United States Postal Service
Freedom of Information Act (FOIA)
Annual Report
for Fiscal Year 1999
(October
1, 1998 through September 30, 1999)
- Basic Information Regarding Report
Name, title, address, and telephone number of person to
be contacted with questions about the report
Elizabeth A. Richardson
Manager, Administration and FOIA
United States Postal Service
475 LEnfant Plaza SW, Room 8141
Washington, DC 20260-5202
Telephone (202) 268-6191
Electronic address for report on the World
Wide Web
Our FOIA Annual Reports may be accessed from our FOIA web page at:
http://www.usps.com/foia/annualreports/
How to obtain a copy of this report in paper form
A hard copy of this report
may be obtained upon written request to:
Elizabeth A. Richardson
Manager, Administration and FOIA
United States Postal Service
475 LEnfant Plaza SW, Room 8141
Washington, DC 20260-5202
- How to Make a
FOIA Request
A FOIA request for Postal Service records may be directed to the
"records custodian," that is, the head of the facility where the records
are maintained. For example, if a requester knows the desired records would be located at
a particular post office, that postmaster would be the records custodian. If the requester
knows the desired records would be maintained by a functional unit at Headquarters, the
Vice President of that unit would be the records custodian. But if the requester does not
know where the records are maintained, the request should be directed to the office of
Administration and FOIA at Postal Service Headquarters in Washington, DC.
There is
no required "form" for submitting a request. A requester should simply write a
letter, indicating "FOIA" somewhere on the letter, and describe the records
wanted. It is also helpful to include the amount of processing fees for which the
requester is willing to accept liability - if estimated processing fees exceed that
amount, the requester will be notified in advance.
A request should describe with as much detail as possible the records being requested.
The description should be detailed enough that an agency employee familiar with the
subject matter can locate the records with a reasonable amount of effort. A reasonable
description is required by the FOIA and helps ensure prompt processing to locate the
records of interest while minimizing processing costs to the requester.
Following is information specifically required to be made available through this
report. Detailed information on submitting a FOIA request may be found in PUB 549
(copy attached), a guide on how to obtain Postal Service records.
Names, addresses, and telephone numbers of all individual agency components and offices
that receive FOIA requests
FOIA processing at the Postal Service is decentralized. As stated
above, a FOIA request should be sent directly to the records custodian. That means any one
of our 40,000 post offices or hundreds of administrative offices could receive a FOIA
request. However, if the requester does not know where records are maintained, a request
should be sent as follows:
Non-investigative records:
Elizabeth A. Richardson
Manager, Administration and FOIA
United States Postal Service
475 LEnfant Plaza SW, Room 8141
Washington, DC 20260-5202
Investigative records:
Kenneth C. Weaver
Chief Postal Inspector
United States Postal Service
475 LEnfant Plaza SW, Room 3100
Washington, DC 20260-2100
Brief description of the Postal
Service's response-time ranges
The Postal Service does not use multi-track processing since,
due to decentralized processing, most offices are able to respond to most requests within
the twenty working-day-time period set by the FOIA. Additional time may be needed if a
request involves a time-consuming search or review or a voluminous amount of records. In
these instances, or in the unusual case of a backlog, the requester will be notified.
Brief description of why some requests are not granted
Once the records custodian has processed a request and any fee issues have been
resolved, the requester will be sent a written initial determination. It is the
Postal Service's policy to make its official records available to the public to
the maximum extent consistent with the public interest. So a requester will receive copies
of all responsive records or parts of records that are not subject to one of the
exemptions contained in the FOIA. The response letter will advise whether any information
is being withheld pursuant to one or more of the exemptions. When pages are being withheld
in their entirety, the records custodian either will specify the number of pages being
withheld or will make a reasonable effort to estimate the amount of the withheld
information.
The exemptions in the FOIA authorize federal agencies to
withhold information covering: 1. classified national defense and foreign relations
information, 2. internal agency rules and practices, 3. information that is prohibited
from disclosure by another federal law, 4. trade secrets and other confidential business
information, 5. inter-agency or intra-agency communications that are protected by legal
privileges, 6. information involving matters of personal privacy, 7. certain types of
information compiled for law enforcement purposes, 8. information relating to the
supervision of financial institutions, and 9. geological information on wells. Although
not legally obligated to do so, the records custodian may disclose exempt information as a
matter of administrative discretion if that disclosure is not prohibited by any law and
would not cause any foreseeable harm.
Exemptions 1, 8, and 9 are rarely, if ever, applicable to
Postal Service records.
- Definitions of Terms and Acronyms used in the Report
Agency-specific acronyms or other terms
USPS means United States Postal Service.
Records custodian means the head of a postal facility
such as an area office, district office, post office, or other postal installation that
maintains Postal Service records and information. Vice Presidents are the custodians of
records and information maintained at Headquarters. Custodians are responsible for seeing
that records within their facilities or organizations are managed according to Postal
Service policies.
Basic request means a request that required less than
two hours of resources to process.
Complicated request means a request that required two
hours or more of resources to process.
E-FOIA means the "Electronic Freedom of
Information Act Amendments of 1996, Public Law No. 104-231, 110 Stat. 3048," making
major revisions to the FOIA, including subsection (e) that pertains to the submission of
annual reports by federal agencies on their administration of the Act.
Basic terms expressed in common terminology
FOIA/PA request - Freedom of Information
Act/Privacy Act request. A FOIA request is generally a request for access to records
concerning a third party, an organization, or a particular topic of interest. A Privacy
Act request is a request for records concerning oneself; such requests are also treated as
FOIA requests. (All requests for access to records, regardless of which law is cited by
the requester, are included in this report.)
Initial request - a request to a federal agency
for access to records under the Freedom of Information Act.
Appeal - a request to a federal agency asking
that it review, at a higher administrative level, a full denial or partial denial of
access to records under the Freedom of Information Act, or any other FOIA determination
such as a matter pertaining to fees.
Processed request or appeal - a request or
appeal for which an agency has taken a final action on the request or the appeal in all
respects.
Multi-track processing - a system in which
simple requests requiring relatively minimal review are placed in one processing track and
more voluminous and complex requests are placed in one or more other tracks. Requests in
each track are processed on a first-in, first-out basis. A requester who has an urgent
need for records may request expedited processing (see below). Note: The Postal
Service does not have a multi-track processing system since it usually does not have FOIA
backlogs.
Expedited processing - an agency will process a
FOIA request on an expedited basis when a requester has shown an exceptional need or
urgency for the records which warrants prioritization of his or her request over other
requests that were made earlier.
Simple request - a FOIA request that an agency
using multi-track processing places in its fastest (non-expedited) track based on the
volume and/or simplicity of records requested. Note: The Postal Service does not have
a multi-track processing system since it does not usually have a backlog. However, in
calculating median processing time, it does distinguish between basic and complicated
requests. See III.A. above.
Complex request - a FOIA request that an agency
using multi-track processing places in a slower track based on the volume and/or
complexity of records requested. Note: The Postal Service does not have a multi-track
processing system since it does not usually have a backlog. However, in calculating median
processing time, it does distinguish between basic and complicated requests. See III.A.
above.
Grant - an agency decision to disclose all
records in full in response to a FOIA request.
Partial grant - an agency decision to disclose a
record in part in response to a FOIA request, deleting information determined to be exempt
under one or more of the FOIAs exemptions; or a decision to disclose some records in
their entireties but to withhold others in whole or in part.
Denial - an agency decision not to release any
part of a record or records in response to a FOIA request because all the information in
the requested records is determined by the agency to be exempt under one or more of the
FOIAs exemptions.
Time limits - the time period in the Freedom of
Information Act for an agency to respond to a FOIA request (ordinarily 20 working days
from proper receipt of a perfected FOIA request).
Perfected request - a FOIA request for records
which adequately describes the records sought, which has been received by the FOIA office
of the agency or agency component in possession of the records, and for which there is no
remaining question about the payment of applicable fees.
Exemption 3 statute - a separate federal
statute prohibiting the disclosure of a certain type of information and authorizing its
withholding under FOIA subsection (b)(3).
Median number - the middle, not average, number.
For example, of 3, 7, and 14, the median number is 7.
Average number - the number obtained by dividing
the sum of a group of numbers by the quantity of numbers in the group. For example, of 3,
7, and 14, the average number is 8.
- Exemption 3 Statutes
List of Exemption 3 statutes relied on by agency during
current fiscal year, with 1. a brief description of type(s) of information withheld under
each statute; and 2. a statement of whether a court has upheld the use of each statute. If
so, then cite example.
| 39
U.S.C. 410(c)(1) |
names and addresses of postal customers |
| 39
U.S.C. 410(c)(2) |
commercial information not disclosed under
good business practice. |
| 39
U.S.C. 410(c)(3) |
information prepared for use in collective
bargaining |
| 39
U.S.C. 410(c)(4) |
information prepared for use in Postal Rate
Commission proceedings |
| 39
U.S.C. 412 |
lists of names and addresses of postal
customers |
| 18
U.S.C. 2510 & 2517 |
wire and electronic communications
interception |
| 28
U.S.C. Rule 6(e), Federal Rules of Criminal Procedure |
grand jury materials |
Two courts have upheld the use of 39 U.S.C. 410(c)(2) as an exemption
statute: Weres Corporation v. U.S. Postal Service, Civil Action No. 95-1984 (D.D.C.
1996) and National Western Life Ins. Co. v. U.S., 512 F. Supp. 454 (N.D. Tex.
1980). No court has made a determination with regard to the exemption 3 status of
the other title 39 provisions listed above.
- Initial FOIA/PA Access Requests
Numbers of Initial Requests
| 1. Number
of requests pending as of end of preceding fiscal year |
18 |
147 |
Not captured |
165 |
| 2. Number of requests received during current fiscal year |
754 |
391 |
534 |
1679 |
| 3. Number of requests processed during current fiscal year |
749 |
516 |
534 |
1799 |
| 4. Number of requests pending as of end of current fiscal year |
23 |
22 |
Not captured |
45 |
Disposition of initial requests
| 1.
Number of total grants |
1019 |
| 2.
Number of partial grants |
307 |
| 3.
Number of denials |
146 |
a. Number of times each FOIA exemption used (counting each exemption once per request)
|
788 |
(1) Exemption 1-
|
2 |
(2) Exemption 2-
|
48 |
(3) Exemption 3-
|
84 |
(4) Exemption 4-
|
53 |
(5) Exemption 5-
|
119 |
(6) Exemption 6-
|
200 |
(7) Exemption 7(A)-
|
28 |
(8) Exemption 7(B)-
|
2 |
(9) Exemption 7(C)-
|
154 |
(10) Exemption 7(D)-
|
56 |
(11) Exemption 7(E)-
|
37 |
(12) Exemption 7(F)-
|
5 |
(13) Exemption 8-
|
0 |
(14) Exemption 9-
|
0 |
| 4.
Other reasons for nondisclosure |
720 |
a. No records
|
331 |
b. Referrals
|
0 |
c. Request withdrawn
|
12 |
d. Fee-related reason
|
110 |
e. Records not reasonably described
|
172 |
f. Not a proper FOIA request for some other reason
|
3 |
g. Not an agency record
|
33 |
h. Duplicate request
|
33 |
i. Other
|
26 |
Referred to USPS source for public sale
|
2 |
Need authorization of subject/proof
of death
|
11 |
Neither confirmed nor denied
|
2 |
Referred to appeal process
|
8 |
Other miscellaneous
|
3 |
- Appeals of Initial Denials of FOIA/PA Requests
Number of appeals
| 1. Number of
appeals received during fiscal year |
189 |
| 2. Number of
appeals processed during fiscal year |
132 |
Disposition of Appeals
| 1.
Number completely upheld |
124 |
| 2.
Number partially reversed |
5 |
| 3.
Number completely reversed |
3 |
a. Number of times each FOIA exemption used (counting each exemption once per appeal)
|
89 |
(1) Exemption 1-
|
0 |
(2) Exemption 2-
|
2 |
(3) Exemption 3-
|
20 |
(4) Exemption 4-
|
4 |
(5) Exemption 5-
|
13 |
(6) Exemption 6-
|
11 |
(7) Exemption 7(A)-
|
10 |
(8) Exemption 7(B)-
|
0 |
(9) Exemption 7(C)-
|
11 |
(10) Exemption 7(D)-
|
7 |
(11) Exemption 7(E)-
|
11 |
(12) Exemption 7(F)-
|
0 |
(13) Exemption 8-
|
0 |
(14) Exemption 9-
|
0 |
| 4.
Other reasons for nondisclosure |
64 |
a. No records exist
|
26 |
b. Referrals
|
15 |
c. Request withdrawn
|
3 |
d. Fee-related reason
|
0 |
e. Records not reasonably described
|
0 |
f. Not a proper FOIA request for some other reason
|
0 |
g. Not an agency record
|
0 |
h. Duplicate request
|
3 |
i. Other: material received; request for adv. opinion; request vague; not a request for
records
|
17 |
| Number
of cases that resulted in litigation |
6 |
* There are 139 appeals records as closed. However, 7 of these were signed
out after the FY close date of September 30, 1999. In addition, the number closed for the
fiscal year does not reflect the fact that 52 additional files were closed as part of a
prior backlog.
- Compliance with Time Limits/Status of Pending Requests
Median processing time for requests processed during the
year
1. Administration and FOIA
| 1.
Basic requests |
6 |
12 |
| 2.
Complicated requests |
22 |
31 |
2. Inspection Services
| 1.
Basic requests |
29 |
35 |
| 2.
Complicated requests |
70 |
95 |
3. Other Postal Locations
| 1.
Basic requests |
11 |
12 |
| 2.
Complicated requests |
20 |
21 |
4. Requests accorded
expedited processing
| Administration
and FOIA |
2 |
1 |
1 |
19 |
| Inspection
Service |
4 |
1 |
3 |
55 |
| Other
postal locations |
2 |
2 |
0 |
8 |
Status of pending requests
| 1.
Number of requests pending as of end of current fiscal year |
22 |
22 |
Not captured |
| 2.
Median number of days such requests were pending as of end of current fiscal year |
333* |
Not captured |
Not captured |
* The majority of these requests were received by the office of
Administration and FOIA and referred for processing to the postal organization maintaining
the records. It is believed that the majority of the requests have been responded to;
however, they are being listed as still pending because we have been unable to date to
obtain a copy of the response.
- Comparisons with Previous Year(s) (Optional)
Our FOIA regulations direct requesters to send their requests to the
postal facility making the requested records (the records custodian). The office of
Administration and FOIA is a primary FOIA processing office since it received all requests
for non-investigative records that are not directed to a records custodian. The number of
FOIA requests received by the office of Administration and FOIA increased this year by 14%
over the previous year. Despite the increase, its median processing time decreased this
year to 6 days and 22 days from the previous year's 11 days and 24 days for simple and
complex requests, respectively.
During fiscal year 1999, the Postal Service made several
efforts to improve FOIA processing. It:
Conducted training for its coordinators, one of which is
located in each of the Postal Service's 95 district and area offices. These coordinators
act as liaison to reporting post offices by providing general guidance and will receive
and verify reports containing data that become part of this report.
Added to its FOIA web page a description for each of its 150
major information systems identified to date.
Published an updated PUB. 550, an employee guide to the
Freedom of Information Act and Privacy Act that provides a summary and pointers on the
highlights of each Act.
Published updated procedures for reporting data on FOIA
processing, that becomes part of this report.
- Costs/FOIA Staffing
Staffing levels*
| 1.
Number of full-time FOIA personnel |
0 |
0 |
0 |
| 2. Number of personnel with part-time or occasional FOIA duties (in total
work-years)* |
5 |
3 |
3 |
| 3.
Total number of personnel (in work-years) |
5 |
3 |
3 |
* This represents staff in main FOIA processing offices. However, since
any of 40,000+ facilities may receive a request, personnel at those facilities may or may
not process a FOIA request(s) within the year.
Total costs (including staff and all resources)
| Administration
and FOIA |
$185,161 |
0 |
0 |
$185,161 |
| Inspection
Service |
$140,543 |
0 |
0 |
$140,543 |
| Law
Department |
$1,481 |
$214,384 |
$5,304 |
$221,169 |
| Other
postal locations |
$67,725 |
0 |
0 |
$67,725 |
| Total |
$394,910 |
$214,384 |
$5,304 |
$614,598 |
* Costs captured reflect estimated costs for request processing and do not
include other costs such as building use, etc.
- Fees
Total amount of fees collected by agency for processing
requests:
$102,114
Percentage of total costs:
The total fees ($210,167) collected by the agency were 34.2% of the total
estimated actual costs ($614,598) incurred to process the requests and appeals received in
Fiscal Year 1999.
- FOIA Regulations (Including Fee Schedule)
The Postal Service's release of information regulations in support of
the FOIA are found at http://www.access.gpo.gov/nara/cfr/waisidx_00/39cfr265_00.html
The fee provisions are contained at section 265.9 of those
regulations. |
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