Federal Register / Vol. 86, No. 157 / Wednesday, August 18, 2021 / Notices 46281 

1See Docket No. RM2018–3, Order Adopting 

Final Rules Relating to Non-Public Information, 

June 27, 2018, Attachment A at 19–22 (Order No. 

4679). 

(Public Representative). Section II also 

establishes comment deadline(s) 

pertaining to each request. 

The public portions of the Postal 

Service’s request(s) can be accessed via 

the Commission’s website (http://

www.prc.gov). Non-public portions of 

the Postal Service’s request(s), if any, 

can be accessed through compliance 

with the requirements of 39 CFR 

3011.301.1

The Commission invites comments on 

whether the Postal Service’s request(s) 

in the captioned docket(s) are consistent 

with the policies of title 39. For 

request(s) that the Postal Service states 

concern market dominant product(s), 

applicable statutory and regulatory 

requirements include 39 U.S.C. 3622, 39 

U.S.C. 3642, 39 CFR part 3030, and 39 

CFR part 3040, subpart B. For request(s) 

that the Postal Service states concern 

competitive product(s), applicable 

statutory and regulatory requirements 

include 39 U.S.C. 3632, 39 U.S.C. 3633, 

39 U.S.C. 3642, 39 CFR part 3035, and 

39 CFR part 3040, subpart B. Comment 

deadline(s) for each request appear in 

section II. 

II. Docketed Proceeding(s) 

1. Docket No(s): CP2020–234; Filing 

Title: Notice of the United States Postal 

Service of Filing Modification One to 

Global Reseller Expedited Package 2 

Negotiated Service Agreement; Filing 

Acceptance Date: August 12, 2021; 

Filing Authority: 39 CFR 3035.105; 

Public Representative: Gregory Stanton; 

Comments Due: August 20, 2021. 

This Notice will be published in the 

Federal Register. 

Erica A. Barker, 

Secretary. 

[FR Doc. 2021–17695 Filed 8–17–21; 8:45 am] 

BILLING CODE 7710–FW–P 

POSTAL SERVICE 

Privacy Act of 1974; System of 

Records 

AGENCY: Postal ServiceTM. 

ACTION: Notice of modified systems of 

records. 

SUMMARY: The United States Postal 

Service® (Postal Service) is proposing to 

modify several General Privacy Act 

Systems of Records (SOR) to support 

improved communication efforts within 

USPS Human Resources employee 

applications or systems, to sponsor and 

support a voluntary wellness challenge 

and program initiative for employees to 

promote fitness and health, and to 

reflect recent organizational changes. 

DATES: These revisions will become 

effective without further notice on 

September 17, 2021, unless, in response 

to comments received on or before that 

date result in a contrary determination. 

ADDRESSES: Comments may be 

submitted via email to the Privacy and 

Records Management Office, United 

States Postal Service Headquarters 

(privacy@usps.gov). To facilitate public 

inspection, arrangements to view copies 

of any written comments received will 

be made upon request. 

FOR FURTHER INFORMATION CONTACT: 

Janine Castorina, Chief Privacy and 

Records Management Officer, Privacy 

and Records Management Office, 202– 

268–3069 or privacy@usps.gov. 

SUPPLEMENTARY INFORMATION: This 

notice is in accordance with the Privacy 

Act requirement that agencies publish 

their systems of records in the Federal 

Register when there is a revision, 

change, or addition, or when the agency 

establishes a new system of records. The 

Postal Service is proposing revisions to 

existing systems of records (SOR) to 

facilitate improved employee 

communication efforts, to support a 

voluntary wellness challenge and 

program initiative for employees, and to 

update system manager titles consistent 

with the current organizational structure 

of the Postal Service. 

I. Background 

The Postal Service utilizes a modern 

integrated Human Resources technology 

system to help optimize, manage, and 

develop the Postal Service workforce to 

meet identified business needs. It 

contains modules for learning, 

succession planning, performance 

evaluation, compensation, recruiting/ 

on-boarding and analytical reporting. 

The Postal Service is also developing 

a voluntary wellness initiative to assist 

participating employees in achieving 

their individual wellness goals. The 

voluntary wellness challenges and 

programs initiative is designed to 

provide motivation and enhanced 

engagement to participating employees 

that have expressed interest in 

improving their health or achieving 

wellness goals through the use of 

individual or team challenges and 

related wellness programs. 

The wellness initiative will track and 

report challenge activities and 

summarize outcomes during each 

program cycle period using anonymous 

designations for individual employees. 

For example, participant alias names 

will be used in all wellness program 

dashboard participant input and activity 

reporting to protect the privacy of 

individuals. In addition, at the end of 

each program cycle, top tier final results 

and/or random prize winners (when 

applicable) will be reported only after 

obtaining individual employee 

permission. 

II. Rationale for Changes to USPS 

Privacy Act Systems of Records 

The Postal Service is proposing 

modifications to USPS SOR 100.000, 

General Personnel Records, USPS SOR 

100.100, Recruiting, Examining, and 

Placement Records, USPS SOR 100.300, 

Employee Development and Training 

Records and USPS SOR 100.400, 

Personnel Compensation and Payroll 

Records to facilitate improved 

communication to employees. Human 

Resources requires the need to capture 

and store an employee’s personal email 

and phone number for both pre-hire and 

after the effective date of the 

appointment in order to: 

Communicate relevant Human 

Resource information to employees. 

Communicate with employees about 

human resource related topics, 

employment, and gather feedback 

through surveys. Communicate with 

employees regarding training 

assignments and requirements both 

prior to and after effective date of 

employment or placement. 

New purposes are also being added to 

SOR 100.300, Employee Development 

and Training Records to reflect 

enhanced capabilities and functionality 

for the USPS career learning and 

development portal. This portal 

provides a collaborative employee 

forum that promotes information 

sharing and cross-functional 

participation. Opportunities are also 

provided for sharpening professional 

skills and abilities, along with personal 

development. 

New purposes are being added to SOR 

100.400, Personnel Compensation and 

Payroll Records, in support of both 

improved communication efforts and 

the Voluntary Wellness Challenge and 

Program initiative described above. In 

addition, Categories of Records, Source 

Record Categories and Retention time 

for records related to the Wellness 

Challenge and Program participation are 

being modified to support the initiative 

and align with two new purposes for 

program administration, along with 

tracking activities and reporting 

summary results. 

Finally, the Postal Service is 

proposing administrative changes for 

system managers within the four SORs 


jbell on DSKJLSW7X2PROD with NOTICES
46282 Federal Register / Vol. 86, No. 157 / Wednesday, August 18, 2021 / Notices 

included in this Federal Register Notice 

to reflect recent organizational changes. 

III. Description of the Modified Systems 

of Records 

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 

revisions to these SORs has been sent to 

Congress and to the Office of 

Management and Budget for their 

evaluations. The Postal Service does not 

expect that these modified systems of 

records will have any adverse effect on 

individual privacy rights. Accordingly, 

for the reasons stated above, the Postal 

Service proposes revisions to these four 

systems of records as follows: 

SYSTEM NAME AND NUMBER: 

USPS 100.000 General Personnel 

Records. 

SECURITY CLASSIFICATION: 

None. 

SYSTEM LOCATION: 

All USPS facilities and personnel 

offices; Integrated Business Solutions 

Services Centers; National Personnel 

Records Center; Human Resources 

Information Systems; Human Resources 

Shared Services Center; Headquarters; 

Computer Operations Service Centers; 

and contractor sites. 

SYSTEM MANAGER(S) AND ADDRESS: 

Vice President, Human Resources, 

United States Postal Service, 475 

L’Enfant Plaza SW, Washington, DC 

20260. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

39 U.S.C. 401, 410, 1001, 1005, and 

1206. 

PURPOSE(S) OF THE SYSTEM: 

1. To determine suitability for 

employment. 

2. To provide managers, HR 

personnel, and medical officers with 

information for recruiting and 

recommending appointment of qualified 

individuals. 

3. To facilitate communication 

between the Postal Service and 

individual employees, new hires and 

applicants, including current and 

former employees. 

4. To share relevant information and 

topics about the Postal Service with 

individual employees, new hires and 

applicants, including current and 

former employees. 

5. To gather voluntary feedback from 

individual employees, new hires and 

applicants, including current and 

former employees. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Current and former USPS employees, 

retirees, new hires, applicants for 

employment, and potential applicants 

with candidate profiles. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

1. Current and former USPS 

employee’s information, retirees, new 

hires, applicants, and potential 

applicants with candidate profiles: 

Name(s), Social Security Number(s), 

Candidate Identification Number, 

Employee Identification Number, date(s) 

of birth, postal assignment or vacancy/ 

job posting history information, work 

contact information, home address(es) 

and phone number(s), SMS text message 

number, personal email address, finance 

number(s), duty location, and pay 

location. 

2. Pre-employment investigation 

information: Records compiled by 

USPS, including criminal, employment, 

military, and driving records; drug 

screening and medical assessment 

results. Also includes Special Agency 

Check with Inquiries (SACI) and 

National Agency Check with Inquiry 

(NACI): Investigative records requested 

by USPS and compiled by the Office of 

Personnel Management (OPM) for newly 

hired employees, including postal 

inspectors’ investigative reports. 

3. Recruiting, examining, and 

placement information: Records related 

to candidate profiles, applications, test 

results, interview documentation, and 

suitability screening. 

RECORD SOURCE CATEGORIES: 

Applicants; potential applicants with 

candidate profiles; OPM; police, 

driving, and military records; former 

employers and named references; 

medical service providers; school 

officials; other federal agencies; and 

state divisions of vocational 

rehabilitation counselors. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

Standard routine uses 1. through 9. 

apply. 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Automated database, computer 

storage media, digital files, and paper 

files. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

By applicant or employee name, 

Social Security Number, Candidate 

Identification Number, Employee 

Identification Number, duty or pay 

location, or posting/vacancy to which 

application was made. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

1. Preemployment investigation 

records are retained 10 years from the 

date the individual is initially found 

suitable for employment, or 10 years 

from the date action was taken to deny 

or terminate employment. 

2. Candidate information and 

Candidate Identification Number are 

retained for a minimum of 2 years. 

Vacancy files, including applicant/ 

employee name, identification number, 

posting/vacancy number, and 

information supplied by applicant/ 

employee in response to the vacancy 

posting, are retained 5 years. 

Employment registers are retained 10 

years. Certain forms related to a 

successful applicant are filed in the 

electronic Official Personnel Folder as 

permanent records. 

3. Paper examining answer sheets are 

retained 6 months; and computer media 

copies are retained 10 years. Scanned 

Maintenance Selection System forms are 

retained 10 years, and related hiring 

lists are retained 5 years. 

Records existing on paper are 

destroyed by burning, pulping, or 

shredding. Records existing on 

computer storage media are destroyed 

according to the applicable USPS media 

sanitization practice. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL

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. 

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 266.5. 


jbell on DSKJLSW7X2PROD with NOTICES
Federal Register / Vol. 86, No. 157 / Wednesday, August 18, 2021 / Notices 46283 

CONTESTING RECORD PROCEDURES: 

See Notification Procedures below 

and Record Access Procedures above. 

NOTIFICATION PROCEDURES: 

Individuals wanting to know if 

information about them is maintained in 

this system must address inquiries to 

Human Resources Shared Services 

Center, P.O. Box 970400, Greensboro, 

NC 27497–0400. Inquiries must include 

full name, Candidate Identification 

Number (as provided during the 

application process) or Employee 

Identification Number, name and 

address of facility where last employed, 

and dates of USPS employment or date 

of application. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

Pursuant to 5 U.S.C. 552a(j) and (k), 

USPS has established regulations at 39 

CFR 266.9 that exempt records in this 

system depending on their purpose. 

HISTORY: 

February 25, 2019, 84 FR 6022; 

January 26, 2018, 83 FR 3777; July 19, 

2013, 78 FR 43247; February 22, 2013, 

78 FR 12368; June 17, 2011, 76 FR 

35483; April 29, 2005, 70 FR 22516. 

* * * * * 

Attorney, Federal Compliance. 

SYSTEM NAME AND NUMBER: 

USPS 100.100 Recruiting, Examining, 

and Placement Records. 

SECURITY CLASSIFICATION: 

None. 

SYSTEM LOCATION: 

Pre-employment investigation records 

are located at USPS Human Resources 

(HR) offices and contractor locations, 

except for drug screening and medical 

examination records, which are 

maintained in USPS medical facilities 

and designee offices. 

Recruiting, examining, and placement 

records are located at USPS HR offices, 

Headquarters, Human Resources Shared 

Services Center, Integrated Business 

Solutions Services Centers, the Bolger 

Center for Leadership Development, the 

National Center for Employee 

Development, and contractor locations. 

SYSTEM MANAGER(S) AND ADDRESS: 

Vice President, Human Resources, 

United States Postal Service, 475 

L’Enfant Plaza SW, Washington, DC 

20260. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

39 U.S.C. 401, 410, 1001, 1005, and 

1206. 

PURPOSE(S) OF THE SYSTEM: 

1. To determine suitability for 

employment. 

2. To provide managers, HR 

personnel, and medical officers with 

information for recruiting and 

recommending appointment of qualified 

individuals. 

3. To administer the USPS fleet card 

program used to purchase commercial 

fuel and oil, maintenance repair, 

polishing and washing, servicing, 

shuttling, and towing. 

4. To facilitate communication 

between the Postal Service and 

individual employees, new hires and 

applicants, including current and 

former employees. 

5. To share relevant information and 

topics about the Postal Service with 

individual employees, new hires and 

applicants, including current and 

former employees. 

6. To gather voluntary feedback from 

individual employees, new hires and 

applicants, including current and 

former employees. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Current and former USPS employees, 

new hires, applicants for employment, 

and potential applicants with candidate 

profiles. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

1. Applicant, potential applicants 

with candidate profiles, and employee 

information: Name(s), Social Security 

Number(s), Candidate Identification 

Number, Employee Identification 

Number, date(s) of birth, postal 

assignment or vacancy/job posting 

history information, work contact 

information, home address(es) and 

phone number(s), SMS text message 

number, personal email address, finance 

number(s), duty location, pay location, 

and Fuel Purchase Fleet Card Personal 

Identification Number (PIN). 

2. Pre-employment investigation 

information: Records compiled by 

USPS, including criminal, employment, 

military, and driving records; drug 

screening and medical assessment 

results. Also includes Special Agency 

Check with Inquiries (SACI) and 

National Agency Check with Inquiry 

(NACI): Investigative records requested 

by USPS and compiled by the Office of 

Personnel Management (OPM) for newly 

hired employees, including postal 

inspectors’ investigative reports. 

3. Recruiting, examining, and 

placement information: Records related 

to candidate profiles, applications, test 

results, interview documentation, and 

suitability screening. 

RECORD SOURCE CATEGORIES: 

Applicants; potential applicants with 

candidate profiles; OPM; police, 

driving, and military records; former 

employers and named references; 

medical service providers; school 

officials; other federal agencies; and 

state divisions of vocational 

rehabilitation counselors. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

Standard routine uses 1. through 9. 

apply. 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Automated database, computer 

storage media, and paper. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

By applicant or employee name, 

Social Security Number, Candidate 

Identification Number, Employee 

Identification Number, duty or pay 

location, or posting/vacancy to which 

application was made, and Fleet Card 

Personal Identification Number (PIN). 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

1. Pre-employment investigation 

records are retained 10 years from the 

date the individual is initially found 

suitable for employment, or 10 years 

from the date action was taken to deny 

or terminate employment. 

2. Candidate information and 

Candidate Identification Number are 

retained for a minimum of 2 years. 

Vacancy files, including applicant/ 

employee name, identification number, 

posting/vacancy number, and 

information supplied by applicant/ 

employee in response to the vacancy 

posting, are retained 5 years. 

Employment registers are retained 10 

years. