Privacy Act of 1974, System of Records, 32382-32385 [05-11007]

Agencies

• Postal Service

[Federal Register Volume 70, Number 105 (Thursday, June 2, 2005)]
[Notices]
[Pages 32382-32385]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 05-11007]


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POSTAL SERVICE


Privacy Act of 1974, System of Records

AGENCY: Postal Service.

ACTION: Notice of new system of records.

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SUMMARY: The Postal ServiceTM proposes a new Privacy Act 
system of records. The system of records relates to name and address 
files the Postal Service plans to maintain for the purpose of improving 
the accuracy of mail piece addresses and mail delivery. The files will 
contain name and address data provided by mailers, where the address 
contains a minor error, as well as the associated correct address 
provided by the Postal Service. The files will allow the Postal Service 
to eliminate repeated corrections of address records. Extensive privacy 
and security safeguards have been implemented as described in this 
notice.

DATES: Any interested party may submit written comments on the proposed 
system of records. This proposal will become effective without further 
notice on July 5, 2005, unless comments received on or before that date 
result in a contrary determination.

ADDRESSES: Written comments on this proposal should be mailed or 
delivered to the Records Office, United States Postal Service, 475 
L'Enfant Plaza, SW., Room 5846, Washington, DC 20260. Copies of all 
written comments will be available at the above address for public 
inspection and photocopying between 8 a.m. and 4 p.m., Monday through 
Friday.

FOR FURTHER INFORMATION CONTACT: Privacy Office, United States Postal 
Service, 475 L'Enfant Plaza SW., Room 10407, Washington, DC 20260-2200.

SUPPLEMENTARY INFORMATION:

Introduction

    In this notice, the Postal Service proposes a new system of 
records: USPS 800.200, Address Element Correction Enhanced Service 
(AECES). The new system of records supports the Postal Service's goal 
to improve mail processing and delivery service for customers by 
increasing the proportion

[[Page 32383]]

of mail that is properly addressed. The AECES program is the next 
generation of address element correction services offered to mailers. 
The program serves to correct mailers' address lists that contain minor 
address errors. Minor address errors occur where one or more address 
elements are inaccurate. Examples include incorrect or transposed 
letters in a street name, missing directionals such as north or south, 
or abbreviations that prevent accurate bar coding. Through AECES, the 
Postal Service will be able to improve the speed and accuracy of mail 
delivery, and avoid repetitive correction of the same customer record 
at the delivery unit level. Comprehensive safeguards have been 
established to ensure the protection of all personally identifiable 
information. The Postal Service does not anticipate any adverse effects 
on the privacy rights of customers resulting from operation of AECES.
    Described below are: (I) The background of mail processing and 
existing programs; (II) the rationale for the new program and expected 
benefits; and (III) the extensive privacy and security controls for 
AECES.

