.
(a) 39 U.S.C. 401(5) states that the Postal Service has the power to
acquire property it deems necessary or convenient in the transaction of
its business and to hold, maintain, sell, lease or otherwise dispose of
such property.
(b) 39 CFR 262.2 assigns to the Postal Service Records Office,
located under the Privacy Office responsibility for the retention,
security, and privacy of Postal Service records and the power to
authorize the disclosure of such records and to order their disposal by
[[Page 105]]
destruction or transfer. Included is the authority to issue records
management policy and to delegate or take appropriate action if that
policy is not adhered to or if questions of interpretation of procedure
arise.
[40 FR 45721, Oct. 2, 1975, as amended at 44 FR 51223, Aug. 31, 1979; 60
FR 57344, Nov. 15, 1995; 68 FR 56558, Oct. 1, 2003]
Sec. 261.3 Policy.
It is the policy of the Postal Service:
(a) To, as appropriate, create, preserve, protect and disclose
records which contain adequate and proper documentation of the
organization, functions, policies, decisions, operations, procedures,
activities and transactions of the Postal Service,
(b) To reduce to an absolute minimum the records holdings of the
Postal Service by strict adherence to established records retention
schedules.
[40 FR 45721, Oct. 2, 1975, as amended at 44 FR 51223, Aug. 31, 1979]
Sec. 261.4 Responsibility.
(a) The Manager, Records Office, under the Privacy Office,
administers the Postal Service release of information and privacy of
information programs with the assistance of FOIA coordinators in the
Consumer Affairs function of area and district offices.
(b) The Chief Privacy Officer, under the Vice President and Consumer
Advocate, is responsible for administering records and information
management policies and for the compliance of all handbooks, directives,
and instructions in support of this policy.
(c) Postal Service managers are responsible for administering
records and information management policies and for complying with all
handbooks, directives, and instructions in support of this policy.
[64 FR 41290, July 30, 1999, as amended at 68 FR 56558, Oct 1, 2003]
PART 262_RECORDS AND INFORMATION MANAGEMENT DEFINITIONS--Table of Contents
Sec.
262.1 Purpose and scope.
262.2 Officials.
262.3 Information.
262.4 Records.
262.5 Systems (Privacy).
262.6 Retention and disposal.
262.7 Non-records.
Authority: 5 U.S.C. 552, 552a; 39 U.S.C. 401.
Source: 49 FR 30693, Aug. 1, 1984, unless otherwise noted.
Sec. 262.1 Purpose and scope.
This part contains the official definition of those basic records
and information management terms that are frequently used throughout
Postal Service regulations and directives.
Sec. 262.2 Officials.
(a) Chief Privacy Officer. The Chief Privacy Officer (CPO) is
responsible for the issuance of policy on the protection of privacy and
the release of Postal Service records with the power to authorize the
disclosure of such records and to delegate or take appropriate action if
that policy is not adhered to or if questions of interpretation or
procedure arise. The CPO directs the activities of the Privacy Office
and the Records Office.
(b) Manager, Records Office. The Manager, Records Office, manages
the Records Office, and is responsible for establishing procedures and
guidelines to ensure that record management practices are in compliance
with the Privacy Act and FOIA. The Manager, Records Office, may also
delegate or take appropriate action if policies are not adhered to or if
questions of interpretation or procedures arise.
(c) Records Custodian. The postmaster or other head of a facility
such as an area vice president, district manager, or head of a postal
installation or department who maintains Postal Service records. Vice
presidents are the custodians of records maintained at Headquarters.
Senior medical personnel are the custodians of restricted medical
records maintained within postal facilities.
(d) Information System Executive. The Postal Service official who
prescribes the existence of and the policies for an information system;
usually this is a Vice President.
(e) Records Office. The Records Office is responsible for the
issuance of policy on the maintenance and disposition of
[[Page 106]]
Postal Service records and information, and to delegate or take
appropriate action if such policy is not adhered to or if questions of
interpretation or procedure arise.
[49 FR 30693, Aug. 1, 1984, as amended at 51 FR 26385, July 23, 1986; 60
FR 57344, Nov. 15, 1995; 63 FR 6481, Feb. 9, 1998; 64 FR 41290, July 30,
1999; 68 FR 56558, Oct. 1, 2003]
Sec. 262.3 Information.
Data combined with the knowledge of its context and having the
potential to serve a Postal Service use.
(a) Sensitive information. Information which has been identified by
the USPS as restricted or critical.
(1) Critical information. Information that must be available in
order that the Postal Service effectively perform its mission and meet
legally assigned responsibilities; and for which special precautions are
taken to ensure its accuracy, relevance, timeliness and completeness.
This information, if lost, would cause significant financial loss,
inconvenience or delay in performance of the USPS mission.
(2) Restricted information. Information that has limitations placed
upon both its access within the Postal Service and disclosure outside
the Postal Service consistent with the Privacy and Freedom of
Information Acts.
(i) Restricted mandatory. Information that has limitations upon its
internal access and that may be disclosed only in accordance with an
Executive Order, public law, or other Federal statute and their
supporting postal regulations.
(ii) Restricted discretionary. Information that has limitations upon
its internal access and that may be withheld from external disclosure
solely in accordance with postal regulations, consistent with the
Freedom of Information Act.
(b) Classified information (National Security). Information about
the national defense and foreign relations of the United States that has
been determined under Executive Order 12356 to require protection
against unauthorized disclosure and has been so designated.
Sec. 262.4 Records.
Recorded information, regardless of media, format, or physical
characteristics, including electronic data, developed or received by the
Postal Service in connection with the transaction of its business and
retained in its custody; for machine-readable records, a collection of
logically related data treated as a unit.
(a) Permanent record. A record determined by the Records Office or
the National Archives and Records Administration as having sufficient
historical or other value to warrant continued preservation. (All other
records are considered temporary and must be scheduled for disposal.)
(b) Corporate records. Those records series that are designated by
the Records Office as containing information of legal, audit, obligatory
or archival value about events and transactions of interest to the
entire corporate body of the Postal Service. Corporate records are
distinguished from operational records, which have value only in their
day-to-day use, and from precedential files, which have value only as
examples.
(c) Active record. A record that contains information used for
conducting current business.
(d) Inactive record. A record that contains information which is not
used for conducting current business, but for which the retention period
has not yet expired.
(e) Vital records. Certain records which must be available in the
event of a national 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, contractors and
customers. There are two types of vital records: Emergency Operating
Records and Rights and Interests Records.
(1) Emergency operating records. Certain vital records necessary to
support essential functions of the Postal Service during and immediately
following a national emergency.
(2) Rights and interest records. Certain vital records maintained to
ensure the preservation of the rights and interests
[[Page 107]]
of the Postal Service, its employees, contractors and customers.
[49 FR 30693, Aug. 1, 1984, as amended at 51 FR 26385, July 23, 1986; 60
FR 57344, Nov. 15, 1995; 63 FR 6481, Feb. 9, 1998; 64 FR 41290, July 30,
1999; 68 FR 56558, Oct. 1, 2003]
Sec. 262.5 Systems (Privacy).
(a) Privacy Act system of records. A Postal Service system
containing information about individuals, including mailing lists, from
which information is retrieved by the name of an individual or by some
identifying number or symbol assigned to the individual, such as a
Social Security Account Number.
(b) Individual (record subject). A living person. Does not include
sole proprietorships, partnerships or corporations. A business firm
identified by the name of one or more persons is not an individual.
(c) Computer matching program. A ``matching program,'' as defined in
the Privacy Act, 5 U.S.C. 552a(a)(8), is subject to the matching
provisions of the Act, published guidance of the Office of Management
and Budget, and these regulations. The term ``matching program''
includes any computerized comparison of:
(1) A Postal Service automated system of records with an automated
system of records of another Federal agency, or with non-Federal
records, for the purpose of:
(i) Establishing or verifying the eligibility of, or continuing
compliance with statutory and regulatory requirements by, applicants
for, recipients or beneficiaries of, participants in, or providers of
services with respect to, cash or in-kind assistance or payments under
Federal benefit programs, or
(ii) Recouping payments or delinquent debts under such Federal
benefit programs;
(2) A Postal Service automated personnel or payroll system of
records with another automated personnel or payroll system of records of
the Postal Service or other Federal Agency or with non-Federal records.
(d) Other computer matching activities. (1) The following kinds of
computer matches are specifically excluded from the term ``matching
program'':
(i) Statistical matches whose purpose is solely to produce aggregate
data stripped of personal identifiers.
(ii) Statistical matches whose purpose is in support of any research
or statistical project.
(iii) Law enforcement investigative matches whose purpose is to
gather evidence against a named person or persons in an existing
investigation.
(iv) Tax administration matches.
(v) Routine administrative matches using Federal personnel records,
provided that the purpose is not to take any adverse action against an
individual.
(vi) Internal matches using only records from Postal Service systems
of records, provided that the purpose is not to take any adverse action
against any individual.
(vii) Matches performed for security clearance background checks or
for foreign counterintelligence.
(2) Although these and other matching activities that fall outside
the definition of ``matching program'' are not subject to the matching
provisions of the Privacy Act or OMB guidance, other provisions of the
Act and of these regulations may be applicable. No matching program or
other matching activity may be conducted without the prior approval of
the Records Office.
[49 FR 30693, Aug. 1, 1984, as amended at 59 FR 37160, July 21, 1994; 60
FR 57344, Nov. 15, 1995; 64 FR 41290, July 30, 1999; 68 FR 56558, Oct.
1, 2003]
Sec. 262.6 Retention and disposal.
(a) Records control schedule. A directive describing records series
that are maintained by components of the Postal Service; it provides
maintenance, retention, transfer, and disposal instructions for each
series listed, and serves as the authority for Postal officials to
implement such instructions.
(b) Disposal (records). The permanent removal of records or
information from Postal Service custody; included are:
(1) Transfer to the National Archives.
(2) Donation to the Smithsonian Institution, local museums or
historical societies.
(3) Sale as waste material.
(4) Discarding.
(5) Physical destruction.
[[Page 108]]
(c) Retention period. The authorized length of time that a records
series must be kept before its disposal, usually stated in terms of
months or years, but sometimes expressed as contingent upon the
occurrence of an event; usually the retention period refers to the
period of time between the creation of a series and its authorized
disposal date; however, in some cases it refers to the length of time
between the cutoff point and the disposal date.
Sec. 262.7 Non-records.
(a) Non-record material. Includes blank forms and surplus
publications, handbooks, circulars, bulletins, announcements, and other
directives as well as any material not directly associated with the
transaction of Postal Service business.
(b) Personal papers. Those materials created or received during an
individual's period of employment with the Postal Service which are of a
purely private or nonofficial character, or which were neither created
nor received in connection with Postal Service business.
PART 263_RECORDS RETENTION AND DISPOSITION--Table of Contents
Sec.
263.1 Purpose and scope.
263.2 Policy.
263.3 Responsibility.
263.4 Records disposal.
263.5 Inquiries.
Authority: 39 U.S.C. 401.
Source: 40 FR 45722, Oct. 2, 1975, unless otherwise noted.
Sec. 263.1 Purpose and scope.
This part contains the policy and general regulations pertaining to
the retention and disposition of records and information throughout all
organizational levels and components.
Sec. 263.2 Policy.
It is the policy of the U.S. Postal Service to establish and
maintain schedules specifying the retention periods required for all
official and duplicate record copies. Furthermore, it is the policy that
all duplicate record copies and non-record material will be disposed of
as soon as they have served their purpose.
Sec. 263.3 Responsibility.
(a) Records Office. Records Office has the responsibility for
providing for the establishment of retention schedules and has the
authority to approve them. Furthermore, that office has the authority to
dispose of Postal Service records by transfer or destruction.
(b) Custodians. Custodians are responsible for the retention and
prompt disposal of records in their custody and for delegating in
writing, persons to perform these duties.
[40 FR 45722, Oct. 2, 1975, as amended at 60 FR 57344, Nov. 15, 1995; 64
FR 41290, July 30, 1999; 68 FR 56558, Oct. 1, 2003]
Sec. 263.4 Records disposal.
All disposals of records containing sensitive information, i.e.
transfers to records storage centers, destruction, transfers external to
the USPS, and maintenance of accounting records regarding such disposal,
must be accomplished in accordance with procedures issued by the Records
Office.
[40 FR 45722, Oct. 2, 1975, as amended at 60 FR 57344, Nov. 15, 1995.
Redesignated and amended at 64 FR 41290, July 30, 1999; 68 FR 56558,
Oct. 1, 2003]
Sec. 263.5 Inquiries.
Inquiries regarding records maintenance and disposition should be
directed to the Manager, Records Office, United States Postal Service,
475 L'Enfant Plaza, SW., Washington, DC 20260, or, by telephone, (202)
268-2608.
[64 FR 41290, July 30, 1999, as amended at 68 FR 56558, Oct. 1, 2003]
PART 264_VITAL RECORDS--Table of Contents
Sec.
264.1 Purpose and scope.
264.2 Policy.
264.3 Responsibility.
264.4 Vital Records Program.
Authority: 39 U.S.C. 401.
Source: 44 FR 51224, Aug. 31, 1979, unless otherwise noted.
Sec. 264.1 Purpose and scope.
Certain records are critical to the continuity of Postal Service
operations
[[Page 109]]
or to the preservation of the rights and interests of the Postal
Service, its employees, contractors or customers. To ensure that these
records are available when needed, specific controls are required which
affect all organizational components having the custody of records
defined as being ``vital.''
Sec. 264.2 Policy.
It is the policy of the U.S. Postal Service to ensure the
availability of all records considered critical to the continuity of its
operations and the preservation of the rights and interests of the
Postal Service, its employees, contractors, and customers. Vital records
shall be routinely maintained at predesignated off-site locations to
ensure their availability when needed by management and operating
personnel.
Sec. 264.3 Responsibility.
(a) Manager, Records Office. The Manager, Records Office, is
responsible for categorizing records as vital, and in conjunction with
the Chief Postal Inspector/Emergency Coordinator shall establish and
maintain the vital records program, and ensure compliance with
supportive procedures.
(b) Chief Postal Inspector. As the Postal Service's Emergency
Coordinator, the Chief Postal Inspector shall establish and maintain a
program to ensure that vital records are available at predesignated off-
site locations for use during a national emergency.
(c) Custodians. Custodians are responsible for following vital
records program procedures including the forwarding of vital records to
predesignated off-site locations.
[44 FR 51224, Aug. 31, 1979, as amended at 60 FR 57344, Nov. 15, 1995;
64 FR 41290, July 30, 1999; 68 FR 56558, Oct. 1, 2003]
Sec. 264.4 Vital Records Program.
Complete procedures concerning the identification, categorization,
processing, protection, and transfer of vital records are provided by
the office of Corporate Accounting or the USPS Emergency Coordinator, as
appropriate.
[44 FR 51224, Aug. 31, 1979, as amended at 60 FR 57344, Nov. 15, 1995;
64 FR 41290, July 30, 1999]
PART 265_RELEASE OF INFORMATION--Table of Contents
Sec.
265.1 Purpose and scope.
265.2 Policy.
265.3 Responsibility.
265.4 Inquiries.
265.5 Public reading rooms.
265.6 Availability of records.
265.7 Procedure for inspection and copying of records.
265.8 Business information; procedures for predisclosure notification to
submitters.
265.9 Schedule of fees.
265.10 Annual report.
265.11 Compliance with subpoena duces tecum, court orders, and
summonses.
265.12 Demands for testimony or records in certain legal proceedings.
265.13 Compliance with subpoenas, summonses, and court orders by postal
employees within the Inspection Service where the Postal
Service, the United States, or any other federal agency is not
a party.
Appendix A to Part 265--Fees for Computer Services
Authority: 5 U.S.C. 552; 5 U.S.C. App. 3; 39 U.S.C. 401, 403, 410,
1001, 2601.
Sec. 265.1 Purpose and scope.
(a) This part contains the regulations of the Postal Service
relating to the availability to the public of Postal Service records.
Included in this part are the regulations which implement section 552 of
title 5, U.S.C., the ``Freedom of Information Act,'' insofar as it
applies to the Postal Service.
(b) Official records of the Postal Service made available pursuant
to the requirements of the Act shall be furnished to members of the
public as prescribed by this part.
[40 FR 7331, Feb. 19, 1975]
Sec. 265.2 Policy.
(a) It is the policy of the Postal Service to make its official
records available to the public to the maximum extent consistent with
the public interest. This policy requires a practice of full disclosure
subject only to the specific exemptions required or authorized by law.
(b) The exemptions from mandatory disclosure provided by section
552(b) of title 5, and section 410(c) of title 39,
[[Page 110]]
U.S.C., for various types of records, reflect the fact that under some
circumstances the public interest may be better served by leaving the
disclosure of particular records to the discretion of the Postal Service
than by requiring their disclosure. As to those records the disclosure
of which is not prohibited by statute, Executive Order, or regulation,
the discretion vested in the Postal Service is exercised after giving
consideration to the following: The effect of non-disclosure on the
public's right to know about a particular matter; the effect of
disclosure on the right of privacy of any affected individuals; the
effect of disclosure on the public interest in the economical,
efficient, and orderly operation of the nation's mail system; and any
other factors that may be relevant under the circumstances.
[40 FR 7331, Feb. 19, 1975, as amended at 45 FR 44270, July 1, 1980]
Sec. 265.3 Responsibility.
(a) Custodian. Official records are in the custody of the postmaster
or other head of a facility or department at which they are maintained,
as defined at Sec. 262.2(c) of this chapter. These custodians are
responsible for responding in the first instance to requests from
members of the public for Postal Service records.
(b) Manager, Records Office. The Postal Service Manager, Records
Office, under the Privacy Office, is responsible for the overall
administration of this part, including the issuance of detailed
instructions to custodians.
(c) General Counsel. The General Counsel decides timely appeals
authorized by this part.
[40 FR 7331, Feb. 19, 1975, as amended at 45 FR 44270, July 1, 1980; 60
FR 57344, Nov. 15, 1995; 63 FR 6481, Feb. 9, 1998; 64 FR 41290, July 30,
1999; 68 FR 56558, Oct. 1, 2003]
Sec. 265.4 Inquiries.
