The number of determinations made by the U. S. Postal Service not to comply with requests for records and the reasons for each such determination.

Total number = 534*

The attached sheets provide the reason for each. The number of instances cited does not include appeals denials. See (e)(2) activities.

*The total number of requests reported for calendar year 1995 was 1,476, significantly more than the 534 reported for this year. The discrepancy is due mostly to the manner in which the Inspection Service has been reporting its denials.

Postal Service components are instructed to report the number of denials by each custodian and the exemption(s) applied for each such denial. The Inspection Service handles all requests for investigative records. We have learned that Inspection Service data reported prior to 1996 reflects the number of times a particular exemption was applied. The 1996 figures correctly reflect the number of denials and the exemption(s) applied for each such denial.

Also contributing to the discrepancy between 1995 and 1996 data is about three instances of suspected erroneous reporting in 1995 of denials of requests for address information, when the Freedom of Information Act was not invoked.

Title 39 CFR	Title 5 USC		Statutory Bases for
265.6	552	Instances	(b)(3) Denials
(b)(1)	(b)(2)	8
(b)(1), (2) & (c)(1)(iii), (iv)	(b)(2), (4) & (b)(7)(C) & (D)	1
(b)(1), (2), (4) & (c)(1)(iii)	(b)(2), (4), (5) & (b)(7)(C)	1
(b)(1), (2), (4), (6) & (c)(1)(iii), (iv)	(b)(2), (4), (5), (6) & (b)(7)(C), (D)	4
(b)(1), (2), (4) & (c)(1)(iii), (vi)	(b)(2), (4), (5) & (b)(7)(C), (F)	1
(b)(1), (2), (4), (6), (9) & (c)(1)(iii), (iv), (vi)	(b)(2), (4), (5), (6), (3) & (b)(7)(C), (D), (F)	1	Rule 6(e)
(b)(1), (2), (4) & (c)(1)(iii), (iv) & (d)(3)(ii)	(b)(2), (4), (5) & (b)(7)(C), (D) & (b)(3)	1	Title 39, USC 410(c)(1)
(b)(1), (4)	(b)(2), (5)	2
(b)(1), (4) & (c)(1)(iii)	(b)(2), (5) & (b)(7)(C)	2
(b)(1), (4) & (c)(1)(iii), (iv)	(b)(2), (5) & (b)(7)(C), (D)	6
(b)(1), (4) & (c)(1)(iii), (iv), (vi)	(b)(2), (5) & (b)(7)(C), (D), (F)	1
(b)(1), (4) & (c)(1)(iv)	(b)(2), (5) & (b)(7)(D)	1
(b)(1), (4), (6) & (c)(1)(iii)	(b)(2), (5), (6) & (b)(7)(C)	5
(b)(1), (4), (6) & (c)(1)(iii), (iv)	(b)(2), (5), (6) & (b)(7)(C), (D)	14
(b)(1), (4), (6) & (c)(1)(iii), (iv), (vi)	(b)(2), (5), (6) & (b)(7)(C), (D), (F)	2
(b)(1), (4), (6) & (c)(1)(iii), (iv), (v), (vi)	(b)(2), (5), (6) & (b)(7)(C), (D), (E), (F)	1
(b)(1), (4), (6) & (c)(1)(iii), (iv), (v)	(b)(2), (5), (6) & (b)(7)(C), (D), (E)	8
(b)(1), (4), (6) & (c)(1)(iii), (v)	(b)(2), (5), (6) & (b)(7)(C), (E)	3
(b)(1), (4), (6), (9) & (c)(1)(iii)	(b)(2), (5), (6), (3) & (b)(7)(C)	1	18 USC 1461
(b)(1), (4), (6), (9) & (c)(1)(iii), (iv)	(b)(2), (5), (6), (3) & (b)(7)(C), (D)	2	Rule 6(e)
(b)(1), (4), (6), (9) & (c)(1)(iii), (iv)	(b)(2), (5), (6), (3) & (b)(7)(C), (D)	2	Rule 6(e), 18 USC Appendix
(b)(1), (4), (6), (9) & (c)(1)(iii), (iv), (v)	(b)(2), (5), (6), (3) & (b)(7)(C), (D), (E)	2	Rule 6(e)
(b)(1), (4), (6), (9) & (c)(1)(iii), (iv), (v)	(b)(2), (5), (6), (3) & (b)(7)(C), (D), (E)	2	18 USC 2510 & 2517
(b)(1), (4), (6), (9) & (c)(1)(iii), (iv), (v)	(b)(2), (5), (6), (3) & (b)(7)(C), (D), (E)	1	18 USC 1461