I. Background

    The Postal Service is committed to its fundamental mission to 
provide timely and reliable mail delivery to all households and 
businesses in all communities across the nation. It is also committed 
to ensuring the highest levels of privacy and security for customers 
and their mail. The Postal Service's trusted brand is based on these 
values.
    The Postal Service delivers 206 billion pieces of mail to over 142 
million households and businesses. According to the Census Department, 
14.8% of the U.S. population relocates every year, which results in the 
redirection of 3.3 billion pieces of First-Class Mail[reg]. In 
addition, approximately 1.8 million new addresses are added to the 
postal delivery network each year. As service levels improve and the 
delivery network expands, the Postal Service seeks to use enhanced 
technology to improve mail processing and provide better customer 
satisfaction. The Postal Service, mailers, and consumers depend on the 
completeness and accuracy of addresses. Mail pieces, when properly 
addressed, can be delivered efficiently and accurately to the intended 
recipient.
    To facilitate accuracy and speed of delivery, the Postal Service 
maintains a database of addresses known as the Address Management 
System (AMS). AMS contains all delivery points for mail as reported by 
delivery unit personnel. Postal Service personnel continue to update 
AMS as new addresses arise based upon letter carrier knowledge. AMS 
supports automated mail processing by enabling the Postal Service to 
bar code and sort mail, including to its correct delivery point for 
certain mail classes. Bar coded mail can be processed on automated 
sorting equipment rather than by manual or mechanized operations. 
Without a match with an AMS address, even due to minor discrepancies 
such as transposed characters, the Postal Service cannot be certain of 
the exact delivery address through machine recognition. The Postal 
Service must then take additional manual steps to try to locate the 
address, which may result in delays or problems in delivery.
    If a mail piece cannot be bar coded and sorted to its correct 
delivery point via automation, it is sent to the distribution clerk at 
the delivery unit that processes mail for the corresponding ZIP 
CodeTM . The clerk manually sorts the mail piece to the 
carrier whose route the clerk believes includes the address. The letter 
carrier receives the mail piece and reviews the address to determine if 
it corresponds to a delivery point on his or her route. If it does, the 
carrier places the mail piece in the proper sequence for the route. If 
it does not, the carrier looks at the addressee's name to see if he or 
she recognizes it as a customer on the route. If the carrier recognizes 
the name, the carrier delivers the mail piece in the proper sequence 
that day. However, if the carrier does not recognize the address or 
name, he or she identifies the mail piece as undeliverable as 
addressed, and it is returned to the sender or disposed of depending on 
the class of mail.
    If the Postal Service is able to locate the right address and the 
mailer has endorsed the mail piece appropriately, the Postal Service 
will send the mailer the correct information, although there is no 
certainty the mailer will correct its mailing list. The above process 
can occur repeatedly when the same or different mailers send subsequent 
mail pieces with the same inaccurate address. The Postal Service 
currently does not use technology that would allow it to avoid 
repeating the same errors.
    The Postal Service currently uses two existing programs to correct 
addresses that contain minor errors. Under the first, the current 
Address Element Correction service (AEC), mailers submit to the Postal 
Service mailing lists with problem addresses--addresses the mailer 
knows have an error or problem. The lists may include names or 
simplified addressee designations, such as Occupant or Postal Customer, 
in addition to the addresses. Mailers base these lists on sophisticated 
modeling which examines such items as mail that gets returned to 
sender, has incomplete bar coding, or is ineligible for postage 
discounts. The Postal Service runs the lists against the AEC computer 
program, which uses computer logic to correct common misspellings and 
other usage errors. For example, if an address on a mail piece is 3117 
WWETMONT CT, AEC will correct the spelling in the address to WESTMONT. 
The Postal Service returns the corrected lists to the mailer. As a 
result, a greater percentage of the mailer's mail will be properly 
addressed.
    The second program, Electronic Uncoded Address Resolution Service 
(eUARS), involves change of address requests submitted by customers 
that contain minor address errors. The Postal Service receives and 
processes over 44 million change of address (COA) orders from customers 
each year. The eUARS system is used to improve address quality of COA 
records where a new address provided by the customer is faulty or 
incomplete. On a weekly basis, the Postal Service enters into the eUARS 
system the change of address orders that cannot be recognized to a 
delivery point. The eUARS system is then accessed by employees at local 
delivery units. The employees review the entries, and either correct 
the errors to match an actual delivery point, or, if they are unable to 
determine the correct address, indicate the record is undeliverable as 
addressed. This aspect of address element correction, including COA 
order processing and eUARS, is covered by Privacy Act system of records 
USPS 800.000, Address Change, Mail Forwarding, and Related Services.

II. Rationale for Address Element Correction Enhanced Service (AECES)

    The Postal Service proposes to implement AECES as a tool to 
increase the percentage of properly addressed mail pieces. AECES is an 
enhanced service that will be available to mailers to correct minor 
errors in addresses that are not correctable by existing programs. 
Under the AECES program, like AEC, mailers will provide the Postal 
Service with a list of names and bad addresses. The list will include 
names or simplified addressees such as occupant or postal customer, and 
address elements including street number and name, city, and state. The 
Postal Service will enter names and problem addresses that cannot be 
corrected by AEC into eUARS. Employees at local delivery units will 
review the bad addresses and

[[Page 32384]]

will enter in eUARS either the known corrected addresses, or indicate a 
reason why mail cannot be delivered, such as the address does not exist 
or is incomplete or illegible. Names are used only as an additional 
tool if the right address cannot be determined from the inaccurate 
address. For example, two records may vary only by the absence of a 
pre-directional, such as north or south, in which case the customer 
name helps the delivery unit personnel determine the correct address. 
The Postal Service will then provide corrected addresses to the mailer 
via secure transmission. This will allow the mailer to address future 
mail pieces accurately, which ensures efficient and accurate delivery 
of those pieces.
    In addition to correcting a mailer's inaccurate addresses, AECES 
has other benefits as well. AECES allows the Postal Service and mailers 
(either the same mailer who neglects to update its files or other 
mailers that have the same inaccurate addresses) to efficiently correct 
the inaccuracy for future mailings, so that delivery units are not 
asked to correct the same bad address repeatedly.
    Once an address is corrected via eUARS, the Postal Service will 
have a record that associates an inaccurate address with a correct one. 
The Postal Service will use this record to create an AECES Update File. 
The File will include names, inaccurate addresses, and correct 
addresses. The first of these two pieces of information, the name and 
inaccurate address, will be stored exclusively in a hash format known 
as a Secure Hash Algorithm 1 (SHA-1). The information in the hash will 
only be available, to the Postal Service or mailers, based on a match 
that includes the exact name and exact address error. This will ensure 
that mailers whose lists are processed under AECES will only receive 
corrected information if they truly have the original inaccurate 
address. The Postal Service will provide the mailer only the corrected 
address, or a reason mail cannot be delivered to the address.
    After implementation of AECES, when a mailer submits its list of 
names and inaccurate addresses, the Postal Service will submit the list 
first through AEC, then AECES. Corrections will be provided to the 
mailer to update its list. Each correction by delivery unit personnel 
will be entered into the AECES Update File. In this way, fewer bad 
addresses will have to return to eUARS and the delivery unit again for 
repeated correction.
    AECES will add benefits to the address element correction process 
not currently offered by the other two programs. AEC relies solely on 
computer logic routines to correct bad addresses, whereas AECES uses 
actual customer names and addresses received from the mailers and 
knowledgeable Postal Service personnel. AECES broadens the scope of 
eUARS to handle other existing bad addresses, not just faulty COA data. 
The value of the AECES Update File will increase over time as more 
corrected records are compiled. The correction rate is expected to 
increase as the file grows. AEC alone has shown an accumulated 
resolution rate of 30.5%. The Postal Service anticipates that 80% of 
records submitted by mailers will be resolved through address element 
correction programs including AECES. The improvement in correction 
capability translates directly to improved accuracy and delivery of the 
mail. In addition, the Update File will provide increasing efficiencies 
by avoiding repetitive corrective actions and manual handling by Postal 
Service personnel.

III. Privacy and Security Safeguards for AECES

    The Postal Service has established comprehensive safeguards to 
protect the privacy and security of names and addresses compiled under 
AECES. This includes records contained in eUARS and the AECES Update 
File. The following describes key aspects of the Privacy Act system, 
including limitations on the use of data covered by the system, 
extensive security safeguards, and limitations on external disclosures.

Limitations on Use

    Names and addresses maintained under the AECES Program will be used 
only for the purposes described in this notice and for no other 
purpose. Names, incorrect addresses, and associated correct addresses 
or reasons for nondelivery are the only information maintained for this 
program.

Safeguards

    The Postal Service will implement AECES using comprehensive data 
security techniques. Names and addresses that can be read by delivery 
unit personnel in clear text form in eUARS are only maintained until 
the record is corrected, but under no circumstance will the record be 
maintained longer than 104 days. After 104 days, an address record 
obtained under AECES is permanently deleted from eUARS. Access to 
records is limited to Postal Service personnel whose official duties 
require such access. User IDs and personal identification numbers are 
required to access eUARS.
    The Postal Service also provides extensive protections for data in 
the AECES Update File. This includes extensive measures to ensure that 
mailers cannot use AECES to fish for address information. Mailers' 
address lists cannot be corrected through the Update File unless they 
contain a name (not a simplified addressee designation) and an address 
that contains all required elements, including a street number and 
street name. Through use of the following procedures, information 
cannot be obtained from the AECES Update File without an exact match to 
both the name and inaccurate address. The Postal Service will process 
and safeguard names and incorrect addresses stored in the Update File 
using a Secure Hash Algorithm (SHA-1). This technique creates a signed 
and encrypted data structure for the record which may only be retrieved 
using the encryption key. The name and incorrect address is converted 
using SHA-1, resulting in an irreversible digital signature that is 
stored with the corrected address provided from eUARS. The only way to 
access the name and incorrect address, and thereby obtain the corrected 
address, is to query the AECES Update File with the SHA-1 
representation of the identical name and incorrect address. Both the 
SHA-1 representation and the corrected address will be stored within 
the Postal Service infrastructure in accordance with Postal Service 
security procedures, and the corrected address will be encrypted before 
transmittal to mailers.
    Postal Service computer applications such as AECES operate on a 
secure data communications network used exclusively by the Postal 
Service. Computer platforms used by the Postal Service for its 
applications are subjected to a rigorous certification and 
accreditation process to assure lifecycle security.

Disclosures

    The Postal Service limits disclosure under this proposed system of 
records to the standard routine uses applicable to other customer 
systems of records as published in the Federal Register. The Postal 
Service has also established a special routine use to authorize 
disclosures of corrected addresses back to the mailer. The only 
information the Postal Service will transmit to the mailer, besides 
returning its name and address lists, will be either corrected 
addresses or the reason mail cannot be delivered to a given address.

[[Page 32385]]

Summary

    The Postal Service seeks to improve the accuracy of mail delivery 
and reduce the volume of undeliverable as addressed mail. Based on its 
extensive experience, the Postal Service considers that the AECES 
program is an appropriate and effective method to increase the accuracy 
and timeliness of mail delivery. The Postal Service proposes to 
maintain names and addresses under the AECES Program for this purpose, 
and has established effective safeguards to protect the information and 
prevent any other use.
    For the reasons stated above, the Postal Service does not expect 
this notice to have any adverse effect on individual privacy rights. 
Pursuant to 5 U.S.C. 552a(e)(11), interested persons are invited to 
submit written data, views or arguments on this proposal. A report of 
the proposed system has been sent to Congress and to the Office of 
Management and Budget for their evaluations.
USPS 800.200

System Name:
    Address Element Correction Enhanced Service (AECES).

System Location:
    USPS National Customer Support Center (NCSC).

Categories of Individuals Covered by the System:
    Customers whose corrected addresses are maintained to avoid 
repetitive correction by USPS personnel.

Categories of Records in the System:
    1. Customer information: name, incorrect address, and correct 
address.
    2. Delivery information: reason mail cannot be delivered to an 
address.

Authority for Maintenance of the System:
    39 U.S.C. 401, 403, and 404.

Purpose(s):
    To provide address element correction services to increase the rate 
of properly addressed mail and improve delivery service to customers.

ROUTINE USES OF RECORDS IN THE SYSTEM, INCLUDING CATEGORIES OF USERS 
AND THE PURPOSES OF SUCH USES:
    Standard routine uses 1 through 7, 10, and 11 apply. In addition:
    a. Disclosure of a customer's corrected address or reason for 
nondelivery may be made to a mailer only if the mailer is in possession 
of the customer's address which contains a minor error.
    All routine uses are subject to the following exception: A record 
concerning an individual who has filed an appropriate protective court 
order with the postmaster/CFS Manager will not be disclosed under any 
routine use except pursuant to the order of a court of competent 
jurisdiction.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records in the System:
Storage:
    Automated databases.

Retrievability:
    By name, correct or incorrect address, or by Secure Hash Algorithm 
1 technique, which is a combination of name and incorrect address.

Safeguards:
    Paper records, computers, and computer storage media are located in 
controlled-access areas under supervision of program personnel. Access 
to these areas is limited to authorized personnel, who must be 
identified with a badge.
    Access to records is limited to individuals whose official duties 
require such access. Contractors and licensees are subject to contract 
controls and unannounced on-site audits and inspections. Computers are 
protected by mechanical locks, card key systems, or other physical 
access control methods. The use of computer systems is regulated with 
installed security software, computer logon identifications, and 
operating system controls including access controls, terminal and 
transaction logging, and file management software.
    Computer applications operate on a secure data communications 
network used exclusively by the Postal Service.
    Secure hash algorithm 1 (SHA-1) encryption is used for the stored 
representation of an Update File of name and incorrect address records. 
The Update File is not commingled with any other agency records or 
databases.

Retention and Disposal:
    1. Records pending correction are retained no longer than 104 days.
    2. Records in the Update File are retained 7 years from the last 
affirmative match.
    Records existing on paper are disposed of or destroyed. Records 
existing on computer storage media are destroyed according to the 
applicable USPS media sanitization practice.

System Manager(s) and Address:
    Senior Vice President, Intelligent Mail and Address Quality, United 
States Postal Service, 475 L'Enfant Plaza SW., Washington, DC 20260. 
Vice President, Delivery and Retail, United States Postal Service, 475 
L'Enfant Plaza SW., Washington, DC 20260.

Notification Procedure:
    Customers wanting to know if information about them is maintained 
in this system of records should address inquiries to: Manager, 
National Customer Support Center, United States Postal Service, 6060 
Primacy Parkway, Memphis, TN 38188. Inquiries should include full name, 
address, and ZIP Code. All known representations of incorrect name and/
or address must be submitted in order to retrieve data to provide to 
the customer.

Record Access Procedures:
    Requests for access must be made in accordance with the 
Notification Procedure above and USPS Privacy Act regulations regarding 
access to records and verification of identity under 39 CFR 266.6.

Contesting Record Procedures:
    See Notification Procedure and Record Access Procedures above.

Record Source Categories:
    USPS employees and mailers.

Neva Watson,
Attorney, Legislative.
[FR Doc. 05-11007 Filed 6-1-05; 8:45 am]
BILLING CODE 7710-12-P