Inquiries regarding the availability of Postal Service records
should be directed to the appropriate records custodian. If the
appropriate records custodian is not known, inquiries should be directed
to the Manager, Records Office, U.S. Postal Service, 475 L'Enfant Plaza
SW., Washington, DC 20260, telephone (202) 268-2608.
[60 FR 57345, Nov. 15, 1995, as amended at 64 FR 41290, July 30, 1999;
68 FR 56559, Oct. 1, 2003]
Sec. 265.5 Public reading rooms.
The Library of the Postal Service Headquarters, 475 L'Enfant Plaza
SW, Washington, DC 20260-1641, serves as public reading room for the
materials which are listed in paragraphs (a)(2), (3), (4) and (5) of
Sec. 265.6 as available for public inspection and copying. Such of this
material as has been created by the Postal Service on or after November
1, 1996, and has not been published and offered for sale, also will be
available in electronic format at the Postal Service's world wide web
site at http://www.usps.com/foia.
[63 FR 6481, Feb. 9, 1998, as amended at 68 FR 56559, Oct. 1, 2003]
Sec. 265.6 Availability of records.
(a) Records available to the public on request--(1) General. Postal
Service records are available for inspection or copying at the request
of any person, in accordance with the provisions of this part, except as
otherwise provided by law or regulations, including but not limited to
paragraphs (b) through (g) of this section. Certain categories of
records of particular interest are available on a continuing basis as
provided in paragraphs (a)(2), (3), and (4) of this section and are
listed in a public index as provided in paragraphs (a)(4) and (5) of
this section. Access to other records may be requested on an individual
basis in accordance with the procedures provided in Sec. 265.7.
Official records which are maintained on an electronic storage medium
will normally be made available, in accordance with this part, as an
exact duplicate of the requested original in a form readable by the
human eye, such as a computer print-out. On request, records will be
provided in a different form or format if they are maintained in the
requested form or format or if they can be readily reproduced in the
requested form or format.
(2) Opinions. All final opinions and orders made in the adjudication
of
[[Page 111]]
cases by the Judicial Officer and Administrative Law Judges, all final
determinations pursuant to section 404(b) of title 39, United States
Code, to close or consolidate a post office, or to disapprove a proposed
closing or consolidation, all advisory opinions concerning the private
express statutes issued pursuant to 39 CFR 310.6, and all bid protest
decisions are on file and available for inspection and copying at the
Headquarters Library and, if created on or after November 1, 1996, also
at the Postal Service's world wide web site identified at Sec. 265.5.
(3) Administrative manuals and instructions to staff. The manuals,
instructions, and other publications of the Postal Service that affect
members of the public are available through the Headquarters Library and
at many post offices and other postal facilities. Those which are
available to the public but are not listed for sale may be inspected in
the Headquarters Library, at any postal facility which maintains a copy,
or, if created on or after November 1, 1996, through the world wide web
site identified at Sec. 265.5. Copies of publications which are not
listed as for sale or as available free of charge may be obtained by
paying a fee in accordance with Sec. 265.9.
(4) Previously released records. Records processed and disclosed
after March 31, 1997, in response to a Freedom of Information Act
request, which the Postal Service determines have become or are likely
to become the subject of subsequent requests for substantially the same
records, are available for inspection and copying at the Headquarters
Library. Any such records created by the Postal Service on or after
November 1, 1996, also will be available at the Postal Service's world
wide web site identified at Sec. 265.5. Records described in this
paragraph that were not created by, or on behalf of, the Postal Service
generally will not be available at the world wide web site. Records will
be available in the form in which they were originally disclosed, except
to the extent that they contain information that is not appropriate for
public disclosure and may be withheld pursuant to this section. Any
deleted material will be marked and the applicable exemption(s)
indicated in accordance with Sec. 265.7(d)(3). A general index of the
records described in this paragraph is available for inspection and
copying at the Headquarters Library. [Beginning on or before December
31, 1999, the index also will be available at the Postal Service's world
wide web site.]
(5) Public index. (i) A public index is maintained in the
Headquarters Library and at the world wide web site of all final
opinions and orders made by the Postal Service in the adjudication of
cases, Postal Service policy statements which may be relied on as
precedents in the disposition of cases, administrative staff manuals and
instructions that affect the public, and other materials which the
Postal Service elects to index and make available to the public on
request in the manner set forth in paragraph (a) of this section.
(ii) The index contains references to matters issued after July 4,
1967, and may reference matters issued prior to that date.
(iii) Any person may arrange for the inspection of any matter in the
public index in accordance with the procedures of Sec. 265.7.
(iv) Copies of the public index and of matters listed in the public
index may be purchased through the Headquarters Library with payment of
fees as listed in the index or as provided in Sec. 265.9.
(v) Materials listed in the public index that were created on or
after November 1, 1996, will also be available in electronic format at
the Postal Service's world wide web site at http://www.usps.gov.
(6) Listings of employees' names. Upon written request, the Postal
Service will, to the extent required by law, provide a listing of postal
employees working at a particular postal facility.
(b) Records not subject to mandatory public disclosure. Certain
classes of records are exempt from mandatory disclosure under exemptions
contained in the Freedom of Information Act and in section 410(c) of
title 39, U.S.C. The Postal Service will exercise its discretion, in
accordance with the policy stated in Sec. 265.2, as implemented by
instructions issued by the Records Office with the approval of the
General Counsel in determining whether the public interest is served by
the inspection or copying of records that are:
[[Page 112]]
(1) Related solely to the internal personnel rules and practices of
the Postal Service.
(2) Trade secrets, or privileged or confidential commercial or
financial information, obtained from any person.
(3) Information of a commercial nature, including trade secrets,
whether or not obtained from a person outside the Postal Service, which
under good business practice would not be publicly disclosed. This class
includes, but is not limited to:
(i) Information pertaining to methods of handling valuable
registered mail.
(ii) Records of money orders, except as provided in R900 of the
Domestic Mail Manual (DMM).
(iii) Technical information concerning postage meters and prototypes
submitted for Postal Service approval prior to leasing to mailers.
(iv) Reports of market surveys conducted by or under contract in
behalf of the Postal Service.
(v) Records indicating rural carrier lines of travel.
(vi) Records compiled within the Postal Service which would be of
potential benefit to persons or firms in economic competition with the
Postal Service.
(vii) Information which, if publicly disclosed, could materially
increase procurement costs.
(viii) Information which, if publicly disclosed, could compromise
testing or examination materials.
(4) Interagency or internal memoranda or letters that would not be
available by law to a private party in litigation with the Postal
Service.
(5) Reports and memoranda of consultants or independent contractors,
except to the extent they would be required to be disclosed if prepared
within the Postal Service.
(6) Files personal in nature, including medical and personnel files,
the disclosure of which would constitute a clearly unwarranted invasion
of personal privacy.
(7) Information prepared for use in connection with proceedings
under chapter 36 of title 39, U.S.C., relating to rate, classification,
and service changes.
(8) Information prepared for use in connection with the negotiation
of collective bargaining agreements under chapter 12 of title 39,
U.S.C., or minutes of, or notes kept during, negotiating sessions
conducted under such chapter.
(9) Other matter specifically exempted from disclosure by statute.
(c) Records or information compiled for law enforcement purposes.
(1) Investigatory files compiled for law enforcement purposes, whether
or not considered closed, are exempt by statute from mandatory
disclosure except to the extent otherwise available by law to a party
other than the Postal Service, 39 U.S.C. 410(c)(6). As a matter of
policy, however, the Postal Service will normally make records or
information compiled for law enforcement purposes available upon request
unless the production of these records:
(i) Could reasonably be expected to interfere with enforcement
proceedings;
(ii) Would deprive a person of a right to a fair trial or an
impartial adjudication;
(iii) Could reasonably be expected to constitute an unwarranted
invasion of personal privacy;
(iv) Could reasonably be expected to disclose the identity of a
confidential source, including a State, local, or foreign agency or
authority or any private institution which furnished information on a
confidential basis, and, in the case of a record or information compiled
by a criminal law enforcement authority (such as the Postal Inspection
Service) in the course of a criminal investigation, or by an agency
conducting a lawful national security intelligence investigation,
information furnished by a confidential source;
(v) Would disclose techniques and procedures for law enforcement
investigations or prosecutions, or would disclose guidelines for law
enforcement investigations or prosecutions if such disclosure could
reasonably be expected to risk circumvention of the law; or
(vi) Could reasonably be expected to endanger the life or physical
safety of any individual.
[[Page 113]]
(2) Whenever a request is made which involves access to records
described in Sec. 265.6(c)(1)(i), and
(i) The investigation or proceeding involves a possible violation of
criminal law; and
(ii) There is reason to believe that,
(A) The subject of the investigation or proceeding is not aware of
its pendency, and
(B) Disclosure of the existence of the records could reasonably be
expected to interfere with enforcement proceedings, the Postal Service
may, during only such time as that circumstance continues, treat the
records as not subject to the requirements of the Freedom of Information
Act.
(3) Whenever informant records maintained by a criminal law
enforcement agency (such as the Postal Inspection Service) under an
informant's name or personal identifier are requested by a third party
according to the informant's name or personal identifier, the records
may be treated as not subject to the requirements of the Freedom of
Information Act unless the informant's status as an informant has been
officially confirmed.
(4) Authority to disclose records or information compiled for law
enforcement purposes to persons outside the Postal Service must be
obtained from the Chief Postal Inspector, U.S. Postal Service,
Washington, DC 20260-2100, or designee.
(d) Disclosure of names and addresses of customers. Upon request,
the names and addresses of specifically identified Postal Service
customers will be made available only as follows:
(1) Change of address. The new address of any specific customer who
has filed a permanent or temporary change of address order (by
submitting PS Form 3575, a hand-written order, or an electronically
communicated order) will be furnished to any person, except that the new
address of a specific customer who has indicated on the order that the
address change is for an individual or an entire family will be
furnished only in those circumstances stated at paragraph (d)(5) of this
section. Disclosure will be limited to the address of the specifically
identified individual about whom the information is requested (not other
family members or individuals whose names may also appear on the change
of address order). The Postal Service reserves the right not to disclose
the address of an individual for the protection of the individual's
personal safety. Other information on PS Form 3575 or copies of the form
will not be furnished except in those circumstances stated at paragraphs
(d)(5)(i), (d)(5)(iii), or (d)(5)(iv) of this section.
(2) Name and address of permit holder. The name and address of the
holder of a particular bulk mail permit, permit imprint or similar
permit (but not including postage meter licenses), and the name of any
person applying for a permit in behalf of a holder will be furnished to
any person upon the payment of any fees authorized by paragraph (b) of
Sec. 265.9. For the name and address of a postage meter license holder,
see paragraph (d)(3) of this section. (Lists of permit holders may not
be disclosed to members of the public. See paragraph (e)(1) of this
section.)
(3) Name and address of postage evidencing user. The name and
address of an authorized user of a postage meter or PC Postage product
(postage evidencing systems) printing a specified indicium will be
furnished to any person upon the payment of any fees authorized by
paragraph (b) of Sec. 265.9, provided the user is using the postage
meter or PC Postage product for business purposes. The request for this
information must be sent to the manager of Postage Technology
Management, Postal Service Headquarters. The request must include the
original or a photocopy of the envelope or wrapper on which the postage
meter or PC postage indicium in question is printed, and a copy or
description of the contents to support that the sender is a business or
firm and not an individual. (Lists of authorized users of postage meters
or PC Postage products may not be disclosed to members of the public.)
(4) Post Office boxholder information. Information from PS Form
1093, Application for Post Office Box or Caller Service, will be
provided as follows:
(i) Except as provided in paragraph (d)(4)(iii) of this section, the
boxholder applicant name and address from PS Form 1093 will be provided
only in
[[Page 114]]
those circumstances stated in paragraphs (d)(5)(i) through (d)(5)(iii)
of this section.
(ii) Except as provided in paragraph (d)(4)(iii) of this section,
the names of persons listed as receiving mail, other than the boxholder
applicant, will be furnished from PS Form 1093 only in those
circumstances stated in paragraphs (d)(5)(i) and (d)(5)(iii) of this
section.
(iii) When a copy of a protective order has been filed with the
postmaster, information from PS Form 1093 will not be disclosed except
pursuant to the order of a court of competent jurisdiction.
(5) Exceptions. Except as otherwise provided in these regulations,
names or addresses of Postal Service customers will be furnished only as
follows:
(i) To a federal, state or local government agency upon prior
written certification that the information is required for the
performance of its duties. The Postal Service requires government
agencies to use the format appearing at the end of this section when
requesting the verification of a customer's current address or a
customer's new mailing address. If the request lacks any of the required
information or a proper signature, the postmaster will return the
request to the agency, specifying the deficiency in the space marked
`OTHER'. A copy of PS Form 1093 may be provided.
(ii) To a person empowered by law to serve legal process, or the
attorney for a party in whose behalf service will be made, or a party
who is acting pro se, upon receipt of written information that
specifically includes all of the following: (A) A certification that the
name or address is needed and will be used solely for service of legal
process in connection with actual or prospective litigation; (B) a
citation to the statute or regulation that empowers the requester to
serve process, if the requester is other than the attorney for a party
in whose behalf service will be made, or a party who is acting pro se;
(C) the names of all known parties to the litigation; (D) the court in
which the case has been or will be commenced; (E) the docket or other
identifying number, if one has been issued; and (F) the capacity in
which the boxholder is to be served, e.g., defendant or witness. By
submitting such information, the requester certifies that it is true.
The address of an individual who files with the postmaster a copy of a
protective court order will not be disclosed except as provided under
paragraphs (d)(5)(i), (d)(5)(iii), or (d)(5)(iv) of this section. A copy
of Form 1093 will not be provided.
The Postal Service suggests use of the standard format appearing at
the end of this section when requesting information under this
paragraph. When using the standard format on the submitter's own
letterhead, the standard format must be used in its entirety. The
warning statement and certification specifically must be included
immediately before the signature block. If the request lacks any of the
required information or a proper signature, the postmaster will return
it to the requester specifying the deficiency.
Note: The term pro se means that a party is not represented by an
attorney but by himself or herself.
(iii) In compliance with a subpoena or court order, except that
change of address or boxholder information which is not otherwise
subject to disclosure under these regulations may be disclosed only
pursuant to a court order.
(iv) To a law enforcement agency, for oral requests made through the
Inspection Service, but only after the Inspection Service has confirmed
that the information is needed in the course of a criminal
investigation. (All other requests from law enforcement agencies should
be submitted in writing to the postmaster as in paragraph (d)(5)(i) of
this section.)
(6) Jury service. The mailing address of any customer sought in
connection with jury service, if known, will be furnished without charge
upon prior written request to a court official, such as a judge, court
clerk or jury commissioner.
(7) Address verification. The address of a postal customer will be
verified at the request of a Federal, State, or local government agency
upon written certification that the information is required for the
performance of the agency's duties. ``Verification'' means advising such
an agency whether or not
[[Page 115]]
its address for a postal customer is one at which mail for that customer
is currently being delivered. ``Verification'' neither means nor implies
knowledge on the part of the Postal Service as to the actual residence
of the customer or as to the actual receipt by the customer of mail
delivered to that address. The Postal Service requires government
agencies to use the format appearing at the end of this section when
requesting the verification of a customer's current address or a
customer's new mailing address. If the request lacks any of the required
information or a proper signature, the postmaster will return the
request to the agency, specifying the deficiency in the space marked
``OTHER''.
(8) Business/Residence location. If the location of a residence or a
place of business is known to a Postal Service employee, whether as a
result of official duties or otherwise, the employee may, but need not,
disclose the location or give directions to it. No fee is charged for
such information.
(9) Private mailbox information. Information from PS Form 1583,
Application for Delivery of Mail Through Agent, will be provided as
follows:
(i) Except as provided in paragraph (d)(9)(iii) of this section,
information from PS Form 1583 will be provided only in the circumstance
stated in paragraph (d)(5)(iii) of this section.
(ii) To the public only for the purpose of identifying a particular
address as an address of an agent to whom mail is delivered on behalf of
other persons. No other information, including, but not limited to, the
identities of persons on whose behalf agents receive mail, may be
disclosed to the public from PS Form 1583.
(iii) Information concerning an individual who has filed a
protective court order with the postmaster will not be disclosed except
pursuant to the order of a court of competent jurisdiction.
(e) Information not available for public disclosure. (1) Except as
provided by paragraph (a)(6) of this section, the Postal Service and its
officers and employees shall not make available to the public by any
means or for any purpose any mailing list or other list of names or
addresses (past or present) of postal patrons or other persons.
(2) Records or other documents which are classified or otherwise
specifically authorized by Executive Order 12356 and implementing
regulations to be kept secret in the interest of the national defense or
foreign policy are not subject to disclosure pursuant to this part.
(3) Records consisting of trade secrets or confidential financial
data, the disclosure of which is prohibited by section 1905 of title 18,
U.S.C., are not subject to disclosure pursuant to this part.
(4) Other records, the disclosure of which is prohibited by statute,
are not subject to disclosure pursuant to this part.
(f) Protection of the right of privacy. If any record required or
permitted by this part to be disclosed contains the name of, or other
identifying details concerning, any person, including an employee of the
Postal Service, the disclosure of which would constitute a clearly
unwarranted invasion of personal privacy, the name or other identifying
details shall be deleted before the record is disclosed and the
requester so informed.
(g) Disclosure in part of otherwise exempt record. Any reasonably
segregable portion of a record shall be provided after deleting the
information which is neither subject to mandatory disclosure nor
available as a matter of discretion.
[[Page 116]]
[GRAPHIC] [TIFF OMITTED] TR01SE05.084
[[Page 117]]
[GRAPHIC] [TIFF OMITTED] TR01SE05.085
[40 FR 7331, Feb. 19, 1975]
Editorial Note: For Federal Register citations affecting Sec.
265.6, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.fdsys.gov.
Sec. 265.7 Procedure for inspection and copying of records.