(b)(1), (4), (6), (9) & (c)(1)(iii), (v)	(b)(2), (5), (6), (3) & (b)(7)(C), (E)	1	Rule 6(e)
(b)(1), (4), (6), (9) & (c)(1)(iii), (v)	(b)(2), (5), (6), (3) & (b)(7)(C), (E)	1	Rule 6(e), 18 USC Appendix
(b)(1), (4), (6), (9) & (c)(1)(iii), (iv), (vi)	(b)(2), (5), (6), (3) & (b)(7)(C), (D), (F)	1	Rule 6(e)
(b)(1), (4), (9) & (c)(1)(iii), (iv), (v)	(b)(2), (5), (3) & (b)(7)(C), (D), (E)	1	Rule 6(e)
(b)(1), (4), (9) & (c)(1)(v)	(b)(2), (5), (3) & (b)(7)(E)	1	18 USC 2510 & 2517
(b)(1), (6)	(b)(2), (6)	2
(b)(1), (6) & (c)(1)(iii)	(b)(2), (6) & (b)(7)(C)	5
(b)(1), (6) & (c)(1)(iii), (iv)	(b)(2), (6) & (b)(7)(C), (D)	3
(b)(1) & (c)(1)(i), (v)	(b)(2) & (b)(7)(A), (E)	1
(b)(1) & (c)(1)(iii), (iv)	(b)(2) & (b)(7)(C), (D)	2
(b)(1) & (c)(1)(iii), (v), (vi)	(b)(2) & (b)(7)(C), (E), (F)	1
(b)(1) & (c)(1)(v)	(b)(2) & (b)(7)(E)	4
(b)(2)	(b)(4)	57
(b)(2), (b)(3)	(b)(4), (3)	8	Title 39, USC 410(c)(2)
(b)(2), (3), (4)	(b)(4), (3), (5)	1	Title 39, USC 410(c)(2)
(b)(2), (3), (4), (6) & (c)(1)(iii)	(b)(4), (3), (5), (6) & (b)(7)(C)	1	Title 39, USC 410(c)(2)
(b)(2), (b)(4)	(b)(4), (5)	11
(b)(2), (b)(6)	(b)(4), (6)	2
(b)(2), (6) & (c)(1)(iii)	(b)(4), (6) & (b)(7)(C)	1
(b)(3)	(b)(3)	11	Title 39, USC 410(c)(2)
(b)(3)(v)	(b)(3)	2	Title 39, USC 410(c)(2)
(b)(3)(vi)	(b)(3)	4	Title 39, USC 410(c)(2)
(b)(3)(vii)	(b)(3)	1	Title 39, USC 410(c)(2)
(b)(3)(viii)	(b)(3)	2	Title 39, USC 410(c)(2)
(b)(3), (4)	(b)(3), (b)(5)	6	Title 39, USC 410(c)(2)
(b)(3), (4), (6)	(b)(3), (b)(5), (b)(6)	4	Title 39, USC 410(c)(2)
(b)(3), (e)(1)	(b)(3)	1	Title 39, USC 410(c)(1), (2)
(b)(4)	(b)(5)	20
(b)(4), (6)	(b)(5), (6)	14
(b)(4), (6) & (c)(1)(i), (iii)	(b)(5), (6) & (b)(7)(A), (C)	1
(b)(4), (6) & (c)(1)(iii)	(b)(5), (6) & (b)(7)(C)	5
(b)(4), (6) & (c)(1)(iii), (iv)	(b)(5), (6) & (b)(7)(C), (D)	6
(b)(4), (6) & (c)(1)(iii), (iv), (v)	(b)(5), (6) & (b)(7)(C), (D), (E)	1
(b)(4), (6) & (c)(1)(iii), (iv), (v), (vi)	(b)(5), (6) & (b)(7)(C), (D), (E), (F)	1
(b)(4), (6) & (c)(1)(iii), (iv), (vi)	(b)(5), (6) & (b)(7)(C), (D), (F)	2
(b)(4) & (c)(1)(iii)	(b)(5) & (b)(7)(C)	3
(b)(4) & (c)(1)(iii), (iv)	(b)(5) & (b)(7)(C), (D)	3
(b)(4) & (c)(1)(iii), (iv), (v)	(b)(5) & (b)(7)(C), (D), (E)	1
(b)(4) & (c)(1)(iii), (v)	(b)(5) & (b)(7)(C), (E)	1
(b)(6)	(b)(6)	41
(b)(6), (9)	(b)(6), (3)	1	Title 39, USC 412
(b)(6), (9) & (c)(1)(iii), (iv)	(b)(6), (3) & (b)(7)(C), (D)	1	18 USC 2510 & 2517
(b)(6) & (c)(1)	(b)(6) & (b)(7)
(b)(6) & (c)(1)(i), (iii)	(b)(6) & (b)(7)(A), (C)	2
(b)(6) & (c)(1)(iii)	(b)(6) & (b)(7)(C)	42
(b)(6) & (c)(1)(iii), (iv)	(b)(6) & (b)(7)(C), (D)	12
(b)(6) & (c)(1)(iii), (v)	(b)(6) & (b)(7)(C), (E)	1
(b)(6) & (c)(1)(iii), (iv), (v)	(b)(6) & (b)(7)(C), (D), (E)	1
(b)(9)	(b)(3)	1	Rule 6(e)
(b)(9)	(b)(3)	6	Title 39, USC 410(c)(1)
(c)(1)(i)	(b)(7)(A)	43
(c)(1)(iii)	(b)(7)(C)	29
(c)(1)(iii) & (iv)	(b)(7)(C), (D)	26
(c)(1)(iii), (iv), (v)	(b)(7)(C), (D), (E)	1
(c)(1)(iii), (iv), (v), (vi)	(b)(7)(C), (D), (E), (F)	1
(c)(1)(iii), (v)	(b)(7)(C), (E)	1
(c)(1)(iii) & (d)(3)(ii)	(b)(7)(C) & (b)(3)	1	Title 39, USC 410(c)(1)
(c)(1)(iv)	(b)(7)(D)	1
(c)(2)	(b)(7)	1
(d)(2)	(b)(3)	1	Title 39, USC 410(c)(1)
(d)(3)(ii)	(b)(3)	37	Title 39, USC 410(c)(1)
(d)(4)(ii)	(b)(3)	7	Title 39, USC 410(c)(1)
(e)(1)	(b)(3)	7	Title 39, USC 412
(e)(3)	(b)(4)	2
(f)	(b)(6)	1
TOTAL		534

This report lists the number of appeals from initial denials of requests for records, the outcomes of those appeals, and the reason for any denial of requested records.

A total of 200 initial denials of records were appealed to the General Counsel. Initial denials were reversed in their entirety in 10 cases, while denials were upheld in their entirety in 43 cases. Thirty-two (32) decisions were upheld in part and reversed in part. There were no cases related to fees or waivers. In 22 cases, it was determined that no reasonably described records had been withheld. Fourteen (14) cases were found to be premature or were returned to the custodian for further or initial determination. Fourteen (14) cases were rendered moot by the custodian either by providing the information in response to a previous request or after the appeal was filed. In 2 cases, the requested records were unidentifiable or could not be located. In 7 cases, there were no responsive records. In 1 case, the request was referred to another agency for response, and 6 cases were considered not to be requests under FOIA. Forty-nine (49) appeals remain pending.

An analysis of the exemptions relied upon for upholding the denials of requests is set out below.

Denials based on 5 U.S.C 552				    Instances
(b)(2) 								1 
(b)(2), (3), 39 U.S.C. Sec. 410(c)(2) 				1 
(b)(2), (5),(7)(C), (7)(D), (7)(E) 				2 
(b)(2), (7)(C), (7)(D) 						1 
(b)(3), Rule 6(e), (7)(C), (7)(D), (7)(F) 			1 
(b)(3), 18 U.S.C. Sec. 2517 (5), (7)(C), (7)(D),(7)(F) 		1 
(b)(3), 39 U.S.C. Sec. 410(c)(1) 				2 
(b)(3), 39 U.S.C. Sec. 410(c)(1), 39 U.S.C Sec. 412 		1 
(b)(3), 39 U.S.C. Sec. 410(c) (2) 				10 
(b)(3), 39 U.S.C. Sec. 410(c) (3), (b)(6) 			1 
(b)(4), (b)(3), 39 U.S.C. Sec. 410(c)(2) 			1 
(b)(5) 								3 
(b)(5), (b)(6) 							3 
(b)(5), (7)(C), (7)(D) 						2 
(b)(5), (7)(C), (7)(D), (b)(3), Rule 6(e) 			1 
(b)(5), (b)(3), 39 U.S.C. Sec. 410(c)(2) 			2 
(b)(6) 								14 
(b)(6), (7) (C) 						3 
(b)(6), (7)(C), (7)(D), (7)(F) 					1 
(b)(7)(A) 							2 
(b)(7)(A), (C) 							4 
(b)(7)(C) 							3 
(b)(7)(C), (7)(D) 						10 
(b)(7)(C), (7)(D),(7)(E)					2 
(b)(7)(C), (7)(D), (b)(3), Rule 6(e) 				2 
(b)(7)(C), (7)(E) 1 Page 2 - (e)(2)

1. Exemption (b)(2) was invoked in 5 appeals in which records were denied on the grounds that the requested records related solely to the internal personnel rules and practices of the Postal Service.
2. Exemption (b)(3) was invoked in 24 appeals in which records were statutorily exempt from disclosure. The statutory exemptions relied upon were as follows:
   
