[Title 39 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 1998 Edition]
[From the U.S. Government Printing Office]
[[Page i]]
39
Postal Service
Revised as of July 1, 1998
CONTAINING
A CODIFICATION OF DOCUMENTS
OF GENERAL APPLICABILITY
AND FUTURE EFFECT
AS OF JULY 1, 1998
With Ancillaries
Published
by the Office of the Federal Register
National Archives and Records
Administration
as a Special Edition of
the Federal Register
[[Page ii]]
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 1998
For sale by U.S. Government Printing Office
Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328
[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 39:
Chapter I--United States Postal Service................... 3
Chapter III--Postal Rate Commission....................... 321
Finding Aids:
Material Approved for Incorporation by Reference.......... 451
Table of CFR Titles and Chapters.......................... 453
Alphabetical List of Agencies Appearing in the CFR........ 471
List of CFR Sections Affected............................. 481
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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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EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
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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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The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
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collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
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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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approval is based are:
(a) The incorporation will substantially reduce the volume of
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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
publication in accordance with 1 CFR part 51.
Properly approved incorporations by reference in this volume are
listed in the Finding Aids at the end of this volume.
What if the material incorporated by reference cannot be found? If
you have any problem locating or obtaining a copy of material listed in
the Finding Aids of this volume as an approved incorporation by
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CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
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The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ``Contents'' entries in
the daily Federal Register.
[[Page vii]]
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
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Raymond A. Mosley,
Director,
Office of the Federal Register.
July 1, 1998.
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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, 1998.
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 Federal Register documentation, see
the Material Approved for Incorporation by Reference in the Finding Aids
section of this volume.
For this volume, Ruth Reedy Green was Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Frances D. McDonald, assisted by Alomha S. Morris.
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[[Page 1]]
TITLE 39--POSTAL SERVICE
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Part
Chapter i--United States Postal Service..................... 1
Chapter iii--Postal Rate 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
BYLAWS OF THE BOARD OF GOVERNORS
Part Page
1 Postal policy [Article I]................... 9
2 General and technical provisions [Article
II]..................................... 9
3 Board of Governors [Article III]............ 10
4 Officers [Article IV]....................... 14
5 Committees [Article V]...................... 15
6 Meetings [Article VI]....................... 15
7 Public observation [Article VII]............ 17
8
[Reserved]
9 Policy on communications with Governors of
the Postal Service during pendency of
rate and classification proceedings
[Appendix].............................. 20
10 Rules of conduct for Postal Service
Governors [Appendix].................... 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....... 29
SUBCHAPTER D--ORGANIZATION AND ADMINISTRATION
211 Application of regulations.................. 34
221 General principles of organization.......... 35
222 Delegations of authority.................... 38
223 Relationships and channels of communication. 42
224 Organizations reporting directly to the
Postmaster General...................... 43
225 Organizations reporting directly to the
Deputy Postmaster General............... 46
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226 Groups and departments reporting to the
Associate Postmaster General............ 47
227 Headquarters related field units............ 49
228 Service centers............................. 51
229 Field organizations......................... 52
INSPECTION SERVICE REQUIREMENTS
231 Protection of post offices.................. 54
232 Conduct on postal property.................. 55
233 Inspection Service/Inspector General
authority............................... 58
235 Defense Department liaison.................. 82
POST OFFICE ORGANIZATION AND ADMINISTRATION
241 Establishment and classification, and
discontinuance.......................... 83
242 Change of site.............................. 91
243 Conduct of offices.......................... 92
GENERAL POSTAL ADMINISTRATION
255 Access of handicapped persons to postal
services, programs, facilities, and
employment.............................. 92
259 Services performed for other agencies....... 95
RECORDS AND INFORMATION
261 Records and information management.......... 97
262 Records and information management
definitions............................. 97
263 Records retention and disposition........... 100
264 Vital records............................... 101
265 Release of information...................... 101
266 Privacy of information...................... 128
267 Protection of information................... 139
268 Privacy of information--employee rules of
conduct................................. 142
273 Administration of Program Fraud Civil
Remedies Act............................ 143
DAMAGE TO OR DESTRUCTION OF FIRM MAILINGS
281 Firm mailings damaged or destroyed through
transportation accidents or catastrophes 148
SUBCHAPTER E--RESTRICTIONS ON PRIVATE CARRIAGE OF LETTERS
310 Enforcement of the private express statutes. 150
320 Suspension of the private express statutes.. 154
SUBCHAPTER F--PERSONNEL
447 Rules of conduct for postal employees....... 161
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491 Garnishment of salaries of employees of the
Postal Service and the Postal Rate
Commission.............................. 165
SUBCHAPTER G--POSTAGE METERS
501 Authorization to Manufacture and Distribute
Postage Meters.......................... 168
SUBCHAPTER H--PROCUREMENT SYSTEM FOR THE U.S. POSTAL SERVICE:
INTELLECTUAL PROPERTY RIGHTS OTHER THAN PATENTS
601 Procurement of property and services........ 183
602 Intellectual property rights other than
patents................................. 185
SUBCHAPTER I--[RESERVED]
SUBCHAPTER J--POSTAL SERVICE DEBT OBLIGATIONS; DISBURSEMENT POSTAL MONEY
ORDERS
760 Applicability of Treasury Department
regulations............................. 187
761 Book-entry procedures....................... 187
762 Disbursement postal money orders............ 190
SUBCHAPTER K--SPECIAL REGULATIONS
775 Environmental procedures.................... 195
776 Floodplain management and protection of
wetlands procedures..................... 203
777 Relocation assistance and real property
acquisition policies.................... 206
778 Intergovernmental review of Postal Service
facility actions........................ 225
SUBCHAPTERS L AND 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 229
916
[Reserved]
RULES OF PROCEDURE BEFORE THE MAIL PROCESSING DEPARTMENT
927 Rules of procedure relating to fines,
deductions, and damages................. 232
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931 Rules of procedure governing the compromise
of obligations.......................... 234
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.. 235
RULES OF PROCEDURE BEFORE THE JUDICIAL OFFICER
951 Procedure governing the eligibility of
persons to practice before the Postal
Service................................. 237
952 Rules of practice in proceedings relative to
false representation and lottery orders. 239
953 Rules of practice in proceedings relative to
mailability............................. 248
954 Rules of practice in proceedings relative to
the denial, suspension, or revocation of
second-class mail privileges............ 251
955 Rules of practice before the Board of
Contract Appeals........................ 256
956 Rules of practice in proceedings relative to
disciplinary action for violation of
restrictions on post-employment activity 267
957 Rules of practice in proceedings relative to
debarment and suspension from
contracting............................. 273
958 Rules of practice in proceedings relative to
the refusal to provide Post Office box
or caller service and the termination of
Post Office box or caller service....... 279
959 Rules of practice in proceedings relative to
the private express statutes............ 282
960 Rules relative to implementation of the
Equal Access to Justice Act in Postal
Service proceedings..................... 289
961 Rules of practice in proceedings relative to
employee hearing petitions under section
5 of the Debt Collection Act............ 295
962 Rules of practice in proceedings relative to
the Program Fraud Civil Remedies Act.... 299
963 Rules of practice in proceedings relative to
violations under 39 U.S.C. 3008......... 307
964 Rules of practice governing disposition of
mail withheld from delivery pursuant to
39 U.S.C. 3003, 3004.................... 310
965 Rules of practice in proceedings relative to
mail disputes........................... 315
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966 Rules of practice in proceedings relative to
administrative offsets initiated against
former employees of the Postal Service.. 317
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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, 3621, as
enacted by Public Law 91-375.
Source: 59 FR 18447, Apr. 18, 1994, 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 August 12, 1970,
Public Law 91-375, 84 Stat. 719, 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), as enacted by
Pub. L. 91-375, and 5 U.S.C. 552b(f), (g), as enacted by Pub. L. 94-409.
Source: 59 FR 18447, Apr. 18, 1994, 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 under the Reorganization Act.
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).
Sec. 2.3 Offices.
The principal office of the Postal Service is located in Washington,
DC, with such regional and other offices
[[Page 10]]
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] TR18AP94.000
(b) The location and description of the Postal Service emblem is
described at 39 CFR 221.9.
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 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.
Authority: 39 U.S.C. 202, 203, 205, 401(2), (10), 402, 414, 1003,
2802-2804, 3013; 5 U.S.C. 552b(g), (j); Inspector General Act, 5 U.S.C.
app.
Source: 59 FR 18448, Apr. 18, 1994, unless otherwise noted.
Sec. 3.1 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
[[Page 11]]
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 the Reorganization Act
specifically vests 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) 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) Election of the Vice Chairman of the Board.
(b) Adoption of, and amendments to, the bylaws of the Board.
(c) (1) Approval of the annual Postal Service budget program in both
tentative and final form, including requests for appropriations;
(2) Approval of the annual Postal Service operating budget.
(d) 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.
(e) Approval of the Postal Service Five-Year Capital Investment
Plans, including specific approval of each capital investment project,
each new lease/rental agreement, and each research and development
project exceeding such amount specified by resolution at the annual
Board meeting in January. In the case of any project or agreement
subject to the requirement of Board approval under this provision, the
expenditure of any funds in excess of the amount previously authorized
by the Board must be specifically approved by the Board. For the purpose
of determining the cost of a capital investment project, lease/rental
agreement, or research and development project,
(1) All such projects and agreements undertaken as part of a unitary
plan (either for contemporaneous or sequential development in one of
several locations) shall be considered one project or agreement, and
(2) The cost of a lease/rental agreement shall be the present value
of all lease payments over the term of the lease, including all periods
covered by renewal options or all periods for which failure to renew
imposes a penalty or a hardship such that renewal appears to be
reasonably assured, plus the cost of any leasehold improvements planned
in connection with the lease/rental agreement. The present value will be
determined using the cost of capital of the Postal Service.
(3) The cost of a developmental real estate project shall be the sum
of:
(i) The as-is value of the postal assets contributed to the project;
(ii) Cash contributed by the Postal Service; and
(iii) Debt that impacts the Postal Service's investment.
(f) Authorization of the Postal Service to request the Postal Rate
Commission to submit a recommended decision on changes in postal rates.
(g) Authorization of the Postal Service to request the Postal Rate
Commission to submit a recommended decision on changes in the mail
classification schedule.
(h) Determination of an effective date for changes in postal rates
or mail classification.
(i) Authorization of the Postal Service to request the Postal Rate
Commission to 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.
(j) Approval of any use of the authority of the Postal Service to
borrow money under 39 U.S.C. 2005, except for short-term borrowings,
having maturities of one year or less, assumed in the normal course of
business.
(k) Approval of the terms and conditions of each series of
obligations issued by the Postal Service under 39 U.S.C. 2005, including
the time and manner of sale and the underwriting
[[Page 12]]
arrangements, except for short-term borrowings, having maturities of one
year or less, assumed in the normal course of business.
(l) 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).
(m) 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.
(n) Compensation of officers of the Postal Service whose positions
are included in Level II of the Postal Career Executive Service.
(o) 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).
(p) 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.
(q) 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.
(r) Approval and transmittal to the President and the Congress of
the annual report of the Postmaster General under 39 U.S.C. 2402.
(s) Approval and transmittal to the Congress of the annual report of
the Board under 5 U.S.C. 552b(j).
(t) Approval of the annual comprehensive statement of the Postal
Service to Congress under 39 U.S.C. 2401(g).
(u) Approval and transmittal to the Congress of the semi-annual
report of the Postmaster General under 39 U.S.C. 3013, summarizing the
investigative activities of the Postal Service.
(v) 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.
(w) All other matters that the Board may consider appropriate to
reserve for its decision.
[59 FR 18448, Apr. 18, 1994, as amended at 62 FR 41853, Aug. 4, 1997; 62
FR 43642, Aug. 15, 1997]
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 of the Board of Governors, 39 U.S.C.
202(a).
(d) Approval of the budget of the Postal Rate Commission, or
adjustment of the total amount of the budget (by unanimous written vote
of the Governors in office, 39 U.S.C. 3604(d)).
(e) Action upon a recommended decision of the Postal Rate
Commission, including action to approve, allow under protest, reject, or
modify that decision, 39 U.S.C. 3625.
(f) Concurrence of the Governors with the Postmaster General in the
removal or transfer of the Chief Postal Inspector under 5 U.S.C. App.
8E(f).
(g) The Governors shall meet annually in closed session to discuss
compensation, term of service, and appointment/removal of the Secretary
and other necessary staff.
(h) Transmittal to the Congress of the semi-annual report of the
Inspector General under section 5 of the Inspector General Act.
(i) Establishment of rates of postage for special postage stamps, 39
U.S.C. 414.
[59 FR 18448, Apr. 18, 1994, as amended at 62 FR 41853, Aug. 4, 1997; 63
FR 28485, May 26, 1998]
[[Page 13]]
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.
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: (a) Mail volume by class; (b) income and expense
by principal categories; (c) balance sheet information; (d) service
quality measurements; (e) productivity measurements (reflecting workload
and resource utilization); and (f) changes in postal costs. 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 increases or decreases and the progress of any
pending rate cases 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. This 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:
(1) 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 (i) corporate visibility or
(ii) 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 involved.
(2) Information regarding any project, in advance of entering into
any agreement in furtherance of such project, where the potential
liability due to termination, breach, or other reason would equal or
exceed the amount specified by resolution for approval of capital
investment projects pursuant to section 3.3(e) hereof.
[59 FR 18448, Apr. 18, 1994, as amended 62 FR 18519, Apr. 16, 1997]
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
[[Page 14]]
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 decision.
(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) Other matters having important policy implications.
PART 4--OFFICERS (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.
Source: 59 FR 18450, Apr. 18, 1994, 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 preside at all regular and special meetings of the Board,
and shall set the agenda for such meetings;
(2) Shall select and appoint the Chairman and members of any
committee properly established by the Board;
(3) Serves a term that commences upon election and expires at the
end of the first annual meeting following the meeting at which he or she
was elected.
(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.
Sec. 4.2 Vice Chairman.
The Vice Chairman is elected by the Board 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
serves a term that commences upon election and expires at the end of the
first annual meeting following the meeting at which he or she was
elected.
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 salary of the Postmaster
General by resolution, subject to the limitations of 39 U.S.C. 1003(a).
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 salary of the Deputy Postmaster General
by resolution, subject to the limitations of 39 U.S.C. 1003(a).
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.
[[Page 15]]
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 any such
notification the reasons for such removal or transfer.
[62 FR 61914, Nov. 20, 1997]
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.
[59 FR 18450, Apr. 18, 1994. Redesignated at 62 FR 61914, Nov. 20, 1997]
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, 3013.
Source: 59 FR 18450, Apr. 18, 1994, 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 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.
[61 FR 36499, July 11, 1996]
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.
Authority: 39 U.S.C. 202, 205, 401(2), (10), 1003, 3013; 5 U.S.C
552b (e), (g).
Source: 59 FR 18451, Apr. 18, 1994, unless otherwise noted.
Sec. 6.1 Regular meetings, annual meeting.
The Board shall meet regularly each month and shall meet normally on
the first Monday and Tuesday of each month. The first regular meeting of
each calendar year is designated as the annual meeting. Consistent with
the provisions of Sec. 7.5 of these bylaws, the time or place of a
regular or annual meeting may be varied by a recorded unanimous vote of
the entire membership of the Board, with the earliest practicable notice
to the Secretary. The Secretary shall distribute to the members an
agenda setting forth the
[[Page 16]]
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. 7.5 of these bylaws, the
Chairman may call a special meeting of the Board at any place in the
United States, with not less than 8 days' notice to the other members of
the Board and to the Secretary, specifying the time, date, place, and
subject matter of the meeting. 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 or written
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 notice. Written notice to a member may
be delivered by telegram or by mail sent by the fastest regular delivery
method addressed to the member's address of record filed with the
Secretary, and except for written notice confirming a previous oral
notice, must be sent in sufficient time to reach that address 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. Neither oral nor written notice
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.
Unless prohibited by law or by these bylaws, a member of the Board
may participate in a meeting of the Board by conference telephone or
similar communication 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, except that no Governor may receive compensation for any
meeting attended in this manner.
Sec. 6.5 Minutes of meetings.
The Secretary shall preserve the minutes of Board meetings prepared
under Sec. 4.7 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 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), the Board acts by resolution upon a
majority vote of those members who are present. 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 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 of the Secretary, Assistant Secretary, or other necessary
staff, a favorable vote of an absolute majority of the Governors in
office is required;
(d) In the adjustment of the total budget of the Postal Rate
Commission, 39 U.S.C. 3604(c) requires a unanimous written vote of the
Governors in office;
[[Page 17]]
(e) In the modification of a recommended decision of the Postal Rate
Commission, 39 U.S.C. 3625 requires a unanimous written vote of the
Governors in office; and
(f) In the approval, allowance under protest, or rejection of a
recommended decision of the Postal Rate Commission, the Governors act
upon a majority vote of the Governors present, and the required quorum
of 6 members must include at least 5 Governors;
(g) 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
(h) 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.
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. 401(a), as enacted by Pub. L. 91-375, and 5
U.S.C. 552b(a)-(m) as enacted by Pub. L. 94-409.
Source: 59 FR 18451, Apr. 18, 1994, unless otherwise noted.
Sec. 7.1 Definitions.
For purposes of Secs. 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. 6.5 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 Secs. 6.1, 6.2, 7.4,
or Sec. 7.5 of these bylaws.
[59 FR 18451, Apr. 18, 1994, as amended at 61 FR 36499, July 11, 1996]
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 Secs. 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 232.6, concerning conduct on postal
property, apply with regard to meetings of the Board.
[[Page 18]]
Sec. 7.3 Exceptions.
Section 7.2 of these bylaws does not apply to a portion of a
meeting, and Secs. 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 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
[[Page 19]]
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.
[59 FR 18451, Apr. 18, 1994, as amended at 62 FR 4459, Jan. 30, 1997]
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.
(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 Postal Service Public and Employee
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
[[Page 20]]
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 Public and Employee 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 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.
PART 8--[RESERVED]
PART 9--POLICY ON COMMUNICATIONS WITH GOVERNORS OF THE POSTAL SERVICE DURING PENDENCY OF RATE AND CLASSIFICATION PROCEEDINGS [APPENDIX]--Table of Contents
Sec.
9.1 General policy.
9.2 Communications with the Governors during the restricted period.
9.3 Public availability of communications.
Authority: 39 U.S.C. 202, 203, 205, 401 (2), (10), 3621, 3625.
Source: 49 FR 2888, Jan. 24, 1984, unless otherwise noted.
[[Page 21]]
Sec. 9.1 General policy.
(a) To represent the public interest generally and to insure that
the Postal Service meets the needs of the mailing public, the Governors
must be free to hold uninhibited discussions on broad postal issues with
mailers and the general public. Nevertheless, the Governors believe that
certain restrictions on communications with the public are appropriate
when the Governors act in their capacity as final administrative
decisionmakers on recommended decisions of the Postal Rate Commission
concerning postal rates and classifications. These restrictions should
reflect a balance between, on the one hand, the need to safeguard the
integrity of the administrative process for setting rates and
classifications and insure meaningful judicial review of decisions of
the Governors on these subjects, and on the other hand, the need for
open access to the Board to permit the members to meet their statutory
responsibilities. To strike an appropriate balance, the Board has
adopted the following general guidelines: From the time the Postal Rate
Commission issues a recommended decision until the Governors have acted
on the recommended decision, any communication from an interested person
to the Governors that is relevant to the merits of the proceeding should
be on the public record and available for public inspection.
(b) In reviewing recommended decisions of the Commission, the
Governors act on the record before them. They are under no obligation to
take communications from the public into account in reaching their
decision.
Sec. 9.2 Communications with the Governors during the restricted period.
Once the Commission issues a recommended decision, and until the
Governors have acted on that recommended decision by approving,
rejecting, allowing under protest or modifying it, the following
guidelines apply to communications with the Governors that are relevant
to the merits of the proceeding.
(a) Oral communications. During the restricted period, it is the
policy of the Governors not to receive oral communications relevant to
the merits of the proceeding from any interested person. In the event
such a conversation does inadvertently take place, the Governor involved
shall prepare a memorandum of the conversation and submit it to the
Secretary of the Board for inclusion in the public record, where it
shall be available for public inspection.
(b) Written communications. (1) During the restricted period any
communication relevant to the merits of the proceeding that an
interested person may wish to submit to the Governors must be in writing
and should not exceed fifteen pages in length. Such comments should be
based on the record and addressed to the Governors through the Secretary
of the Board. If the commenter has been a party to the Commission
proceeding, copies should be sent to all other parties to that
proceeding. The Secretary shall make all such communications available
for public inspection.
(2) Because the Governors are often required to act promptly on a
recommended decision from the Commission, interested persons seeking to
communicate with the Governors should submit their comments no later
than ten (10) days after the Commission has issued its recommended
decision. This period may be extended at the discretion of the
Governors.
(c) Scope of the guidelines. These guidelines apply to
communications from interested persons to the Governors, their staff,
personal assistants (if any), the Secretary of the Board and any
official of the Office of the Board. Since the Act assigns final
decisionmaking authority on Commission recommended decisions to the
Governors and not the Board, these guidelines do not apply to the
Postmaster General or the Deputy Postmaster General, nor do they apply
to other officers or officials of the Postal Service. Moreover, in order
to carry out their statutory responsibility to direct ``the exercise of
the power of the Postal Service,'' 39 U.S.C. 202(a), the Governors must
be free to discuss all matters of postal policy with officers and
employees of the Postal Service. Accordingly, no restrictions apply to
communications between the Governors and Postal Service employees.
[[Page 22]]
Sec. 9.3 Public availability of communications.
All communications placed on the public record pursuant to these
guidelines shall be available for public inspection at the Office of the
Board of Governors, United States Postal Service, Room 10-300, 475
L'Enfant Plaza West, SW., Washington, DC 20260-1000, between 8:30 a.m.
and 4:30 p.m., Monday through Friday except Federal holidays.
PART 10--RULES OF CONDUCT FOR POSTAL SERVICE GOVERNORS [APPENDIX]--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.
Source: 52 FR 29697, Aug. 11, 1987, 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.
[61 FR 36499, July 11, 1996]
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.
[61 FR 36499, July 11, 1996]
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 Sec. 10.2(b).
[61 FR 36500, July 11, 1996]
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 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
[[Page 23]]
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.
[52 FR 29697, Aug. 11, 1987. Redesignated and amended at 61 FR 36500,
July 11, 1996]
PART 11--ADVISORY BOARDS [ARTICLE XI]--Table of Contents
Authority: 39 U.S.C. 202, 203, 204, 205, 401(2), (10), 402, 403,
1003, 3013, 5 U.S.C. 552b(a), (b) (g).
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.
[59 FR 18454, Apr. 18, 1994]
[[Page 24]]
SUBCHAPTER B--INTERNATIONAL MAIL
PART 20--INTERNATIONAL POSTAL SERVICE--Table of Contents
Sec.
20.1 The International Mail Manual; incorporation by reference of
international mail regulations.
20.2 Availability of the International Mail Manual.
20.3 Amendments to the International Mail Manual.
20.4 Approval of the Director of the Federal Register.
20.5 Contents of the International Mail Manual.
Authority: 5 U.S.C. 552(a), 39 U.S.C. 401, 404, 407, 408.
Source: 47 FR 7831, Feb. 23, 1982, unless otherwise noted.
Redesignated at 52 FR 29697, Aug. 11, 1987.
Sec. 20.1 The International Mail Manual; incorporation by reference of international mail regulations.
Section 552(a) of title 5, United States Code, 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. 410(b)(1), and as provided in this part, the United
States Postal Service hereby incorporates by reference in this part, the
International Mail Manual, a looseleaf publication published and
maintained by the U.S. Postal Service, Washington, DC 20260-5365.
[47 FR 7831, Feb. 23, 1982. Redesignated at 52 FR 29697, Aug. 11, 1987,
as amended at 53 FR 52697, Dec. 29, 1988]
Sec. 20.2 Availability of the International Mail Manual.
(a) Copies of the International Mail Manual are available for
reference and inspection upon request at the National Headquarters and
regional offices of the U.S. Postal Service and at all United States
Post Offices and classified stations and branches during normal business
hours. Regional offices are located in Philadelphia, Memphis, Chicago,
San Bruno, and Windsor, CT.
(b) A copy of the International Mail Manual, together with each
amendment of it, is on file with the Director, Office of the Federal
Register, National Archives and Records Administration, at 800 North
Capitol Street, NW., suite 700, Washington, DC.
(c) Copies of the International Mail Manual may be purchased from
the Superintendent of Documents, Washington, DC 20402-9371 for $14.00.
This price covers two complete issues of the International Mail Manual.
Information about international mail also appears in condensed form in
Publication 51, which the Postal Service publishes and distributes to
all post offices and area supply centers. This publication is available
to the public free of charge at all post offices and classified stations
and branches.
[47 FR 7831, Feb. 23, 1982. Redesignated at 52 FR 29697, Aug. 11, 1987,
as amended at 53 FR 52697, Dec. 29, 1988; 54 FR 1050, Jan. 11, 1989]
Sec. 20.3 Amendments to the International Mail Manual.
(a) Except for interim or final regulations published as provided in
paragraph (b) of this section, notices of changes made in the
International Mail Manual will periodically be published in the Federal
Register. A complete issue of the International 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
International Mail Manual will automatically receive the latest issue of
the International Mail Manual from the Government Printing Office.
(b) When the Postal Service invites comment from the general public
on a proposed change to the International Mail Manual, the proposed
change and, if adopted, the interim or final regulation will be
published in the Federal Register.
(c) Interim or final regulations published as provided in paragraph
(b) of this section, and other changes to the International Mail Manual,
adopted
[[Page 25]]
subsequent to the notices published under paragraph (a) of this section
(except for corrections of minor errors or other nonsubstantive
changes), are published in the Postal Bulletin, a weekly postal
publication that may be purchased from the Superintendent of Documents,
Washington, DC 20402-9371.
(d) Interim regulations will be published in full text or
referenced, as appropriate, in the International Mail Manual at the
place where they would appear if they become final regulations.
(e) For references to amendments to the International Mail Manual
adopted under paragraph (b) of this section subsequent to issuance of
the most recent transmittal letter listed below, see Sec. 10.3 in the
List of CFR Sections Affected at the end of this volume.
------------------------------------------------------------------------
Transmittal letter for issue Dated FR publication
------------------------------------------------------------------------
1............................... Nov. 13, 1981...... 47 FR 7831.
2............................... Mar. 1, 1983....... 48 FR 28268.
3............................... July 4, 1985....... 50 FR 49387.
4............................... Sept. 18, 1986..... 52 FR 3226.
5............................... April 21, 1988..... 53 FR 24068.
------------------------------------------------------------------------
[47 FR 7831, Feb. 23, 1982, as amended at 48 FR 28268, June 21, 1983; 50
FR 49387, Dec. 2, 1985; 52 FR 3226, Feb. 3, 1987; 53 FR 24068, June 27,
1988; 53 FR 24830, June 30, 1988; 53 FR 52697, Dec. 29, 1988; 54 FR
1050, Jan. 11, 1989]
Sec. 20.4 Approval of the Director of the Federal Register.
Incorporation by reference of the publication now titled the
International Mail Manual was approved by the Director of the Federal
Register under 5 U.S.C. 552(a) and 1 CFR Part 51 on June 24, 1981.
[49 FR 47389, Dec. 4, 1984]
Sec. 20.5 Contents of the International Mail Manual.
The International Mail Manual contains the following parts:
(A) Chapter 1--International Mail Services
(1) Subchapter 110--General Information
(i) Part 111--Scope
(ii) Part 112--Mailer Responsibility
(iii) Part 113--Individual Country Listings (ICLs)
(iv) Part 114--Availability
(v) Part 115--Official Correspondence
(2) Subchapter 120--Preparation for Mailing
(i) Part 121--Packaging--Sender's Responsibility
(ii) Part 122--Addressing
(iii) Part 123--Customs Forms Required
(3) Subchapter 130--Mailability
(i) Part 131--General
(ii) Part 132--Written, Printed, and Graphic Matter
(iii) Part 133--Improperly Addressed Mail
(iv) Part 134--Valuable Articles
(v) Part 135--Animals and Plants
(vi) Part 136--Special Packaging Requirements
(vii) Part 137--Perishable Biological Substances
(viii) Part 138--Radioactive Materials
(ix) Part 139--Dangerous Materials
(4) Subchapter 140--International Mail Classes
(i) Part 141--Definitions
(ii) Part 142--Size Limits
(iii) Part 143--Envelope and Card Specifications
(iv) Part 144--Official Mail
(v) Part 145--Air Service
(5) Subchapter 150--Postage
(i) Part 151--Postage Rates
(ii) Part 152--Payment Methods
(iii) Part 153--Placement of Postage
(iv) Part 154--Postage for Combination Pieces
(v) Part 155--Remailed Items
(B) Chapter 2--Conditions for Mailing
(1) Subchapter 210--Express Mail International Service
(i) Part 211--Description
(ii) Part 212--Postage
(iii) Part 213--Weight and Size Limits
(iv) Part 214--Preparation Requirements
(2) Subchapter 220--Letters and Letter Packages
(i) Part 221--Description
(ii) Part 222--Postage
(iii) Part 223--Weight and Size Limits
(iv) Part 224--Preparation Requirements
(3) Subchapter 230--Postcards and Aerogrammes
(i) Part 231--Description
(ii) Part 232--Postage Rates
(iii) Part 233--Weight and Size Limits
(iv) Part 234--Preparation Requirements
(4) Subchapter 240--Printed Matter
(i) Part 241--Description
(ii) Part 242--Postage
(iii) Part 243--Weight and Size Limits
(iv) Part 244--Preparation Requirements
(v) Part 245--Direct Sacks of Printed Matter to One Addressee (``M''
Bags)
[[Page 26]]
(5) Subchapter 250--Matter for the Blind
(i) Part 251--Description
(ii) Part 252--Postage Rates
(iii) Part 253--Weight and Size Limits
(iv) Part 254--Preparation Requirements
(6) Subchapter 260--Small Packets
(i) Part 261--Description
(ii) Part 262--Postage Rates
(iii) Part 263--Weight and Size Limits
(iv) Part 264--Preparation Requirements
(7) Subchapter 270--Parcel Post
(i) Part 271--Description
(ii) Part 272--Postage
(iii) Part 273--Weight and Size Limits
(iv) Part 274--Preparation Requirements
(C) Chapter 3--Special Services
(1) Subchapter 310--Certificate of Mailing
(i) Part 311--Description
(ii) Part 312--Availability
(iii) Part 313--Fees
(iv) Part 314--Processing Requests
(2) Subchapter 320--Insurance
(i) Part 321--Description
(ii) Part 322--Availability
(iii) Part 323--Fees and Insured Value
(iv) Part 324--Processing Requests
(v) Part 325--Indemnity Claims and Payments
(3) Subchapter 330--Registered Mail
(i) Part 331--Description
(ii) Part 332--Availability
(iii) Part 333--Fees and Indemnity Limit
(iv) Part 334--Processing Requests
(v) Part 335--Indemnity Claims and Payments
(4) Subchapter 340--Return Receipt
(i) Part 341--Description
(ii) Part 342--Availability
(iii) Part 343--Fee
(iv) Part 344--Processing Requests
(5) Subchapter 350--Restricted Delivery
(i) Part 351--Description
(ii) Part 352--Availability
(iii) Part 353--Fee
(iv) Part 354--Processing Requests
(6) Subchapter 360--Recall/Change of Address
(i) Part 361--Description
(ii) Part 362--Conditions and Limitations
(iii) Part 363--Fees and Charges
(iv) Part 364--Processing Requests
(7) Subchapter 370--Special Delivery
(i) Part 371--Description
(ii) Part 372--Availability
(iii) Part 373--Fees
(iv) Part 374--Processing Requests
(8) Subchapter 380--Special Handling
(i) Part 381--Description
(ii) Part 382--Availability
(iii) Part 383--Fees
(iv) Part 384--Processing Requests
(9) Subchapter 390--Supplementary Services
(i) Part 391--International Postal Money Orders
(ii) Part 392--International Reply Coupons
(D) Chapter 4--Treatment of Outbound Mail
(1) Subchapter 410--Postmarking
(2) Subchapter 420--Shortpaid and Unpaid Mail
(i) Part 421--Check for Sufficient Postage
(ii) Part 422--Unpaid Mail
(iii) Part 423--Shortpaid Mail
(3) Subchapter 430--Improperly Prepared Mail
(i) Part 431--Insufficient Address
(ii) Part 432--Oversized or Undersized Items
(iii) Part 433--Oversized Cards
(iv) Part 434--Reply-Paid Cards
(4) Subchapter 440--Special Services Mail
(i) Part 441--Registered Mail
(ii) Part 442--Special Delivery
(iii) Part 443--Special Handling
(5) Subchapter 450--Forwarding
(E) Chapter 5--Nonpostal Export Regulations
(1) Subchapter 510 [Reserved]
(2) Subchapter 520--Shipper's Export Declaration
(i) Part 521--Description
(ii) Part 522--When Required
(iii) Part 523--How to obtain Commercial Forms
(iv) Part 524--How to Prepare Shipper's Export Declaration (Commerce
Form 7525-V)
(v) Part 525--Handling and Disposal of Shipper's Export Declaration
(3) Subchapter 530--Commodities and Technical Data
(i) Part 531--Scope and Applicability of Licensing Requirements
(ii) Part 532--General Export Licenses
(iii) Part 533--Validated Export Licenses
(4) Subchapter 540--Munitions and Related Technical Data
(i) Part 541--Licensing Requirements
(ii) Part 542--Mailing Under Individual Licenses
[[Page 27]]
(5) Subchapter 550--Dried Whole Eggs
(i) Part 551--Description
(ii) Part 552--Charges
(iii) Part 553--How to Mail
(6) Subchapter 560--Tobacco Seeds and Tobacco Plants
(i) Part 561--Description
(ii) Part 562--Charges
(iii) Part 563--How to Mail
(7) Subchapter 570--Consular and Commercial Invoices
(8) Subchapter 580--Drawback Arrangement
(i) Part 581--Description
(ii) Part 582--Processing Drawback Claims
(F) Chapter 6--[Reserved]
(G) Chapter 7--Treatment of Inbound Mail
(1) Subchapter 710--U.S. Customs Information
(i) Part 711--Customs Examination of Mail Believed to Contain
Dutiable or Prohibited Articles
(ii) Part 712--Customs Clearance and Delivery Fee
(iii) Part 713--Treatment of Dutiable Mail at Delivery Office
(2) Subchapter 720--Plant and Animal Quarantine
(i) Part 721--What is Subject to Inspection
(ii) Part 722--Segregation and Handling
(iii) Part 723--Agriculture Inspection Stations and Offices
(3) Subchapter 730--Shortpaid Mail to U.S.A.
(i) Part 731--Computation of Postage Due
(ii) Part 732--Shortpaid Letters and Cards From Canada
(iii) Part 733--Shortpaid Items Bearing U.S. Postage
(4) Subchapter 740--Irregular Mail
(i) Part 741--Invalid Foreign Postage
(ii) Part 742--Unauthorized Letters Enclosed
(iii) Part 743--Stamps Not Affixed
(iv) Part 744--Parcels Addressed Through Banks or Other
Organizations
(v) Part 745--Foreign Dispatch Notes
(5) Subchapter 750--Special Services
(i) Part 751--Insured Parcels
(ii) Part 752--Registered Mail
(iii) Part 753--Return Receipt
(iv) Part 754--Restricted Delivery
(v) Part 755--Special Delivery
(vi) Part 756--Recall and Change of Address
(6) Subchapter 760--Storage
(i) Part 761--Retention Period
(ii) Part 762--Storage Charges
(7) Subchapter 770--Forwarding
(i) Part 771--General Procedures
(ii) Part 772--Mail of Domestic Origin
(iii) Part 773--Items Mailed Aboard Ships (Paquebot)
(iv) Part 774--Mail of Foreign Origin
(v) Part 775--Directory Service
(8) Subchapter 780--Undeliverable Mail
(i) Part 781--Mail of Domestic Origin
(ii) Part 782--Mail of Foreign Origin
(9) Subchapter 790--Items Mailed Abroad by or on Behalf of Senders in
the U.S.
(i) Part 791--Mailings Affected
(ii) Part 792--Postage Payment Required
(iii) Part 793--Advance Payment Required
(iv) Part 794--Treatment if Advance Payment Not Made
(v) Part 795--Report of Mailings
(H) Chapter 8--[Reserved]
(I) Chapter 9--Inquiries, Indemnities and Refunds
(1) Subchapter 910--Reports Encouraged
(2) Subchapter 920--Inquiries and Claims
(i) Part 921--Inquiry Described
(ii) Part 922--Filing of Inquiries
(iii) Part 923--Claim Described
(iv) Part 924--Initiation of Claims
(v) Part 925--Documents to Accompany Claims
(vi) Part 926--Disposition of Damaged Mail
(vii) Part 927--Charges for Inquiries
(viii) Part 928--Processing Inquiries
(3) Subchapter 930--Indemnity Payments
(i) Part 931--Adjudication and Approval
(ii) Part 932--General Exceptions to Payment--Insured Parcel Post
and Registered Letter Post Mail
(iii) Part 933--Payments for Insured Parcel Post
(iv) Part 934--Payments for Registered Mail
(v) Part 935--Payments for Express Mail International Service
(4) Subchapter 940--Postage Refunds
(i) Part 941--Refunds for Postal Union Mail and Parcel Post
(ii) Part 942--Refunds for Express Mail International Service
(iii) Part 943--Applications by Senders
(iv) Part 944--Processing Refund Applications
[[Page 28]]
(J) Appendix A--World Map Index
(K) Appendix B--Index of Localities
(L) Appendix C--Conversion Table: U.S. Dollars to Gold Francs (GFRs) and
to Special Drawing Rights (SDRs)
(M) Appendix D--Express Mail International Service (EMIS) Country
Listings
(N) Appendix E--International Surface Air Lift Network Countries and
Rates
(O) Individual Country Listings (ICLs)
(P) Index
[50 FR 49387, Dec. 2, 1985]
[[Page 29]]
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 Domestic Mail Manual; incorporation by reference of regulations
governing domestic mail services.
111.2 Availability of the Domestic Mail Manual.
111.3 Amendments to the Domestic Mail Manual.
111.4 Approval of the Director of the Federal Register.
111.5 Contents of the Domestic Mail Manual.
Authority: 5 U.S.C. 552(a); 39 U.S.C. 101, 401, 403, 404, 3001-3011,
3201-3219, 3403-3406, 3621, 3626, 5001.
Source: 44 FR 39852, July 6, 1979, unless otherwise noted.
Sec. 111.1 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
Domestic Mail Manual, a looseleaf document published twice each year in
January and July, unless otherwise determined by the Postal Service.
[62 FR 14827, Mar. 28, 1997]
Sec. 111.2 Availability of the Domestic Mail Manual.
(a) Copies of the 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.
(b) A copy of the current Domestic Mail Manual is on file with the
Director, Office of the Federal Register, National Archives and Records
Administration, 800 North Capitol Street, NW, Suite 700, Washington, DC.
(c) A 1-year subscription to the Domestic Mail Manual for two
consecutive issues can be purchased by the public from the
Superintendent of Documents, Washington, DC 20402-9375.
[62 FR 14827, Mar. 28, 1997]
Sec. 111.3 Amendments to the 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 Domestic Mail Manual are published in the Federal
Register. These notices are published in the form of one summary
transmittal letter for each issue of the Domestic Mail Manual. A
complete issue of the 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 Domestic Mail Manual receive
the latest issue of the Domestic Mail Manual from the Government
Printing Office.
(b) When the Postal Service invites comments from the public on a
proposed change to the 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 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
[[Page 30]]
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 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 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 Domestic Mail Manual adopted
under paragraph (b) of this section after issuance of the most recent
transmittal letter (termed Summary of Changes in the 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
------------------------------------------------------------------------
[45 FR 40115, June 13, 1980]
Editorial Note For Federal Register citations affecting Sec. 111.3,
see the List of CFR Sections Affected in the Finding Aids section of
this volume.
Sec. 111.4 Approval of the Director of the Federal Register.
Incorporation by reference of the publication now titled the
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 March 29, 1979.
(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]
Sec. 111.5 Contents of the Domestic Mail Manual.
A--ADDRESSING
A000 Basic Addressing
A010 General Addressing Standards
A040 Alternative Addressing Formats
A060 Detached Address Labels (DALs)
A800 Addressing for Automation
A900 Customer Support
A910 Mailing List Services
A920 Address Sequencing Services
A930 Other Services
[[Page 31]]
A950 Coding Accuracy Support System (CASS)
C--CHARACTERISTICS AND CONTENT
C000 General Information
C010 General Mailability Standards
C020 Restricted or Nonmailable Articles and Substances
C021 Articles and Substances Generally
C022 Perishables
C023 Hazardous Matter
C024 Other Restricted or Nonmailable Matter
C030 Nonmailable Written, Printed, and Graphic Matter
C031 Written, Printed, and Graphic Matter Generally
C032 Sexually Oriented Advertisements
C033 Pandering Advertisements
C050 Mail Processing Categories
C100 First-Class Mail
C200 Periodicals
C500 Express Mail
C600 Standard Mail
C800 Automation-Compatible Mail
C810 Letters and Cards
C820 Flats
C830 OCR Standards
C840 Barcoding Standards
D--DEPOSIT, COLLECTION, AND DELIVERY
D000 Basic Information
D010 Pickup Service
D020 Plant Load
D030 Recall of Mail
D040 Delivery of Mail
D041 Customer Mail Receptacles
D042 Conditions of Delivery
D070 Drop Shipment
D071 Express Mail and Priority Mail
D072 Metered Mail
D100 First-Class Mail
D200 Periodicals
D210 Basic Information
D230 Additional Entry
D500 Express Mail
D600 Standard Mail
D900 Other Delivery Services
D910 Post Office Box Service
D920 Caller Service
D930 General Delivery and Firm Holdout
E--Eligibility
E000 Special Eligibility Standards
E010 Overseas Military Mail
E020 Department of State Mail
E030 Mail Sent by U.S. Armed Forces
E040 Free Matter for the Blind and Other Handicapped Persons
E050 Official Mail (Franked)
E060 Official Mail (Penalty)
E070 Mixed Classes
E080 Absentee Balloting Materials
E100 First-Class Mail
E110 Basic Standards
E120 Priority Mail
E130 Nonautomation Rates
E140 Automation Rates
E200 Periodicals
E210 Basic Standards
E211 All Periodicals
E212 Qualification Categories
E213 Periodicals Mailing Privileges
E214 Reentry
E215 Copies Not Paid or Requested by Addressee
E216 Publisher Records
E230 Nonautomation Rates
E240 Automation Rates
E250 Destination Entry
E270 Preferred Periodicals
E500 Express Mail
E600 Standard Mail
E610 Basic Standards
E611 All Standard Mail
E612 Additional Standards for Standard Mail (A)
E613 Additional Standards for Standard Mail (B)
E620 Nonautomation Nonpresort Rates
E630 Nonautomation Presort Rates
E640 Automation Rates
E650 Destination Entry
E651 Regular, Nonprofit, and Enhanced Carrier Route Standard Mail
E652 Parcel Post
E670 Nonprofit Standard Mail
F--Forwarding and Related Services
F000 Basic Services
F010 Basic Information
F020 Forwarding
F030 Address Correction, Address Change, FASTforwardSM, and
Return Services
G--General Information
G000 The USPS and Mailing Standards
G010 Basic Business Information
G011 Post Offices and Postal Services
G013 Trademarks and Copyrights
G020 Mailing Standards
[[Page 32]]
G030 Postal Zones
G040 Information Resources
G041 Postal Business Centers
G042 Rates and Classification Service Centers
G043 Address List for Correspondence
G090 Experimental Classifications and Rates
G091 Barcoded Small Parcels
G092 Nonletter-Size Business Reply Mail
G900 Philatelic Services
L--Labeling Lists
L000 General Use
L002 3-Digit ZIP Code Prefix Matrix
L003 3-Digit ZIP Code Prefix Groups--3-Digit Scheme Sortation
L004 3-Digit ZIP Code Prefix Groups--ADC Sortation
L005 3-Digit ZIP Code Prefix Groups--SCF Sortation
L100 First-Class Mail
L102 ADCs--Presorted Priority Mail
L600 Standard Mail
L601 BMCs--Machinable Parcels
L602 BMCs--DBMC Rates
L603 ADCs--Irregular Parcels
L604 Originating ADCs--Irregular Parcels
L800 Automation Rate Mailings
L801 AADCs--Letter-Size Mailings
L802 BMC/ASF Entry--Periodicals and Standard Mail (A)
L803 Non-BMC/ASF Entry--Periodicals and Standard Mail (A)
M--Mail Preparation and Sortation
M000 General Preparation Standards
M010 Mailpieces
M011 Basic Standards
M012 Markings and Endorsements
M013 Optional Endorsement Lines
M014 Carrier Route Information Lines
M020 Packages and Bundles
M030 Containers
M031 Labels
M032 Barcoded Labels
M033 Sacks and Trays
M040 Pallets
M041 General Standards
M045 Palletized Mailings
M050 Delivery Sequence
M070 Mixed Classes
M071 Basic Information
M072 Express Mail and Priority Mail Drop Shipment
M073 Combined Mailings of Standard Mail Machinable Parcels
M074 Plant Load Mailings
M100 First-Class Mail (Nonautomation)
M120 Priority Mail
M130 Presorted First-Class Mail
M200 Periodicals (Nonautomation)
M500 Express Mail
M600 Standard Mail (Nonautomation)
M610 Single-Piece and Nonautomation Standard Mail (A)
M620 Enhanced Carrier Route Standard Mail
M630 Standard Mail (B)
M800 All Automation Mail
M810 Letter-Size Mail
M820 Flat-Size Mail
P--Postage and Payment Methods
P000 Basic Information
P010 General Standards
P011 Payment
P012 Documentation
P013 Rate Application and Computation
P014 Refunds and Exchanges
P020 Postage Stamps and Stationery
P021 Stamped Stationery
P022 Adhesive Stamps
P023 Precanceled Stamps
P030 Postage Meters and Meter Stamps
P040 Permit Imprints
P070 Mixed Classes
P100 First-Class Mail
P200 Periodicals
P500 Express Mail
P600 Standard Mail
P700 Special Postage Payment Systems
P710 Manifest Mailing System (MMS)
P720 Optional Procedure (OP) Mailing System
P730 Alternate Mailing Systems (AMS)
P750 Plant-Verified Drop Shipment (PVDS)
P760 First-Class or Standard Mail Mailings With Different Payment
Methods
[[Page 33]]
R--Rates and Fees
R000 Stamps and Stationery
R100 First-Class Mail
R200 Periodicals
R500 Express Mail
R600 Standard Mail
R900 Services
S--Special Services
S000 Miscellaneous Services
S010 Indemnity Claims
S020 Money Orders and Other Services
S070 Mixed Classes
S500 Special Services for Express Mail
S900 Special Postal Services
S910 Security and Accountability
S911 Registered Mail
S912 Certified Mail
S913 Insured Mail
S914 Certificate of Mailing
S915 Return Receipt
S916 Restricted Delivery
S917 Return Receipt for Merchandise
S920 Convenience
S921 Collect on Delivery (COD) Mail
S922 Business Reply Mail (BRM)
S923 Merchandise Return Service
S924 Bulk Parcel Return Service
S930 Handling
I--Index Information
I000 Information
I010 Summary of Changes
I020 References
I021 Forms Glossary
I022 Subject Index
[62 FR 63852, Dec. 3, 1997]
[[Page 34]]
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 Domestic Mail Manual, the Postal Operations Manual, the
Administrative Support Manual, the Employee and Labor Relations Manual,
the Financial Management Manual, the Postal Contracting Manual,
Publication 42 (International Mail), 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]
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 which it has previously complied, unless a management decision by
an appropriate department head is made to terminate compliance, in whole
or in
[[Page 35]]
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 PRINCIPLES OF ORGANIZATION--Table of Contents
Sec.
221.1 The U.S. Postal Service.
221.2 Board of Governors of the Postal Service.
221.3 Postmaster General.
221.4 Deputy Postmaster General.
221.5 Associate Postmaster General.
[[Page 36]]
221.6 Groups and departments.
221.7 Postal Regions.
221.8 Officers.
221.9 Postal Service emblem.
Authority: 39 U.S.C. 201, 202, 203, 204, 207, 401(2), 402, 403, 404;
Inspector General Act of 1978, as amended (Pub. L. 95-452, as amended),
5 U.S.C. App. 3.
Sec. 221.1 The U.S. Postal Service.
(a) The U.S. Postal Service has been established as an independent
establishment within the executive branch of the Government of the
United States under the provisions of the Postal Reorganization Act of
August 12, 1970, Pub. L. 91-375, 84 Stat. 719.
(b) As a complement to the information in the regulations in this
part, a concise statement of the organization of the Postal Service can
be found in the United State Government Organization Manual.
[38 FR 20403, July 31, 1973]
Sec. 221.2 Board of Governors of the Postal Service.
(a) 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.
(b) For composition of the Board of Governors, see Sec. 3.1 of this
chapter.
[38 FR 20403, July 31, 1973, as amended at 51 FR 40796, Nov. 10, 1986]
Sec. 221.3 Postmaster General.
(a) The Postmaster General (PMG) is the chief executive officer of
the Postal Service and is responsible for its overall operation. The PMG
is named and can be removed by a majority of the nine Governors.
(b) The Postmaster General determines appeals from the actions of
staff and department heads, except that in cases where the PMG has
delegated authority to make a decision to a subordinate, such
subordinate may also determine appeals within the authority delegated.
(c) The Board of Governors has directed that the Postmaster General
exercise 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 PMG's powers as the
PMG deems appropriate. For the direction of the Board of Governors that
the Postmaster General exercise the powers of the Postal Service, see
Secs. 3.5 and 4.3 of this chapter.
[38 FR 20403, July 31, 1973, as amended at 43 FR 29117, July 6, 1978; 45
FR 43718, June 30, 1980; 51 FR 40796, Nov. 10, 1986]
Sec. 221.4 Deputy Postmaster General.
(a) The Deputy Postmaster General is the alternate chief executive
officer of the Postal Service. The Deputy is appointed and can be
removed by the Postmaster General and the Governors. The Deputy is a
voting member of the Board of Governors.
(b) The Deputy Postmaster General is required to perform all tasks
as assigned by the Postmaster General. The Deputy acts as Postmaster
General in the Postmaster General's absence or whenever a vacancy exists
in the Office of Postmaster General.
(c) For delineation of authority of the Deputy Postmaster General by
the Board of Governors see Sec. 4.4 of this chapter.
[38 FR 20403, July 31, 1973, as amended at 41 FR 16941, Apr. 23, 1976;
43 FR 29117, July 6, 1978; 45 FR 43718, June 30, 1980]
Sec. 221.5 Associate Postmasters General.
(a) The Associate Postmasters General are appointed and can be
removed by the Postmaster General.
(b) The Associate Postmasters General are required to perform all
tasks as assigned by the Postmaster General.
[54 FR 29706, July 14, 1989]
Sec. 221.6 Groups and departments.
(a) Postal Service Headquarters is divided into five major groups:
Operations Support, Finance, Human Resources, Marketing and
Communications, and Administrative Services. Each group is headed by a
Senior Assistant Postmaster General (SAPMG). The SAPMG for Finance
reports directly to the Postmaster General. The SAPMG for Operations
Support reports directly to the Deputy Postmaster
[[Page 37]]
General. The SAPMGs for Human Resources, Marketing and Communications,
and Administrative Services report directly to the Associate Postmaster
General (Systems). The SAPMGs are responsible for the following
activities within their assigned areas:
(1) Program planning, direction, and review;
(2) Establishment of policies, procedures, and standards; and
(3) Operational determinations not within the full jurisdiction of
field officers.
(b) Groups are divided into departments or offices headed by either
Assistant Postmasters General (APMGs) or Directors. The heads of these
departments and offices report to and are responsible for assisting the
SAPMGs in carrying out their assigned activities.
(c) Certain other Headquarters units report directly to the
Postmaster General. These include the Inspection Service Department,
headed by the Chief Postal Inspector; the Law Department, headed by the
General Counsel, and the Planning Department, headed by an Assistant
Postmaster General. The Executive Assistant to the Postmaster General
also reports to the Postmaster General.
(d)(1) The Senior Management Committee establishes Postal Service
direction and policy, initiates and monitors key programs, prioritizes
resource utilization, and serves as the review and approval body for all
major plans, programs, and projects. It fosters cross-functional
cooperation and develops the strategic plans for the Postal Service.
(2) The Senior Management Committee is made up of the following: The
Postmaster General, the Deputy Postmaster General, Associate Postmasters
General, the Senior Assistant Postmasters General, General Counsel,
Chief Postal Inspector, Assistant Postmaster General, Planning
(Secretariat), Assistant Postmaster General, Communications (Observer),
Assistant Postmaster General, Government Relations (Observer), Executive
Assistant to the Postmaster General (Observer), Secretary to the Board
of Governors (Observer), Field Executive (Rotational Basis).
(e) Statements of the functions of the various groups, departments,
and offices can be found in Part 224 of this chapter.
[51 FR 40796, Nov. 10, 1986, as amended at 54 FR 29706, July 14, 1989]
Sec. 221.7 Postal Regions.
(a) There are five Postal Regions. Each region is headed by a
Regional Postmaster General (RPMG) who reports to the Deputy Postmaster
General, and has overall responsibility for operational activities
(except those reserved to Headquarters) of the Postal Service within the
region.
(b) Each RPMG's office includes five functions--Operations Support,
Marketing and Communications, Finance, Planning, and Human Resources.
Each regional function is headed by a Regional Director who reports to
the RPMG.
(c)(1) Postal regions are composed of field divisions headed by
field division general managers/postmasters whose organizational units
are in turn composed of management sectional centers (MSCs) headed by
MSC managers or MSC managers/postmasters, and bulk mail centers (BMCs)
headed by BMC managers.
(2) Each field division general manager/postmaster reports to the
RPMG, and has line responsibility for postal activities (except those
reserved to Headquarters associate offices) in the division area, the
MSCs, associate offices, and BMCs within the division area.
(3) Each MSC manager/postmaster reports to a field division general
manager/postmaster, and has line responsibility for postal activities
(except those reserved to Headquarters and field divisions) within the
MSC area.
(4) Each BMC manager reports to a field division general manager/
postmaster, and has line responsibility for postal activities (except
those reserved to Headquarters and field divisions) within the BMC.
[51 FR 40797, Nov. 10, 1986, as amended at 54 FR 29707, July 14, 1989]
Sec. 221.8 Officers.
(a) Except for the Chief Postal Inspector, officers serve at the
pleasure
[[Page 38]]
of the Postmaster General. The following officers are appointed by the
Postmaster General:
(1) Associate Postmaster General;
(2) Senior Assistant Postmasters General;
(3) Assistant Postmasters General;
(4) The General Counsel and Deputy General Counsel;
(5) The Consumer Advocate;
(6) The Chief Postal Inspector;
(7) The Judicial Officer;
(8) The Executive Assistant to the Postmaster General;
(9) The Treasurer; and
(10) The Regional Postmasters General.
(b) The number of SAPMGs and APMGs is set by resolution of the Board
of Governors.
(c) The Postmaster General, in consultation with the Governors of
the Postal Service, shall appoint the Chief Postal Inspector. With the
concurrence of the Governors of the Postal Service, the Postmaster
General may remove the Chief Postal Inspector or transfer the Chief
Postal Inspector to another position or location in the Postal Service.
If the Chief Postal Inspector is removed or transferred, the Postmaster
General shall promptly notify both House of Congress in writing of the
reasons for such removal or transfer.
[51 FR 40797, Nov. 10, 1986, as amended at 56 FR 55823, Oct. 30, 1991]
Sec. 221.9 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.
[59 FR 18454, Apr. 18, 1994]
PART 222--DELEGATIONS OF AUTHORITY--Table of Contents
Sec.
222.1 Authority for delegation.
222.2 Media of delegation.
222.3 Contents of delegations.
222.4 Redelegation.
222.5 Authority to approve personnel actions and administer oaths of
office for employment.
222.6 Authority to administer oaths other than for employment.
222.7 Authority to designate certifying officers--headquarters.
222.8 Authority to designate certifying officers--field.
222.9 Delegation of authority to the Senior Assistant Postmaster
General, Finance.
222.10 Delegation of authority to the APMG, International Postal
Affairs Department.
Authority: 39 U.S.C. 203, 204, 401(2), 402, 403, 404, 409; Inspector
General Act of 1978, as amended (Pub. L. No. 95-452, as amended), 5
U.S.C. App. 3.
Source: 38 FR 20404, July 31, 1973, unless otherwise noted.
Sec. 222.1 Authority for delegation.
(a) 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 PMG, or in any other Postal Service employee.
(b) The Deputy Postmaster General is the full alternate to the
Postmaster General.
(c) When, by reason of absence, disability, or vacancy in office,
neither the Postmaster General nor the Deputy Postmaster General can act
as Postmaster General, the first available official on the following
list will do so:
(1) Associate Postmaster General;
(2) Senior Assistant Postmaster General, Operations Support.
(d) 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. See Secs. 3.5 and 4.3 of this
chapter.
(e) The Associate Postmasters General; the SAPMGs; the Chief Postal
Inspector; the General Counsel; the Assistant Postmaster General,
Planning; and the Executive Assistant to the Postmaster General, act for
the Postmaster General on assigned matters. These officers are
authorized to exercise the powers and functions of the Postal Service
under the Postal Reorganization Act, in respect to matters within their
area of responsibility, except as limited by law or by the specific
terms of their assignment.
[[Page 39]]
(f) Heads of departments or offices who report to a Senior Assistant
Postmaster General are authorized to exercise the powers and functions
of that SAPMG within the area of responsibility of their department or
office, except as such authority may be reserved or rescinded by the
SAPMG or is limited by law or the terms of their specific assignment.
[38 FR 20404, July 31, 1973, as amended at 46 FR 34330, July 1, 1981; 48
FR 1965, Dec. 17, 1983; 48 FR 30111, June 30, 1983; 51 FR 40797, Nov.
10, 1986; 54 FR 29707, July 14, 1989]
Sec. 222.2 Media of delegation.
(a) All delegations of authority must be issued through official
directives.
(b) Headquarters or regional officials shall not orally authorize
postmasters to deviate from published instructions, except in
emergencies. An oral authorization must be confirmed by a memorandum or
order dated subsequent to the issuance date of the most recently
published instructions on the subject. Postal inspectors shall charge as
irregularities any improperly authorized deviations observed in the
course of office inspections.
[38 FR 20404, July 31, 1973, as amended at 51 FR 40797, Nov. 10, 1986]
Sec. 222.3 Contents of delegations.
(a) Delegations of authority shall ordinarily be made by position
title rather than by name of the individual involved. An officer or
executive acting in the absence of a principal has the principal's full
authority.
(b) When authority is delegated to an officer, the officers above
that officer shall have the same authority. Delegated authority shall
not extend to aides except when an aide serves on an acting basis (see
paragraph (a) of this section) or unless the aide is specifically
authorized by the superior to exercise such authority.
(c) A delegation must agree with the law and regulations under which
it is made and contain such specific limiting conditions as may be
appropriate.
[51 FR 40797, Nov. 10, 1986]
Sec. 222.4 Redelegation.
(a) Except as otherwise prohibited by law, or by a regulation that
expressly prohibits redelegation, or by the terms of the delegation:
(1) Heads of groups, functions, or offices at Headquarters are
authorized to redelegate any authority vested in them.
(2) Regional Postmasters General or heads of regional departments
are authorized to redelegate any authority vested in them subject to the
condition that redelegation to members of a regional staff must be
consistent with the then current regional organizational structure.
(3) Field division general managers/postmasters are authorized to
redelegate, subject to or within guidelines issued by the RPMG, any
authority vested in them, provided that the redelegation is consistent
with the current organizational structure.
(4) Postal data center (PDC) directors are authorized to redelegate
any authority vested in them.
(5) Heads of MSCs and other field installations are authorized to
redelegate to members of their respective staffs any authority vested in
them.
[51 FR 40797, Nov. 10, 1986, as amended at 54 FR 29707, July 14, 1989]
Sec. 222.5 Authority to approve personnel actions and administer oaths of office for employment.
(a) Delegation. The following are authorized to effect appointments,
administer oaths of office for employment, and take other personnel
actions:
(1) Senior Assistant Postmaster General, Human Resources, Assistant
Postmasters General, Employee Relations Department and Labor Relations
Department;
(2) Chief Postal Inspector;
(3) Regional Chief Postal Inspectors;
(4) Postal Inspectors-in-Charge;
(5) Regional Postmasters General;
(6) Heads of postal field installations including those reporting
directly to specified departments in Headquarters or to Regional
Postmasters General;
(7) Officials occupying personnel services positions EAS-15 and
above, when their positions include responsibility for functions such as
recruitment, appointments, replacements, position changes and
separations, and related personnel processing.
[[Page 40]]
(b) Personnel actions for employees of ``other installations.'' As
specifically authorized by either the Senior Assistant Postmaster
General, Human Resources or a Regional Postmaster General, officers and
employees listed in paragraph (a) of this section may approve personnel
actions for employees in offices or installations other than their own
as a cross-service, as a central personnel office, or on a special need
basis.
(c) Transfers of accountability. In addition to other personnel
authorized under this section, associate office coordinators at field
divisions and management sectional centers may administer oaths of
office for employment at any post office in conjunction with transfers
of accountability of postmasters.
[38 FR 20404, July 31, 1973, as amended at 40 FR 13498, Mar. 27, 1975;
43 FR 29117, July 6, 1978; 51 FR 40798, Nov. 10, 1986; 54 FR 29707, July
14, 1989; 63 FR 9943, Feb. 27, 1998]
Sec. 222.6 Authority to administer oaths other than for employment.
The following are authorized to administer oaths concerning matters
other than employment:
(a) Postal inspectors with regard to any matter coming before them
in the performance of their official duties;
(b) 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;
(c) Postmasters' authority. Postmasters are required, empowered, and
authorized, when requested, to administer oaths with a like force and
effect as officials having a seal, as follows:
(1) Expense accounts. Accounts for travel or other expenses against
the United States.
(2) Customs documents. At post offices where customs officers are
not stationed, any oath required to be made to statements in customs
documents by importers of merchandise by mail, not exceeding $100 in
value.
(3) Recruitments for Job Training Programs. Oaths of office to
prospective Job Training Programs enrollees.
(4) Fees. Do not collect fees for these services. The United States
will not reimburse postal employees for fees paid for administering
oaths.
(d) Postmasters in Alaska as notaries public. (1) Administer oaths
and affirmations; take acknowledgments and make and execute certificates
thereof; and perform all other functions of a notary public within
Alaska whenever a certification is necessary to comply with any Act of
Congress or of the Legislature of Alaska.
(2) When executing certificates of oath, affirmation, or
acknowledgment, and the title ``Postmaster'' after your signature and
give the name of the post office and date document is executed. Place
legible postmark impression of the post office on the document.
(3) Keep a record of all deeds and other instruments of writing
acknowledged, relating to the title to or transfer of property. This
record shall be available to your successors, and shall be subject to
public inspection.
(e) Fees for notarial service. 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.
(39 U.S.C. 401)
[36 FR 4767, Mar. 12, 1971. Redesignated at 38 FR 20327, July 31, 1973.
38 FR 20404, July 31, 1973, as amended at 40 FR 26511, June 24, 1975; 51
FR 40798, Nov. 10, 1986; 54 FR 29707, July 14, 1989]
Sec. 222.7 Authority to designate certifying officers--headquarters.
(a) Delegation. The following are authorized to designate certifying
officers at Headquarters for the items specified:
(1) The Chief Postal Inspector, for: (i) Payment from his special
deposit account; (ii) disbursements for rewards based on Postmaster
General Notices of Reward; (iii) payments from confidential funds; (iv)
salary payments for Special Investigations Division; (v) advances of
funds for confidential purposes; (vi) inspection service, travel
advances, transportation of things; and (vii) payments for special
analyses and services.
[[Page 41]]
(2) The General Counsel certifies payments relating to tort claims
and claims under 39 U.S.C. 2603.
(3) The Senior Assistant Postmaster General, Finance, certifies all
payments not covered by paragraphs (a) (1) and (2) of this section.
(b) Redelegation. The officials named in paragraph (a) of this
section are authorized to redelegate their authority to designate
certifying officers. The redelegation shall be made by letter to the
appropriate Postal Data Center disbursing officer and must bear the
specimen signature of the person to whom the authority is redelegated.
(c) Designating certifying officers--(1) Inspection Service and Law
Department. Officials authorized to designate certifying officers (see
paragraph (a) of this section) will complete SF 210, Signature/
Designation Card for Certifying Officer, in duplicate for each Postal
Data Center officer affected to show:
(i) Name of department for which vouchers will be certified.
(ii) Signature of certifying officer written exactly as vouchers
will be signed.
(iii) Class of vouchers to be certified.
(iv) The official's signature and effective date.
(2) Other departments and offices. Other departments and offices
requiring certifying officers will complete SF 210 in duplicate as
prescribed in paragraph (c)(1) of this section, except for signature and
date. Both copies will be sent to the Senior Assistant Postmaster
General, Finance.
(3) Submitting SF 210 to Postal Data Center disbursing officers. The
Chief Postal Inspector, the General Counsel, and the Senior Assistant
Postmaster General, Finance, or their designees shall send signed
originals of SF 210 to each of the disbursing officers affected and
retain duplicates. These documents will be the official designations of
the employees named on the SF 210 as certifying officers.
(d) Maintaining designations. Each group, department and office must
keep current its designation of authorized certifying officers. When new
or additional designations are made, the procedures for designating
certifying officers contained in this section shall be followed.
[38 FR 20404, July 31, 1973, as amended at 43 FR 29117, July 6, 1978; 51
FR 40798, Nov. 10, 1986; 54 FR 29707, July 14, 1989]
Sec. 222.8 Authority to designate certifying officers--field.
(a) Delegation. The following are authorized to designate certifying
officers in Postal Data Centers and Inspection Service regions and
divisions:
(1) The Chief Postal Inspector, for obligations of the Inspection
Service.
(2) Postal Data Center Directors for obligations of all other
regional functions.
(3) The New York Postal Data Center Director for obligations for
Headquarters functions except those under Sec. 222.7(a) (1) and (2) and
those certified by the Senior Assistant Postmaster General, Finance, or
designee.
(b) Redelegation. The officials named in paragraph (a) of this
section are authorized to redelegate their authority to designate
certifying officers. Redelegations shall be by letter to each disbursing
officer affected, with the specimen signature of the person to whom
authority is redelegated.
(c) Designating certifying officers--(1) Regional Chief Postal
Inspectors and Postal Inspectors-in-Charge. Regional Chief Postal
Inspectors and Postal Inspectors-in-Charge are designated certifying
officers, as limited by the Chief Postal Inspector. They are authorized
to designate certifying officers for obligations incurred by the Postal
Inspection Service. They will complete SF 210 in duplicate to show:
(i) Postal Inspection Service region or division for which vouchers
will be certified.
(ii) Signature of certifying officer written in the same manner that
he will sign vouchers.
(iii) Class of vouchers to be certified.
(iv) Signature of the designating official and effective date.
Regional Chief Postal Inspectors and Postal Inspectors--in--Charge are
not authorized to redelegate their authority to designate authorized
certifying officers.
(2) Postal Data Center Directors. Officers under direction of Postal
Data Center Directors will complete SF 210 in duplicate as in paragraph
(c)(1) of
[[Page 42]]
this section except for signature and date. Both copies will be sent to
the appropriate Postal Data Center Director for completion.
(3) Submitting SF 210 to disbursing officer. The Regional Chief
Postal Inspector, Postal Inspectors-in-Charge, and Postal Data Center
Director (or designees) will send the originals of SF 210 to each
disbursing officer affected and keep the duplicates. These will be the
official designations of the employees named on the SF 210 as certifying
officers.
(d) Maintaining designations. Each office under jurisdiction of the
officials named in Sec. 222.8 must keep current its designation of
authorized certifying officers. When new additional designations are
made, this Sec. 222.8 shall be followed.
[38 FR 20404, July 31, 1973, as amended at 51 FR 40796, Nov. 10, 1986;
54 FR 29707, July 14, 1989]
Sec. 222.9 Delegation of authority to the Senior Assistant Postmaster General, Finance.
(a) Delegation. The Senior Assistant Postmaster General, Finance,
may take final action on:
(1) Claims for overpayment of pay.
(2) Relief of accountable officers of liability for loss.
(3) Relief of accountable officers of liability for illegal,
improper, or incorrect payments.
(4) Certifying officers' accountability.
(5) Deposit to and withdrawal from Postal Service fund.
(6) Collection of debts due the Postal Service with the exception of
those falling under the jurisdiction of the Chief Postal Inspector.
(7) Adjustment of claims of postmasters and Armed Forces postal
clerks, including the loss of funds or valuable papers from their
official custody resulting from burglary, fire, or unavoidable casualty,
with concurrence by the General Counsel is cases involving doubtful
questions of law or fact.
(b) Redelegation. The Senior Assistant Postmaster General, Finance,
is authorized to redelegate all or part of the authority vested by
paragraph (a) of this section to such other officers or executives as
deemed appropriate.
[38 FR 20404, July 31, 1973, as amended at 43 FR 29117, July 6, 1978; 51
FR 40798, Nov. 10, 1986; 54 FR 29707, July 14, 1989]
Sec. 222.10 Delegation of authority to the APMG, International Postal Affairs Department.
The APMG, International Postal Affairs Department, is authorized to
sign Express Mail agreements with foreign postal administrations, and to
sign technical agreements for the exchange of postal personnel and
property with foreign postal administrations.
[41 FR 52299, Nov. 29, 1976, as amended at 51 FR 40798, Nov. 10, 1986]
PART 223--RELATIONSHIPS AND CHANNELS OF COMMUNICATION--Table of Contents
Sec.
223.1 Relationships.
223.2 Channels of communication.
Authority: 39 U.S.C. 203, 204, 401(2), 402, 403, 404.
Sec. 223.1 Relationships.
(a) Between Headquarters and Regions. Each Headquarters group,
department, and office shall provide guidance and policy interpretation
to regional officials in its area of responsibility.
(b) Between Postal Region Offices and Field Divisions. The Regional
Postmaster General shall provide guidance and direction to the
respective field division general managers/postmasters within the region
with the assistance of Regional Directors and their staffs in their
areas of specialization.
(c) Between Field Divisions and MSCs. Field division general
managers/postmasters and staffs shall provide guidance and direction to
their respective MSC managers/postmasters.
(d) Between Field Divisions and Bulk Mail Centers. Field division
general managers/postmasters and staffs shall provide guidance and
direction to their Bulk Mail Center Managers.
[38 FR 20406, July 31, 1973, as amended at 43 FR 29117, July 6, 1978; 48
FR 1966, Jan. 17, 1983; 51 FR 40798, Nov. 10, 1986; 54 FR 29708, July
14, 1989]
[[Page 43]]
Sec. 223.2 Channels of communication.
(a) Headquarters and Postal Region Offices. (1) The heads of groups,
departments, and offices formulate the necessary directives to provide
guidance to regional officials. Direction of regional officials is
provided on employee and labor relations matters by the Senior Assistant
Postmaster General, Human Resources, and on other matters by the Deputy
Postmaster General.
(2) Policy directives shall be issued over the signatures of the
heads of the groups, departments, and offices covering matters within
their responsibility, except when the Postmaster General or Deputy
Postmaster General may wish to issue such directives personally. Policy
directives shall be coordinated with other appropriate groups,
departments and offices before issuance and reviewed and disseminated by
the APMG Information Resource Management Department, and, if within the
authority of the issuer, shall have the same effect as though sent by
the Postmaster General or the Deputy Postmaster General.
(3) Guidelines and program implementation instructions and
procedures not involving policy shall ordinarily be issued over the
signature of the group, department, or office head having jurisdiction.
(4) Regional staff officials may communicate directly with the
corresponding functional group, department, or office in Headquarters on
matters within their area of jurisdiction. In addition, where
authorized, they may also directly contact supporting Headquarters
departments such as Law Department and Inspection Service Department on
technical matters not requiring administrative judgment of the Regional
Postmaster General.
(b) Regional Offices and Field Installations. The regular channels
of communication are:
(1) Associate office postmasters, to and from their MSC Manager/
Postmaster.
(2) MSC Managers/Postmasters, to and from their Field Division
General Manager/Postmaster.
(3) BMC managers, to and from field division general managers/
postmasters.
(4) Field division general managers/postmasters, to and from their
Regional Postmasters General.
(5) Heads of other postal installations, to and from their
designated superiors as appropriate.
(c) Headquarters, Postal Region Offices, and other Postal
Installations with Postal Data Centers. (1) The Information Resource
Management Department provides the necessary directives to the PDCs. The
Law Department shall maintain direct contact on matters relating to
professional and policy guidance on claims.
(2) Postal Region Offices and Postal Data Centers may communicate
directly with each other.
(3) Other postal installations and PDCs may communicate directly on
routine accounting matters.
[38 FR 20406, July 31, 1973, as amended at 43 FR 29117, July 6, 1978; 48
FR 1966, Jan. 17, 1983; 48 FR 30111, June 30, 1983; 51 FR 40798, Nov.
10, 1986; 54 FR 29708, July 14, 1989]
PART 224--ORGANIZATIONS REPORTING DIRECTLY TO THE POSTMASTER GENERAL--Table of Contents
Sec.
224.1 Finance Group.
224.2 [Reserved]
224.3 Postal Inspection Service.
224.4 General Counsel.
224.5 Planning Department.
Authority: 39 U.S.C. 203, 204, 401(2), 403, 404, 409, 1001;
Inspector General Act of 1978, as amended (Pub. L. No. 95-452, as
amended), 5 U.S.C. App. 3.
Source: 52 FR 46998, Dec. 11, 1987, unless otherwise noted.
Sec. 224.1 Finance Group.
(a) General. The Finance Group is headed by a Senior Assistant
Postmaster General (SAPMG). The group consists of three departments,
each headed by an Assistant Postmaster General, and the Office of the
Treasurer and the USPS Records Office. The SAPMG, Finance, participates
in the planning and budget process, and reviews and evaluates the budget
requests of each region for the areas under control of the Finance
Group.
(b) Rates and Classification Department. The Rates and
Classification Department is responsible for:
[[Page 44]]
(1) Designing and maintaining the rate and mail classification
structure.
(2) Developing and administering standards and procedures related to
cost analysis and attribution.
(3) Forecasting mail volume.
(4) Developing and supporting rate recommendations to the Postal
Rate Commission.
(5) Developing policies, regulations, systems, and procedures for
the management and control of the admissibility, classification, and
application of rates and fees for domestic or international mail of all
classes and the collection of revenue from bulk mailers and special
service users.
(c) Controller Department. The Controller Department is responsible
for:
(1) Developing financing policy and forecasting long-term financing,
capital requirements, and borrowing needs.
(2) Establishing a comprehensive controllership program for
financial management.
(3) Maintaining control of the financial activities.
(4) Developing accounting policy and procedures and operating the
financial reporting programs and controls.
(5) Establishing budgeting, economic and cost benefit functions,
payroll systems, policies, and procedures.
(6) Directing the formulation and presentation of a national budget
to the Senior Management Committee, Board of Governors, Office of
Management and Budget, and Congress.
(d) Special Projects Department. The Special Projects Department is
responsible for:
(1) Assisting senior management in formulating policy and direction
on complex issues.
(2) Directing special studies identified by senior management for
use in senior management deliberations.
(3) Monitoring specifically designed issues on behalf of senior
management and providing staff analysis of these issues as they change
over time.
(4) Providing leadership responsibility on behalf of senior
management for special projects and organizational initiatives.
(5) Participating in senior management meetings as appropriate.
(e) Office of the Treasurer. The Treasurer is responsible for:
(1) Operating a nationwide network of primary and concentration
banks to gather revenue.
(2) Developing cash management initiatives to speed cash flow.
(3) Implementing debt management strategies to meet long-term
capital and short-term borrowing needs.
(4) Planning investment strategies to ensure liquidity and to earn a
competitive rate of return.
(5) Managing the investment of excess cash.
(f) Records Office. The Records Office has responsibility for the
retention, security, and privacy of Postal Service records; authorizes
their preservation and disclosure; and orders their disposal by
destruction or transfer.
[52 FR 46998, Dec. 11, 1987; 52 FR 49015, Dec. 29, 1987. Redesignated
and amended at 54 FR 29708, July 14, 1989; 60 FR 57344, Nov. 15, 1995]
Sec. 224.2 [Reserved]
Sec. 224.3 Postal Inspection Service.
(a) The Postal Inspection Service is headed by the Chief Postal
Inspector who also acts as:
(1) The Inspector General for the Postal Service,
(2) The investigating official under the Program Fraud and Civil
Remedies Act, and
(3) The Security Officer and Defense Coordinator for the Postal
Service.
(b) The Postal Inspection Service is responsible for:
(1) Protecting mail matter, postal facilities and other postal
assets, employees, and people on postal premises.
(2) Enforcing laws related to the Postal Service, the mails, other
postal offenses and other laws of the United States.
(3) Conducting investigations into violations of federal laws that
the Attorney General determines have a detrimental effect upon the
operations of the Postal Service.
(4) Carrying out investigations and presenting evidence to the
Department of Justice, U.S. Attorneys, and state and local authorities,
in investigations of a criminal or civil nature.
(5) Carrying out administrative and civil investigations and
presenting
[[Page 45]]
findings and evidence to postal management and attorneys in connection
with administrative and civil actions.
(6) Performing internal audits of postal financial and nonfinancial
operations.
(7) Providing security and defense coordination for the Postal
Service.
(8) Maintaining liaison with investigative and law enforcement
agencies, and all levels of government on matters of mutual interest.
(c) The Postal Inspection Service is responsible for exercising the
authority, and carrying out the duties, functions, and responsibilities
assigned to the Office of the Inspector General by the Inspector General
Act.
(d) When the Chief Inspector determines it is necessary for carrying
out the duties of Inspector General of the Postal Service, the Chief
Inspector my employ independent legal counsel.
[56 FR 55823, Oct. 30, 1991]
Sec. 224.4 General Counsel.
(a) General. The General Counsel heads the Law Department; the
Government Relations Department reports to the General Counsel.
(b) Law Department. The Law Department is responsible for:
(1) Serving as legal advisor to the entire Postal Service and
interpreting laws as they relate to the Postal Service, except as
provided in Sec. 224.3(d).
(2) Making rulings, giving advisory opinions, drafting or approving
legal instruments, instituting and maintaining administrative
proceedings, representing the Postal Service in administrative
proceedings, and in judicial proceedings, as authorized, except as
provided in Sec. 224.3(d).
(3) Preparing the legislative program of the Postal Service and
publishing regulations in the Federal Register.
(4) Administering activities under the Tort Claims Act, and other
personal injury and physical loss claims.
(5)(i) Receiving service of petitions for review of a final agency
order in an appropriate Federal circuit court of appeals. Any aggrieved
person filing a petition for review of a decision of the Governors
within 10 days of issuance of the Governors' decision must ensure that a
court-stamped copy of the petition for review is received by the General
Counsel within that 10-day period in order to qualify for participation
in the random selection process established in 28 U.S.C. 2112(a) for
determining the appropriate court of appeals to review an agency final
order when petitions for review of that order are filed in more than one
court of appeals.
(ii) If the General Counsel receives two or more petitions filed in
two or more United States Courts of Appeals for review of a decision by
the Governors within ten days of the effective date of that action for
the purpose of judicial review, the General Counsel will notify the U.S.
Judicial Panel on Multidistrict Litigation of any petitions that were
received within the 10-day period, in accordance with the applicable
rule of the panel.
(iii) For the purpose of determining whether a petition for review
has been received within the 10-day period under paragraph (b)(5)(ii) of
this section, the petition shall be considered to be received on the
date of delivery, if personally delivered. If the delivery is
accomplished by mail, the date of receipt shall be the date noted on the
return receipt card.
(6) Acting as agent for the receipt of legal process on behalf of
the Postal Service and the Postmaster General and other officials
resulting from the performance of their official functions.
(7) Administering the Ethical Conduct Program.
(c) Government Relations Department. The Government Relations
Department is responsible for:
(1) Maintaining cooperative relationships among Congress, Federal
agencies within the Executive Branch, the White House, and state and
local government officials.
(2) Advising postal officials on legislative or other policy matters
in public areas involving congressional committees or individual members
of Congress.
(3) Maintaining liaison with members of Congress and their staffs to
exchange information on specific legislation and Postal Service policies
and operations.
[52 FR 46998, Dec. 11, 1987, as amended at 56 FR 785, Jan. 9, 1991; 56
FR 55823, Oct. 30, 1991]
[[Page 46]]
Sec. 224.5 Planning Department.
The Planning Department is responsible for:
(a) Forecasting trends and developments, both external and internal,
which may have an impact on the Postal Service environment.
(b) Assisting departments in developing plans in accordance with
goals and objectives set by the Postmaster General and the Board of
Governors.
(c) Establishing and maintaining the planning calendar.
(d) Coordinating the strategic planning process.
(e) Assisting in the development of comprehensive and effective
plans.
(f) Identifying and evaluating economic, political, social,
technical, and market trends and events.
(g) Developing a projection of long-range business targets as a
basis for setting goals and objectives.
(h) Formulating alternative business strategies.
(i) Conducting special economic studies.
[54 FR 29708, July 14, 1989]
PART 225--ORGANIZATIONS REPORTING DIRECTLY TO THE DEPUTY POSTMASTER GENERAL--Table of Contents
Authority: 39 U.S.C. 203, 204, 401(2) 402, 403, 404, and 409.
Sec. 225.1 Operations Support Group.
The Operations Support Group is headed by an SAPMG. The group
consists of three departments, each reporting to the SAPMG.
(a) Delivery, Distribution, and Transportation Department. The
Delivery, Distribution, and Transportation Department is responsible
for:
(1) Developing and implementing national policies, procedures, and
short- and long-range operational plans for the collection,
distribution, transportation, and delivery of all classes of domestic,
international, and military mail.
(2) Developing and implementing national policies, procedures, and
short- and long-range operational plans for field retail operations.
(3) Establishing and controlling national (inter-regional)
distribution and transportation networks.
(4) Establishing requirements and managing the acquisition and
deployment of mail transport equipment.
(5) Developing procurement policies for the transportation of mail.
(6) Managing the development of policies and procedures to ensure
the optimum use and benefits of automated equipment.
(b) Operations Systems and Performance Department. The Operations
Systems and Performance Department is responsible for:
(1) Defining, operating, and maintaining the major operating
performance management systems.
(2) Setting goals, analyzing trends, and assessing performance in
key operations areas.
(3) Identifying and resolving operating problems.
(4) Developing operating management systems, computer models, and
new methods for distribution and delivery.
(5) Directing the acquisition, deployment, maintenance, and disposal
of postal vehicles.
(6) Directing the maintenance and improvement of address information
and related systems.
(c) Engineering and Technical Support Department. The Engineering
and Technical Support Department is responsible for:
(1) Planning and approving all operating requirements and standards
for mechanized and automated facilities.
(2) Establishing national policy and programs for the maintenance of
facilities and mail processing, customer services, and delivery services
related mechanization.
(3) Maintaining a technical and field support capacity for new and
modified equipment and providing for the overhaul of major mail
processing equipment.
(d) The Regional Postmasters General report to the Deputy Postmaster
General.
[54 FR 29708, July 14, 1989]
[[Page 47]]
PART 226--GROUPS AND DEPARTMENTS REPORTING TO THE ASSOCIATE POSTMASTERS GENERAL--Table of Contents
Sec.
226.1 The Associate Postmaster General (Systems).
226.2 Facilities and Supply Group.
226.3 Human Resources Group.
226.4 Marketing and Communications Group.
226.5 Associate Postmaster General (International).
Authority: 39 U.S.C. 203, 204, 401(2), 402, 403, 404, and 409.
Source: 52 FR 46999, Dec. 11, 1987, unless otherwise noted.
Sec. 226.1 The Associate Postmaster General (Systems).
The Associate Postmaster General (Systems) is responsible for
managing groups, headed by an SAPMG, and departments which make up the
support functions of the Postal Service.
[54 FR 29709, July 14, 1989]
Sec. 226.2 Facilities and Supply Group.
(a) General. The Administrative Services Group consists of three
departments headed by an Assistant Postmaster General and one department
headed by the Judicial Officer.
(b) Facilities Department. The Facilities Department is responsible
for:
(1) Designing, constructing, modifying, and repairing facilities.
(2) Leasing, purchasing, managing, and disposing of real estate.
(3) Developing policies, procedures, and new technology in support
of facilities programs.
(4) Maximizing the use of real estate assets.
(c) Procurement and Supply Department. The Procurement and Supply
Department is responsible for:
(1) Developing, implementing, and reviewing procurement and
contracting policies and procedures.
(2) Developing, implementing, and reviewing warehousing and
inventory of equipment and supplies.
(3) Directing the day-to-day maintenance and repair of the
headquarters building.
(d) Information Resource Management Department. The Information
Resource Management Department is responsible for:
(1) Providing data processing support services including systems
analysis and programming.
(2) Establishing policy and procedures on the use of computers and
telecommunications.
(3) Guiding the development of information systems.
(4) Managing a national data and voice communications systems.
(5) Providing payroll processing and distribution services and
general accounting services.
(6) Providing technical solutions to information requirements.
(e) Judicial Officer.
(1) The Judicial Officer is responsible for:
(i) The performance of quasi-judicial duties and the issuance of
final decisions and orders.
(ii) Serving as the agency for the purposes of the requirements of
the Administrative Procedure Act.
(iii) Presiding at the reception of evidence as provided in rules of
practice.
(iv) Revising or amending the rules governing eligibility to
practice before the Postal Service, revising or amending Postal Service
rules of practice governing proceedings conducted under the
Administrative Procedure Act, and issuing and revising rules of practice
for other proceedings.
(v) Serving as Chairman of the Board of Contract Appeals and
performing the functions of the agency head under the Contract Disputes
Act of 1978, as amended.
(vi) Administratively supervising Administrative Law Judges and
hearing appeals from their decisions.
(2) Board of Contract Appeals is responsible for processing, hearing
and issuing final agency decisions in connection with contract disputes.
(3) Office of Administrative Law Judges. Administrative Law Judges
are responsible for presiding at administrative hearings as delegated by
the Judicial Officer.
[52 FR 46999, Dec. 11, 1987; 54 FR 29709, July 14, 1989]
[[Page 48]]
Sec. 226.3 Human Resources Group.
(a) General. The Human Resources Group consists of three
departments, each reporting to the SAPMG.
(b) Employee Relations Department. The Employee Relations Department
is responsible for:
(1) Managing programs and policies for new and revised organization
structures, staffing patterns, and job descriptions.
(2) Establishing outside recruitment and selection and internal
promotion procedures.
(3) Managing all employee compensation and benefits programs and
policies.
(4) Administering all equal employment opportunity and affirmative
action programs.
(5) Managing medical, safety, and injury compensation programs and
policies.
(c) Labor Relations Department. The Labor Relations Department is
responsible for:
(1) Negotiating and interpreting collective bargaining agreements.
(2) Coordinating programs that affect bargaining unit employees.
(3) Developing policies and procedures for administering the
national grievance and arbitration programs.
(4) Administering programs to improve the quality of working life in
the Postal Service.
(d) Training and Development Department. The Training and
Development Department is responsible for:
(1) Developing all course materials for craft, supervisory, and
management employees training.
(2) Providing training for employees at the Technical Training
Center and the William F. Bolger Management Academy, and at other
training centers.
(3) Designing in-service employee development programs.
[52 FR 46999, Dec. 11, 1987, as amended at 54 FR 29709, July 14, 1989]
Sec. 226.4 Marketing and Communications Group.
(a) General. The Marketing and Communications Group is headed by an
SAPMG. The group consists of three departments, each reporting to the
SAPMG.
(b) Marketing Department. The Marketing Department is responsible
for:
(1) Market research, market analysis, customer feedback, and
marketing management information system support.
(2) Product analysis, planning, development, and program management
activities, including the development of advertising and sales promotion
support.
(3) Development and management of sales and sales promotion programs
that support implementation by the field marketing organization of
programs designed for principal customer segments of national, key,
major, and local accounts.
(c) Communications Department. The Communications Department is
responsible for:
(1) Planning, approving, and managing public affairs programs.
(2) Providing information to employees through in-house publication
of newsletters, posters, films, videotapes, and other periodicals.
(3) Providing senior management with assistance in the development
and production of presentations and speeches.
(d) Philatelic and Retail Services Department. The Philatelic and
Retail Services Department is responsible for:
(1) Designing, manufacturing, and distributing postage stamps and
stationery items.
(2) Establishing and implementing philatelic marketing programs.
(3) Managing mail order services for philatelic products.
(4) Managing special programs to promote philately and philatelic
products and services.
(5) Establishing policy, business strategy, and procedures for the
retail sale of postal services, products, and postage and the acceptance
of mail at retail outlets.
(e) Technology Resource Department. The Technology Resource
Department is headed by the Consumer Advocate who reports to the
Associate Postmaster General, and is responsible for:
(1) Developing long-term technology development plans to meet
changing technological trends and developments.
[[Page 49]]
(2) Managing research and development directed to the application of
new concepts to Postal Service functions.
(3) Monitoring the technological interaction between the Postal
Service and the outside environment. Responding to customer inquiries
and complaints regarding postal products and services.
(f) Consumer Affairs Department. The Consumer Affairs Department is
headed by the Consumer Advocate who reports to the Associate Postmaster
General (Systems), and is responsible for:
(1) Responding to customer inquiries and complaints regarding postal
products and services.
(2) Developing, with the Communications Department, programs to
inform the public on mailing programs, procedures, and policies.
(3) Tracking service problems and identifying trends to resolve
operating programs.
[52 FR 46999, Dec. 11, 1987, as amended at 54 FR 29709, July 14, 1989]
Sec. 226.5 Associate Postmaster General (International).
(a) General. The Associate Postmaster General (International) is
responsible for directing activities designed to increase international
postal business, and for the relationship with foreign postal
administrations.
(b) International Postal Affairs Department. The International
Postal Affairs Department reports to the Associate Postmaster General
(International) and is responsible for:
(1) Representing the United States in the Universal Postal Union
(UPU) and the Postal Union of the Americas and Spain (PUAS).
(2) Providing liaison with all foreign postal administrations.
(3) Negotiating bilateral and multilateral postal treaties and
agreements with foreign governments.
(4) Providing policy guidance on all aspects of international postal
affairs.
[54 FR 29709, July 14, 1989]
PART 227--HEADQUARTERS RELATED FIELD UNITS--Table of Contents
Sec.
227.1 General.
227.2 Inspection Service.
227.3 Procurement and Supply Department.
227.4 Engineering and Technical Support Department.
227.5 Employee Relations Department.
227.6 Training and Development Department.
227.7 Information Resource Management Department.
227.8 Operations Systems and Performance Department.
227.9 General Counsel.
227.10 Controller Department.
227.11 Philatelic and Retail Services Department.
Authority: 39 U.S.C. 401, 402, 403, and 404.
Source: 52 FR 47000, Dec. 11,1987, unless otherwise noted
Sec. 227.1 General.
Headquarters Related Field Units are typically single function
organizations that report directly to Headquarters and serve the entire
Postal Service.
[52 FR 47000, Dec. 11, 1987, as amended at 54 FR 29709, July 14, 1989]
Sec. 227.2 Inspection Service.
(a) General. The Inspection Service is divided into regional and
divisional entities.
(b) Inspection Service--Region. The Inspection Service at the
regional level is responsible for:
(1) Protecting the mails, enforcement of Postal laws, facility and
employee security, and internal auditing.
(2) Managing the accomplishment of national programs and policies.
(3) Coordinating with other law enforcement organizations on
security, audit, and other law enforcement matters.
(c) Inspection Service--Division. The Inspection Service at the
division level is responsible for all inspection and investigation
activities within the division area served.
[52 FR 47000, Dec. 11, 1987, as amended at 54 FR 29709, July 14, 1989]
Sec. 227.3 Procurement and Supply Department.
(a) Materiel Distribution Centers. There are two materiel
distribution centers, one at Somerville, New Jersey, and one at Topeka,
Kansas. Materiel Distribution Centers are responsible for:
[[Page 50]]
(1) Procuring, storing, and issuing basic supplies for use in all
postal facilities.
(2) Arranging for the transportation of supplies to facilities.
(b) Mail Equipment Shop. The Mail Equipment Shop, located in
Washington, DC, is responsible for:
(1) Manufacturing mail bags, sacks, and pouches.
(2) Manufacturing locks and keys.
(3) Manufacturing hardware items used for mail security and for
customer service lobby equipment.
[54 FR 29709, July 14, 1989]
Sec. 227.4 Engineering and Technical Support Department.
(a) Maintenance Technical Support Center (MTSC). The Maintenance
Technical Support Center, located in Norman, OK, is responsible for:
(1) Developing policies, programs, methods, and standards for the
maintenance of mail processing equipment.
(2) Issuing guidelines to field managers on building systems and
mail processing equipment maintenance procedures.
(b) Engineering and Development Center. The Engineering and
Development Center, located in Merrifield, Virginia, is responsible for:
(1) Providing engineering and near-term development support for
letter mail equipment, packaged mail equipment, delivery and retail
equipment, and associated systems and software.
(2) Directing near-term development and modifications to equipment
and components to increase efficiency, reliability, and to improve
safety.
(3) Conducting tests to evaluate new equipment for Postal service
use; performing failure analyses on equipment and components.
(4) Providing applied engineering to customize commercial technology
and equipment for postal use.
[54 FR 29710, July 14, 1989]
Sec. 227.5 Employee Relations Department.
National Test Administration Center (NTAC). The National Test
Administration Center, located in Alexandria, VA, is responsible for:
(a) Receipt and processing of requests to give examinations.
(b) Preparing and distributing registers of eligible applicants and
notices of ratings.
[54 FR 29710, July 14, 1989]
Sec. 227.6 Training and Development Department.
(a) Technical Training Center. The Technical Training Center,
located in Norman, OK, is responsible for:
(1) Developing training materials for craft employees in maintenance
and related crafts.
(2) Performing training for technical employees.
(b) William F. Bolger Management Academy. The William F. Bolger
Management Academy, located in Potomac, MD, is responsible for:
(1) Developing training materials for supervisors, postmasters, and
other managerial employees.
(2) Performing training for managerial employees.
[54 FR 29710, July 14, 1989]
Sec. 227.7 Information Resource Management Department.
(a) National Information Systems Support Center. The National
Information Systems Support Center, located in Raleigh, NC, is
responsible for:
(1) Designing new large-scale automated systems and writing the
supporting program code.
(2) Managing the nationwide voice and data communications system.
(b) Postal Data Centers. The Postal Data Centers, located in
Minneapolis, MN, New York, NY, St. Louis, MO, San Mateo, CA, and Wilkes-
Barre, PA, are responsible for:
(1) Systems analysis, computer programming, and other systems
development activities.
(2) Accounting, accounts payable, payroll, money order disbursing,
claims and loss settlement, and other financial services.
(3) Data processing and related computer services.
[54 FR 29710, July 14, 1989]
[[Page 51]]
Sec. 227.8 Operations Systems and Performance Department.
Address Information Center. The Address Information Center, located
in Memphis, TN, is responsible for:
(a) Developing policies for and providing technical guidance and
computer support to field address Information Systems units and field
Computerized Forwarding System units.
(b) Providing nationwide service and technical guidance for postal
customers requiring support related to address information systems.
[54 FR 29710, July 14, 1989]
Sec. 227.9 General Counsel.
Regional Counsels. The Regional Counsels are responsible for
providing legal representation services within a regional geographic
area, including representation before the Board of Contract Appeals,
liaison with U.S. Attorneys on contract, real estate, and tort
litigation, as well as personnel related matters, such as labor/
management relations, Equal Employment Opportunity, Merit Systems
Protection Board, National Labor Relations Board, and district court
actions.
[54 FR 29710, July 14, 1989]
Sec. 227.10 Controller Department.
International Accounts Center. The International Accounts Center,
located in New York, NY, is responsible for reviewing, approving,
settling, and auditing international mail handling and transportation
accounts for contracts and agreements entered into by the Postal
service.
[54 FR 29710, July 14, 1989]
Sec. 227.11 Philatelic and Retail Services Department.
(a) Philatelic Units. The Philatelic Sales Division, located in
Merrifield, VA, is a large mail and telephone order sales operation for
stamps and other philatelic products; it is supported by an order
fulfillment unit in Kansas City, MO, which is responsible for the
filling and shipping of domestic and international mail orders for
philatelic products.
(b) Stamped Envelope Unit. The Stamped Envelope Unit, located in
Williamsburg, PA, processes, distributes, and certifies billing or
postmaster accountability for direct orders of all stamped envelope
products marketed by the Postal service.
[54 FR 29710, July 14, 1989]
PART 228--SERVICE CENTERS--Table of Contents
Sec.
228.1 General.
228.2 Engineering and Technical Support Department--Maintenance
Overhaul and Technical Service Centers (MOTSC).
228.3 Delivery, Distribution, and Transportation Department--
Transportation Management Service Centers (TMSC).
228.4 Facilities Department--Facilities Service Centers.
228.5 Procurement and Supply Department--Procurement and Materiel
Management Service Centers.
228.6 Rates and Classification Department.
228.7 Human Resources Group.
Authority: 39 U.S.C. 401, 402, 403, and 404.
Source: 52 FR 47001, Dec. 11, 1987, unless otherwise noted.
Sec. 228.1 General.
Service Centers typically serve a regional area only and report to
headquarters, providing technical guidance and support to field division
employees and carrying out the day-to-day responsibilities of a
function.
Sec. 228.2 Engineering and Technical Support Department--Maintenance Overhaul and Technical Service Centers (MOTSC).
Maintenance Overhaul and Technical Service Centers are responsible
for:
(a) Refurbishing mail processing equipment such as letter sorting
machines, facer cancellers, and related equipment.
(b) Providing technical advice and guidance to field maintenance
employees on procedures and practices to follow.
[54 FR 29710, July 14, 1989]
Sec. 228.3 Delivery, Distribution, and Transportation Department--Transportation Management Service Centers (TMSC).
Transportation Management Service Centers are responsible for:
[[Page 52]]
(a) Procuring mail transportation services between mail processing
centers.
(b) Controlling the inventory of empty mail equipment.
(c) Coordinating the movement of mail between mail processing
centers, bulk mail centers (BMCs), management sectional centers (MSCs),
and field divisions.
[54 FR 29710, July 14, 1989]
Sec. 228.4 Facilities Department--Facilities Service Centers.
Facilities Service Centers are responsible for:
(a) Developing functional design specifications for new or altered
facilities.
(b) Investigating and evaluating sites for proposed postal
facilities.
(c) Purchasing, leasing, disposing of, and managing real estate and
facilities.
(d) Contracting for the design and construction of facilities.
[54 FR 29710, July 14, 1989]
Sec. 228.5 Procurement and Supply Department--Procurement and Materiel Management Service Centers.
Procurement and Materiel Management Service Centers are responsible
for:
(a) Contracting for supplies, services, and equipment.
(b) Maintaining systems for inventorying equipment and supplies.
[54 FR 29711, July 14, 1989]
Sec. 228.6 Rates and Classification Department.
Rates and Classification Service Centers are responsible for:
(a) Managing, for a geographic area, the rates and classification
activities related to rates schedules, mail classification, and
statistical systems, including guiding and monitoring bulk mail
acceptance, mailing requirements, data collection programs in divisions,
and providing classification rulings.
(b) Providing decisions on authorizations and rulings that enable
customers to exercise mailing privileges for various classes of mail and
service.
[54 FR 29711, July 14, 1989]
Sec. 228.7 Human Resources Group.
Human Resources Service Centers are responsible for:
(a) Processing personnel actions and maintaining personnel records
for the regional office and the service centers.
(b) Implementing the Human Resources Information System (HRIS) in
the field and training all users.
(c) Providing administrative support, technical guidance, and case
processing for Equal Employment Opportunity (EEO), Merit Systems
Protection Board (MSPB), and nonbargaining appeals.
(d) Overseeing all safety and health programs and issues, and
responding to incidents or inquiries involving industrial hygiene.
(e) Coordinating the scheduling of all arbitration cases with
arbitrators, union representatives, and field employees.
[54 FR 29711, July 14, 1989]
PART 229--FIELD ORGANIZATIONS--Table of Contents
Sec.
229.1 Regions.
229.2 Field Divisions.
229.3 Management Sectional Centers (MSCs).
229.4 Other Field Organizations.
Authority: 39 U.S.C. 401, 402, 403, and 404.
Source: 52 FR 47002, Dec. 11, 1987, unless otherwise noted.
Sec. 229.1 Regions.
(a) General. The Regions are responsible for monitoring the
performance of postal operations; assessing long-term solutions to
operating problems; and performing long-range operational planning.
(b) Functional Units. Each region is headed by a Regional Postmaster
General who reports to the Deputy Postmaster General. Each region is
organized into five functions: Finance, Human Resources, Marketing and
Communications, Operations Support, and Planning, as follows:
(1) Finance is responsible for all accounting, budgeting, financial
analysis, and management information programs.
[[Page 53]]
(2) Human Resources is responsible for all employee and labor
relations programs.
(3) Marketing and Communications is responsible for commercial
accounts and merchandising programs, market and product analysis, and
for providing information to the public and employees.
(4) Operations Support is responsible for operations planning and
monitoring the performance of the mail processing network.
(5) Planning is responsible for long-range planning for the region
and for support services to the regional building.
(c) Regional areas--(1) Central region. The headquarters for the
Central Region is in Chicago, IL. The regional area is made up of the
states of Colorado, Illinois, Indiana, Iowa, Kansas, Michigan,
Minnesota, Missouri, Nebraska, North Dakota, South Dakota, Wisconsin,
and Wyoming.
(2) Eastern region. The headquarters for the Eastern Region is in
Philadelphia, PA. The regional area is made of the states of Delaware,
Kentucky, Maryland, New Jersey (ZIP Code areas 080-084, 189, 193 and
194), North Carolina, Ohio, South Carolina (except ZIP Code areas 298
and 299), Virginia, West Virginia and Washington, DC.
(3) Northeast region. The headquarters for the Northeast Region is
in Windsor, CT. The regional area is made up of the states of
Connecticut, Maine, Massachusetts, New Jersey (ZIP Code areas 074-079
and 085-089) New York, Rhode Island, Vermont and Puerto Rico.
(4) Southern region. The headquarters for the Southern Region is in
Memphis, TN. The regional area is made up of the states of Alabama,
Arkansas, Florida, Georgia, Louisiana, Mississippi, Oklahoma, South
Carolina (ZIP Code areas 298 and 299), Tennessee and Texas (except ZIP
Code areas 797-799).
(5) Western region. The headquarters for the Western Region is in
San Bruno, CA. The regional area is made up of the states of Alaska,
Arizona, California, Hawaii, Idaho, Montana, Nevada, New Mexico, Oregon,
Texas (ZIP areas 797-799), Utah and Washington.
[52 FR 47002, Dec. 11, 1987, as amended at 54 FR 29711, July 14, 1989]
Sec. 229.2 Field Divisions.
(a) General. The field divisions are responsible for the day-to-day
management of all operations and facilities within a geographic area.
Each field division is headed by a Field Division General Manager/
Postmaster who reports to the Regional Postmaster General.
(b) Functional Units. Each division is organized into seven
functions: Controller, City Operations, Operations Support, Marketing
and Communications, Human Resources, Support Services, and Field
Operations. Responsibilities are as follows:
(1) The Controller is responsible for the operation of all
management information systems, accounting services, timekeeping,
financial analysis, auditing, compliance, and statistical programs.
(2) City Operations is responsible for all mail processing within
the host Field Division facility, including stations and branches and
air mail operations; fleet operations; and plant and equipment
engineering.
(3) Operations Support is responsible for providing staff support to
the operations function. The functions in operation support include
logistics and distribution systems management, industrial engineering,
address information programs, delivery services programs and maintenance
support.
(4) Marketing and Communications plans and implements Postal Service
marketing strategies, account management, technical sales support,
retail marketing, communications programs, merchandising and sales
information systems, and employee communications and community
relations. It directs the consumer affairs program, provides marketing
data to operations and other functional areas on customer demand, and
recommends locations of retail facilities, hours of operation,
collection boxes, and similar retail and delivery programs.
(5) Human Resources is responsible for labor relations, EEO
complaint processing, employment and development, training, compensation
and staffing, affirmative action, and safety and health.
(6) Support Services is responsible for procurement; materiel
management;
[[Page 54]]
purchase, lease, and management of real estate and facilities; and
design and construction of new and altered facilities.
(7) Field Operations is responsible for the management and
evaluation of grade 24 and below associate offices that report to the
host division. This includes the development of operating budgets and
disbursement of funds; investigation and correction of operational,
service, budget, productivity and efficiency problems; and providing
technical assistance.
[52 FR 47002, Dec. 11, 1987, as amended at 54 FR 29711, July 14, 1989]
Sec. 229.3 Management Sectional Centers (MSCs).
(a) General. Each Management Sectional Center is headed by an MSC
Manager/Postmaster who reports to a Field Division General Manager/
Postmaster.
(b) Functional Units. Each Management Sectional Center is organized
into six functions: Finance, City Operations, Operations Services,
Marketing, Human Resources, and Field Operations, as follows:
(1) Finance is responsible for the operation of all management
information systems, accounting and budget, timekeeping, financial
analysis, statistical programs, procurement and office services,
auditing, and compliance.
(2) City Operations is responsible for all mail processing within
the MSC facility including stations and branches and air mail
operations; plant and equipment engineering; fleet operations; vehicle
operations and maintenance.
(3) Operations Services is responsible for providing staff support
to the operations function. The primary functions in operations services
include quality control, logistics, address information systems,
delivery services, and industrial engineering.
(4) Marketing plans and implements Postal Service marketing
strategies, account management, technical sales support, retail
marketing, merchandising and sales information systems. It provides
marketing data to operations and other functional areas on customer
demand, and recommends locations of retail facilities, hours of
operation, collection boxes, and similar retail and delivery programs.
(5) Human Resources is responsible for labor relations, EEO
complaint processing, employment and development, training, compensation
and staffing, affirmative action, and safety and health.
(6) Field Operations is responsible for the management and
evaluation of associate offices that report to the Management Sectional
Center. This includes the development of operating budgets and
disbursement of funds; investigation and correction of operational,
service, budget, productivity and efficiency problems; and providing
technical assistance. Larger associate offices report to the MSC
Manager/Postmaster as follows:
(i) MSC V--Associate Office, level 22 and above.
(ii) MSC IV--Associate Office, level 21 and above.
(iii) MSC III--Associate Office, level 20 and above.
[54 FR 29711, July 14, 1989]
Sec. 229.4 Other Field Organizations.
(a) Bulk Mail Centers (BMCs). Bulk Mail Centers serve a specific
geographic area and are headed by a manager who reports to the Field
Division General Manager/Postmaster. BMCs are responsible for processing
certain types of second- and third-class mail in bulk form and parcel
post mail, normally in bulk or piece form.
(b) Associate Offices. Associate offices are headed by a postmaster
who reports to a Director, Field Operations, in an MSC or a field
division. Associate offices are responsible for the receipt, delivery,
and dispatch of all classes of mail for geographic areas normally
encompassing the boundaries of a city or town.
[54 FR 29711, July 14, 1989]
Inspection Service Requirements--Table of Contents
PART 231--PROTECTION OF POST OFFICES--Table of Contents
Sec.
231.1 Responsibility.
231.2 Security Control Officer.
[[Page 55]]
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; 21 U.S.C. 802, 844; 39 U.S.C. 401,
403(b)(3), 404(a)(7); 40 U.S.C. 318, 318a, 318b, 318c; Pub. L. 104-208,
110 Stat. 1060.
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.
(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 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 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
[[Page 56]]
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. 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.
(See Domestic Mail Manual 123.351 and 123.42; Administrative Support
Manual 221.42; Regional Instructions, Part 782, section IV G 2c.)
(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, soliciting signatures on petitions,
polls, or surveys (except as otherwise authorized by Postal Service
regulations), and impeding ingress to or egress from post offices 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 by the Manual on Fund Raising Within the the Federal Service,
issued by the Chairman of the U.S. Civil Service Commission under
Executive Order 10927 of March 13, 1961.
(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 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
[[Page 57]]
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
posted such directives shall have the same force and effect as if made a
part hereof.
(l) Weapons and explosives. 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, age (persons 40 years of age or
older are protected), reprisal (discrimination against a person for
having filed or for having participated in the processing of an EEO
complaint--29 CFR 1613.26l-262), or physical or mental handicap, 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
[[Page 58]]
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. 721.
(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 fine of not more than $50 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 of 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 of special policemen provided by 40
U.S.C. 318 and shall be responsible for enforcing the regulations in
this section in a manner that will protect Postal Service property.
(2) Local postmasters and installation heads may, pursuant to 40
U.S.C. 318b 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, as amended at 38 FR 27824, Oct. 9, 1973; 41
FR 23955, June 14, 1976; 42 FR 17443, Apr. 1, 1977; 43 FR 38825, Aug.
31, 1978; 46 FR 898, Jan. 5, 1981. Redesignated and amended at 46 FR
34330, July 1, 1981; 47 FR 32113, July 26, 1982; 53 FR 29460, Aug. 5,
1988; 54 FR 20527, May 12, 1989; 57 FR 36903, Aug. 17, 1993; 57 FR
38443, Aug. 25, 1992; 63 FR 34600, June 25, 1998]
PART 233--INSPECTION SERVICE/INSPECTOR GENERAL AUTHORITY--Table of Contents
Sec.
233.1 Arrest and investigative powers of Postal Inspectors.
[[Page 59]]
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 seized for
administrative forfeiture involving controlled substances in
personal use quantities.
233.9 Expedited release of conveyances being forfeited in a judicial
forfeiture proceeding for a drug-related offense.
233.10 Notice provisions.
233.11 Mail reasonably suspected of being dangerous to persons or
property.
233.12 Civil penalties.
Authority: 39 U.S.C. 101, 401, 402, 403, 404, 406, 410, 411,
3005(e)(1); 12 U.S.C. 3401-3422; 18 U.S.C. 981, 1956, 1957, 2254, 3061;
21 U.S.C. 881; Inspector General Act of 1978, as amended (Pub. L. No.
95-452, as amended), 5 U.S.C. App. 3.
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; and
(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) Issuance of subpoenas. (1) In accordance with part 273 of this
chapter, the Chief Postal Inspector may issue subpoenas under the
Program Fraud Civil Remedies Act.
(2) In accordance with the Inspector General Act of 1978, the Chief
Postal Inspector may issue subpoenas to persons or entities other than
Federal agencies for the production of information, documents, reports,
answers, records, accounts, papers, and other data and documentary
evidence necessary in the performance of functions assigned by the
Inspector General Act.
(3) The Chief Postal Inspector hereby delegates authority to sign
and issue administrative subpoenas to the following officials: Deputy
Chief Inspectors; Managers, Inspection Service Operations Support Group;
and Inspector in Charge--Internal Affairs.
(4) 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.
(d) In conducting any investigation or audit, 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]
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
[[Page 60]]
when the circular is not listed in the periodic Postal Bulletin notices
of current wanted circulars.
(b) Rewards. (1) Rewards will be paid in 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 bombs, explosives, poison, 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.
(x) Mailing or causing to be mailed any money which has been
obtained illegally.
(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.
Assault on Postal Employees, $15,000. Forcibly assaulting any
officer or employee of the Postal Service while engaged in or on account
of the performance of their official duties.
Bombs or Explosives, $50,000. 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.
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 stamps or other postage.
Robbery, $25,000. 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.
Burglary of Post Office, $10,000. Breaking into, or attempting to
break into, a post office, station, branch, building used wholly or
partly 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.
Money Laundering, $10,000. Mailing or causing to be mailed any money
which has been illegally obtained.
Offenses Involving Postal Money Orders, $10,000. Theft or possession
of stolen 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.
Child Pornography, $10,000. The mailing or receiving through the
mail of any visual depiction involving the use of a minor engaging in
sexually explicit conduct.
Poison, Controlled Dangerous Substances, Hazardous Materials,
Illegal Drugs, or Cash Proceeds from Illegal Drugs, $10,000. Mailing
[[Page 61]]
or causing to be mailed any poison, controlled substances, hazardous
materials, illegal drugs, or the proceeds from the sale of illegal
drugs.
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.
5. Other rewards not specifically referred to in this notice may be
offered upon the approval of the Chief Postal Inspection (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 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]
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,
[[Page 62]]
(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 on which appropriate postage is paid, and
which under postal laws and regulations is included within a class of
mail maintained by the Postal Service for the transmission of mail
sealed against inspection, including First-Class Mail, Express Mail,
international letter mail, and mailgram messages.
(4) Unsealed mail is mail on which appropriate postage for sealed
mail has not been paid and which under postal laws or regulations is not
included within a class of mail maintained by the Postal Service for the
transmission of mail sealed against inspection. Unsealed mail includes
second-, third-, and fourth-class mail, and international parcel post
mail.
(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
(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,
[[Page 63]]
(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 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
[[Page 64]]
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]
Sec. 233.4 Withdrawal of mail privileges.
(a) False representation and lottery orders--(1) 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-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]
[[Page 65]]
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 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
[[Page 66]]
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 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) Designation of officials having forfeiture authority. The Chief
Postal Inspector is authorized to perform all duties and
responsibilities necessary on behalf of the Postal Service to enforce 18
U.S.C. 981, 2254, and 21 U.S.C. 881, 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.
(b) Administrative forfeiture authority. The Chief Postal Inspector
is authorized to conduct administrative forfeitures under the statutes
identified in paragraph (a) of this section, following, where
applicable, the procedures provided by the customs laws of the United
States (19 U.S.C. 1600 et seq.), and to pay valid liens and mortgages
against property that has been so forfeited.
(c) Inventory. An inventory of all property seized for forfeiture
under the statutes identified in paragraph (a) of this section shall be
prepared and maintained by the Postal Inspection Service. The inventory
should occur within seven days of the seizure. The inventory must, at a
minimum, identify all property seized, state the exact location of the
property at the time of its seizure, and describe in detail the
condition of the property. A written receipt containing such information
and identifying the Postal Inspector who conducted the seizure must be
provided to the party from whom the property was seized, or the party's
agent or representative, at the time of the seizure or as soon
thereafter as is practicable.
(d) Custody. Custody of all property seized for forfeiture under the
statutes identified in paragraph (a) of this section is maintained by
the U.S. Marshals Service, except property held for evidentiary
purposes; retained for official use upon forfeiture; subject to
equitable transfer to federal, state or local law enforcement agencies;
or subject to civil administrative forfeiture.
(e) Appraisal. The Postal Inspection Service must promptly obtain or
complete an appraisal of all seized property. The appraisal value is the
fair market value of the property, which is
[[Page 67]]
the highest price, in terms of money, which a property will bring in a
competitive and open market.
(f) Quick-release. Property subject to administrative forfeiture
may, prior to forfeiture, be released by the Postal Inspection Service
to the owner of the property having an immediate right to possession of
the property when the Postal Inspection Service concludes that release
of the property is in the best interest of justice. An agreement to hold
harmless the United States, the Postal Inspection Service, and all other
involved entities should be obtained from the owner. A decision for
quick release of the property should be made within five days of the
seizure.
(g) Judicial forfeiture. If the appraised value of property seized
exceeds $500,000, with the exception of: (1) Monetary instruments within
the meaning of 31 U.S.C. 5312(a)(3), or (2) any conveyance which was
used to import, export, transport, or store any controlled substance or
if a claim and satisfactory bond have been received for property
appraised at $500,000 or less, or for any monetary instruments within
the meaning of 31 U.S.C. 5312(a)(3) or any conveyance which was used to
import, export, transport, or store any controlled substance the Postal
Inspection Service must transmit the claim and bond to the U.S. Attorney
for the judicial district in which the seizure was made and request that
the U.S. Attorney promptly institute a judicial forfeiture proceeding
against the property. The Postal Inspection Service must provide the
U.S. Attorney a complete written description of the property, a
statement of the facts and circumstances leading to the seizure of the
property, including all facts and documentation leading to the
conclusion that the seized property is subject to forfeiture, and such
additional information as the U.S. Attorney may require for the purpose
of instituting a judicial forfeiture action.
(h) Notice of seizure for property having a value of $500,000 or
less, or for monetary instruments or for conveyances which were used to
transport or store any controlled substance; advertisement; declaration
of forfeiture. (1) The Postal Inspection Service must cause written
notice of the seizure of all property subject to civil administrative
forfeiture to be sent to each known party that may have a possessory or
ownership interest in the seized property. The notice must describe the
property seized; state the date, place, and cause for seizure; and
inform the party of the intent of the Postal Inspection Service to
forfeit the property. In addition, the notice must state that any person
desiring a judicial determination of forfeiture must file a claim and
bond (see paragraph 2 of this subsection) with a designated official of
the Postal Inspection Service, within twenty days from the date of the
first publication of the notice of seizure (see paragraph (4) of this
subsection), or of the date of the letter of personal notice required by
this paragraph, whichever is later. Any claim submitted pursuant to this
paragraph is invalid unless accompanied by a bond meeting the
requirements of paragraph (2), or a completed PS Form 1518, Petition to
Proceed in Forma Pauperis.
(2) A bond in the amount of $5,000 or ten percent of the value of
the claimed property, whichever is lower, but in no event less than
$250, must accompany any claim submitted pursuant to paragraph (1). The
bond may be in the form of a cashier's check, certified check, or money
order made payable to the United States of America, or satisfactory
sureties. If a claimant is financially unable to post the bond because
of indigency, such a person may request a waiver of the bond by
completion of PS Form 1518, Petition to Proceed in Forma Pauperis.
(3) Upon receipt of the claim and bond, the Postal Inspection
Service must, upon determining that the documents are in proper form and
the sureties satisfactory, transmit the documents to the appropriate
U.S. Attorney as provided in subsection (g). If the documents are not
satisfactory, the Postal Inspection Service must notify the party making
the claim and may allow a reasonable time for correction. If correction
is not made within the time allowed for that purpose, the administrative
forfeiture must proceed as though the claim and bond had not been
tendered.
(4) Notice of administrative forfeiture proceedings containing the
information required by subsection (h)(1)
[[Page 68]]
must be published once each week for at least three successive weeks in
a newspaper of general circulation in the judicial district in which the
property was seized. If a claim and satisfactory bond is not filed
within the time allowed, the Postal Inspection Service may declare the
property forfeited.
(i) 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 which is not required to be destroyed by law
and which 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.
(3) If, after an administrative forfeiture of property is completed,
it appears that the proceeds of sale will not be sufficient to pay the
costs of sale or the proceeds will be insignificant in relation to the
expenses involved in the forfeiture, then the Postal Service or the
Marshals Service may order destruction or other disposition of the
property including alteration of the property into an article that is
not prohibited.
(j) Remission or mitigation of administrative, civil, and criminal
forfeitures--(1) Authority, purpose, and scope--(i) 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 Service.
The purpose of these regulations is to provide a basis for ameliorating
the effects of forfeiture through 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, these regulations provide for partial or
total mitigation of the forfeiture and imposition of alternative
conditions in appropriate circumstances.
(ii) Authority to grant remission and mitigation. (A) Remission and
mitigation functions in administrative forfeitures are performed by the
agency seizing the property. Within the Postal Inspection Service,
authority to grant remission and mitigation is delegated to the
Independent Counsel, Office of the Chief Inspector, Washington, DC.
(B) Remission and mitigation functions in judicial cases are within
the jurisdiction of the Criminal Division of the Department of Justice.
Within the Criminal Division, authority to grant remission and
mitigation has been delegated to the Chief, Asset Forfeiture and Money
Laundering Section.
(C) The powers and responsibilities within these regulations may be
redelegated to attorneys or managers working under the supervision of
the designated officials.
(D) The time periods and internal requirements established in these
regulations 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.
These regulations will apply to all decisions on petitions for remission
or mitigation made on or after July 1, 1997. These regulations will
apply to decisions on requests for reconsideration of a denial of a
petition under paragraphs (j)(3)(x) and (3)(xi) of this section only if
the initial decision on the petition was made under the provisions of
this part effective July 1, 1997.
(E) This section governs any petition for remission or mitigation
filed with the Chief Postal Inspector and supersedes any Postal Service
regulation governing petitions for remission or
[[Page 69]]
mitigation to the extent such regulation is inconsistent with this
section.
(2) Definitions. As used in this part:
(i) The term administrative forfeiture means the process by which
property may be forfeited by an investigative agency rather than through
judicial proceedings.
(ii) The term 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.
(iii) The term Attorney General means the Attorney General of the
United States or his or her designee.
(iv) The term beneficial owner means a person with actual use of, as
well as an interest in, the property subject to forfeiture.
(v) The term 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.
(vi) The term judgment creditor means one who has obtained a
judgment against the debtor but has not yet received full satisfaction
of the judgment.
(vii) The term judicial forfeiture means either a civil or criminal
proceeding in a United States District Court that may result in a final
judgment and order of forfeiture.
(viii) The term 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:
(A) Was established by operation of law or contract;
(B) Was created as a result of an exchange of money, goods, or
services; and
(C) Is perfected against the specific property forfeited for which
remission or mitigation is sought (e.g., a real estate mortgage, a
mechanic's lien).
(ix) The term net equity means the amount of a lienholder's monetary
interest in 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.
(x) The term owner means the person in whom 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 (j) (2)(xxi) of this section may also be
an owner if he or she 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 he or she is not its beneficial owner.
(xi) The term person means an individual, partnership, corporation,
joint business enterprise, estate, or other legal entity capable of
owning property.
(xii) The term petition means a petition for remission or mitigation
of forfeiture under these regulations. This definition includes a
petition for restoration of the proceeds of sale of forfeited property
and a petition for the value of forfeited property placed into official
use.
(xiii) The term petitioner means the person applying for remission,
mitigation, restoration of the proceeds of sale, or for the appraised
value of forfeited property under these regulations. A petitioner may be
an owner of forfeited property as defined in paragraph (j)(2)(x) of this
section; a lienholder as defined in paragraph (j)(2)(viii) of this
section; or a victim as defined in paragraph (j)(2)(xxi) of this section
subject to the limitations of paragraph (j)(8) of this section.
(xiv) The term Postal Service Fund means the United States Postal
Fund established under 39 U.S.C. 2003.
[[Page 70]]
(xv) The term property means real or personal property of any kind
capable of being owned or possessed.
(xvi) The term 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 ten years of the acquisition of the property subject to
forfeiture; or two convictions for a related crime at any time in the
past.
(xvii) The term related crime as used in paragraphs (j)(2)(xvi) and
(6)(v) 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 dealing with
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.
(xviii) The term related offense as used in paragraph (j)(8) of this
section means:
(A) Any predicate offense charged in a Federal Racketeer Influenced
and Corrupt Organizations Act (RICO) count for which forfeiture was
ordered; or
(B) 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 the forfeiture was ordered.
(xix) The term Ruling Official means any official to whom decision
making authority has been delegated pursuant to paragraph (j)(1)(ii) of
this section.
(xx) The term seizing agency means the federal agency that seized
the property or adopted the seizure of another agency for federal
forfeiture.
(xxi) The term 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 otherwise from the
actual victim, unless that person has acquired an actual ownership
interest in the forfeited property.
(xxii) The term violator means the person whose use or acquisition
of the property in violation of the law subjected such property to
seizure for forfeiture.
(3) Petitions in administrative forfeiture cases--(i) 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
thirty (30) days of the date they receive the notice in order to
facilitate processing. Petitions shall be considered any time after
notice until the forfeited property is placed into official use, sold,
or otherwise disposed of according to law, except in cases involving
petitions to restore the proceeds from the sale of forfeited property. A
notice of seizure shall include the title of the seizing agency, the
Ruling Official, the mailing and street address of the official to whom
petitions should be sent, and an asset identifier number.
(ii) Persons who may file. A petition for remission or mitigation
must be filed by a petitioner as defined in paragraph (j)(2)(xiii) of
this section or as prescribed in paragraphs (j)(9) (vii) and (viii) of
this section.
(iii) Contents of petition. (A) All petitions must include the
following information in clear and concise terms:
(1) 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;
(2) The name of the seizing agency, the asset identifier number, and
the date and place of seizure;
(3) A complete description of the property including make, model,
and serial numbers, if any; and
(4) 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.
(B) Any factual recitation or documentation of any type in a
petition must be supported by a sworn affidavit.
(iv) Releases. In addition to the contents of the petition for
remission or mitigation set forth in paragraph (j)(3)(iii) of this
section, upon request,
[[Page 71]]
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.
(v) Filing petition with agency. (A) A petition for remission or
mitigation of an administrative forfeiture by the Postal Inspection
Service shall be sent to the Chief Postal Inspector, United States
Postal Service, 475 L'Enfant Plaza SW, Washington, DC 20260-2100.
(B) The petition 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 (j)(9)(vii) of this section.
(vi) 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.
(vii) Ruling. Upon receipt of the petition and the agency report,
the Ruling Official shall review the petition and the report, and shall
rule on the merits of the petition. No hearing shall be held.
(viii) Petitions granted. If the Ruling Official grants a remission
or mitigation of the forfeiture, a copy of the decision shall be sent by
certified mail to the petitioner, or, if represented by an attorney, to
the petitioner's attorney. A copy of the decision 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.
(ix) Petitions denied. If the Ruling Official denies a petition, a
copy of the decision shall be sent by certified mail 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 written 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 (j)(3)(x) of this section.
(x) Request for reconsideration. (A) A request for reconsideration
of the denial of the petition shall be considered if:
(1) It is postmarked or received by the office of the Ruling
Official within ten (10) days from the receipt of the notice of the
denial of the petition by the petitioner; and
(2) 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.
(B) In no event shall a request for reconsideration be decided by
the same Ruling Official who ruled on the original petition.
(C) Only one request for reconsideration of a denial of a petition
shall be considered.
(xi) Restoration of proceeds from sale. (A) 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:
(1) Did not know of the seizure prior to the entry of a declaration
of forfeiture; and
(2) Could not reasonably have known of the seizure prior to the
entry of a declaration of forfeiture.
(B) Such a petition shall be submitted pursuant to paragraphs
(j)(3)(ii) through (v) of this section within ninety (90) days from the
date the property is sold or otherwise disposed of.
(4) Petitions in judicial forfeiture cases--(i) Procedure for filing
petition. If the forfeiture proceedings are judicial, 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
[[Page 72]]
sworn notice of representation pursuant to 28 U.S.C. 1746; and shall be
submitted to the United States Attorney for the district in which the
judicial forfeiture proceedings are brought. A petitioner also shall
submit a copy of the petition to the Chief Postal Inspector if the
Postal Inspection Service was the seizing agency.
(ii) Ruling. Department of Justice regulations on petitions for
remission or mitigation in judicial forfeiture cases are stated in 29
CFR 9.4.
(5) Criteria governing administrative remission and mitigation--(i)
Remission. (A) The Ruling Official shall not grant remission of a
forfeiture unless the petitioner establishes that:
(1) The petitioner has a valid, good faith and legally cognizable
interest in the seized property as owner or lienholder as defined in
these regulations; and
(2) The petitioner is innocent within the meaning of the innocent
owner provisions of the applicable civil forfeiture statute, is a bona
fide purchaser for value without cause to believe that the property was
subject to forfeiture at the time of the purchase, or is one who held a
legally cognizable interest in the seized property at the time of the
violation underlying the forfeiture superior to that of the defendant
within the meaning of the applicable criminal forfeiture statute, and is
thereby entitled to recover his or her interest in the forfeited
property by statute. (If the applicable civil forfeiture statute
contains no innocent owner defense, the innocent owner provisions
applicable to 21 U.S.C. 881(a)(4) shall apply.) Unless otherwise
provided by statute, in the case of petitioners who acquired their
interest in the property after the time of the violation underlying the
forfeiture, the question of whether the petitioner had knowledge of the
violation shall be determined as of the point in time when the interest
in the property was acquired.
(B) The knowledge and responsibilities of petitioner's
representative, agent, or employee in paragraph (j)(5)(i)(A)(2) of this
section are imputed to the petitioner where the representative, agent,
or employee was acting in the course of his or her employment and in
furtherance of the petitioner's business.
(C) 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.
(D) The Ruling Official shall presume a valid forfeiture and shall
not consider whether the evidence is sufficient to support the
forfeiture.
(E) 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.
(ii) Mitigation. (A) The Ruling Official may grant mitigation to a
party not involved in the commission of the offense underlying
forfeiture:
(1) 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 and/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
(2) 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.
(B) The Ruling Official may in his or her discretion grant
mitigation to a
[[Page 73]]
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.
(C) 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 Service 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 twenty (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.
(6) Special rules for specific petitioners--(i) General creditors. A
general creditor may not be granted remission or mitigation of
forfeiture unless he or she otherwise qualifies as a petitioner under
these regulations.
(ii) Rival claimants. If the beneficial owner of the forfeited
property and the owner of a security interest in the same property each
file a petition, and if both petitions are found to be meritorious, the
claim of the beneficial owner shall take precedence.
(iii) Voluntary bailments. A petitioner who allows another to use
his or her 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 (j)(5) of this section.
(iv) 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 (j)(5) of this section.
(v) Straw owners. A petition by any person who has acquired a
property interest recognizable under these regulations 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 these
regulations, 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 (j)(2)(xvii) of this section, 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 owner, shall be denied unless both the
purchaser of record and the real purchaser or owner meet the
requirements of paragraph (j)(5) of this section.
(vi) Judgment creditors. (A) A judgment creditor will be recognized
as a lienholder if:
(1) The judgment was duly recorded before the seizure of the
property for forfeiture;
(2) 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
(3) 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.
(B) 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
[[Page 74]]
property). A judgment creditor is entitled under these regulations 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.
(C) A judgment creditor's lien must be registered in the district
where the property is located if the judgment was obtained outside the
district.
(7) Terms and conditions of remission and mitigation--(i) Owners.
(A) 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.
(B) If a civil judicial forfeiture action against the property is
pending, release of the property must await an appropriate court order.
(C) 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, at his or her discretion, may waive the deduction of costs and
expenses incident to the forfeiture.
(D) 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.
(ii) Lienholders. (A) 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:
(1) In the case of remission, the lien is satisfied as determined
through the petition process; or
(2) 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 or foreign
government.
(B) When the forfeited property is not retained for official use or
transferred to another agency or foreign country pursuant to law, the
lienholder shall be notified by the Ruling Official of the right to
select either of the following alternatives:
(1) 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, at his or her 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 U.S. Marshals Service or other property custodian who shall
thereafter release the property to the lienholder; or
(2) Sale of Property and Payment to Lienholder--Subject to the
provisions of paragraph (j)(9)(i) 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, at his or her
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 above in paragraph
(j)(7)(ii)(B) of this section within twenty (20) days of the receipt of
such notification, the Ruling Official shall direct the U.S. Marshal or
other property custodian 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 has already received
payment as a result of the granting of
[[Page 75]]
remission or mitigation, the lienholder shall reimburse the Postal
Service 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.
(8) Provisions applicable to victims.
The provisions of this section apply 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). The provisions of this section apply
only with respect to property forfeited pursuant to statutes that
explicitly authorize restoration or remission of forfeited property to
victims. Victims who have a superior present legally cognizable
ownership interest in forfeited property may file petitions as other
owners, subject to the regulations set forth in paragraph (j)(7)(i) of
this section. The claims of such owner victims, like those of any other
owners, shall have priority over the claims of any non-owner victims
whose claims are recognized pursuant to this section.
(i) Qualifications to file. A victim, as defined in paragraph
(j)(2)(xxi) of this section, of an offense that was the underlying basis
for the criminal, civil, or administrative forfeiture of specific
property, or a victim of a related offense, may be granted remission of
the forfeiture of that property, if in addition to complying with the
other applicable provisions of this section, the victim satisfactorily
demonstrates that:
(A) A pecuniary loss of a specific amount has been directly caused
by the criminal offense, or related offense, that resulted in the
forfeiture, or by a related offense, and that the loss is supported by
documentary evidence including invoices and receipts;
(B) The pecuniary loss is the direct result of the illegal acts and
is not the result of otherwise lawful acts which were committed in the
course of a criminal offense;
(C) The victim did not knowingly contribute to, participate in,
benefit from, or act in a willfully blind manner towards the commission
of the offense, or related offense, that was the underlying basis of the
forfeiture;
(D) The victim has not in fact been compensated for the wrongful
loss of the property by the perpetrator or others; and
(E) The victim does not have recourse reasonably available to other
assets from which to obtain compensation for the wrongful loss of the
property.
(ii) 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 petitioner was deprived as of the
date of the occurrence of the loss. No allowance shall be made for
interest foregone or for collateral expenses incurred to recover lost
property or to seek other recompense.
(iii) 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.
(iv) Denial of petition. In the exercise of his or her discretion,
the Ruling Official may decline to grant remission where:
(A) There is substantial difficulty in calculating the pecuniary
loss incurred by the victim or victims;
(B) 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
(C) The total number of victims is large and the monetary amount of
the remission so small as to make its granting impractical.
(v) Pro rata basis. In granting remission to multiple victims
pursuant to this section, the Ruling Official should generally grant
remission on a pro rata
[[Page 76]]
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:
(A) The specificity and reliability of the evidence establishing a
loss;
(B) The fact that a particular victim is suffering an extreme
financial hardship;
(C) The fact that a particular victim has cooperated with the
government in the investigation related to the forfeiture or to a
related prosecution or civil action; and
(D) 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.
(vi) Reimbursement. Any petitioner granted remission pursuant to
this section shall reimburse the Postal Service Fund for the amount
received to the extent the individual later receives compensation for
the loss of the property from any other source. The petitioner shall
surrender the reimbursement upon payment from any secondary source.
(vii) Claims of financial institution regulatory agencies. In cases
involving property forfeitable under 18 U.S.C. 981(a)(1)(C) or
(a)(1)(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 petition and claims of the
financial institution regulatory agencies pursuant to 18 U.S.C. 981
(e)(3) or (7). Generally, claims of financial regulatory agencies
pursuant to 18 U.S.C. 981(e)(3) or (7) shall take priority over claims
of victims.
(9) Miscellaneous Provisions--(i) Priority of payment. Except where
otherwise provided in this section, costs incurred by the Postal
Inspection 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 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
(j)(9)(iii) of this section, investigative or prosecutive costs
specially incurred incident to the particular forfeiture, and costs
incurred incident to the processing of the petition(s) 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 of priority, except that he or
she may exercise discretion in determining the priority between
petitioners belonging to classes described in paragraphs (j)(9)(iii) and
(9)(iv) of this section in exceptional circumstances:
(A) Owners;
(B) Lienholders;
(C) Federal financial institution regulatory agencies (pursuant to
paragraph (j)(9)(vi) of this section, not constituting owners or
lienholders); and
(D) Victims not constituting owners or lienholders (pursuant to
paragraph (j)(8) of this section).
(ii) 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 the 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:
(A) Payment of the government's expenses incurred incident to the
forfeiture and sale, including court costs and storage charges, if any;
(B) Payment to the petitioner of an amount up to his or her interest
in the property;
(C) Payment to the Postal Service Fund of all other costs and
expenses incident to the forfeiture;
(D) In the case of victims, payment of any amount up to the amount
of his or her loss; and
[[Page 77]]
(E) Payment of the balance remaining, if any, to the Postal Service
Fund.
(iii) Trustees and other assistants. In the exercise of his or her
discretion, the Ruling Official 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.
(iv) 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 these
regulations, 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 the provisions of paragraphs (j)(3) through
(5) of this section. The decision to make such transfer shall be made in
writing by the Ruling Official.
(v) 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.
(vi) 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).
(vii) Filing by attorneys. (A) A petition for remission or
mitigation may be filed by a petitioner or by his or her 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:
(1) The attorney has the authority to represent the petitioner in
this proceeding;
(2) The petitioner has fully reviewed the petition; and
(3) The petition is truthful and accurate in every respect.
(B) 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.
(viii) 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 the 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
other 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 (j)(2)(xxi) of this section,
may also file a petition on behalf of all 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
(j)(2)(xviii) of this section, 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 a remission
must be transferred to the other petitioners, not the party filing the
petition; although, in his or her discretion, the Ruling Official may
use the actual petitioner as an intermediary for transferring the
amounts authorized as a remission to the other petitioners.
[52 FR 4497, Feb. 12, 1987; 52 FR 5765, Feb. 26, 1987, as amended at 54
FR 47520, Nov. 15, 1989; 56 FR 20361, May 3, 1991; 57 FR 32726, July 23,
1992; 59 FR 31154, June 17, 1994; 59 FR 35852, July 14, 1994; 60 FR
5581, Jan. 30, 1995; 60 FR 8306, Feb. 14, 1995; 62 FR 31726, June 11,
1997]
[[Page 78]]
Sec. 233.8 Expedited forfeiture proceedings for property seized for administrative forfeiture involving controlled substances in personal use quantities.
(a) Definitions. As used in this section, the following terms have
the meanings specified:
(1) Appraised Value means the estimated domestic price at the time
of seizure at which such or similar property is freely offered for sale.
(2) Controlled Substance has the meaning given in 21 U.S.C. 802.
(3) Legal and Factual Basis of the Seizure means a statement of the
applicable law under which the property is seized, and a written
statement of the circumstances of the seizure sufficiently precise to
enable an owner or other interested party to identify the date, place,
and use or acquisition which makes the property subject to forfeiture.
(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 possession of a controlled
substance in circumstances where there is not other evidence of an
intent to distribute, or to facilitate the manufacturing, compounding,
processing, delivering, importing, or exporting of any controlled
substance. Evidence of personal use quantities does not include
sweepings or other evidence of possession of quantities of a controlled
substance for other than personal use.
(i) Such other evidence includes:
(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 and/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) Relationship of the controlled substance to large amounts of
cash or any amount of prerecorded government funds;
(E) Possession of the controlled substance under circumstances that
indicate the substance is a sample intended for distribution in
anticipation of a transaction involving large quantities, or is part of
a larger delivery; or
(F) Statements by the possessor, or otherwise attributable to the
possessor, including statements of conspirators, that indicate
possession with intent to distribute.
(ii) Possession of a controlled substance is 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 in
Sec. 233.8(a)(5)(i), and the amounts do not exceed the following
quantities:
(A) One gram of a mixture of substance containing a detectable
amount of heroin;
(B) One gram of a mixture or substance containing a detectable
amount of:
(1) Coca leaves, except coca leaves and extracts of coca leaves from
which cocaine, ecgonine, and derivations of 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 which contains any quantity
of any of the substances referred to in Sec. 233.8(a)(5) (ii)(B)(1)-(3);
(5) \1/10\th gram of a mixture or substance described in
Sec. 233.8(a)(5)(ii) which contains cocaine base;
(6) \1/10\ gram of a mixture or substance containing a detectable
amount of phencyclidine (PCP);
(7) 500 micrograms of a mixture or substance containing a detectable
amount of lysergic acid diethylamide (LSD);
(8) One ounce of a mixture of substance containing a detectable
amount of marihuana;
[[Page 79]]
(9) 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 isomer.
(iii) The possession of a narcotic, a depressant, a stimulant, a
hallucinogen or 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
Sec. 233.8(a)(5)(ii).
(6) Property means property subject to forfeiture under title 21,
U.S.C., Sections 881(a)(4), (6), and (7).
(7) Statutory Rights or Defenses to the Forfeiture means all legal
and equitable rights and remedies available to a claimant of property
seized for forfeiture.
(8) Sworn to as used in Sec. 233.8(b)(4)(ii) refers to the oath as
provided by 28 U.S.C. 1746.
(b) Petition for expedited release in an administrative forfeiture
action. (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) The owner filing the petition for expedited release must
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 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.
(3) In addition to those factors listed in Sec. 233.8(b)(2), if an
owner can demonstrate that he has other statutory rights or defenses
that would cause him to prevail on the issue of forfeiture, such factors
must also be considered in ruling on the petition for expedited release.
(4) A petition for expedited release must be:
(i) Filed in a timely manner to be considered; in order to be filed
in a timely manner, the petition must be received by the Postal
Inspection Service within 20 days from the date of the first publication
of the notice of seizure.
(ii) Executed and sworn to by the owner and both the envelope and
the request must be clearly marked ``PETITION FOR EXPEDITED RELEASE'';
(iii) Filed in accordance with the notice of seizure; and
(iv) Addressed to the Chief Postal Inspector, Postal Inspection
Service.
(5) The petition must 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 must 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.
(c) Ruling on petition for expedited release in an administrative
forfeiture action involving personal use quantities of a controlled
substance. (1) Upon receipt of a petition for expedited release filed
pursuant to Sec. 233.8(b), the Postal Inspection Service must determine
first whether a final administrative determination of the case, without
regard to the provisions of this section, can be made within 21 days of
the seizure. If such a final administrative determination is made within
21 days, no further action need be taken under this section.
(2) If no such final administrative determination is made within 21
days of the seizure, the following procedure applies:
(i) The Postal Inspection Service, within 20 days after the receipt
of the petition for expedited release, determines whether the petition
filed by the owner has established the factors listed in
Sec. 233.8(b)(2); and
(ii) If the Postal Inspection Service determines that those factors
have
[[Page 80]]
been established, it terminates the administrative proceedings and
returns the property to the owner except where it is evidence of a
violation of law; or
(iii) If the Postal Inspection Service determines that those factors
have not been established, it proceeds with the administrative
forfeiture.
(d) Posting of substitute res. (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 res with the Postal Service. The property will be released
to the owner upon the payment of an amount equal to the appraised value
of the property if it is not evidence of a violation of law or has
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 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 which issued the
check.
(2) If a substitute res is posted and the property is
administratively forfeited, the Postal Inspection Service will forfeit
the substitute res in lieu of the property.
[54 FR 47520, Nov. 15, 1989]
Sec. 233.9 Expedited release of conveyances being forfeited in a judicial forfeiture proceeding for a drug-related offense.
(a) Petition for expedited release of conveyance. Where a conveyance
has been seized and is being forfeited in a judicial proceeding for a
drug-related offense, the owner may petition the United States Attorney
for an expedited release of the conveyance in accordance with the
regulations of the Department of Justice (21 CFR part 1316).
(b) Petition filed in timely manner. A petition for expedited
release must be filed in a timely manner in order to be considered by
the United States Attorney. To be considered as filed in a timely
manner, in accordance with 21 CFR part 1316, the petition must be
received by the appropriate United States Attorney within 20 days from
the date of the first publication of the notice of the action and arrest
of the property, or within 30 days after filing of the claim, whichever
occurs later.
(c) Obtaining release of the property by filing a substitute res
bond. Where a conveyance is being forfeited in a judicial proceeding for
a drug-related offense, the owner may obtain release of the property by
filing a substitute res bond with the Postal Inspection Service. The
conveyance will be released to the owner upon the payment of a bond in
the amount of the appraised value of the conveyance if it is not
evidence of a violation of law or has design or other characteristics
that particularly suit it for use in illegal activities. This bond 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 United States
Postal 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 which issued the check.
(d) Forfeiture of the bond. If a substitute res bond is filed and
the conveyance is judicially forfeited, the court will forfeit the bond
in lieu of the property.
[54 FR 47522, Nov. 15, 1989]
Sec. 233.10 Notice provisions.
(a) Special notice provision. At the time of seizure of property
defined in Sec. 233.8(b) for violations involving the possession of
personal use quantities of a controlled substance, written notice will
be provided to the possessor of the property regarding applicable
statutes and Federal regulations including the procedures established
for the filing of a petition for expedited release and for the posting
of a substitute res bond.
(b) Standard notice provision. The standard notice to the owner as
required by 19 U.S.C. 1607 will be made at the earliest practicable
opportunity after determining ownership of the seized property and must
include the legal and factual basis of the seizure.
[54 FR 47522, Nov. 15, 1989]
[[Page 81]]
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.
(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);
[[Page 82]]
(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.
(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
[[Page 83]]
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 post offices.
241.4 Expansion, relocation, and construction of post offices.
Sec. 241.1 Post offices.
(a) Establishment. See Sec. 113.1 of this chapter.
(b) Classification. As of July 1 each year, post offices are
classified by the Postmaster General based on the allowable postal
revenue units for the second preceding fiscal year as follows:
(1) First Class. Post offices having 950 or more revenue units.
(2) Second Class. Post offices having 190 but less than 950 revenue
units.
(3) Third Class. Post offices having 36 but less 190 revenue units.
(4) Fourth Class. Post offices having less than 36 revenue units.
(39 U.S.C. 401)
[36 FR 4764, Mar. 12, 1971, as amended at 42 FR 59082, Nov. 15, 1977]
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 post offices.
(a) Introduction--(1) Coverage. This section establishes the rules
governing the Postal Service's consideration of whether an existing post
office should be discontinued. The rules cover any proposal to replace a
post office with a community post office, station or branch,
consolidation with another post office, and any proposal to discontinue
a post office without providing a replacement facility.
(2) Legal requirements. Under 39 U.S.C. 404(b), any decision to
close or consolidate a post office must be based on certain criteria.
These include the effect on the community served; the effect on
employees of the post office; 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 post office to
[[Page 84]]
evaluate the proposal and provide comments.
(ii) After public comments are received and taken into account, any
final determination to close or consolidate a post office 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 post office 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 the affected post office
may appeal the decision to the Postal Rate Commission.
(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 by 39 U.S.C. 404(b)(5) to make a
determination on the appeal no later than 120 days after receiving the
appeal.
(vii) The following is a summary table of the notice and appeal
periods under the statute for these regulations.
[GRAPHIC] [TIFF OMITTED] TR09JN94.001
(3) 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 a district manager, Customer
[[Page 85]]
Service and Sales, to propose the discontinuance of a particular post
office are fully articulated and disclosed at a stage that enables
customer participation to make a helpful contribution toward the final
decision.
(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 post office should be the ZIP Code of the
facility providing replacement service to that address. In some cases,
the ZIP Code originally assigned to the discontinued post office may be
kept, if the responsible district manager, Customer Service and Sales,
submits a request with justification to Address Management, Postal
Service Headquarters, before the proposal to discontinue the post office
is posted.
(i) In a consolidation, the ZIP Code for the replacement community
post office, station, or branch is either (A) the ZIP Code originally
assigned to the discontinued post office, or (B) the ZIP Code of the
replacement facility's parent post office, whichever provides the most
expeditious distribution and delivery of mail addressed to the customers
of the replacement facility.
(ii) If the ZIP Code is changed and the parent post office covers
several ZIP Codes, the ZIP Code must be that of the delivery area within
which the facility is located.
(3) Post office name in address. If all the delivery addresses using
the name of the post office to be discontinued are assigned the same ZIP
Code, customers may continue to use the discontinued post office name in
their addresses, instead of the new delivering post office name.
(4) Name of facility established by consolidation. If a post office
to be discontinued is consolidated with one or more other post offices
by establishing in its place a community post office, classified or
contract station, or branch affiliated with another post office involved
in the consolidation, the replacement unit is given the same name of the
discontinued post office.
(5) List of discontinued post offices. Publication 65, National
Five-Digit ZIP Code and Post Office Directory, lists all post offices
discontinued after March 14, 1977, for mailing address purposes only if
they are used in addresses. The ZIP Codes listed for discontinued
offices are those assigned under this subsection.
(c) Initial proposal--(1) In general. If a district manager,
Customer Service and Sales, believes that the discontinuance of a post
office within his or her responsibility may be warranted, the manager:
(i) Must use the standards and procedures in Sec. 241.3 (c) and (d).
(ii) Must investigate the situation.
(iii) May propose the post office be discontinued.
(2) Consolidation. The proposed action may include a consolidation
of post offices to substitute a community post office or a classified or
contract station or branch for the discontinued post office if:
(i) The communities served by two or more post offices are being
merged into a single incorporated village, town, or city; or
(ii) A replacement facility is necessary for regular and effective
service to the area served by the post office considered for
discontinuance.
(3) Views of postmasters. Whether the discontinuance under
consideration involves a consolidation or not, the district manager,
Customer Service and Sales, must discuss the matter with the postmaster
(or the officer in charge) of the post office considered for
discontinuance, and with the postmaster of any other post office
affected by the change. The manager should make sure that these
officials submit written comments and suggestions as part of the record
when the proposal is reviewed.
(4) Preparation of written proposal. The district manager, Customer
Service and Sales, must gather and preserve for the record all
documentation used to assess the proposed change. If the manager thinks
the proposed action is warranted, he or she must prepare a document
titled ``Proposal to (Close) (Consolidate) the (Name) Post Office.''
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
[[Page 86]]
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 the postmaster, supervisors, and other
employees of the post office considered for discontinuance. (The
district manager, Customer Service and Sales, must suggest measures to
comply with personnel regulations related to post office discontinuance
and consolidation.)
(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, Customer Service and Sales,
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 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 notice: ``This
Is A Proposal. It Is Not A Final Determination To (Close) (Consolidate)
This Post Office.''
(A) If a final determination is made to close or consolidate this
post office, after public comments on this proposal are received and
taken into account, a notice of that final determination must be posted
in this post office.
(B) The final determination must contain instructions on how
affected customers may appeal that decision to the Postal Rate
Commission. Any such appeal must be received by the Commission within 30
days of the posting of the final determination.
(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 in each affected post office.
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 post offices.
(iii) Provide a name and telephone number to call for information.
(2) Proposal and comment notice. The following is a sample format
that may be used for the proposal and comment notice.
[[Page 87]]
[GRAPHIC] [TIFF OMITTED] TR09JN94.002
(3) Other steps. In addition to providing notice and inviting
comment, the district manager, Customer Service and Sales, must take any
other steps necessary to ensure that the persons served by the affected
post office understand the nature and implications of the proposed
action (e.g., meeting with community groups and following up on comments
received that seem to be based on incorrect assumptions or information).
(i) If oral contacts develop views or information not previously
documented, whether favorable or unfavorable to the proposal, the
district manager, Customer Service and Sales, 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, Customer Service and Sales, may not rely
[[Page 88]]
on communications received from anyone unless submitted in writing for
the record.
(4) Record. The district manager, Customer Service and Sales, must
keep as part of the record for his or her consideration and for review
by the chief marketing officer/senior vice president all the
documentation gathered about the proposed change.
(i) The record must include all information that the district
manager, Customer Service and Sales, considered, and the decision must
stand on the record. No 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 post office proposed for
discontinuance or at the post office providing alternative service, if
the office to be discontinued was temporarily suspended, beginning no
later than the date on which notice is posted and extending through the
comment period.
(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
the Administrative Support Manual (ASM) Sec. 352.6.
(e) Consideration of public comments and final local
recommendation--(1) Analysis of comments. After waiting not less than 60
days after notice is posted under Sec. 241.3(d)(1) the district manager,
Customer Service and Sales, 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, Customer Service and Sales, 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, Customer
Service and Sales, decides against the proposed discontinuance, he or
she must post, in the post office considered for discontinuance, a
notice stating that the proposed closing or consolidation is not
warranted.
(ii) Discontinuance warranted. If the district manager, Customer
Service and Sales, 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 manager must:
(A) Forward the revised proposal and the entire record to the chief
marketing officer/senior vice president for final review.
(B) Attach a certificate that all documents in the record are
originals or true and correct copies.
(f) Postal Service decision--(1) In general. The chief marketing
officer/senior vice president or a designee must review the proposal of
the district manager, Customer Service and Sales. This review and the
decision on the proposal must be based on and supported by the record
developed by the district manager, Customer Service and Sales. The chief
marketing officer/senior vice president can instruct the district
manager to provide more information to supplement the record. Each such
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 below.
(2) Approval. The chief marketing officer/senior vice president or a
designee may approve the proposal of the district manager, Customer
Service and
[[Page 89]]
Sales, with or without further revisions. If approved, 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(b). The Final Determination must include the
following notices:
(i) Supporting materials. ``Copies of all materials on which this
Final Determination is based are available for public inspection at the
(Name) Post Office during normal office hours.''
(ii) Appeal rights. ``This Final Determination to (close)
(consolidate) the (name) Post Office may be appealed by any person
served by that office to the Postal Rate Commission. Any appeal must be
received by the Commission within 30 days of the date this Final
Determination was posted. If an appeal is filed, copies of appeal
documents prepared by the Postal Rate Commission, or the parties to the
appeal, must be made available for public inspection at the (name) Post
Office during normal office hours.''
(3) Disapproval. The chief marketing officer/senior vice president
or a designee may disapprove the proposal of the district manager,
Customer Service and Sales, and return it and the record to the manager
with written reasons for disapproval. The manager must post a notice in
each affected post office that the proposed closing or consolidation has
been determined to be unwarranted.
(4) Return for further action. The chief marketing officer/senior
vice president or a designee may return the proposal of the district
manager, Customer Service and Sales, 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 chief marketing officer/senior 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 post office. The district manager, Customer
Service and Sales, must:
(i) Provide notice of the Final Determination by posting a copy
prominently in the affected post office or offices. The date of posting
must be noted on the first page of the posted copy as follows:
``Date of posting:''
The district manager, Customer Service and Sales, must notify the
chief marketing officer/senior vice president in writing of the date of
posting.
(ii) Ensure that a copy of the completed record is available for
public inspection during normal business hours at each post office 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 the ASM 352.6.
(2) Implementation of determinations not appealed. If no appeal is
filed pursuant to 39 U.S.C. 404(b)(5), the official closing date of the
office must be published in the Postal Bulletin, effective the first
Saturday 90 days after the Final Determination was posted. A district
manager, Customer Service and Sales, may request a different date for
official discontinuance in the Post Office Change Announcement document
submitted to the chief marketing officer/senior vice president. However,
the post office may not be discontinued sooner than 60 days after the
posting of the notice required by Sec. 241.3(g)(1).
(3) Actions during appeal--(i) Implementation of discontinuance. If
an appeal is filed, only the chief marketing officer/senior vice
president may direct a discontinuance before disposition of the appeal.
However, the post office may not be discontinued sooner than 60 days
after the posting of notice required by Sec. 241.3(g)(1).
(ii) Display of appeal documents. Classification and Customer
Service, Postal Service General Counsel, must provide the district
manager, Customer Service and Sales, with copies of all pleadings,
notices, orders, briefs, and opinions filed in the appeal proceeding.
(A) The district manager must ensure that copies of all these
documents are prominently displayed and available for public inspection
in the post office
[[Page 90]]
to be discontinued. If the operation of that post office has been
suspended, the manager must display copies in the affected post offices.
(B) All documents except the Postal Rate 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 for 30 days.
(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 the first Saturday 90 days after the
Commission renders its opinion, if not previously implemented under
Sec. 241.3(g)(3)(i). However, the post office may not be discontinued
sooner than 60 days after 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 chief
marketing officer/senior vice president must direct that either (A)
notice be provided under Sec. 241.3(f)(3) that the proposed
discontinuance is determined not to be warranted or (B) the matter be
returned to an appropriate stage under these regulations for further
consideration following such instructions as the chief marketing
officer/senior vice president may provide.
[59 FR 29725, June 9, 1994, as amended at 60 FR 32273, June 21, 1995]
Sec. 241.4 Expansion, relocation, and construction of post offices
(a) Application. (1) This section applies when the Postal Service
contemplates any one of the following projects that provides retail
services to customers: expansion, relocation to another existing
building, or new construction, except when the project is to meet an
emergency requirement or is for temporary use.
(2) This section does not apply when the project under consideration
is limited to repair and alterations, such as:
(i) Painting, no matter how extensive;
(ii) Repairs, no matter how extensive;
(iii) Replacement or upgrade of structural or functional elements of
a postal building or of its equipment, no matter how extensive the work;
(iv) Paving, striping, or other repair of parking areas;
(v) Landscaping.
(b) Purpose. The purpose of the procedures required by this section
is to ensure increased opportunities for members of the communities who
may be affected by certain Postal Service 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.
(c) Expansion, relocation, new construction. When an expansion,
relocation, or new construction of a retail facility (whether leased or
owned) is planned, 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 elective office) at least 45
days before any public advertising. During the visit, the postal
representatives will:
(i) Describe the project fully, 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 that will be either owned or
leased.
(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 Postal Service will schedule
a public hearing concerning the project and will advertise the hearing
in a local general circulation newspaper.
(iv) Give the local officials a letter describing the intended
project.
[[Page 91]]
(2) Notify the lessor of the affected facility in writing.
(3) Send an initial appropriate press release to local news media.
(4) Except as provided herein, 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 known at the time that the existing
facility is not able to be expanded or that expansion is impracticable,
that fact will be disclosed and the project file documented as to the
reasons expansion is not possible or practical. Exception: If
circumstances prevent postal representatives from attending or
conducting a public meeting or hearing on the planned project within a
reasonable time, the Postal Service must distribute a notification card
to all affected customers, seeking their comment or other feedback. In
addition, if the decision is to distribute notification cards, the
project file must document the circumstances that prevented postal
representatives from conducting or attending a public hearing or meeting
within a reasonable time; in no event shall a lack of public interest or
objection constitute a qualifying circumstance.
(5) Review comments and notify local officials of decision. After
the date of the most recent public meeting or the date of distribution
of notification cards, make a decision (e.g., relocation to another
building, new construction, or expansion of the existing facility) that
takes into account community input and is consistent with prudent
business practices and postal objectives, and notify local officials in
writing. Take no action on the decision for at least 15 days following
notification of local officials.
(6) Advertise for sites and existing buildings, in accordance with
the decision.
(d) New site or existing buildings--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 13006, and, through it, Executive Order 12072.
Therefore, when the decision is to relocate to another existing
building, that building will be selected in accordance with Section 106
of the National Historic Preservation Act and applicable provisions of
the executive orders identified above.
(2) When the decision is to advertise for sites and existing
buildings, once such sites have been identified, advise local officials
of all contending sites and with respect to all sites not selected,
provide an explanation.
(3) Once a site or existing building has been selected, notify local
officials of the selection decision.
(4) Take no final action to acquire or lease the new location for 15
days.
(e) Planning, zoning, building codes. It is the policy of the Postal
Service to comply with local planning and zoning requirements and
building codes to the maximum extent feasible consistent with postal
needs and objectives. To promote a partnership with local officials and
ensure conformance with local building codes, plans and drawings will be
sent to appropriate building department or other officials for 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.
(f) Continuing communication. During construction, whether
renovation or new construction, the postmaster will keep local officials
and the community informed via letters and news releases. The postmaster
and other postal officials will plan, conduct, and invite the community
and local officials to any ``grand opening.''
[63 FR 25166, May 7, 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
[[Page 92]]
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]
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 255--ACCESS OF HANDICAPPED PERSONS TO POSTAL SERVICES, PROGRAMS, FACILITIES, AND EMPLOYMENT--Table of Contents
Sec.
255.1 Discrimination against handicapped persons prohibited.
255.2 Special arrangements for postal services.
255.3 Access to postal facilities.
[[Page 93]]
255.4 Other postal regulations; authority of postal officials and
employees.
Authority: 39 U.S.C. 101, 401, 403, 1001, 1003, 3403, 3404; 29
U.S.C. 791, 794.
Source: 50 FR 14102, Apr. 10, 1985, unless otherwise noted.
Sec. 255.1 Discrimination against handicapped persons prohibited.
(a) Policy. Postal Service policy is to comply fully with sections
501 and 504 of the Rehabilitation Act of 1973, and other applicable
laws. Accordingly, no otherwise qualified handicapped individual shall,
solely by reason of his or her handicap, be excluded from participation
in, be denied the benefits of, or be subjected to discrimination under,
any program or activity operated by the Postal Service, or in
employment.
(b) Definition. For purposes of paragraph (a) of this section, the
term handicapped applies to a person who has, has a record of, or is
regarded as having, a physical or mental impairment which substantially
limits one or more of such person's major life activities.
(c) Customer Service Complaints--(1) How made. Handicapped customers
who believe that they have been discriminated against in the provision
of postal services or programs should file a written complaint with
their local postmasters or other local postal official responsible for
such services or programs. The customer should provide, or be willing to
provide upon request, sufficient information regarding the matter to
permit a complete examination of all of the relevant circumstances
concerning the complaint.
(2) Resolution. A local official receiving a complaint by a
handicapped customer about access to postal programs and services must
process it in accordance with this part. The official should review the
complaint, and consult with the district office as needed, to determine
if corrective action is necessary. Corrective action can include a
special arrangement for postal services under Sec. 255.2, or a
discretionary retrofit to the facility under Sec. 255.3. The decision
about which corrective action to take, if any, should be made within the
time limits set forth in paragraph (c)(3), or sooner if possible.
(3) Time Limits. If a complaint cannot be resolved within fifteen
(15) days the customer must be sent a written acknowledgment of the
receipt of the complaint. If the complaint cannot be resolved within
thirty (30) days of its receipt, the customer must be sent an interim
report in writing, including a statement of when the matter is expected
to be resolved. Whenever it appears that a complaint cannot be resolved
within sixty (60) days of its receipt, a written report and explanation
must be submitted to the appropriate district manager. Local managers
may prescribe shorter time limits for complaint responses within their
area of responsibility by memorandum or other appropriate written
directive.
(4) Automatic review. If the local official proposes to deny a
request or complaint by a handicapped customer for a special arrangement
or the alteration of a facility, the proposed decision shall be
submitted to the appropriate district manager. The customer must be
notified in writing of the approved decision.
(5) Exhaustion of administrative remedies. If a customer service
complaint filed under this paragraph (c) is not resolved within 60 days
of its receipt, the customer may seek relief in any other appropriate
forum, including the right to appeal to the Customer Advocate in
accordance with Postal Operations Manual 166. The Postal Service may
continue to consider the complaint after the expiration of the 60 day
period.
(d) Postal Employment. Discrimination against otherwise qualified
handicapped postal employees or job applicants is prohibited, under
section 501 of the Rehabilitation Act of 1973, 29 U.S.C. 791, and by
implementing regulations promulgated by the Equal Employment Opportunity
Commission and the Postal Service. Complaints of discrimination against
handicapped applicants or employees may be made in accordance with the
procedures prescribed in the Employee and Labor Relations Manual (ELM)
concerning Equal Employment Opportunity, which apply to discrimination
against handicapped persons.
[50 FR 14102, Apr. 10, 1985, as amended at 62 FR 66996, 66997, Dec. 23,
1997]
[[Page 94]]
Sec. 255.2 Special arrangements for postal services.
(a) Policy. The Postal Service offers all of its services to all of
its customers without discrimination. Customers who would have
difficulty using or be unable to use certain 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
customer is required to use any special arrangement offered by the
Postal Service, but a customer's refusal to make use of such special
arrangement does not require the Postal Service to offer other special
arrangements to that customer.
(1) Carrier Delivery Services and Programs. See Postal Operations
Manual 631.42.
(2) Postal Retail Services and Programs--(i) Stamps by mail, phone,
or on consignment. See Postal Operations Manual 151-153.
(ii) Retail Service from Rural Carriers. See Postal Operations
Manual 652-653.
(iii) Self-Service Postal Centers. Self-Service Postal Centers
(SSPCs) contain vending equipment for the sale of stamps and stamp
items, and parcel and letter deposit boxes. See Postal Operations Manual
145.6. Many SSPCs are accessible to individuals in wheelchairs.
Customers may obtain information concerning the nearest such SSPC from
their local post office.
(iv) Postage-free mailing for certain mailings. See Domestic Mail
Manual E040, Administrative Support Manual 274.24, and International
Mail Manual 250.
(b) Inquiries and Requests--(1) How made: Customers wishing further
information about special arrangements for particular postal services
may contact the postmaster or other local postal official responsible
for such service.
(2) Response to Customer Request or Complaint for a Special
Arrangement. A local official receiving a request or complaint seeking a
special arrangement must provide the customers with any such arrangement
as may be required by postal regulations. If no special arrangements are
required, the postal official, in consultation with the district office
as needed, may provide a special arrangement or take any action that
will accommodate the customer, including, among others, performing a
discretionary retrofit, providing curb or home delivery, or directing
the customer to a nearby accessible facility, if he or she determines
the arrangement or action would be reasonable, practical, and consistent
with the economical and proper operation of the particular program or
activity.
[50 FR 14102, Apr. 10, 1985, as amended at 62 FR 66997, Dec. 23, 1997]
Sec. 255.3 Access to postal facilities.
(a) Policy-- (1) Legal and policy requirements. Where the design
standards of the Architectural Barriers Act (ABA) of 1968 do not apply,
the Postal Service may perform a retrofit to the facility for a
handicapped customer in accordance with this part.
(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 given to:
(i) The cost of the discretionary modification;
(ii) The number of customers 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) If the facility is leased, whether the lease would require the
Postal Service to restore the premises to their original condition at
the expiration of the lease, and, if so, the possible cost of such
restoration;
(vi) The historic or architectural significance of the property in
accordance with paragraph (a)(4) of this section;
(vii) The availability of other options to foster service
accessibility; and
(viii) Any other factor that may be relevant and appropriate to the
decision.
(b) Inquiries and Requests--(1) How made. Inquiries concerning
access to
[[Page 95]]
postal facilities, and requests for discretionary alterations of postal
facilities not covered by the access standards, may be made to the local
postmaster or to the manager of the facility involved.
(2) Response to customer request or complaint for an alteration to a
facility. If a local official determines, in consultation with the
district office as needed, that modification to meet ABA standards is
not required, 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 official
should determine if the customer can be provided a special arrangement
under Sec. 255.2.
[50 FR 14102, Apr. 10, 1985, as amended at 62 FR 66997, Dec. 23, 1997]
Sec. 255.4 Other postal regulations; authority of postal officials and employees.
This part 255 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 official 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. Officials or employees receiving complaints which they lack
authority to resolve must promptly refer any such complaint to a higher-
level or more appropriate official or employee, and at the same time
must notify the customer of the name of the person who is handling the
complaint.
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 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
[[Page 96]]
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]
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
[[Page 97]]
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 224.1(f) assigns to the Postal Service Records Office,
located under Finance 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 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]
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, Payroll Accounting and Records, administers the
Postal Service records and information management program through a
Headquarters organizational component and records office coordinators in
the finance function of area and district offices.
(b) 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.
[40 FR 45721, Oct. 2, 1975, as amended at 44 FR 51223, Aug. 31, 1979; 60
FR 57344, Nov. 15, 1995]
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.
[[Page 98]]
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) 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.
(b) Manager, Payroll Accounting and Records. The official
responsible for the retention, security, and privacy of Postal Service
records with the power to authorize the disclosure of such records and
to order their disposal by 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 or procedure arise.
(c) 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.
[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
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 USPS 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.
[[Page 99]]
(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 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
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
[[Page 100]]
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]
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.
(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 retention schedules.
263.5 Records disposal.
263.6 Inquiries.
Authority: 39 U.S.C. 401.
Source: 40 FR 45722, Oct. 2, 1975, unless otherwise noted.