(a) Submission of requests--(1) Form and content of request. To
permit expeditious handling and timely response in accordance with the
provisions of this part, a request to inspect or to obtain a copy of an
identifiable Postal Service record shall be in writing and bear the
caption ``Freedom of Information Act Request'' or otherwise be clearly
and prominently identified as a request for records pursuant to the
Freedom of Information Act. A request shall be clearly and prominently
identified as such on the envelope or other cover. Other requests for
information will be considered informal requests and will be handled as
expeditiously as practicable but not necessarily within the
[[Page 118]]
time limitations set forth in Sec. 265.7(b). An informal request will
be granted or denied according to the substantive rules in Sec. 265.6,
if found to be a request for a record. A Freedom of Information Act
request shall identify the record sought as completely as possible, by
name, description, or subject matter, and be sufficient to permit the
custodian to locate it with a reasonable amount of effort. The request
may state the maximum amount of fees for which the requester is willing
to accept liability without prior notice. See paragraph (f)(2) of Sec.
265.8. If no amount is stated, the requester will be deemed willing to
accept liability for fees not to exceed $25.
(2) To whom submitted. A request shall be submitted to the custodian
of the requested record. If the location of the record is not known,
inquiry should be directed to the Manager, Records Office, U.S. Postal
Service, 475 L'Enfant Plaza, SW., Washington, DC 20260, telephone (202)
268-2608. If a request is submitted to a facility other than that at
which the record is maintained, it shall be promptly transmitted to the
appropriate custodian with a copy of the transmittal furnished to the
requester. A request which is not initially submitted to the appropriate
custodian shall be deemed to have been received by the Postal Service
for purposes of computing the time for response is accordance with Sec.
265.7(b) at the time that it is actually received by the appropriate
custodian. If a request seeks records maintained at two or more
facilities, the custodian shall be deemed to be the next senior common
supervisor of the heads of the facilities, e.g., district manager, area
vice president. The Records Office is deemed to be the custodian, for
purposes of this part, in all instances in which a request is for a
listing of postal employees. See Sec. 265.6(a)(6).
(3) Reasons for request. In view of the possibility that some or all
of the records may be exempt from mandatory disclosure, the requester
may state any reasons why the record should nevertheless be made
available to him even if exempt.
(4) Request for waiver of fees. The requester may ask that fees or
the advance payment of fees be waived in whole or in part. A fee waiver
request shall indicate how the information will be used; to whom it will
be provided; whether the requester intends to use the information for
resale at a fee above actual cost; any personal or commercial benefit
that the requester expects as a result of disclosure; in what manner the
general public will benefit from disclosure; and information as to the
intended user's identity, qualifications, expertise in the subject area,
and ability and intention to disseminate the information to the public.
(See Sec. 265.9(g)(3).)
(5) Categorical requests. A request for all or substantially all of
the records within a specific category will be deemed a reasonable
description of those records only if it is possible, without further
information, to determine which particular records are sought. See
paragraph (b)(3) of this section concerning the providing of additional
information.
(6) Request for records located at numerous facilities. A request
for records which are, or may be, located at all or a substantial number
of post offices or other postal facilities will be deemed to be a
reasonable description only of such of those records as are maintained
at the post office or other facility to which the request is submitted,
and of those records maintained at any other post offices or facilities
specifically identified in the request. See paragraph (a)(2) of this
section concerning the custodian of records of two or more facilities.
(b) Responsibilities of the custodian. (1) The custodian of the
requested record is the person responsible for determining whether to
comply with or to deny the request. A custodian who is not an Officer as
defined in Sec. 221.8 of this chapter, however, should not deny a
request until he has obtained the advice of Chief Field Counsel. If
denial of a request appears necessary, the custodian should seek advice
as soon as possible after receipt of the request so as to provide
adequate time for legal review. Denial must be made in accordance with
paragraph (d) of this section.
(2) The custodian shall make the determination whether to release or
deny the record(s) within 20 working days (i.e., exclusive of Saturdays,
Sundays,
[[Page 119]]
and holidays) of receiving the request, and more rapidly if feasible.
The custodian and the requester may, by mutual agreement, preferably in
writing, establish a different response period.
(3) If a requested record cannot be located from the information
supplied, the requester should be given an opportunity to supply
additional information and, if feasible, to confer with the custodian or
his/her representative, in an attempt to provide a reasonable
description of the records sought. If additional information is
furnished, the request will be deemed to have been received by the
custodian when sufficient additional information to identify and locate
the record with a reasonable amount of effort has been received.
(4) The custodian shall make reasonable efforts to search for the
records in electronic form or format, except when such efforts would
significantly interfere with the operation of the automated information
system.
(5) The 20 working day response period allowed in paragraph (b)(2)
of this section may be extended by the custodian, after consultation
with Chief Field Counsel or with the General Counsel if the custodian is
at Headquarters, for a period not to exceed an additional 10 working
days, except as provided in paragraph (b)(7) of this section, when, and
to the extent, reasonably necessary to permit the proper processing of a
particular request, under one or more of the following unusual
circumstances:
(i) The request requires a search for and collection of records from
a facility other than that processing the request.
(ii) The request requires the search for, and collection and
appropriate examination of, a voluminous amount of separate and distinct
records.
(iii) The request requires consultation:
(A) With another agency having a substantial interest in the
determination of whether to comply with the request or
(B) Among two or more components of the Postal Service having
substantial subject matter interest in the determination of whether to
comply with the request.
(6) When the custodian finds that the additional time is required,
he shall acknowledge the request in writing within the initial 20-day
response period, state the reason for the delay, and indicate the date
on which a decision as to disclosure is expected.
(7) If a request cannot be processed within the additional time
provided by paragraph (b)(5) of this section, in spite of the exercise
of due diligence, the custodian shall notify the requester of the
exceptional circumstances preventing timely compliance and of the date
by which it is expected that the determination will be made. The
custodian also shall provide the requester an opportunity to limit the
scope of the request so that it may be processed within the extended
time limit, or an opportunity to arrange with the custodian an
alternative time frame for processing the request or a modified request.
The custodian shall nonetheless make a determination on the request as
promptly as possible.
(8) If a requested record is known to have been destroyed, disposed
of, or otherwise not to exist, the requester shall be so notified.
(c) Compliance with request upon affirmative determination by
custodian. (1) When a requested record has been identified and is to be
disclosed in whole or in part, the custodian shall ensure that the
record is made available promptly and shall immediately notify the
requester where and when and under what reasonable conditions, if any,
including the payment of fees, the record will be available for
inspection or copies will be available. Postal Service records will
normally be available for inspection and copying during regular business
hours at the postal facilities at which they are maintained. The
custodian may, however, designate other reasonable locations and times
for inspection and copying of some or all of the records within his
custody.
(2) Any fees authorized or required to be paid in advance by Sec.
265.9(f)(3) shall be paid by the requester before the record is made
available or a copy is furnished unless payment is waived or deferred
pursuant to Sec. 265.9(g).
(3) A custodian complying with a request may designate a
representative to monitor any inspection or copying.
[[Page 120]]
(d) Denial of request. (1) A reply denying a request in whole or in
part shall be in writing, signed by the custodian or his designee, and
shall include:
(i) A statement of the reason for, or justification of, the denial
(e.g., records personal in nature), including, if applicable, a
reference to the provision or provisions of Sec. 265.6 authorizing the
withholding of the record and a brief explanation of how each provision
applies to the records requested.
(ii) If entire records or pages are withheld, a reasonable estimate
of the number of records or pages, unless providing such estimate would
harm an interest protected by the exemption relied upon.
(iii) A statement of the right to appeal and of the appeal procedure
within the Postal Service (described in paragraph (e) of this section).
(2) The custodian is ordinarily the person responsible for the
denial of the request. If the denial of a particular request has been
directed by higher authority, however, the name and title or position of
the person directing the denial shall be given in the reply to the
requester in place of the custodian as the person responsible for the
denial, and a copy of the denial shall be sent to that person.
(3) When information is deleted from a record that is disclosed in
part, the custodian shall indicate, on the released portion of the
record, the amount of information deleted, unless including that
indication would harm an interest protected by the exemption relied on.
The indication must appear, if technically feasible, at the place in the
record where such deletion is made.
(e) Appeal procedure. (1) If a request to inspect or to copy a
record, or a request for expedited processing of the request, is denied,
in whole or in part, if no determination is made within the period
prescribed by this section, or if a request for waiver of fees is not
granted, the requester may appeal to the General Counsel, U.S. Postal
Service, Washington, DC 20260-1100.
(2) The requester shall submit his appeal in writing within 30 days
of the date of the denial or of the other action complained of, or
within a reasonable time if the appeal is from a failure of the
custodian to act. The General Counsel may, in his discretion, consider
late appeals.
(3) In the event of the denial of a request or of other action or
failure to act on the part of a custodian from which no appeal is taken,
the General Counsel may, if he considers that there is doubt as to the
correctness of the custodian's action or failure to act, review the
action or failure to act as though an appeal pursuant to this section
had been taken.
(4) A letter of appeal should include, as applicable:
(i) A copy of the request, of any notification of denial or other
action, and of any other related correspondence;
(ii) A statement of the action, or failure to act, from which the
appeal is taken;
(iii) A statement of the reasons why the requester believes the
action or failure to act is erroneous; and
(iv) A statement of the relief sought.
(f) Action on appeals. (1) The decision of the General Counsel or
his designee constitutes the final decision of the Postal Service on the
right of the requester to inspect or copy a record, or to expedited
processing of the request, as appropriate. The General Counsel will give
prompt consideration to an appeal for expedited processing of a request.
All other decisions normally will be made within 20 working days from
the time of the receipt by the General Counsel. The 20-day response
period may be extended by the General Counsel or his designee for a
period not to exceed an additional 10 working days when reasonably
necessary to permit the proper consideration of an appeal, under one or
more of the unusual circumstances set forth in paragraph (b)(5) of this
section. The aggregate number of additional working days utilized
pursuant to this paragraph (f)(1) and paragraph (b) of this section,
however, may not exceed 10.
(2) The decision on the appeal shall be in writing. If the decision
sustains a denial of a record, in whole or in part, or if it denies
expedited processing, it shall state the justification therefor and
shall inform the requester of his right to judicial review. In the case
of records withheld, the decision also shall specify any exemption or
exemptions relied on and the manner in
[[Page 121]]
which they apply to the record, or portion thereof, withheld.
(3) If not prohibited by or under law, the General Counsel or his
designee may direct the disclosure of a record even though its
disclosure is not required by law or regulation.
(g) Expedited processing--(1) Criteria. A request for expedited
processing of a request for records shall be granted when the requester
demonstrates compelling need. For purposes of this paragraph,
``compelling need'' exists if:
(i) Failure of the requester to obtain the records on an expedited
basis could reasonably be expected to pose an imminent threat to the
life or physical safety of an individual or;
(ii) In the case of a request made by a person primarily engaged in
disseminating information, there is an urgency to inform the public
concerning actual or alleged federal government activity.
(2) Request. A request for expedited processing shall be directed in
writing to the records custodian. The requester must provide information
in sufficient detail to demonstrate compelling need for the records and
certify this statement to be true and correct to the best of the
requester's knowledge and belief. The custodian may waive the formality
of certification when deemed appropriate.
(3) Determination. The records custodian shall make a determination
of whether to provide expedited processing and notify the requester
within ten days after the date of the request for expedited processing.
If the request is granted, the records custodian shall process the
request for records as soon as practicable. If the request for expedited
processing is denied, the written response will include the procedures
at paragraph (d) of this section for appealing the denial.
[40 FR 7331, Feb. 19, 1975, as amended at 45 FR 44271, July 1, 1980; 47
FR 20304, May 12, 1982; 51 FR 26386, July 23, 1986; 52 FR 13668, Apr.
24, 1987; 60 FR 57345, Nov. 15, 1995; 62 FR 64282, Dec. 5, 1997; 63 FR
6482, Feb. 9, 1998; 64 FR 41290, July 30, 1999; 68 FR 56559, Oct. 1,
2003; 69 FR 34935, June 23, 2004]
Sec. 265.8 Business information; procedures for predisclosure
notification to submitters.
(a) In general. This section provides a procedure by which persons
submitting business information to the Postal Service can request that
the information not be disclosed pursuant to a request under the Freedom
of Information Act. This section does not affect the Postal Service's
right, authority, or obligation to disclose information in any other
context, nor is it intended to create any right or benefit, substantive
or procedural, enforceable at law by a party against the Postal Service,
its officers, or any person. Existing rights of submitters are also
unaffected. For purposes of this section, the following definitions
apply:
(1) Business information means commercial or financial information
provided directly or indirectly to the Postal Service by a submitter
that arguably is protected from disclosure under Exemption 4 of the
Freedom of Information Act, 5 U.S.C. 552(b)(4), which is restated in
Sec. 265.6(b)(2).
(2) Submitter means any person or entity who provides business
information, directly or indirectly, to the Postal Service. The term
includes, but is not limited to, corporations, state governments, and
foreign governments.
(b) Notice to submitters. (1) The custodian shall, to the extent
permitted by law, provide a submitter with prompt written notice of a
Freedom of Information Act request for the submitter's business
information whenever required under paragraph (c) of this section,
except as provided in paragraph (d) of this section, in order to afford
the submitter an opportunity to object to disclosure pursuant to
paragraph (f) of this section. Such written notice shall either describe
the exact nature of the business information requested or provide copies
of the records or portions of records containing the business
information. In the case of an administrative appeal, the General
Counsel shall be responsible for providing such notification as may be
appropriate under this section.
(2) When notice is given to a submitter under paragraph (b)(1) of
this section, the requester also shall be notified that notice and an
opportunity
[[Page 122]]
to object are being provided to the submitter pursuant to this section.
(c) When notice is required. Notice shall be given to a submitter
whenever:
(1) The submitter has in good faith designated the information as
information deemed protected from disclosure under Exemption 4, in
accordance with the procedure described in paragraph (e) of this
section; or
(2) In the opinion of the custodian, or of the General Counsel in
the case of an administrative appeal, it is likely that disclosure of
the information would result in competitive harm to the submitter.
(d) Exceptions to notice requirements. The notice requirements of
paragraph (b) of this section shall not apply if:
(1) The Postal Service determines without reference to the submitter
that the information will not be disclosed;
(2) The information lawfully has been published or has been
officially made available to the public;
(3) Disclosure of the information is required by law (other than the
Freedom of Information Act, 5 U.S.C. 552); or
(4) Disclosure of the particular kind of information is required by
a Postal Service regulation, except that, in such case, advance written
notice of a decision to disclose shall be provided to the submitter if
the submitter had provided written justification for protection of the
information under Exemption 4 at the time of submission or a reasonable
time thereafter.
(e) Procedure for designating business information at the time of
its submission. (1) Submitters of business information shall use good-
faith efforts to designate, by appropriate markings, either at the time
of submission or at a reasonable time thereafter, those portions of
their submissions which they deem to be protected from disclosure under
Exemption 4. Each record, or portion thereof, to be so designated, shall
be clearly marked with a suitable legend such as Privileged Business
Information--Do Not Release. When the designated records contain some
information for which an exemption is not claimed, the submitter shall
clearly indicate the portions for which protection is sought.
(2) At the time a designation is made pursuant to paragraph (e)(1)
of this section, the submitter shall furnish the Postal Service with the
name, title, address and telephone number of the person or persons to be
contacted for the purpose of the notification described in paragraph (b)
of this section.
(3) Submitters who provide to a postal facility business information
on a recurring basis and in substantially identical form may use the
following simplified process: The first submission will provide in full
the information required in paragraphs (e)(1) and (2) of this section;
shall identify the type of information, e.g., PS Form 3602, to which it
is intended to apply; and shall state that it is intended to serve as a
designation for all of the information of this type that is submitted to
the particular facility. Thereafter when providing this type of
information, the submitter need only mark a submission with a reference
to the designation, e.g., Privileged: see letter of 4-1-91. By written
agreement with the head of the facility, even this marking may be
dispensed with if it is not necessary to alert postal employees at that
facility of the claim of exemption.
(4) A designation made pursuant to paragraph (e) of this section
shall be deemed to have expired ten years after the date the records
were submitted unless the submitter requests, and provides reasonable
justification for, a designation period of greater duration.
(5) The Postal Service will not determine the validity of any
request for confidential treatment until a request for disclosure of the
information is received.
(f) Opportunity to object to disclosure. Through the notice
described in paragraph (b) of this section, the submitter shall be
afforded a reasonable period of time within which to provide the Postal
Service with a detailed written statement of any objection to
disclosure. Such statement shall specify all grounds for withholding any
of the information under any exemption of the Freedom of Information Act
and, in the case of Exemption 4, shall demonstrate why the information
is contended to be a trade secret or commercial or financial information
that is privileged or confidential. Whenever possible, the
[[Page 123]]
submitter's claim of confidentiality should be supported by a statement
or certification by an officer or authorized representative of the
submitter that the information in question is in fact confidential, has
not been disclosed to the public by the submitter, and is not routinely
available to the public from other sources. Information provided by a
submitter pursuant to this paragraph may itself be subject to disclosure
under the FOIA.
(g) Determination that confidential treatment is warranted. If the
custodian determines that confidential treatment is warranted for any
part of the requested records, he shall inform the requester in writing
in accordance with the procedures set out in Sec. 265.7(d) of this
chapter, and shall advise the requester of the right to appeal. A copy
of the letter of denial shall also be provided to the submitter of the
records in any case in which the submitter had been notified of the
request pursuant to paragraph (c) of this section.
(h) Notice of intent to disclose. The custodian, in the case of an
initial request, or the General Counsel, in the case of an appeal, shall
consider carefully a submitter's objections and specific grounds for
nondisclosure prior to determining whether to disclose business
information. In the event of a decision to disclose business information
over the objection of the submitter, the submitter shall be furnished a
written notice which shall include:
(1) A description of the business information to be disclosed;
(2) A statement of the reasons for which the submitter's disclosure
objections were not sustained; and
(3) The specific date upon which disclosure will occur. Such notice
of intent to disclose shall be forwarded to the submitter a reasonable
number of days prior to the specified disclosure date and the requester
shall be notified likewise.
(i) Notice of FOIA lawsuit. Whenever a requester brings suit seeking
to compel disclosure of business information, the General Counsel shall
promptly notify the submitter.
[56 FR 56934, Nov. 7, 1991]
Sec. 265.9 Schedule of fees.
(a) Policy. The purpose of this section is to establish fair and
equitable fees to permit the furnishing of records to members of the
public while recovering the full allowable direct costs incurred by the
Postal Service. The Postal Service will use the most efficient and least
costly methods available to it when complying with requests for records.
(b) Standard rates--(1) Record retrieval. Searches may be done
manually or by computer using existing programming.
(i) Manual search. The fee for a manual search is $32 per hour
(fractions of an hour are rounded to the nearest half hour).
(ii) Computer search. The fee for retrieving data by computer is the
actual direct cost of the retrieval, including computer search time, and
personnel cost in effect at the time that the retrieval services are
performed. The fees are subject to periodic revision. A copy of the fees
are included within the public index. (See appendix A.)
(2) Duplication. (i) Except where otherwise specifically provided in
postal regulations, the fee for duplicating any record or publication is
$.15 per page.
(ii) The Postal Service may at its discretion make coin-operated
copy machines available at any location or otherwise give the requester
the opportunity to make copies of Postal Service records at his own
expense. Unless authorized by the Records Office, however, no off-site
copying shall be permitted of records which, if lost, could not be
replaced without inconvenience to the Postal Service.
(iii) The Postal Service will normally furnish only one copy of any
record. If duplicate copies are furnished at the request of the
requester, the $.15 per-page fee shall be charged for each copy of each
duplicate page without regard to whether the requester is eligible for
free copies pursuant to paragraph (c) or (g) of this section. At his or
her discretion, when it is reasonably necessary because of a lack of
adequate copying facilities or other circumstances, the custodian may
make the requested record available to the requester for inspection
under reasonable conditions and need not furnish a copy thereof.
[[Page 124]]
(3) Review. The fee for reviewing records located in response to a
commercial use request is $32 per hour (fractions of an hour are rounded
to the nearest half hour). Only requesters who are seeking documents for
commercial use may be charged for review. ``Review'' is defined in
paragraph (h)(4) of this section; ``commercial use'' is defined in
paragraph (h)(5) of this section.
(4) Micrographics. Paragraphs (b) (1), (2) and (3) of this section
also apply to information stored within micrographic systems.
(c) Four categories of fees to be charged. For the purpose of
assessing fees under this section, a requester shall be classified into
one of four categories: commercial use requesters; educational and
noncommercial scientific institutions; representatives of the news
media; and all other requesters. Requesters in each category must
reasonably describe the records sought. Fees shall be charged requesters
in each category in accordance with the following.
(1) Commercial use requesters. Fees shall be charged to recover the
full direct costs of search, review and duplication in accordance with
the rates prescribed in paragraphs (b) (1) through (3) of this section,
subject only to the general waiver set out in paragraph (g)(1) of this
section. The term ``commercial use request'' is defined in paragraph
(h)(5).
(2) Educational and noncommercial scientific institutions. Fees
shall be charged only for duplication in accordance with paragraph
(b)(2) of this section, except that the first 100 pages furnished in
response to a particular request shall be furnished without charge. (See
also the general waiver provision in paragraph (g)(1) of this section.)
To be eligible for the reduction of fees applicable to this category,
the requester must show that the request is being made as authorized by
and under the auspices of a qualifying institution and that the records
are not sought for a commercial use, but are sought in furtherance of
scholarly or scientific research. These institutions are defined in
paragraphs (h)(6) and (h)(7) of this section, respectively.
(3) Representatives of the news media. Fees shall be charged only
for duplication in accordance with paragraph (b)(2) of this section,
except that the first 100 pages furnished in response to a particular
request shall be furnished without charge. (See also the general waiver
provision in paragraph (g)(1) of this section.) To be eligible for the
reduction of fees applicable to this category, the requester must meet
the criteria in paragraph (h)(8) of this section, and the request must
not be made for a commercial use.
(4) All other requesters. Fees shall be charged for search and
duplication in accordance with paragraphs (b) (1) and (2) of this
section, except that the first 100 pages of duplication and the first
two hours of search time shall be furnished without charge. (See also
paragraphs (g)(1) and (g)(2) of this section.)
(d) Aggregating requests. When the custodian reasonably believes
that a requester is attempting to break a request down into a series of
requests in order to evade the assessment of fees, the custodian may
aggregate the requests and charge accordingly. The custodian shall not
aggregate multiple requests when the requests pertain to unrelated
subject matter. Requests made by more than one requester may be
aggregated only when the custodian has a concrete basis on which to
conclude that the requesters are acting in concert specifically to avoid
payment of fees.
(e) Other costs--(1) Publications. Publications and other printed
materials may, to the extent that they are available in sufficient
quantity, be made available at the established price, if any, or at cost
to the Postal Service. Fees established for printed materials pursuant
to laws, other than the Freedom of Information Act, that specifically
provide for the setting of fees for particular types of records are not
subject to waiver or reduction under this section.
(2) Other charges. When a response to a request requires services or
materials other than the common one listed in paragraph (b) of this
section, the direct cost of such services or materials to the Postal
Service may be charged, but only if the requester has been notified of
the nature and estimated amount of such cost before it is incurred.
[[Page 125]]
(f) Advance notice and payment of fees--(1) Liability and payment.
The requester is responsible, subject to limitations on liability
provided by this section, for the payment of all fees for services
resulting from his request, even if responsive records are not located
or are determined to be exempt from disclosure. Checks in payment of
fees should be made payable to ``U.S. Postal Service.''
(2) Advance notice. To protect members of the public from
unwittingly incurring liability for unexpectedly large fees, the
custodian shall notify the requester if the estimated cost is expected
to exceed $25. When search fees are expected to exceed $25, but it
cannot be determined in advance whether any records will be located or
made available, the custodian shall notify the requester of the
estimated amount and of the responsibility to pay search fees even
through records are not located or are determined to be exempt from
disclosure. The notification shall be transmitted as soon as possible
after physical receipt of the request, giving the best estimate then
available. It shall include a brief explanatory statement of the nature
and extent of the services upon which the estimate is based and shall
offer the requester an opportunity to confer with the custodian or his
representative in an attempt to reformulate the request so as to meet
his needs at lower cost. The time period for responding to the request
shall not run during the interval between the date such notification is
transmitted and the date of receipt of the requester's agreement to bear
the cost. No notification is required if the request specifically states
that whatever cost is involved is acceptable or is acceptable up to a
specified amount that covers estimated costs or if payment of all fees
in excess of $25 has been waived.
(3) Advance payment. Advance payment of fees shall not be required,
except: (i) When it is estimated that the fees chargeable under this
section are likely to exceed $250. If the requester has a history of
prompt payment of FOIA fees, the custodian shall notify the requester of
the likely cost and obtain satisfactory assurance of full payment before
commencing work on the request. If the requester has no history of
payment, the custodian may require an advance payment of an amount up to
the full estimated charge before commencing work on the request.
(ii) When a requester has previously failed to pay a fee in a timely
fashion (i.e., within 30 days of the date of the billing), the requester
shall be required to pay the full amount owed, and to make an advance
payment of the full amount of the estimated fee before processing will
begin on a new or pending request.
(iii) When advance payment is required under paragraphs (f)(3)(i) or
(ii) of this section, the time periods for responding to the initial
request or to an appeal shall not run during the interval between the
date that notice of the requirement is transmitted and the date that the
required payment or assurance of payment is received.
(g) Restrictions on assessing fees--(1) General waiver. No fees
shall be charged to any requester if they would amount, in the
aggregate, for a request or a series of related requests, to $10 or
less. When the fees for the first 100 pages or the first two hours of
search time are excludable under paragraph (c) of this section,
additional costs will not be assessed unless they exceed $10.
(2) Certain fees not charged--(i) All requests except those for
commercial use. Fees shall not be charged for the first 100 pages of
duplication and the first two hours of search time except when the
request is for a commercial use as defined in paragraph (h)(5) of this
section. When search is done by computer, the fees to be excluded for
the first two hours of search time shall be determined on the basis of
fee for computer searches then in effect. (See appendix A.) Assessment
of search fees will begin at the point when the cost of the search
(including the cost of personnel and computer processing time) reaches
the equivalent dollar amount of personnel fees for 2 hours.
(ii) Requests of educational and noncommercial scientific
institutions, and representatives of the news media. Fees shall not be
charged for time spent searching for records in response to requests
submitted by educational and noncommercial scientific institutions or
representatives of the news media.
[[Page 126]]
(3) Public interest waiver. The custodian shall waive a fee, in
whole or in part, and any requirement for advance payment of such a fee,
when he determines that furnishing the records is deemed to be in the
public interest because it is likely to contribute significantly to
public understanding of the operations or activities of the federal
government, and is not primarily in the commercial interest of the
requester. This waiver may be granted notwithstanding the applicability
of other fee reductions prescribed by this section for requesters in
certain categories. In determining whether disclosure is in the public
interest for the purposes of this waiver, the following factors may be
considered:
(i) The relation of the records to the operations or activities of
the Postal Services;
(ii) The informative value of the information to be disclosed;
(iii) Any contribution to an understanding of the subject by the
general public likely to result from disclosure;
(iv) The significance of that contribution to the public
understanding of the subject;
(v) The nature of the requester's personal interest, if any, in the
disclosure requested; and
(vi) Whether the disclosure would be primarily in the requester's
commercial interest.
(4) Waiver by officer. Any officer of the Postal Service, as defined
in Sec. 221.8, his designee, or the Manager, Records Office may waive
in whole or in part any fee required by this part or the requirement for
advance payment of any fee.
(5) Fee for other services. Waivers do not apply for fees for
address correction services performed in accordance with section R900 of
the Domestic Mail Manual.
(h) Definitions. As used in this section, the term:
(1) Direct costs include expenditures actually incurred in searching
for and duplicating (and in the case of commercial requesters,
reviewing) documents to respond to a FOIA request. Direct costs include,
for example, the salary of the employee performing work (the basic rate
of pay for the employee plus a factor to cover benefits) and the cost of
operating duplicating machinery. Not included in direct costs are
overhead expenses such as costs of space, and heating or lighting the
facility in which the records are stored.
(2) Search includes all time spent looking for material that is
responsive to a request, including page-by-page or line-by-line
identification of material within documents. Searches may be done
manually or by computer using existing programming. A line-by-line
search will be conducted only when necessary to determine whether the
document contains responsive information and will not be employed in
those instances in which duplication of the entire document would be the
less expensive and quicker method of complying with a request. Search
does not include review of material to determine whether the material is
exempt from disclosure (see paragraph (h)(4) of this section).
(3) Duplication refers to the process of making a copy of a document
necessary to respond to a FOIA request. Such copies can take the form of
paper copy, microform, audio-visual materials, or machine readable
documentation (e.g., magnetic tape or disk), among others. The copy
provided must be in a form that is reasonably usable by requesters.
(4) Review refers to the process of examining documents located in
response to a request that is for a commercial use (see paragraph (h)(5)
of this section) to determine whether any portion of any document
located is exempt from mandatory disclosure. It also includes processing
any documents for disclosure, e.g., doing all that is necessary to
excise them and otherwise prepare them for release. Review does not
include time spent resolving general legal or policy issues regarding
the application of exemptions. Charges may be assessed only for the
initial review, i.e., the first time the applicability of a specific
exemption is analyzed. Costs for a subsequent review are properly
assessable only when a record or portion of a record withheld solely on
the basis of an exemption later determined not to apply must be reviewed
again to determine the applicability of other exemptions not previously
considered.
[[Page 127]]
(5) Commercial use request refers to a request from or on behalf of
one who seeks information for a use or purpose that furthers the
commercial, trade, or profit interests of the requester or the person on
whose behalf the request is made. In determining whether a request
properly belongs in this category, the Postal Service will look to the
use to which the requester will put the documents requested. If the use
is not clear from the request itself, or if there is reasonable cause to
doubt the requester's stated use, the custodian shall seek additional
clarification from the requester before assigning the request to this
category.
(6) Educational institution refers to a pre-school, a public or
private elementary or secondary school, an institution of graduate
higher education, an institution of undergraduate higher education, an
institution of professional education, and an institution of vocational
education, which operates a program or programs of scholarly research.
(7) Noncommercial scientific institution refers to an institution
that is not operated on a ``commercial'' basis as that term is defined
in paragraph (h)(5) of this section, and which is operated solely for
the purpose of conducting scientific research the results of which are
not intended to promote any particular product or industry.
(8) Representative of the news media refers to any person actively
gathering news for an entity that is organized and operated to publish
or broadcast news to the public. The term ``news'' means information
that is about current events or that would be of current interest to the
public. Requests by news organizations for information that will be used
for the furtherance of the organization's commercial interests, rather
than for the dissemination of news to the public, shall be considered
commercial use requests. Examples of news media entities include
television or radio stations broadcasting to the public at large, and
publishers of periodicals (but only in those instances when they can
qualify as disseminators of ``news'') who make their products available
for purchase or subscription by the general public. These examples are
not intended to be all-inclusive. A ``freelance'' journalist will be
regarded as a representative of the news media if he can demonstrate a
solid basis for expecting publication through a news organization, even
though not actually employed by it. This may be demonstrated either by a
publication contract with the news organization or by the past
publication record of the requester.
[52 FR 13668, Apr. 24, 1987, as amended at 53 FR 49983, Dec. 13, 1988;
54 FR 7417, Feb. 21, 1989. Redesignated at 56 FR 56934, Nov. 7, 1991,
and amended at 56 FR 57805, Nov. 14, 1991; 59 FR 11550, Mar. 11, 1994;
60 FR 57345, Nov. 15, 1995; 64 FR 41290, July 30, 1999; 68 FR 56559,
Oct. 1, 2003; 69 FR 34935, June 23, 2004]
Sec. 265.10 Annual report.
A report concerning the administration of the Freedom of Information
Act and this part will be submitted to the Attorney General of the
United States on or before February 1 of each year, with the first such
report, for fiscal year 1998, due on or before February 1, 1999. Data
for the report will be collected on the basis of fiscal year that begins
on October 1 of each year. The Attorney General, in consultation with
the Director, Office of Management and Budget, will prescribe the form
and content of the report. The report will be made available to the
public at the headquarters Library and on the Postal Service's world
wide web site at http://www.usps.com/foia.
[63 FR 6483, Feb. 9, 1998, as amended at 68 FR 56559, Oct. 1, 2003]
Sec. 265.11 Compliance with subpoena duces tecum, court orders, and
summonses.
(a) Compliance with subpoena duces tecum. (1) Except as required by
Part 262, produce other records of the Postal Service only in compliance
with a subpoena duces tecum or appropriate court order.
(2) Time, leave, and payroll records of postal employees are subject
to production when a subpoena duces tecum or appropriate court order has
been properly served. The custodian of the records may designate a
postal employee to present the records. The presentation by a designee
rather than the employee named in the subpoena or
[[Page 128]]
court order must meet with the approval of the attorneys for each side.
In addition, such records may be released if authorized in writing by
the employee.
(3) If the subpoena involves a job-connected injury, the records are
under the exclusive jurisdiction of the Office of Workers' Compensation
Programs, Department of Labor. Requests for authorization to produce
these records shall be addressed to: Office of Workers' Compensation
Programs, U.S. Department of Labor, Washington, DC 20210-0001. Also
notify the attorney responsible for the issuance of the subpoena or
court order.
(4) Employee medical records are primarily under the exclusive
jurisdiction of the U.S. Civil Service Commission. The Commission has
delegated authority to the Postal Service and to the Commission's
Regional Directors to release medical information, in response to proper
requests and upon competent medical advice, in accordance with the
following criteria:
(i) Except in response to a subpoena or court order, do not release
any medical information about an employee to any non-Federal entity or
individual without authorization from the employee.
(ii) With authorization from the employee, the Area, Information
Systems Service Center, or Chief Field Counsel will respond as follows
to a request from a non-Federal source for medical information:
(a) If, in the opinion of a Federal medical officer, the medical
information indicates the existence of a malignancy, a mental condition,
or other condition about which a prudent physician would hesitate to
inform a person suffering from such a condition as to its exact nature
and probable outcome, do not release the medical information to the
employee or to any individual designated by him, except to a physician,
designated by the employee in writing. If a subpoena or court order was
issued, the responding official shall caution the moving party as to the
possible dangers involved if the medical information is divulged.
(b) If, in the opinion of a Federal medical officer, the medical
information does not indicate the presence of any condition which would
cause a prudent physician to hesitate to inform a person of the exact
nature and probable outcome of his condition, release it in response to
a subpoena or court order, or to the employee or to any person, firm, or
organization he authorizes in writing.
(c) If a Federal medical officer is not available, refer the request
to the Civil Service Commission regional office with the medical
certificates or other medical reports concerned.
(5) Do not release any records containing information as to the
employee's security or loyalty.
(6) Honor subpoenas or court orders only when disclosure is
authorized.
(7) When authorized to comply with a subpoena duces tecum, do not
leave the original records with the court.
(b) [Reserved]
[40 FR 7331, Feb. 19, 1975, as amended at 51 FR 26386, July 23, 1986; 56
FR 55824, Oct. 30, 1991. Redesignated at 56 FR 56934, Nov. 7, 1991; 60
FR 36712, July 18, 1995; 60 FR 57345, Nov. 15, 1995]
Sec. 265.12 Demands for testimony or records in certain legal proceedings.
(a) Scope and applicability of this section. (1) This section
establishes procedures to be followed if the Postal Service or any
Postal Service employee receives a demand for testimony concerning or
disclosure of:
(i) Records contained in the files of the Postal Service;
(ii) Information relating to records contained in the files of the
Postal Service; or
(iii) Information or records acquired or produced by the employee in
the course of his or her official duties or because of the employee's
official status.
(2) This section does not create any right or benefit, substantive
or procedural, enforceable by any person against the Postal Service.
(3) This section does not apply to any of the following:
(i) Any legal proceeding in which the United States is a party;
(ii) A demand for testimony or records made by either House of
Congress or, to the extent of matter within
[[Page 129]]
its jurisdiction, any committee or subcommittee of Congress;
(iii) An appearance by an employee in his or her private capacity in
a legal proceeding in which the employee's testimony does not relate to
the employee's official duties or the functions of the Postal Service;
or
(iv) A demand for testimony or records submitted to the Postal
Inspection Service (a demand for Inspection Service records or testimony
will be handled in accordance with rules in Sec. 265.11).
(4) This section does not exempt a request from applicable
confidentiality requirements, including the requirements of the Privacy
Act. 5 U.S.C. 552a.
(b) Definitions. The following definitions apply to this section:
(1) Adjudicative authority includes, but is not limited to, the
following:
(i) A court of law or other judicial forums, whether local, state,
or federal; and
(ii) Mediation, arbitration, or other forums for dispute resolution.
(2) Demand includes a subpoena, subpoena duces tecum, request,
order, or other notice for testimony or records arising in a legal
proceeding.
(3) Employee means a current employee or official of the Postal
Service.
(4) General Counsel means the General Counsel of the United States
Postal Service, the Chief Field Counsels, or an employee of the Postal
Service acting for the General Counsel under a delegation of authority.
(5) Legal proceeding means:
(i) A proceeding before an adjudicative authority;
(ii) A legislative proceeding, except for a proceeding before either
House of Congress or before any committee or subcommittee of Congress;
or
(iii) An administrative proceeding.
(6) Private litigation means a legal proceeding to which the United
States is not a party.
(7) Records custodian means the employee who maintains a requested
record. For assistance in identifying the custodian of a specific
record, contact the Manager, Records Office, U.S. Postal Service, 475
L'Enfant Plaza, SW., Washington, DC 20260, telephone (202) 268-2608.
(8) Testimony means statements made in connection with a legal
proceeding, including but not limited to statements in court or other
forums, depositions, declarations, affidavits, or responses to
interrogatories.
(9) United States means the federal government of the United States
and any of its agencies, establishments, or instrumentalities, including
the United States Postal Service.
(c) Requirements for submitting a demand for testimony or records.
(1) Ordinarily, a party seeking to obtain records from the Postal
Service should submit a request in accordance with the provisions of the
Freedom of Information Act (FOIA), 5 U.S.C. 552, and the Postal
Service's regulations implementing the FOIA at 39 CFR 265.1 through
265.9 or the Privacy Act, 5 U.S.C. 552a and the Postal Service's
regulations implementing the Privacy Act at 39 CFR 266.1 through 266.9.
(2) A demand for testimony or records issued pursuant to the rules
governing the legal proceeding in which the demand arises must:
(i) Be in writing;
(ii) Identify the requested record and/or state the nature of the
requested testimony, describe the relevance of the record or testimony
to the proceeding, and why the information sought is unavailable by any
other means; and
(iii) If testimony is requested, contain a summary of the requested
testimony and a showing that no document could be provided and used in
lieu of testimony.
(3) Procedures for service of demand are made as follows:
(i) Service of a demand for testimony or records (including, but not
limited to, personnel or payroll information) relating to a current or
former employee must be made in accordance with the applicable rules of
civil procedure on the employee whose testimony is requested or the
records custodian. The requester also shall deliver a copy of the demand
to the District Manager, Customer Services and Sales, for all current
employees whose work location is within the geographic boundaries of the
manager's district, and any former employee whose last position was
within the geographic boundaries of the
[[Page 130]]
manager's district. A demand for testimony or records must be received
by the employee whose testimony is requested and the appropriate
District Manager, Customer Services and Sales, at least ten (10) working
days before the date the testimony or records are needed.
(ii) Service of a demand for testimony or records other than those
described in paragraph (c)(3)(i) of this section must be made in
accordance with the applicable rules of civil procedure on the employee
whose testimony is requested or the records custodian. The requester
also shall deliver a copy of the demand to the General Counsel, United
States Postal Service, 475 L'Enfant Plaza, SW, Washington DC 20260-1100,
or the Chief Field Counsel. A demand for testimony or records must be
received by the employee and the General Counsel or Chief Field Counsel
at least ten (10) working days before the date testimony or records are
needed.
(d) Procedures followed in response to a demand for testimony or
records. (1) After an employee receives a demand for testimony or
records, the employee shall immediately notify the General Counsel or
Chief Field Counsel and request instructions.
(2) An employee may not give testimony or produce records without
the prior authorization of the General Counsel.
(3)(i) The General Counsel may allow an employee to testify or
produce records if the General Counsel determines that granting
permission:
(A) Would be appropriate under the rules of procedure governing the
matter in which the demand arises and other applicable laws, privileges,
rules, authority, and regulations; and
(B) Would not be contrary to the interest of the United States. The
interest of the United States includes, but is not limited to,
furthering a public interest of the Postal Service and protecting the
human and financial resources of the United States.
(ii) An employee's testimony shall be limited to the information set
forth in the statement described at paragraph (c)(2) of this section or
to such portions thereof as the General Counsel determines are not
subject to objection. An employee's testimony shall be limited to facts
within the personal knowledge of the employee. A Postal Service employee
authorized to give testimony under this rule is prohibited from giving
expert or opinion testimony, answering hypothetical or speculative
questions, or giving testimony with respect to privileged subject
matter. The General Counsel may waive the prohibition of expert
testimony under this paragraph only upon application and showing of
exceptional circumstances and the request substantially meets the
requirements of this section.
(4) The General Counsel may establish conditions under which the
employee may testify. If the General Counsel authorizes the testimony of
an employee, the party seeking testimony shall make arrangements for the
taking of testimony by those methods that, in the General Counsel's
view, will least disrupt the employee's official duties. For example, at
the General Counsel's discretion, testimony may be provided by
affidavits, answers to interrogatories, written depositions, or
depositions transcribed, recorded, or preserved by any other means
allowable by law.
(5) If a response to a demand for testimony or records is required
before the General Counsel determines whether to allow an employee to
testify, the employee or counsel for the employee shall do the
following:
(i) Inform the court or other authority of the regulations in this
section; and
(ii) Request that the demand be stayed pending the employee's
receipt of the General Counsel's instructions.
(6) If the court or other authority declines the request for a stay,
or rules that the employee must comply with the demand regardless of the
General Counsel's instructions, the employee or counsel for the employee
shall respectfully decline to comply with the demand, citing United
States ex rel. Touhy v. Ragen, 340 U.S. 462 (1951), and the regulations
in this section.
(7) The General Counsel may request the assistance of the Department
of Justice or a U.S. Attorney where necessary to represent the interests
of the Postal Service and the employee.
[[Page 131]]
(8) At his or her discretion, the General Counsel may grant a waiver
of any procedure described by this section, where waiver is considered
necessary to promote a significant interest of the United States or for
other good cause.
(9) If it otherwise is permissible, the records custodian may
authenticate, upon the request of the party seeking disclosure, copies
of the records. No employee of the Postal Service shall respond in
strict compliance with the terms of a subpoena duces tecum unless
specifically authorized by the General Counsel.
(e) Postal Service employees as expert witnesses. No Postal Service
employee may testify as an expert or opinion witness, with regard to any
matter arising out of the employee's official duties or the functions of
the Postal Service, for any party other than the United States, except
that in extraordinary circumstances, the General Counsel may approve
such expert testimony in private litigation. A Postal Service employee
may not testify as such an expert witness without the express
authorization of the General Counsel. A litigant must obtain
authorization of the General Counsel before designating a Postal Service
employee as an expert witness.
(f) Substitution of Postal Service employees. Although a demand for
testimony may be directed to a named Postal Service employee, the
General Counsel, where appropriate, may designate another Postal Service
employee to give testimony. Upon request and for good cause shown (for
example, when a particular Postal Service employee has direct knowledge
of a material fact not known to the substitute employee designated by
the Postal Service), the General Counsel may permit testimony by a named
Postal Service employee.
(g) Fees and costs. (1) The Postal Service may charge fees, not to
exceed actual costs, to private litigants seeking testimony or records
by request or demand. The fees, which are to be calculated to reimburse
fully the Postal Service for processing the demand and providing the
witness or records, may include, among others:
(i) Costs of time spent by employees, including attorneys, of the
Postal Service to process and respond to the demand;
(ii) Costs of attendance of the employee and agency attorney at any
deposition, hearing, or trial;
(iii) Travel costs of the employee and agency attorney;
(iv) Costs of materials and equipment used to search for, process,
and make available information.
(2) All costs for employee time shall be calculated on the hourly
pay of the employee (including all pay, allowance, and benefits) and
shall include the hourly fee for each hour, or portion of each hour,
when the employee is in travel, in attendance at a deposition, hearing,
or trial, or is processing or responding to a request or demand.
(3) At the discretion of the Postal Service, where appropriate,
costs may be estimated and collected before testimony is given.
(h) Acceptance of service. This section does not in any way abrogate
or modify the requirements of the Federal Rules of Civil Procedure (28
U.S.C. Appendix) regarding service of process.
[60 FR 17224, Apr. 5, 1995, as amended at 60 FR 57345, Nov. 15, 1995; 64
FR 41291, July 30, 1999; 68 FR 56559, Oct. 1, 2003]
Sec. 265.13 Compliance with subpoenas, summonses, and court orders by
postal employees within the Inspection Service where the Postal Service,
the United States, or any other federal agency is not a party.
(a) Applicability of this section. The rules in this section apply
to all federal, state, and local court proceedings, as well as
administrative and legislative proceedings, other than:
(1) Proceedings where the United States, the Postal Service, or any
other federal agency is a party;
(2) Congressional requests or subpoenas for testimony or documents;
(3) Consultative services and technical assistance rendered by the
Inspection Service in executing its normal functions;
(4) Employees serving as expert witnesses in connection with
professional and consultative services under 5 CFR part 7001, provided
that employees acting in this capacity must state for the record that
their testimony reflects their personal opinions and should not
[[Page 132]]
be viewed as the official position of the Postal Service;
(5) Employees making appearances in their private capacities in
proceedings that do not relate to the Postal Service (e.g., cases
arising from traffic accidents, domestic relations) and do not involve
professional or consultative services; and
(6) When in the opinion of the Counsel or the Counsel's designee,
Office of the Chief Postal Inspector, it has been determined that it is
in the best interest of the Inspection Service or in the public
interest.
(b) Purpose and scope. The provisions in this section limit the
participation of postal employees within or assigned to the Inspection
Service, in private litigation, and other proceedings in which the
Postal Service, the United States, or any other federal agency is not a
party. The rules are intended to promote the careful supervision of
Inspection Service resources and to reduce the risk of inappropriate
disclosures that might affect postal operations.
(c) Definitions. For the purposes of this section:
(1) Authorizing official is the person responsible for giving the
authorization for release of documents or permission to testify.
(2) Case or matter means any civil proceeding before a court of law,
administrative board, hearing officer, or other body conducting a
judicial or administrative proceeding in which the United States, the
Postal Service, or another federal agency is not a named party.
(3) Demand includes any request, order, or subpoena for testimony or
the production of documents.
(4) Document means all records, papers, or official files,
including, but not limited to, official letters, telegrams, memoranda,
reports, studies, calendar and diary entries, graphs, notes, charts,
tabulations, data analyses, statistical or information accumulations,
records of meetings and conversations, film impressions, magnetic tapes,
computer discs, and sound or mechanical reproductions;
(5) Employee or Inspection Service employee, for the purpose of this
section only, refers to a Postal Service employee currently or formerly
assigned to the Postal Inspection Service, student interns, contractors
and employees of contractors who have access to Inspection Service
information and records.
(6) Inspection Service means the organizational unit within the
Postal Service as outlined in Sec. 224.3 of this chapter.
(7) Inspection Service Legal Counsel is an attorney authorized by
the Chief Postal Inspector to give legal advice to members of the
Inspection Service.
(8) Inspection Service Manual is the directive containing the
standard operating procedures for Postal Inspectors and certain
Inspection Service employees.
(9) Nonpublic includes any material or information not subject to
mandatory public disclosure under Sec. 265.6(b).
(10) Official case file means official documents that relate to a
particular case or investigation. These documents may be kept at any
location and do not necessarily have to be in the same location in order
to constitute the file.
(11) Postal Inspector reports include all written reports, letters,
recordings, or other memorializations made in conjunction with the
duties of a Postal Inspector.
(12) Testify or testimony includes both in-person oral statements
before any body conducting a judicial or administrative proceeding and
statements made in depositions, answers to interrogatories,
declarations, affidavits, or other similar documents.
(13) Third-party action means an action, judicial or administrative,
in which the United States, the Postal Service, or any other federal
agency is not a named party.
(d) Policy. (1) No current or former employee within the Inspection
Service may testify or produce documents concerning information acquired
in the course of employment or as a result of his or her relationship
with the Postal Service in any proceeding to which this section applies
(see paragraph (a) of this section), unless authorized to do so.
Authorization will be provided by:
(i) The Postal Inspector in Charge of the affected field Division,
or designee, for Division personnel and records, after that official has
determined through consultation with Inspection
[[Page 133]]
Service legal counsel that no legal objection, privilege, or exemption
applies to such testimony or production of documents.
(ii) The Chief Postal Inspector or designee for Headquarters
employees and records, after that official has determined through
consultation with Inspection Service legal counsel, that no legal
objection, privilege, or exemption applies to such testimony or
production of documents.
(2) Consideration shall be given to:
(i) Statutory restrictions, as well as any legal objection,
exemption, or privilege that may apply;
(ii) Relevant legal standards for disclosure of nonpublic
information and documents;
(iii) Inspection Service rules and regulations and the public
interest;
(iv) Conservation of employee time; and
(v) Prevention of the expenditure of Postal Service resources for
private purposes.
(3) If additional information is necessary before a determination
can be made, the authorizing official may, in coordination with
Inspection Service legal counsel, request assistance from the Department
of Justice.
(e) Compliance with subpoena duces tecum. (1) Except as required by
part 262 of this chapter, produce any other record of the Postal Service
only in compliance with a subpoena duces tecum or appropriate court
order.
(2) Do not release any record containing information relating to an
employee's security or loyalty.
(3) Honor subpoenas and court orders only when disclosure is
authorized.
(4) When authorized to comply with a subpoena duces tecum or court
order, do not leave the originals with the court.
(5) Postal Inspector reports are considered to be confidential
internal documents and shall not be released unless there is specific
authorization by the Chief Postal Inspector or the Inspector in Charge
of the affected field Division, after consulting with Inspection Service
legal counsel.
(6) The Inspection Service Manual and other operating instructions
issued to Inspection Service employees are considered to be confidential
and shall not be released unless there is specific authorization, after
consultation with Inspection Service legal counsel. If the requested
information relates to confidential investigative techniques, or release
of the information would adversely affect the law enforcement mission of
the Inspection Service, the subpoenaed official, through Inspection
Service legal counsel, may request an in camera, ex parte conference to
determine the necessity for the release of the information. The entire
Manual should not be given to any party.
(7) Notes, memoranda, reports, transcriptions, whether written or
recorded and made pursuant to an official investigation conducted by a
member of the Inspection Service, are the property of the Inspection
Service and are part of the official case file, whether stored with the
official file.
(f) Compliance with summonses and subpoenas ad testificandum. (1) If
an Inspection Service employee is served with a third-party summons or a
subpoena requiring an appearance in court, contact should be made with
Inspection Service legal counsel to determine whether and which
exemptions or restrictions apply to proposed testimony. Inspection
Service employees are directed to comply with summonses, subpoenas, and
court orders, as to appearance, but may not testify without
authorization.
(2) Postal Inspector reports or records will not be presented during
testimony, in either state or federal courts in which the United States,
the Postal Service, or another federal agency is not a party in
interest, unless authorized by the Chief Postal Inspector or the Postal
Inspector in Charge of the affected field Division, who will make the
decision after consulting with Inspection Service legal counsel. If an
attempt is made to compel production, through testimony, the employee is
directed to decline to produce the information or matter and to state
that it may be exempted and may not be disclosed or produced without the
specific approval of the Chief Postal Inspector or the Postal Inspector
in Charge of the affected field Division. The Postal Service will offer
all possible assistance to the courts, but the question of disclosing
information for which an exemption may be
[[Page 134]]
claimed is a matter of discretion that rests with the appropriate
official. Paragraph (e) of this section covers the release of Inspection
Service documents in cases where the Postal Service or the United States
is not a party.
(g) General procedures for obtaining Inspection Service documents
and testimony from Inspection Service employees. (1) To facilitate the
orderly response to demands for the testimony of Inspection Service
employees and production of documents in cases where the United States,
the Postal Service, or another federal agency is not a party, all
demands for the production of nonpublic documents or testimony of
Inspection Service employees concerning matters relating to their
official duties and not subject to the exemptions set forth in paragraph
(a) of this section shall be in writing and conform to the requirements
outlined in paragraphs (g)(2) and (g)(3) of this section.
(2) Before or simultaneously with service of a demand described in
paragraph (g)(1) of this section, the requesting party shall serve on
the Counsel, Office of the Chief Postal Inspector, 475 L'Enfant Plaza
SW., Washington, DC 20260-2181, an affidavit or declaration containing
the following information:
(i) The title of the case and the forum where it will be heard;
(ii) The party's interest in the case;
(iii) The reasons for the demand;
(iv) A showing that the requested information is available, by law,
to a party outside the Postal Service;
(v) If testimony is sought, a summary of the anticipated testimony;
(vi) If testimony is sought, a showing that Inspection Service
records could not be provided and used in place of the requested
testimony;
(vii) The intended use of the documents or testimony; and
(viii) An affirmative statement that the documents or testimony is
necessary for defending or prosecuting the case at issue.
(3) The Counsel, Office of the Chief Postal Inspector, shall act as
agent for the receipt of legal process for demands for production of
records or testimony of Inspection Service employees where the United
States, the Postal Service, or any other federal agency is not a party.
A subpoena for testimony or for the production of documents from an
Inspection Service employee concerning official matters shall be served
in accordance with the applicable rules of civil procedure. A copy of
the subpoena and affidavit or declaration, if not previously furnished,
shall also be sent to the Chief Postal Inspector or the appropriate
Postal Inspector in Charge.
(4) Any Inspection Service employee who is served with a demand
shall promptly inform the Chief Postal Inspector, or the appropriate
Postal Inspector in Charge, of the nature of the documents or testimony
sought and all relevant facts and circumstances.
(h) Authorization of testimony or production of documents. (1) The
Chief Postal Inspector or the Postal Inspector in Charge of the affected
field Division, after consulting with Inspection Service legal counsel,
shall determine whether testimony or the production of documents will be
authorized.
(2) Before authorizing the requested testimony or the production of
documents, the Chief Postal Inspector or the Postal Inspector in Charge
of the affected field Division shall consider the following factors:
(i) Statutory restrictions, as well as any legal objection,
exemption, or privilege that may apply;
(ii) Relevant legal standards for disclosure of nonpublic
information and documents;
(iii) Inspection Service rules and regulations and the public
interest;
(iv) Conservation of employee time; and
(v) Prevention of expenditures of government time and resources
solely for private purposes.
(3) If, in the opinion of the authorizing official, the documents
should not be released or testimony should not be furnished, that
official's decision is final.
(4) Inspection Service legal counsel may consult or negotiate with
the party or the party's counsel seeking testimony or documents to
refine and limit the demand, so that compliance is less burdensome, or
obtain information necessary to make the determination whether the
documents or testimony will be authorized. If the party
[[Page 135]]
or party's counsel seeking the documents or testimony fails to cooperate
in good faith, preventing Inspection Service legal counsel from making
an informed recommendation to the authorizing official, that failure may
be presented to the court or other body conducting the proceeding as a
basis for objection.
(5) Permission to testify or to release documents in all cases will
be limited to matters outlined in the affidavit or declaration described
in paragraph (g)(2) of this section or to such parts as deemed
appropriate by the authorizing official.
(6) If the authorizing official allows the release of documents or
testimony to be given by an employee, arrangements shall be made for the
taking of testimony or receipt of documents by the least disruptive
methods to the employee's official duties. Testimony may, for example,
be provided by affidavits, answers to interrogatories, written
depositions, or depositions transcribed, recorded, or preserved by any
other means allowable by law.
(i) While giving a deposition, the employee may, at the option of
the authorizing official, be represented by Inspection Service legal
counsel.
(ii) While completing affidavits, or other written reports or at any
time during the process of preparing for testimony or releasing
documents, the employee may seek the assistance of Inspection Service
legal counsel.
(7) Absent written authorization from the authorizing official, the
employee shall respectfully decline to produce the requested documents,
testify, or, otherwise, disclose the requested information.
(8) If the authorization is denied or not received by the return
date, the employee, together with counsel, where appropriate, shall
appear at the stated time and place, produce a copy of this section, and
respectfully decline to testify or produce any document on the basis of
the regulations in this section.
(9) The employee shall appear as ordered by the subpoena, summons,
or other appropriate court order, unless:
(i) Legal counsel has advised the employee that an appearance is
inappropriate, as in cases where the subpoena, summons, or other court
order was not properly issued or served, has been withdrawn, discovery
has been stayed; or
(ii) Where the Postal Service will present a legal objection to
furnishing the requested information or testimony.
(i) Inspection Service employees as expert or opinion witnesses. No
Inspection Service employee may testify as an expert or opinion witness,
with regard to any matter arising out of the employee's duties or
functions at the Postal Service, for any party other than the United
States, except that in extraordinary circumstances, the Counsel, Office
of the Chief Postal Inspector, may approve such testimony in private
litigation. An Inspection Service employee may not testify as such an
expert or opinion witness without the express authorization of the
Counsel, Office of the Chief Postal Inspector. A litigant must first
obtain authorization of the Counsel, Office of the Chief Postal
Inspector, before designating an Inspection Service employee as an
expert or opinion witness.
(j) Postal liability. This section is intended to provide
instructions to Inspection Service employees and does not create any
right or benefit, substantive or procedural, enforceable by any party
against the Postal Service.
(k) Fees. (1) Unless determined by 28 U.S.C. 1821 or other
applicable statute, the costs of providing testimony, including
transcripts, shall be borne by the requesting party.
(2) Unless limited by statute, such costs shall also include
reimbursement to the Postal Service for the usual and ordinary expenses
attendant upon the employee's absence from his or her official duties in
connection with the case or matter, including the employee's salary and
applicable overhead charges, and any necessary travel expenses as
follows:
(i) The Inspection Service is authorized to charge reasonable fees
to parties demanding documents or information. Such fees, calculated to
reimburse the Postal Service for the cost of responding to a demand, may
include the costs of time expended by Inspection Service employees,
including attorneys, to process and respond to the demand; attorney time
for reviewing
[[Page 136]]
the demand and for legal work in connection with the demand; expenses
generated by equipment used to search for, produce, and copy the
requested information; travel costs of the employee and the agency
attorney, including lodging and per diem where appropriate. Such fees
shall be assessed at the rates and in the manner specified in Sec.
265.9.
(ii) At the discretion of the Inspection Service where appropriate,
fees and costs may be estimated and collected before testimony is given.
(iii) The provisions in this section do not affect rights and
procedures governing public access to official documents pursuant to the
Freedom of Information Act, 5 U.S.C 552a.
(l) Acceptance of service. The rules in this section in no way
modify the requirements of the Federal Rules of Civil Procedure (28
U.S.C. Appendix) regarding service of process.
[60 FR 36712, July 18, 1995, as amended at 69 FR 34935, June 23, 2004]
Sec. Appendix A to Part 265--Fees for Computer Searches
When requested information must be retrieved by computer, fees
charged to the requester are based on rates for personnel and computer
time. Estimates are provided to the requester in advance and are based
on the following rates:
------------------------------------------------------------------------
Price Unit
------------------------------------------------------------------------
Personnel:
High technical..................... $120 per hour.
Medium technical................... 70 per hour.
Low technical...................... 50 per hour.
Computer Processing:
Mainframe usage.................... .39 per second.
Midrange server usage.............. .06 per second.
PC usage........................... 7.00 per 15 minutes.
Printing computer output........... .14 per page.
Magnetic tape production........... 24.00 per volume.
------------------------------------------------------------------------
[68 FR 56559, Oct. 1, 2003]
PART 266_PRIVACY OF INFORMATION--Table of Contents
Sec.
266.1 Purpose and scope.
266.2 Policy.
266.3 Responsibility.
266.4 Collection and disclosure of information about individuals.
266.5 Notification.
266.6 Procedures for requesting inspection, copying, or amendment of
records.
266.7 Appeal procedure.
266.8 Schedule of fees.
266.9 Exemptions.
266.10 Computer matching.
Authority: 39 U.S.C. 401; 5 U.S.C. 552a.
Sec. 266.1 Purpose and scope.
This part is intended to protect individual privacy and affects all
personal information collection and usage activities of the entire U.S.
Postal Service. This includes the information interface of Postal
Service employees to other employees, to individuals from the public at
large, and to any private organization or governmental agency.
[40 FR 45723, Oct. 2, 1975]
Sec. 266.2 Policy.
It is the policy of the U.S. Postal Service to ensure that any
record within its custody that identifies or describes any
characteristic or provides historical information about an individual or
that affords a basis for inferring personal characteristics, or things
done by or to such individual, including the record of any affiliation
with an organization or activity, or admission to an institution, is
accurate, complete, timely, relevant, and reasonably secure from
unauthorized access. Additionally, it is the policy to provide the means
for individuals to know: (a) Of the existence of all Postal Service
Privacy Act systems of records, (b) the recipients and usage made of
such information, (c) what information is optional or mandatory to
provide to the Postal Service, (d) the procedures for individuals to
review and request update to all information maintained about
themselves, (e) the reproduction fees for releasing records, (f) the
procedures for individual legal appeal in cases of dissatisfaction; and
(g) of the establishment or revision of a computer matching program.
[45 FR 44272, July 1, 1980, as amended at 59 FR 37160, July 21, 1994]
Sec. 266.3 Responsibility.
(a) Records Office. The Records Office, within the Privacy Office,
will ensure Postal Service-wide compliance with this policy.
(b) Custodian. Custodians are responsible for adherence to this part
within
[[Page 137]]
their respective units and in particular for affording individuals their
rights to inspect and obtain copies of records concerning them.
(c) Information System Executive. These managers are responsible for
reporting to the Records Office the existence or proposed development of
Privacy Act systems of records. They also must report any change that
would alter the systems description as published in the Federal
Register. They establish the relevancy of the information within those
systems.
(d) Data Integrity Board--(1) Responsibilities. The Data Integrity
Board oversees Postal Service computer matching activities. Its
principal function is to review, approve, and maintain all written
agreements for use of Postal Service records in matching programs to
ensure compliance with the Privacy Act and all relevant statutes,
regulations, and guidelines. In addition, the Board annually reviews
matching programs and other matching activities in which the Postal
Service has participated during the preceding year to determine
compliance with applicable laws, regulations, and agreements; compiles a
biennial matching report of matching activities; and performs review and
advisement functions relating to records accuracy, recordkeeping and
disposal practices, and other computer matching activities.
(2) Composition. The Privacy Act requires that the senior official
responsible for implementation of agency Privacy Act policy and the
Inspector General serve on the Board. The Chief Privacy Officer, as
administrator of Postal Service Privacy Act policy, serves as Secretary
of the Board and performs the administrative functions of the Board. The
Board is composed of these and other members designated by the
Postmaster General, as follows:
(i) Vice President and Consumer Advocate (Chairman).
(ii) Chief Postal Inspector.
(iii) Inspector General.
(iv) Senior Vice President, Human Resources.
(v) Vice President, General Counsel.
(vi) Chief Privacy Officer.
[40 FR 45723, Oct. 2, 1975, as amended at 45 FR 44272, July 1, 1980; 59
FR 37160, July 21, 1994; 60 FR 57345, Nov. 15, 1995; 64 FR 41291, July
30, 1999; 68 FR 56560, Oct. 1, 2003]
Sec. 266.4 Collection and disclosure of information about individuals.
(a) The following rules govern the collection of information about
individuals throughout Postal Service operations;
(1) The Postal Service will:
(i) Collect, solicit and maintain only such information about an
individual as is relevant and necessary to accomplish a purpose required
by statute or Executive Order,
(ii) Collect information, to the greatest extent practicable,
directly from the subject individual when such information may result in
adverse determinations about an individual's rights, benefits or
privileges,
(iii) Inform any individual who has been asked to furnish
information about himself whether that disclosure is mandatory or
voluntary, by what authority it is being solicited, the principal
purposes for which it is intended to be used, the routine uses which may
be made of it, and any penalties and specific consequences for the
individual, which are known to the Postal Service, which will result
from refusal to furnish it.
(2) The Postal Service will not discriminate against any individual
who fails to provide information about himself unless that information
is required or necessary for the conduct of the system or program in
which the individual desires to participate.
(3) No information will be collected (or maintained) describing how
individuals exercise rights guaranteed by the First Amendment unless the
Postmaster General specifically determines that such information is
relevant and necessary to carry out a statutory purpose of the Postal
Service.
(4) The Postal Service will not require individuals to furnish their
Social Security account number or deny a right, privilege or benefit
because of an individual's refusal to furnish the number unless it must
be provided by Federal law.
[[Page 138]]
(b) Disclosures--(1) Disclosure: Limitations On. The Postal Service
will not disseminate information about an individual unless reasonable
efforts have been made to assure that the information is accurate,
complete, timely and relevant and unless:
(i) The individual to whom the record pertains has requested in
writing that the information be disseminated, or
(ii) It has obtained the prior written consent of the individual to
whom the record pertains, or
(iii) The dissemination is in accordance with paragraph (b)(2) of
this section.
(2) Dissemination of personal information may be made:
(i) To a person pursuant to a requirement of the Freedom of
Information Act (5 U.S.C. 552);
(ii) To those officers and employees of the Postal Service who have
a need for such information in the performance of their duties;
(iii) For a routine use as contained in the system notices published
in the Federal Register;
(iv) To a recipient who has provided advance adequate written
assurance that the information will be used solely as a statistical
reporting or research record, and to whom the information is transferred
in a form that is not individually identifiable;
(v) To the Bureau of the Census for purposes of planning or carrying
out a census or survey or related activity pursuant to the provisions of
title 13, U.S.C.;
(vi) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the U.S. Government, or for evaluation by the
Administrator of General Services or his designee to determine whether
the record has such value;
(vii) To a person pursuant to a showing of compelling circumstances
affecting the health or safety of an individual, if upon such disclosure
notification is transmitted to the last known address of such
individual;
(viii) To a federal agency or to an instrumentality of any
governmental jurisdiction within or under the control of the United
States for a civil or criminal law enforcement activity, if such
activity is authorized by law and if the head of the agency or
instrumentality has made a written request to the Postal Service
specifying the particular portion of the record desired and the law
enforcement activity for which the record is sought;
(ix) To either House of Congress or its committees or subcommittees
to the extent of matter within their jurisdiction;
(x) To the Comptroller General or any of his authorized
representatives in the course of the performance of the duties of the
General Accounting Office;
(xi) Pursuant to the order of a court of competent jurisdiction.
(3) Names and Addresses of Postal Customers. The disclosure of lists
of names or addresses of Postal customers or other persons to the public
is prohibited (39 U.S.C. 412). Names or addresses will be disclosed only
in those cases permitted by 39 CFR 265.6(d) relating to the Release of
Information.
(4) Employee Credit References. A credit bureau or commercial firm
from which an employee is seeking credit may be given the following
information upon request: grade, duty status, length of service, job
title, and salary.
(5) Employee Job References. Prospective employers of a postal
employee or a former postal employee may be furnished with the
information in paragraph (b)(4) of this section, in addition to the date
and the reason for separation, if applicable. The reason for separation
must be limited to one of the following terms: retired, resigned, or
separated. Other terms or variations of these terms (e.g., retired--
disability) may not be used. If additional information is desired, the
requester must submit the written consent of the employee, and an
accounting of the disclosure must be kept.
(6) Computer matching purposes. Records from a Postal Service system
of records may be disclosed to another agency for the purpose of
conducting a computer matching program or other matching activity as
defined in paragraphs (c) and (d) of Sec. 262.5, but only after a
determination by the Data Integrity Board that the procedural
requirements of the Privacy Act, the
[[Page 139]]
guidelines issued by the Office of Management and Budget, and these
regulations as may be applicable are met. These requirements include:
(i) Routine use. Disclosure is made only when permitted as a routine
use of the system of records. The Manager, Records Office, determines
the applicability of a particular routine use and the necessity for
adoption of a new routine use.
(ii) Notice. Publication of new or revised matching programs in the
Federal Register and advance notice to Congress and the Office of
Management and Budget must be made pursuant to paragraph (f) of Sec.
266.5.
(iii) Computer matching agreement. The participants in a computer
matching program must enter into a written agreement specifying the
terms under which the matching program is to be conducted (see Sec.
266.10). The Manager, Records Office, may require that other matching
activities be conducted in accordance with a written agreement.
(iv) Data Integrity Board approval. No record from a Postal Service
system of records may be disclosed for use in a computer matching
program unless the matching agreement has received approval by the
Postal Service Data Integrity Board (see Sec. 266.10). Other matching
activities may, at the discretion of the Manager, Records Office, be
submitted for Board approval.
(c) Correction Disclosure. Any person or other agency to which a
personal record has been or is to be disclosed shall be informed of any
corrections or notations of dispute relating thereto affecting the
accuracy, timeliness or relevance of that personal record.
(d) Recording of Disclosure. (1) An accurate accounting of each
disclosure will be kept in all instances except those in which
disclosure is made to the subject of the record, or to Postal Service
employees in the performance of their duties or is required by the
Freedom of Information Act (5 U.S.C. 552).
(2) The accounting will be maintained for at least five (5) years or
the life of the record, whichever is longer.
(3) The accounting will be made available to the individual named in
the record upon inquiry, except for disclosures made pursuant to
provision paragraph (b)(2)(viii) of this section relating to law
enforcement activities.
[40 FR 45723, Oct. 2, 1975, as amended at 45 FR 44272, July 1, 1980; 58
FR 62036, Nov. 24, 1993; 59 FR 37160, July 21, 1994; 64 FR 41291, July
30, 1999; 68 FR 56560, Oct. 1, 2003]
Sec. 266.5 Notification.
(a) Notification of Systems. Upon written request, the Postal
Service will notify any individual whether a specific system named by
the individual contains a record pertaining to him or her. See Sec.
266.6 for suggested form of request.
(b) Notification of Disclosure. The Postal Service shall make
reasonable efforts to serve notice on an individual before any personal
information on such individual is made available to any person under
compulsory legal process when such process becomes a matter of public
record.
(c) Notification of Amendment. (See Sec. 266.6(c)(1) relating to
amendment of records upon request.)
(d) Notification of New Use. Any newly intended use of personal
information maintained by the Postal Service will be published in the
Federal Register thirty (30) days before such use becomes operational.
Public views may then be submitted to the Records Office.
(e) Notification of Exemptions. The Postal Service will publish
within the Federal Register its intent to exempt any system of records
and shall specify the nature and purpose of that system.
(f) Notification of computer matching program. The Postal Service
publishes in the Federal Register and forwards to Congress and the
Office of Management and Budget advance notice of its intent to
establish, substantially revise, or renew a matching program, unless
such notice is published by another participant agency. In those
instances in which the Postal Service is the ``recipient'' agency, as
defined in the Act, but another participant agency sponsors and derives
the principal benefit from the matching program, the other agency is
expected to publish the notice. The notice must be sent to Congress and
OMB 40 days, and published at least thirty (30) days, prior to (1)
initiation of any matching activity under
[[Page 140]]
a new or substantially revised program, or (2) expiration of the
existing matching agreement in the case of a renewal of a continuing
program.
[40 FR 45724, Oct. 2, 1975; 40 FR 48512, Oct. 16, 1975, as amended at 45
FR 44272, July 1, 1980; 59 FR 37161, July 21, 1994; 60 FR 57345, Nov.
15, 1995; 64 FR 41291, July 30, 1999; 68 FR 56560, Oct. 1, 2003; 69 FR
34935, June 23, 2004]
Sec. 266.6 Procedures for requesting inspection, copying, or amendment
of records.
The purpose of this section is to provide procedures by which an
individual may have access and request amendment to personal information
within a Privacy Act System of Records.
(a) Submission of Requests--(1) Manner of submission. Inquiries
regarding the contents of records systems or access or amendment to
personal information should be submitted in writing to the custodian of
the official record, if known, or to the Manager, Records Office, U.S.
Postal Service, 475 L'Enfant Plaza SW., Washington, DC 20260, telephone
(202) 268-2608. Requests submitted to the Office of Inspector General
should be submitted to the Freedom of Information Act/Privacy Officer,
Office of Inspector General, 1735 North Lynn Street, Arlington,
Virginia, 22209-2020. Inquiries should be clearly marked, ``Privacy Act
Request''. Any inquiry concerning a specific system of records should
provide the Postal Service with the information contained under
``Notification'' for that system as published in the Federal Register.
If the information supplied is insufficient to locate or identify the
record, the requester will be notified promptly and, if possible,
informed of additional information required. If the requester is not a
Postal Service employee, he should designate the post office at which he
wishes to review or obtain copies of records. Amendment requests contest
the relevance, accuracy, timeliness or completeness of the record and
will include a statement of the amendment requested.
(2) Third party inquiries. Anyone desiring to review or copy records
pertaining to another person must have the written consent of that
person.
(3) Period for response by custodian. Upon receipt of an inquiry,
the custodian will respond with an acknowledgement of receipt within ten
(10) days. If the inquiry requires the custodian to determine whether a
particular record exists, the inquirer shall be informed of this
determination as a part of the acknowledgement letter.
(b) Compliance with Request for Access--(1) Notification of time and
place for inspection. When a requested record has been identified and is
to be disclosed, the custodian shall ensure that the record is made
available promptly and shall immediately notify the requester where and
when the record will be available for inspection or copying. Postal
Service records will normally be available for inspection and copying
during regular business hours at the postal facilities at which they are
maintained. The custodian may, however, designate other reasonable
locations and times for inspection and copying of some or all of the
records within his custody.
(2) Identification of requester. The requester must present personal
identification sufficient to satisfy the custodian as to his identity
prior to record review. Examples of sufficient identification are a
valid driver's license, Medicare card, and employee identification
cards.
(3) Responsibilities of requester. The requester shall assume the
following responsibilities regarding the review of official personal
records:
(i) Requester must agree not to leave Postal Services premises with
official records unless specifically given a copy for that purpose by
the custodian or his representative.
(ii) Requester must sign a statement indicating he has reviewed a
specific record(s) or category of record.
(iii) Requester may be accompanied by a person he so chooses to aid
in the inspection of information; however, requester must furnish the
Postal Service with written authorization for such review in that
person's presence.
(4) Special rules for medical records. A medical record shall be
disclosed to the requester to whom it pertains unless, in the judgment
of the medical officer, access to such record could have an adverse
effect upon such individual. When
[[Page 141]]
the medical officer determines that the disclosure of medical
information could have an adverse effect upon the individual to whom it
pertains, the medical officer will transmit such information to a
medical doctor named by the requesting individual.
(5) Limitations on access. Nothing in this section shall allow an
individual access to any information compiled in reasonable anticipation
of a civil action or proceeding. Other limitations on access are those
specifically addressed in Sec. Sec. 266.6(b)(4) and 266.9.
(6) Response when compliance is not possible. A reply denying a
written request to review a record shall be in writing signed by the
custodian or other appropriate official and shall be made only if such a
record does not exist or does not contain personal information relating
to the requester, or is exempt from disclosure. This reply shall include
a statement regarding the determining factors of denial, and the right
to appeal to denial to the General Counsel.
(c) Compliance With Request for Amendment. (1) Correct or eliminate
any information that is found to be incomplete, inaccurate, not relevant
to a statutory purpose of the Postal Service, or not timely and notify
the requester when this action is complete, or
(2) Not later than thirty (30) working days after receipt of a
request to amend, notify the requester of a determination not to amend
and of the requester's right to appeal, or to submit, in lieu of an
appeal, a statement of reasonable length setting forth a position
regarding the disputed information to be attached to the contested
personal record.
(d) Availability of Assistance in Exercising Rights. The Manager,
Records Office is available to provide an individual with assistance in
exercising rights pursuant to this part.
[40 FR 45723, Oct. 2, 1975, as amended at 45 FR 44272, July 1, 1980; 51
FR 26386, July 23, 1986; 60 FR 57345, Nov. 15, 1995; 64 FR 41291, July
30, 1999; 67 FR 16024, Apr. 4, 2002; 68 FR 56560, Oct. 1, 2003]
Sec. 266.7 Appeal procedure.
(a) Appeal Procedure. (1) If a request to inspect, copy, or amend a
record is denied, in whole or in part, or if no determination is made
within the period prescribed by this part, the requester shall appeal to
the General Counsel, U.S. Postal Service, Washington, DC 20260-1100.
(2) The requester should submit his appeal in writing within thirty
(30) days of the date of denial, or within ninety (90) days of such
request if the appeal is from a failure of the custodian to make a
determination. The letter of appeal should include, as applicable:
(i) Reasonable identification of the record access to which or the
amendment of which was requested.
(ii) A statement of the Postal Service action or failure to act and
of the relief sought.
(iii) A copy of the request, of the notification of denial and of
any other related correspondence.
(3) Any record found on appeal to be incomplete, inaccurate, not
relevant, or not timely, shall within thirty (30) working days of the
date of such findings be appropriately amended.
(4) The decision of the General Counsel, constitutes the final
decision of the Postal Service on the right of the requester to inspect,
copy, change, or update a record. The decision on the appeal shall be in
writing and in the event of a denial shall set forth the reasons for
such denial and state the individual's right to obtain judicial review
in a district court. An indexed file of decisions on appeals shall be
maintained by the General Counsel.
(b) Submission of Statement of Disagreement. If the final decision
concerning a request for the amendment of a record does not satisfy the
requester, any statement of reasonable length provided by that
individual setting forth a position regarding the disputed information
will be accepted and attached to the relevant personal record.
[40 FR 45723, Oct. 2, 1975, as amended at 41 FR 24709, June 18, 1976; 45
FR 44273, July 1, 1980; 51 FR 26386, July 23, 1986; 60 FR 57345, Nov.
15, 1995; 64 FR 41291, July 30, 1999; 68 FR 56560, Oct. 1, 2003]
Sec. 266.8 Schedule of fees.
(a) Policy. The purpose of this section is to establish fair and
equitable fees to
[[Page 142]]
permit duplication of records for subject individuals (or authorized
representatives) while recovering the full allowable direct costs
incurred by the Postal Service.
(b) Duplication. (1) For duplicating any paper or micrographic
record or publication or computer report, the fee is $.15 per page,
except that the first 100 pages furnished in response to a particular
request shall be furnished without charge. See paragraph (d) of this
section for fee limitations.
(2) The Postal Service may at its discretion make coin-operated copy
machines available at any location. In that event, requesters will be
given the opportunity to make copies at their own expense.
(3) The Postal Service normally will not furnish more than one copy
of any record. If duplicate copies are furnished at the request of the
requester, $.15 per page fee is charged for each copy of each duplicate
page without regard to whether the requester is eligible for free copies
pursuant to Sec. 266.8(b)(1).
(c) Aggregating requests. When the custodian reasonably believes
that a requester is attempting to break a request for similar types of
records down into a series of requests in order to evade the assessment
of fees, the custodian may aggregate the requests and charge
accordingly.
(d) Limitations. No fee will be charged an individual for the
process of retrieving, reviewing, or amending a record pertaining to
that individual.
(e) The Postal Service may, at its discretion, require reimbursement
of its costs as a condition of participation in a computer matching
program or activity with another agency. The agency to be charged is
notified in writing of the approximate costs before they are incurred.
Costs are calculated in accordance with the schedule of fees at Sec.
265.9.
[52 FR 38230, Oct. 15, 1987, as amended at 59 FR 37161, July 21, 1994;
68 FR 56560, Oct. 1, 2003]
Sec. 266.9 Exemptions.
(a) Subsections 552a(j) and (k) of 5 U.S.C. 552a empower the
Postmaster General to exempt systems of records meeting certain criteria
from various other subsections of 5 U.S.C. 552a. With respect to systems
of records so exempted, nothing in this part shall require compliance
with provisions hereof implementing any subsections of 5 U.S.C. 552a
from which those systems have been exempted.
(b) Paragraph (b)(1) of this section contains a summary of
provisions of 5 U.S.C. 552a for which exemption is claimed for some
systems of records pursuant to, and to the extent permitted by,
subsections 552a(j) and (k) of 5 U.S.C. 552a. Paragraphs (b)(2) through
(5) of this section identify the exempted systems of records, the
exemptions applied to each, and the reasons for the exemptions:
(1) Explanation of provisions under 5 U.S.C. 552a for which an
exemption is claimed in the systems discussed below. (i) Subsection
(c)(3) requires an agency to make available to the individual named in
the records an accounting of each disclosure of records.
(ii) Subsection (c)(4) requires an agency to inform any person or
other agency to which a record has been disclosed of any correction or
notation of dispute the agency has made to the record in accordance with
5 U.S.C. 552a(d).
(iii) Subsections (d)(1) through (4) require an agency to permit an
individual to gain access to records about the individual, to request
amendment of such records, to request a review of an agency decision not
to amend such records, and to provide a statement of disagreement about
a disputed record to be filed and disclosed with the disputed record.
(iv) Subsection (e)(1) requires an agency to maintain in its records
only such information about an individual that is relevant and necessary
to accomplish a purpose required by statute or executive order of the
President.
(v) Subsection (e)(2) requires an agency to collect information to
the greatest extent practicable directly from the subject individual
when the information may result in adverse determinations about an
individual's rights, benefits, and privileges under federal programs.
(vi) Subsection (e)(3) requires an agency to inform each person whom
it
[[Page 143]]
asks to supply information of the authority under which the information
is sought, the purposes for which the information will be used, the
routine uses that may be made of the information, whether disclosure is
mandatory or voluntary, and the effects of not providing the
information.
(vii) Subsection (e)(4)(G) and (H) requires an agency to publish a
Federal Register notice of its procedures whereby an individual can be
notified upon request whether the system of records contains information
about the individual, how to gain access to any record about the
individual contained in the system, and how to contest its content.
(viii) Subsection (e)(5) requires an agency to maintain its records
with such accuracy, relevance, timeliness, and completeness as is
reasonably necessary to ensure fairness to the individual in making any
determination about the individual.
(ix) Subsection (e)(8) requires an agency to make reasonable efforts
to serve notice on an individual when any record on such individual is
made available to any person under compulsory legal process when such
process becomes a matter of public record.
(x) Subsection (f) requires an agency to establish procedures
whereby an individual can be notified upon request if any system of
records named by the individual contains a record pertaining to the
individual, obtain access to the record, and request amendment.
(xi) Subsection (g) provides for civil remedies if an agency fails
to comply with the access and amendment provisions of subsections (d)(1)
and (d)(3), and with other provisions of 5 U.S.C. 552a, or any rule
promulgated thereunder, in such a way as to have an adverse effect on an
individual.
(xii) Subsection (m) requires an agency to cause the requirements of
5 U.S.C. 552a to be applied to a contractor operating a system of
records to accomplish an agency function.
(2) Pursuant to subsection 552a(j)(2), Emergency Management Records,
USPS 500.300; Inspection Service Investigative File System, USPS
700.000; Mail Cover Program Records, USPS 700.100; and Inspector General
Investigative Records, USPS 700.300, are exempt from subsections 552a
(c)(3), (c)(4), (d)(1)-(4), (e)(1)-(3), (e)(4) (G) and (H), (e)(5),
(e)(8), (f), (g), and (m) because the systems contain information
pertaining to the enforcement of criminal laws. The reasons for
exemption follow:
(i) Disclosure to the record subject pursuant to subsections (c)(3),
(c)(4), or (d)(1)-(4) could:
(A) Alert subjects that they are targets of an investigation or mail
cover by the Postal Inspection Service or an investigation by the Office
of Inspector General;
(B) Alert subjects of the nature and scope of the investigation and
of evidence obtained;
(C) Enable the subject of an investigation to avoid detection or
apprehension;
(D) Subject confidential sources, witnesses, and law enforcement
personnel to harassment or intimidation if their identities were
released to the target of an investigation;
(E) Constitute unwarranted invasions of the personal privacy of
third parties who are involved in a certain investigation;
(F) Intimidate potential witnesses and cause them to be reluctant to
offer information;
(G) Lead to the improper influencing of witnesses, the destruction
or alteration of evidence yet to be discovered, the fabrication of
testimony, or the compromising of classified material; and
(H) Seriously impede or compromise law enforcement, mail cover, or
background investigations that might involve law enforcement aspects as
a result of the above.
(ii) Application of subsections (e)(1) and (e)(5) is impractical
because the relevance, necessity, or correctness of specific information
might be established only after considerable analysis and as the
investigation progresses. As to relevance (subsection (e)(1)), effective
law enforcement requires the keeping of information not relevant to a
specific Postal Inspection Service investigation or Office of Inspector
General investigation. Such information may be kept to provide leads for
appropriate law enforcement and to establish patterns of activity that
might relate to the jurisdiction of the Office of
[[Page 144]]
Inspector General, Postal Inspection Service, and/or other agencies. As
to accuracy (subsection (e)(5)), the correctness of records sometimes
can be established only in a court of law.
(iii) Application of subsections (e)(2) and (e)(3) would require
collection of information directly from the subject of a potential or
ongoing investigation. The subject would be put on alert that he or she
is a target of an investigation by the Office of Inspector General, or
an investigation or mail cover by the Postal Inspection Service,
enabling avoidance of detection or apprehension, thereby seriously
compromising law enforcement, mail cover, or background investigations
involving law enforcement aspects. Moreover, in certain circumstances
the subject of an investigation is not required to provide information
to investigators, and information must be collected from other sources.
(iv) The requirements of subsections (e)(4)(G) and (H), and (f) do
not apply because this system is exempt from the provisions of
subsection (d). Nevertheless, the Postal Service has published notice of
its notification, access, and contest procedures because access is
appropriate in some cases.
(v) Application of subsection (e)(8) could prematurely reveal an
ongoing criminal investigation to the subject of the investigation.
(vi) The provisions of subsection (g) do not apply because exemption
from the provisions of subsection (d) renders the provisions on suits to
enforce subsection (d) inapplicable.
(vii) If one of these systems of records is operated in whole or in
part by a contractor, the exemptions claimed herein shall remain
applicable to it (subsection (m)).
(3) Pursuant to subsection 552a(k)(2), Labor Relations Records, USPS
200.000; Emergency Management Records, USPS 500.300; Inspection Service
Investigative File System, USPS 700.000; Mail Cover Program Records,
USPS 700.100; Inspector General Investigative Records, USPS 700.300; and
Financial Transactions, USPS 860.000, are exempt from certain
subsections of 5 U.S.C. 552a because the systems contain investigatory
material compiled for law enforcement purposes other than material
within the scope of subsection 552a(j)(2).
(i) Emergency Management Records, USPS 500.300; Inspection Service
Investigative File System, USPS 700.000; Mail Cover Program Records,
USPS 700.100; and Inspector General Investigative Records, USPS 700.300,
are exempt from subsections 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4) (G)
and (H), and (f) for the same reasons as stated in paragraph (b)(2) of
this section.
(ii) Labor Relations Records, USPS 200.000, is exempt from
subsections 552a(d)(1)-(4), (e)(4)(G) and (H), and (f) for the following
reasons:
(A) Application of the requirements at subsections (d)(1)-(4) would
cause disruption of enforcement of the laws relating to equal employment
opportunity (EEO). It is essential to the integrity of the EEO complaint
system that information collected in the investigative process not be
prematurely disclosed and that witnesses be free from restraint,
interference, coercion, or reprisal.
(B) The requirements of subsections (e)(4)(G) and (H), and (f) do
not apply for the same reasons described in paragraph (b)(2)(iv) of this
section.
(iii) Financial Transactions, USPS 860.000, is exempt from
subsections 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4)(G) and (H), and (f)
for the following reasons:
(A) Disclosure to the record subject pursuant to subsections (c)(3)
and (d)(1)-(4) would violate the non-notification provision of the Bank
Secrecy Act, 31 U.S.C. 5318(g)(2), under which the Postal Service is
prohibited from notifying a transaction participant that a suspicious
transaction report has been made. In addition, the access provisions of
subsections (c)(3) and (d)(1)-(4) would alert individuals that they have
been identified as suspects or possible subjects of investigation and
thus seriously hinder the law enforcement purposes underlying the
suspicious transaction reports.
(B) This system is in compliance with subsection (e)(1) because
maintenance of the records is required by law. Strict application of the
relevance and necessity requirements of subsection (e)(1)
[[Page 145]]
to suspicious transactions would be impractical, however, because the
relevance or necessity of specific information can often be established
only after considerable analysis and as an investigation progresses.
(C) The requirements of subsections (e)(4)(G) and (H), and (f) do
not apply because this system is exempt from the provisions of
subsection (d). Nevertheless, the Postal Service has published notice of
its notification, access, and contest procedures because access is
appropriate in some cases.
(4) Pursuant to subsection 552a(k)(5), Recruiting, Examining, and
Placement Records, USPS 100.100; Labor Relations Records, USPS 200.000;
Inspection Service Investigative File System, USPS 700.000; and
Inspector General Investigative Records, USPS 700.300 are exempt from
certain subsections of 5 U.S.C. 552a because the systems contain
investigatory material compiled for the purpose of determining
suitability, eligibility, or qualifications for employment, contracts,
or access to classified information.
(i) Recruiting, Examining, and Placement Records, USPS 100.100, is
exempt from subsections 552a(d)(1)-(4) and (e)(1) for the following
reasons:
(A) During its investigation and evaluation of an applicant for a
position, the Postal Service contacts individuals who, without an
assurance of anonymity, would refuse to provide information concerning
the subject of the investigation. If a record subject were given access
pursuant to subsection (d)(1)-(4), the promised confidentiality would be
breached and the confidential source would be identified. The result
would be restriction of the free flow of information vital to a
determination of an individual's qualifications and suitability for
appointment to or continued occupancy of his or her position.
(B) In collecting information for investigative and evaluative
purposes, it is impossible to determine in advance what information
might be of assistance in determining the qualifications and suitability
of an individual for appointment. Information that seems irrelevant,
when linked with other information, can sometimes provide a composite
picture of an individual that assists in determining whether that
individual should be appointed to or retained in a position. For this
reason, exemption from subsection (e)(1) is claimed.
(C) The requirements of subsections (e)(4)(G) and (H), and (f) do
not apply because this system is exempt from the provisions of
subsection (d). Nevertheless, the Postal Service has published notice of
its notification, access, and contest procedures because access is
appropriate in some cases.
(ii) Labor Relations Records, USPS 200.000, is exempt from
subsections 552a(d)(1)-(4), (e)(4)(G) and (H), and (f) for the following
reasons:
(A) Application of the provisions at subsection (d)(1)-(4) would
reveal to the EEO complainant the identity of individuals who supplied
information under a promise of anonymity. It is essential to the
integrity of the EEO complaint system that information collected in the
investigative process not be prematurely disclosed and that witnesses be
free from restraint, interference, coercion, or reprisal.
(B) The requirements of subsections (e)(4)(G) and (H), and (f) do
not apply because this system is exempt from the provisions of
subsection (d). Nevertheless, the Postal Service has published notice of
its notification, access, and contest procedures because access is
appropriate in some cases.
(iii) Inspection Service Investigative File System, USPS 700.000;
and Inspector General Investigative Records, USPS 700.300, are exempt
from subsections 552a(c)(3), (d)(1)-(4), (e)(1), (e)(4) (G) and (H), and
(f) for the same reasons as stated in paragraph (b)(2) of this section.
(5) Pursuant to subsection 552a(k)(6), Employee Development and
Training Records, USPS 100.300; Personnel Research Records, 100.600; and
Emergency Management Records, USPS 500.300 are exempt from subsections
552a(d)(1)-(4), (e)(4)(G) and (H), and (f) because the systems contain
testing or examination material the disclosure of which would compromise
the objectivity or fairness of the material. The reasons for exemption
follow:
(i) These systems contain questions and answers to standard testing
materials, the disclosure of which would compromise the fairness of the
future
[[Page 146]]
use of these materials. It is not feasible to develop entirely new
examinations after each administration as would be necessary if
questions or answers were available for inspection and copying.
Consequently, exemption from subsection (d) is claimed.
(ii) The requirements of subsections (e)(4)(G) and (H), and (f) do
not apply because this system is exempt from the provisions of
subsection (d). Nevertheless, the Postal Service has published notice of
its notification, access, and contest procedures because access is
appropriate in some cases.
[70 FR 22513, Apr. 29, 2005]
Sec. 266.10 Computer matching.
(a) General. Any agency or Postal Service component that wishes to
use records from a Postal Service automated system of records in a
computerized comparison with other postal or non-postal records must
submit its proposal to the Postal Service Manager Records Office.
Computer matching programs as defined in paragraph (c) of Sec. 262.5
must be conducted in accordance with the Privacy Act, implementing
guidance issued by the Office of Management and Budget and these
regulations. Records may not be exchanged for a matching program until
all procedural requirements of the Act and these regulations have been
met. Other matching activities must be conducted in accordance with the
Privacy Act and with the approval of the Manager, Records Office. See
paragraph (b)(6) of Sec. 266.4.
(b) Procedure for submission of matching proposals. A proposal must
include information required for the matching agreement discussed in
paragraph (d)(1) of this section. The Inspection Service must submit its
proposals for matching programs and other matching activities to the
Postal Service Manager Records Office through: Independent Counsel,
Inspection Service, U.S. Postal Service, 475 L'Enfant Plaza SW, Rm 3417,
Washington, DC 20260-2181. All other matching proposals, whether from
postal organizations or other government agencies, must be mailed
directly to: Manager, Records Office, U.S. Postal Service, 475 L'Enfant
Plaza SW., Washington, DC 20260.
(c) Lead time. Proposals must be submitted to the Postal Service
Manager Records Office at least 3 months in advance of the anticipated
starting date to allow time to meet Privacy Act publication and review
requirements.
(d) Matching agreements. The participants in a computer matching
program must enter into a written agreement specifying the terms under
which the matching program is to be conducted. The Manager, Records
Office may require similar written agreements for other matching
activities.
(1) Content. Agreements must specify:
(i) The purpose and legal authority for conducting the matching
program;
(ii) The justification for the program and the anticipated results,
including, when appropriate, a specific estimate of any savings in terms
of expected costs and benefits, in sufficient detail for the Data
Integrity Board to make an informed decision;
(iii) A description of the records that are to be matched, including
the data elements to be used, the number of records, and the approximate
dates of the matching program;
(iv) Procedures for providing notice to individuals who supply
information that the information may be subject to verification through
computer matching programs;
(v) Procedures for verifying information produced in a matching
program and for providing individuals an opportunity to contest the
findings in accordance with the requirement that an agency may not take
adverse action against an individual as a result of information produced
by a matching program until the agency has independently verified the
information and provided the individual with due process;
(vi) Procedures for ensuring the administrative, technical, and
physical security of the records matched; for the retention and timely
destruction of records created by the matching program; and for the use
and return or destruction of records used in the program;
(vii) Prohibitions concerning duplication and redisclosure of
records exchanged, except where required by law or essential to the
conduct of the matching program;
[[Page 147]]
(viii) Assessments of the accuracy of the records to be used in the
matching program; and
(ix) A statement that the Comptroller General may have access to all
records of the participant agencies in order to monitor compliance with
the agreement.
(2) Approval. Before the Postal Service may participate in a
computer matching program or other computer matching activity that
involves both USPS and non-USPS records, the Data Integrity Board must
have evaluated the proposed match and approved the terms of the matching
agreement. To be effective, the matching agreement must receive approval
by each member of the Board. Votes are collected by the Postal Service
Manager Records Office. Agreements are signed on behalf of the Board by
the Chairman. If a matching agreement is disapproved by the Board, any
party may appeal the disapproval in writing to the Director, Office of
Management and Budget, Washington, DC 20503-0001, within 30 days
following the Board's written disapproval.
(3) Effective dates. No matching agreement is effective until 40
days after the date on which a copy is sent to Congress. The agreement
remains in effect only as long as necessary to accomplish the specific
matching purpose, but no longer than 18 months, at which time the
agreement expires unless extended. The Data Integrity Board may extend
an agreement for one additional year, without further review, if within
3 months prior to expiration of the 18-month period it finds that the
matching program is to be conducted without change, and each party to
the agreement certifies that the program has been conducted in
compliance with the matching agreement. Renewal of a continuing matching
program that has run for the full 30-month period requires a new
agreement that has received Data Integrity Board approval.
[59 FR 37161, July 21, 1994, as amended at 60 FR 57345, Nov. 15, 1995;
64 FR 41291, July 30, 1999; 68 FR 56560, Oct. 1, 2003; 69 FR 34935, June
23, 2004]
PART 267_PROTECTION OF INFORMATION--Table of Contents
Sec.
267.1 Purpose and scope.
267.2 Policy.
267.3 Responsibility.
267.4 Information security standards.
267.5 National Security Information.
Authority: 39 U.S.C. 401; Pub. L. 93-579, 88 Stat. 1896.
Sec. 267.1 Purpose and scope.
This part addresses the protection of information and records in the
custody of the Postal Service throughout all phases of information flow
and within all organization components, and includes micromated, manual
and data processing information.
[40 FR 45726, Oct. 2, 1975]
Sec. 267.2 Policy.
Consistent with the responsibility of the Postal Service to make its
official records available to the public to the maximum extent required
by the public interest, and to ensure the security, confidentiality, and
integrity of official records containing sensitive or national security
information, it is the policy of the Postal Service to maintain
definitive and uniform information security safeguards. These safeguards
will have as their purpose: (a) Ensuring the effective operation of the
Postal Service through appropriate controls over critical information,
and (b) Protecting personal privacy, the public interest, and the
national security by limiting unauthorized access to both restricted and
national security information.
[44 FR 51224, Aug. 31, 1979]
Sec. 267.3 Responsibility.
(a) Chief Postal Inspector and Chief Privacy Officer. The Chief
Postal Inspector and the Chief Privacy Officer will ensure within their
respective areas of jurisdiction:
(1) Postal Service-wide compliance with this policy and related
standards and procedures; and
(2) Implementation of remedial action when violations or attempted
violations of these standards and procedures occur.
[[Page 148]]
(b) Custodians. All custodians are responsible for insuring that
information security standards and procedures are followed and that all
relevant employees participate in the information security awareness
programs.
[40 FR 45726, Oct. 2, 1975, as amended at 60 FR 57345, Nov. 15, 1995; 68
FR 56560, Oct. 1, 2003]
Sec. 267.4 Information security standards.
(a) The Postal Service will operate under a uniform set of
information security standards which address the following functional
aspects of information flow and management:
(1) Information system development,
(2) Information collection,
(3) Information handling and processing,
(4) Information dissemination and disclosure,
(5) Information storage and destruction,
(b) Supplementing this list are information security standards
pertaining to the following administrative areas:
(1) Personnel selection and training,
(2) Physical environment protection,
(3) Contingency planning,
(4) Information processing or storage system procurement,
(5) Contractual relationships.
[40 FR 45726, Oct. 2, 1975; 40 FR 48512, Oct. 16, 1975]
Sec. 267.5 National Security Information.
(a) Purpose and scope. The purpose of this section is to provide
regulations implementing Executive Order 12356 National Security
Information (hereinafter referred to as the Executive Order) which deals
with the protection, handling and classification of national security
information.
(b) Definitions. (1) In this section, National Security Information
means information on the national defense and foreign relations of the
United States that has been determined under the Executive Order or
prior Orders to require protection against unauthorized disclosure and
has been so designated.
(2) Derivative Classification means the carrying forward of a
classification from one document to a newly created document that
contains national security information which is in substance the same as
information that is currently classified.
(3) In the Custody of the Postal Service means any national security
information transmitted to and held by the U.S. Postal Service for the
information and use of postal officials. (This does not include any
national security information in the U.S. Mails.)
(c) Responsibility and authority. (1) The Manager, Payroll
Accounting and Records, serves as the USPS National Security Information
Oversight Officer. This officer shall:
(i) Conduct an active oversight program to ensure that the
appropriate provisions of these regulations are complied with;
(ii) Chair a committee composed of the Manager, Payroll Accounting
and Records; the Chief Postal Inspector (USPS Security Officer); the
General Counsel; the Executive Assistant to the Postmaster General; and
the Director, Operating Policies Office; or their designees, with
authority to act on all suggestions and complaints concerning compliance
by the Postal Service with the regulations in this part;
(iii) Ensure that appropriate and prompt corrective action is taken
whenever a postal employee knowingly, willfully and without
authorization:
(A) Discloses national security information properly classified
under the Executive order, or prior orders,
(B) Compromises properly classified information through negligence,
or
(C) Violates any provisions of these regulations or procedures;
(iv) Establish, staff, and direct activities for controlling
documents containing national security information at USPS Headquarters
and to provide functional direction to the field.
(v) In conjunction with the USPS Security Officer, prepare and issue
instructions for the control, protection, and derivative classification
of national security information in the custody of, and use by, the
Postal Service. These instructions shall include requirements that:
(A) A demonstrable need for access to national security information
is established before requesting the initiation of administrative
clearance procedures;
[[Page 149]]
(B) Ensure that the number of people granted access to national
security information is reduced to and maintained at the minimum number
consistent with operational requirements and needs;
(vi) Establish, staff and direct activities for controlling
documents containing national security information at USPS Headquarters
and provide functional direction to each Regional Records Control
Officer;
(vii) As part of the overall program implementation, develop a
training program to familiarize appropriate postal employees of the
requirements for control, protection and classification; and
(viii) Report to the USPS Security Officer any incidents of possible
loss or compromise of national security information.
(2) The USPS Security Officer (the Chief Postal Inspector) shall:
(i) Provide technical guidance to the Manager, Payroll Accounting
and Records in implementing the national security information program;
(ii) Conduct investigations into reported program violations or loss
or possible compromise of national security information and report any
actual loss or compromise to the originating agency;
(iii) Periodically conduct an audit of the USPS national security
information program;
(iv) Process requests for sensitive clearances; conduct the
appropriate investigations and grant or deny a sensitive clearance to
postal employees having an official ``need to know'' national security
information; and
(v) Report to the Attorney General any evidence of possible
violations of federal criminal law by a USPS employee and of possible
violations by any other person of those federal criminal laws.
(3) All postal employees who have access to national security
information shall:
(i) Sign a nondisclosure agreement;
(ii) Be familiar with and follow all Program regulations and
instructions;
(iii) Actively protect and be accountable for all national security
information entrusted to their care;
(iv) Disclose national security information only to another
individual who is authorized access;
(v) Immediately report to the Manager, Payroll Accounting and
Records and the USPS Security Officer any suspected or actual loss or
compromise of national security information; and
(vi) Be subject to administrative sanctions should requirements (ii)
through (v) not be followed.
(d) Derivative classification. When applying derivative
classifications to documents created by the Postal Service, the Postal
Service shall:
(1) Respect original classification decisions;
(2) Verify the information's current level of classification so far
as practicable before applying the markings; and
(3) Carry forward to any newly created documents the assigned dates
or events for declassification or review and any additional authorized
markings in accordance with section 2 of the Executive order.
(e) General provisions--(1) Dissemination. National security
information received by the U.S. Postal Service shall not be further
disseminated to any other agency without the consent of the originating
agency.
(2) Disposal. Classified documents no longer needed by the Postal
Service shall be either properly destroyed or returned to the
originating agency.
(3) Freedom of Information Act or mandatory review requests.
(i) Requests for classified documents made under the Freedom of
Information Act (FOIA) and mandatory review requests (requests under
Section 3-501 of the Executive Order for the declassification and
release of information), including requests by the news media, should be
submitted to: Manager, Records Office, U.S. Postal Service, 475 L'Enfant
Plaza, SW., Washington, DC 20260.
(ii) In response to an FOIA request or a mandatory review request,
the Postal Service shall not refuse to confirm the existence or non-
existence of a document, unless the fact of its existence or non-
existence would itself be classifiable.
[[Page 150]]
(iii) The Postal Service shall forward all FOIA and mandatory review
requests for national security information in its custody (including
that within records derivatively classified by the USPS) to the
originating agency for review unless the agency objects on the grounds
that its association with the information requires protection. The
requester shall be notified that:
(A) The request was referred; and
(B) The originating agency will provide a direct response.
(4) Research requests. Requests from historical researchers for
access to national security information shall be referred to the
originating agency.
(39 U.S.C. 401 (2), (10), 404(a)(7))
[44 FR 51224, Aug. 31, 1979, as amended at 45 FR 30069, May 7, 1980; 49
FR 22476, May 30, 1984; 60 FR 57345, 57346, Nov. 15, 1995; 64 FR 41291,
July 30, 1999; 68 FR 56560, Oct. 1, 2003]
PART 268_PRIVACY OF INFORMATION_EMPLOYEE RULES OF CONDUCT--Table of
Contents
Sec.
268.1 General principles.
268.2 Consequences of non-compliance.
Authority: 39 U.S.C. 401; 5 U.S.C. 552a.
Sec. 268.1 General principles.
In order to conduct its business, the Postal Service has the need to
collect various types of personally identifiable information about its
customers, employees and other individuals. Information of this nature
has been entrusted to the Postal Service, and employees handling it have
a legal and ethical obligation to hold it in confidence and to actively
protect it from uses other than those compatible with the purpose for
which the information was collected. This obligation is legally imposed
by the Privacy Act of 1974, which places specific requirements upon all
Federal agencies, including the Postal Service, and their employees. In
implementation of these requirements, the following rules of conduct
apply:
(a) Except as specifically authorized in Sec. 266.4(b)(2) of this
chapter, no employee shall disclose, directly or indirectly, the
contents of any record about another individual to any person or
organization. Managers are to provide guidance in this regard to all
employees who must handle such information.
(b) No employee will maintain a secret system of records about
individuals. All records systems containing personally identifiable
information about individuals must be reported to the Manager, Records
Office.
(c) All employees shall adhere strictly to the procedures
established by the U.S. Postal Service to ensure the confidentiality and
integrity of information about individuals that is collected, maintained
and used for official Postal Service business. Employees shall be held
responsible for any violation of these procedures.
[45 FR 44273, July 1, 1980, as amended at 60 FR 57346, Nov. 15, 1995; 68
FR 56560, Oct. 1, 2003]
Sec. 268.2 Consequences of non-compliance.
(a) The Privacy Act authorizes any individual, whether or not an
employee, to bring a civil action in U.S. District Court to obtain
judicial review of the failure of the Postal Service to comply with the
requirements of the Act or its implementing regulations. In certain
instances of willful or intentional non-compliance, the plaintiff may
recover damages from the Postal Service in the minimum amount of $1,000
together with costs of the action and attorney fees.
(b) The Act provides criminal sanctions for individuals, including
employees, who violate certain of its provisions.
(1) Any officer or employee who, by virtue of his employment or
position, has possession of, or access to, official records which
contain individually identifiable information and who, knowing that
disclosure of the specific material is prohibited by Postal Service
regulations, willfully discloses the material to a person or agency not
entitled to receive it, shall be guilty of a misdemeanor and fined not
more than $5,000.
(2) Any officer or employee who willfully maintains a system of
records
[[Page 151]]
without meeting the notice requirements set forth in Postal Service
regulations shall be guilty of a misdemeanor and fined not more than
$5,000.
(3) Any person who knowingly and willfully requests or obtains any
record concerning another individual from the Postal Service under false
pretense shall be guilty of a misdemeanor and fined not more than
$5,000.
(c) In addition to the criminal sanctions, any employee violating
any provisions of these rules of conduct is subject to disciplinary
action which may result in dismissal from the Postal Service.
[40 FR 45726, Oct. 2, 1975]