   

   18 U.S.C Sec. 2517 			One appeal
   39 U.S.C. Sec. 410(c)(1) 		Three appeals 
   39 U.S.C. Sec. 410(c)(2)		Fourteen appeals 
   39 U.S.C. Sec. 410(c)(3) 		One appeal 
   39 U.S.C. Sec. 412 			One appeal 
   Rule 6(e), Federal Rules of 
   Criminal Procedure 			Four appeals 
   

3. Exemption (b)(4) was invoked in 1 appeal in which requests were denied on the grounds that the requested records were commercial or financial information obtained from persons outside the Postal Service and were privileged or confidential.
4. Exemption (b)(5) was invoked in 14 appeals in which requests were denied on the grounds that the requested records were inter-agency or intra-agency memoranda or letters which would not be available by law to a party in litigation with the Postal Service.
5. Exemption (b)(6) was invoked in 22 appeals in which requests were denied on the grounds that the requested records were personnel, medical or similar files, the disclosure of which would constitute a clearly unwarranted invasion of personal privacy.
6. Exemption (b)(7) was invoked in appeals involving records or information compiled for law enforcement purposes. In 6 cases, the requests were denied under (b)(7)(A) on the grounds that the disclosure of the records would interfere with enforcement proceedings. In 36 cases, the requests were denied under (b)(7)(C) on the grounds that disclosure of the records would constitute an unwarranted invasion of personal privacy. In 23 cases, the requests were denied under (b)(7)(D) on the grounds that disclosure would reveal the identity of a confidential source or information furnished by a confidential source in the course of an investigation. In 5 cases, the requests were denied under (b)(7)(E) on the grounds that production of the records would reveal investigative techniques and procedures the disclosure of which would risk circumvention of the law, and in 2 cases, requests were denied under (b)(7)(F) on the grounds that disclosure of information or records could reasonably be expected to endanger the life or physical safety of the individual involved.
   

The names and titles of positions of each person responsible for the denials of records and the number of instances of participation of each.

	Denial Based on Title 39 CFR
Name and Title	Part 265.6	Instances
ALLEGHENY AREA
Cincinnati District
Roger Neal	(b)(3)(v)	1
Postmaster
Englewood, OH
Shirley Barr
Postmaster
Sinking Spring, OH	(d)(3)(ii)	1
Columbus District
Kelly Leatherwood	(d)(3)(ii)	1
Postmaster
Bloomingburg, OH
Kenneth J. Botknecht	(b)(6)	1
Sr. Labor Relations Specialist
Columbus, OH
Lancaster District
John Mckley	(b)(2)	2
Postmaster
Gettysburg, PA
Pittsburgh District
Paul R. Frankovich	(d)(3)(ii)	1
Window Service Technician
McKnight Branch
Pittsburgh, PA
GREAT LAKES AREA
Northern Illinois District
Daniel S. David	(d)(3)(ii)	3
Supv., Customer Services
Elmhurst, IL
Mariellen Cronin	(d)(3)(ii)	1
OIC
Prospect Hts., IL
Columbia District
Roy B. Ferrell	(b)(2)	2
Mgr. Business Mail Entry
Columbia, SC
Greensboro District
Connie Sullivan	(b)(6)	1
Postmaster
Creedmoor, NC
Kentuckiana District
Jack Ward	(b)(2)	2
Postmaster
Inez, KY
Ruth Wesley	(d)(3)(ii)	1
Postmaster
Middleburg, KY
Jerry W. Rose	(d)(3)(ii)	1
Postmaster
Philpot, KY
Richmond District
T.M. Thornton	(d)(4)(ii)	1
Postmaster
Sussex, VA
MIDWEST AREA
Central Plains District
Linda Henson	(d)(3)(ii)	1
Clerk
Cherryvale, KS
Dakotas District
Ron Hanson	(d)(3)(ii)	1
Postmaster
Lancaster, MN
Debra K. Miller	(b)(3)(v)	1
Postmaster
Leeds, ND
Gateway District
Roger O. Wilson	(b)(2)	2
Postmaster
Belleville, Il
Paul Dameron	(d)(3)(ii)	1
Postmaster
Lake Ozark, MO
Hawkeye District
Jan Stadtlander	(d)(4)(ii)	2
Postmaster
Belmond, IA
Mid-America District
Jay Burrell	(b)(6)	1
Mgr., Customer Service
Shawnee Mission, KS
Georgia Brown	(b)(9)	5
Supervisor
Shawnee Mission, KS
Milwaukee District
Terry O. Baumgartner	(b)(2)	1
Postmaster
Mauston, WI
Christine Clement	(b)(2)	1
Postmaster
Platteville, WI
M. Howard	(d)(3)(ii)	1
Postmaster
Poynette, WI
Northland District
Daniel Thewis	(b)(1)	1
Sr. Personnel Services Spec.
St. Paul, MN
NORTHEAST AREA
Nancy George	(b)(6)	1
Vice President
Windsor, CT
Joseph G. Arsenault	(b)(2), (3)	1
Mgr., Transportation Purchasing
Windsor, CT
Albany District
Connie L. Tedesco	(d)(4)(ii)	1
Postmaster
Cooperstown, NY
Boston District
Clayton A. Boisvert	(b)(3)(vii)	1
Purchasing Specialist
Boston, MA
Marsha A. Cannon	(b)(4)	1
Mgr., Operations Program Support
Boston, MA
PACIFIC AREA
San Diego District
Tom Avery	(b)(3) & (e)(1)	1
Sr. Labor Relations Specialist
San Diego, CA
San Francisco District
Tina Presley	(b)(6)	1
Menlo Park, CA
Santa Ana District
Val Loftin	(b)(6)	1
Personnel
San Juan Capistrano, CA
Van Nuys District
Ray Jordan	(b)(6)	4
Labor Relations Rep.
Goleta, CA
Dian Ballestar	(b)(6)	1
Supv., Customer Service
La Canada, CA
R. Mysel	(b)(6)	1
Postmaster
Pasadena, CA
SOUTHEAST AREA
Alabama District
Carole Koehler	(b)(2), (4)	1
Mgr., Operations Program Support
Birmingham, AL
Atlanta District
Dennis Holland	(c)(1)(iv)	1
Postmaster
Coosea, GA
North Florida District
Joe Depierro	(d)(3)(ii)	2
Postmaster	(d)(4)(ii)	2
Astor, FL
Armando Olvera	(b)(1)	1
Postmaster	(e)(1)	1
Edgewater, FL
Sharon Rice	(d)(3)(ii)	3
Postmaster
Georgetown, FL
Connie G. Craven	(b)(6)	10
Sr. Personnel Services Specialist, GMF	(b)(1)	2
Jacksonville, FL
Suncoast District
Thomas Valla (f) 1
Supv. Customer Service Support
Fort Myers, FL
Tennessee District
Connie Byrd	(b)(2)	4
Postmaster
Troy, TN
SOUTHWEST AREA
Arkansas District
Hensley	(b)(6)	2
Labor Relations	(b)(4)	1
Little Rock, AR
Burnett	(b)(1)	1
Personnel
Little Rock, AR
Dallas District
Hal Waldman	(b)(4)	2
CSA/AICC
Coppell, TX
Linda R. Jones	(b)(2)	2
OIC	(b)(3)(vi)	2
Mt. Pleasant, TN	(d)(3)(ii)	1
	(e)(1)	3
Louisiana District
Cassandra M. Davis	(b)(6)	5
Postmaster
Lettsworth, LA
San Antonio District
B.M. Gruver	(d)(3)(ii)	1
Postmaster
Carrizo Springs, TX
Roger Reyna	(d)(2)	1
Supv., Customer Services
Hector P. Garcia PO
Corpus Christi, TX
Kurtis Howell	(d)(3)(ii)	1
Postmaster
Ganado, TX
Val Reyna	(d)(4)(ii)	1
Accounting Clerk
Heritage Station
San Antonio, TX
Houston District
Kay Stokes	(d)(3)(ii)	1
Postmaster
Harkin, TX
C.B. Thomas	(d)(3)(ii)	9
Astrodome Station
Houston, TX
Ron Eley	(b)(6)	1
District Manager
Houston, TX
Oklahoma District
Dr. Taaca	(b)(6)	1
Medical Officer
Oklahoma City, OK
WESTERN AREA
Albuquerque District
Greg Myers	(b)(2)	1
Mgr., Business Mail Entry
Albuquerque, NM
Anchorage District
Sharon K. Watson	(b)(6)	3
Sr. Personnel/Trng Specialist
Anchorage, AK
Denver District
Elaine Nelson	(b)(4), (6)	1
Customer Service
Denver, CO
Las Vegas District
George T. Rowe	(b)(3)(ii)	1
Postmaster
Tonopah, NV
Portland District
A. Douglas Batchelor	(e)(1)	1
Mgr., Human Resources
Portland, OR
Salt Lake City District
Sandra S. Trout	(d)(3)(ii)	1
Postmaster
Park City, UT
Seattle District
Dean T. Nelson	(b)(3)(ii)	3
Postmaster
Point Roberts, WA
David C. Picard, Ph. D.	(b)(4), (6)	1
EAP Coordinator
Seattle, WA
HEADQUARTERS & HEADQUARTERS FIELD UNITS
William A. Campbell, Jr.	(b)(6)	1
Chief Field Counsel
Atlanta Office
Atlanta, GA
Gene Meints	(b)(2)	3
Purchasing Specialist
Chicago PMSC
Chicago, IL
Shari Martin	(b)(3)	3
Purchasing Specialist Dallas PMSC
Dallas, TX
James Mahoney	(b)(1)	3
Mgr., NTAC	(b)(3)(viii)	2
Fairfax, VA
Sandra Johnson	(b)(2) & (b)(3)	1
Contracting Officer
Greensboro PMSC
Greensboro, NC
Ralph Champa	(b)(2)	1
Mgr., NY Facilities Service Office
Hoboken, NJ
Ken Iberg	(b)(2)	7
Purchasing Specialist
Memphis PMSC
Memphis, TN
Melvin Greene	(b)(3)	1
Purchasing Specialist
Minneapolis PMSC
Minneapolis, MN
James D. Burroughs	(b)(9)	1
Chief Field Counsel
Philadelphia, PA
Rick L. Osburn	(e)(3)	2
Manager
Topeka Purchasing Center
Topeka, KS
Joseph Joaquim III	(b)(3)	1
Purchasing Specialist
Windsor PMSC
Windsor, CT
Elizabeth L. Smith	(b)(3)	6
Mgr., Payroll Acctg/Records	(b)(3)(vi)	2
US Postal Service Headquarters	(b)(3), (4)	6
Washington, DC	(b)(3), (4), (6)	4
	(b)(4), (6)	12
	(b)(6), (9)	1
	(b)(6) & (c)(1)(iii), (v)	1
	(c)(1)(iii), (iv)	2
	(e)(1)	1
Debbie Ingel	(b)(2)	27
Purchasing Assistant	(b)(4)	8
Purchasing	(b)(2) & (b)(3)	6
Washington, DC	(b)(2) & (b)(4)	10
	(b)(2) & (b)(6)	2
George Stojhovic	(b)(2)	1
Contracting Officer
Nat'l Mail Transportation Purchasing
Washington, DC
George Melendez	(b)(4)	1
Purchasing Policy Specialist
Policy, Planning & Diversity
Washington, DC
Dennis Weitzel	(b)(6)	1
Mgr., Compensation & Benefits
Washington, DC
Jennifer Angelo	(b)(4)	1
Chief Counsel, Civil Practice
Postal Service HQ
Washington, DC
Rudolph K. Umscheid	(b)(2)	1
Vice President, Facilities
Washington, DC
Paul Kelly	(c)(2)	1
Mgr., Design and Construction
Pacific Facilities Service Office
Philadelphia, PA
Nicholas Barranca	(b)(4)	2
Vice President, Ops. Support	(e)(1)	1
Washington, DC
Kenneth J. Hunter	(b)(1), (2), (4), (6) & (c)(1)(iii), (iv)	4
Chief Postal Inspector	(b)(1), (2), (4) & (c)(1)(iii)	1
US Postal Service Headquarters	(b)(1), (2), (4) & (c)(1)(iii), (vi)	1
Washington, DC	(b)(1), (2) & (c)(1)(iii), (iv)	1
	(b)(1), (4)	2
	(b)(1), (4) & (c)(1)(iii)	2
	(b)(1), (4) & (c)(1)(iii), (iv)	6
	(b)(1), (4) & (c)(1)(iii), (iv),(vi)	1
	(b)(1), (4) & (c)(1)(iv)	1
	(b)(1), (4), (6) & (c)(1)(iii)	5
	(b)(1), (4), (6) & (c)(1)(iii), (iv)	14
	(b)(1), (4), (6) & (c)(1)(iii), (iv), (vi)	2
	(b)(1), (4), (6) & (c)(1)(iii), (iv), (v), (vi)	1
	(b)(1), (4), (6) & (c)(1)(iii), (iv), (v)	8
	(b)(1), (4), (6) & (c)(1)(iii), (v)	3
	(b)(1), (6)	2
	(b)(1), (6) & (c)(1)(iii)	5
	(b)(1), (6) & (c)(1)(iii), (iv)	3
	(b)(1), (9) i, (4) & (c)(1)(v)	1
	(b)(1), (9) ii, (4), (6) & (c)(1)(iii), (iv), (v)	2
	(b)(1), (9) iii, (2), (4), (6) & (c)(1)(iii), (iv), (vi)	1
	(b)(1), (9) iv, (4), (6) & (c)(1)(iii), (iv)	2
	(b)(1), (9) v, (4), (6) & (c)(1)(iii), (iv), (vi)	1
	(b)(1), (9) vi, (4), (6) & (c)(1)(iii), (iv), (v)	2
	(b)(1), (9) vii, (4), (6) & (c)(1)(iii), (v)	1
	(b)(1), (9) viii, (4) & (c)(1)(iii), (iv), (v)	1
	(b)(1), (9) ix, (4), (6) & (c)(1)(iii)	1
	(b)(1), (9) x, (4), (6) & (c)(1)(iii), (iv), (v)	1
	(b)(1), (9) xi,(4), (6) & (c)(1)(iii),(v)	1
	(b)(1), (9) xii, (4), (6) & (c)(1)(iii),(iv)	2
	(b)(1) & (c)(1)(iii),(iv)	2
	(b)(1) & (c)(1)(iii), (v), (vi)	1
	(b)(1) & (c)(1)(v)	4
	(b)(1) & (d)(3)(ii) xiii & (b)(2), (4) & (c)(1)(iii), (iv)	1
	(b)(2), (3)	1
	(b)(2), (6) & (c)(1)(iii)	1
	(b)(2), (6) & (c)(1)(iii), (iv)	1
	(b)(3) xiv, (2), (4)	1
	(b)(3) xv, (2), (4), (6) & (c)(1)(iii)	1
	(b)(4)	4
	(b)(4), (6) & (c)(1)(iii)	5
	(b)(4), (6) & (c)(1)(iii), (iv)	6
	b)(4), (6) & (c)(1)(iii), (iv), (v)	1
	(b)(4), (6) & (c)(1)(iii), (iv), (v), (vi)	1
	(b)(4), (6) & (c)(1)(iii), (iv), (vi)	2
	(b)(4) & (c)(1)(iii)	3
	(b)(4) & (c)(1)(iii), (iv)	3
	(b)(4) & (c)(1)(iii), (iv), (v)	1
	(b)(4) & (c)(1)(iii), (v)	1
	(b)(6)	5
	(b)(6) & (c)(1)(iii)	42
	(b)(6) & (c)(1)(iii), (iv)	12
	(b)(6) & (c)(1)(iii), (iv), (v)	1
	(b)(9) xvi	1
	(b)(9) xvii, (6) & (c)(1)(iii), (iv)	1
	(c)(1)(i)	43
	(c)(1)(i) & (b)(1) & (c)(1)(v)	1
	(c)(1)(i) & (b)(4), (6) & (c)(1)(iii)	1
	(c)(1)(i) & (b)(6) & (c)(1)(iii)	2
	(c)(1)(iii)	29
	(c)(1)(iii), (iv)	24
	(c)(1)(iii), (iv), (v)	1
	(c)(1)(iii), (iv), (v), (vi)	1
	(c)(1)(iii), (v)	1
	(d)(3)(ii) xviii	1
	(d)(3)(ii) xix, (c)(1)(iii)	1

i	Title 18 U.S.C. 2510/2517
ii 	Title 18 U.S.C. 2510/2517
iii	Rule 6(e), Federal Rules of Criminal Procedure
iv	Rule 6(e), Federal Rules of Criminal Procedure
v	Rule 6(e), Federal Rules of Criminal Procedure
vi	Rule 6(e), Federal Rules of Criminal Procedure
vii  	Rule 6(e), Federal Rules of Criminal Procedure
viii  	Rule 6(e), Federal Rules of Criminal Procedure
ix  	Title 18 U.S.C. 1461
x  	Title 18 U.S.C. 1461
xi  	Rule 6(e), 18 U.S.C. Appendix
xii 	Rule 6(e), 18 U.S.C. Appendix
xiii  	Title 39, U.S.C. 410(c)(1)
xiv 	Title 39, U.S.C. 410(c)(2)
xv  	Title 39, U.S.C. 410(c)(2)
xvi  	Rule 6(e), Federal Rules of Criminal Procedure
xvii  	Title 18 U.S.C. 2510/2517
xviii  	Title 39, U.S.C. 410(c)(1)
xix  	Title 39, U.S.C. 410(c)(1)

The results of each proceeding by which the Office of Personnel Management and Postal Service moved to discipline postal officers or employees acting arbitrarily or capriciously in improperly withholding records, including a report of the disciplinary action taken against the officer or employee who was primarily responsible for the improper withholding or an explanation of why disciplinary action was not taken.

No Postal Service officers or employees were involved in any kind of disciplinary proceedings due to arbitrary or capricious withholding of records.

A copy of every rule made by the Postal Service regarding the Freedom of Information Act.

The Postal Service made no rule during Calendar Year 1996 regarding the Freedom of Information Act.

A copy of the fee schedule and the total amount of fees collected by the Postal Service for making records available under the Freedom of Information Act.

ß 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 each quarter hour spent by clerical personnel in searching for records is $4.40. When a search cannot be performed by clerical personnel and must be performed by professional or managerial personnel, the fee for each quarter hour in searching for records is $5.35.

(ii) Computer search. The fee for retrieving data by computer is the actual direct cost of the retrieval, including computer search time, runs and operator salary, as calculated in accordance with the Information Services Price List in effect at the time that the retrieval services are performed. The list is subject to periodic revision. A copy of the list is 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 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 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.

(3) Review. The fee for each quarter hour spent by clerical personnel in reviewing records located in response to a commercial use request is $4.40. When review cannot be performed by clerical personnel and must be performed by professional or managerial personnel, the fee for each quarter hour is $5.35. 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.

(3) Change of address orders. Although change of address information is not required by the Freedom of Information Act to be made available to the public, the fee for obtaining this information in accordance with paragraph (d)(1) of ß 265.6 is included in this section as a matter of convenience. The fee for searching for a change of address order is $3.00. This fee is charged regardless of whether a permanent change of address is found on file. (See paragraph (g)(5) of this section.)

(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. Fees shall not 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. This general waiver does not apply to the fee for providing change of address information.

(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 the standard rates set out in the Information Services Price List 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 equipment use and operator's time) reaches the equivalent dollar amount of the operator's basic rate for two hours plus a factor to cover benefits.

(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.

(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 ß 221.8, his designee, or the USPS 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) Waiver of fee for changes of address. The fee prescribed by paragraph (e)(3) of this section is waived when change of address information is provided:

(i) To a Federal, state or local government agency upon prior written certification that the information is required for the performance of its duties.

(ii) To persons requesting the information for the purpose of serving legal process in accordance with paragraph (d)(4)(ii) of ß 265.6.

(iii) In compliance with a subpoena or other court order.

(iv) To a law enforcement agency, for oral requests made through the Inspection Service in accordance with paragraph (d)(4)(iv) of ß 265.6.

(v) To postage meter manufacturers when they are attempting to locate a missing meter.
This waiver does not apply to fees for services performed in accordance with section 945 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.

(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 resutls 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 Update 12/15/95 FR 11550, Mar. 11, 1994; 60 FR 57343, Dec. 15, 1995]

When information is requested that must be retrieved by computer, the requester is charged for the resources required to furnish the information. Estimates are provided to the requester in advance and are based on the following price list.

Description of services	Rate	Unit
A. Central Processing Unit Utilization based upon IMB 3090-200 Performance Standard:
Batch Processing Services	$3,600.00	Hour
On-Line Services	$4,000.00	Hour
Channel Utilization:
Direct access Storage Devices	.54	11,000
Tape Channel	.96	11,000
(*execution of channel program)
Local Printing	1.20	21,000
B. Personnel Charges:
Programming Servicees	53.00	Hour
Manual Unit Services	37.00	Hour

¹EXCPs.
²Print lines.

[56 FR 57984, Nov. 15, 1991]

Such other information as indicates efforts to administer fully the Freedom of Information

Act (FOIA).

• In this segment of the report on 1995 activities, we explained that the Records office had appointed a coordinator in each of our 85 district and 10 area offices. The Records office implements agency FOIA policy, but FOIA processing is decentralized among 40,000 post offices. The role of each coordinator is to gather and verify annual reporting data from post offices under its jurisdiction and to provide general guidance on an ongoing basis to personnel at those offices. In calendar year 1996, Records provided two days of on-site, comprehensive training for each of the 95 coordinators.

• In this segment of the report on 1995 activities, we also reported that a new FOIA/Privacy Act training video had been distributed. During 1995 and 1996, the video has been shown to tens of thousands of employees.

• In addition to the above-described training efforts, Records staff provided comprehensive, on-site training to 130 employees at its Accounting Service Center. This center houses Postal Service mainframe computers and processes hundreds of requests per year for information from the agency's major information systems.

• Records requested the Postal Inspection Service, the investigative and audit function of the Postal Service, to conduct an audit of agency FOIA and Privacy Act implementation. The audit began in late 1995 and continues. At its conclusion, a report will be issued containing findings on how postal field offices are doing implementing the Acts and recommendations for improvement.

• The Postal Service's world wide web site (http://www.usps.com/), established in 1995, continues to grow at a steady pace, making readily available useful information of interest to the public. Information at the site includes the Postal Service's annual report; information about stamps and products; various business publications; agency history; press releases; biographies of the Postmaster General and Board of Governors members; comprehensive statement on postal operations; and most frequently asked questions.

In initial denials, six statutory provisions applicable to the Postal Service were cited as coming within the scope of subsection (b)(3) of the FOIA:

On appeal, four statutory provisions applicable to the Postal Service were cited as coming within the scope of subsection (b)(3) of the FOIA: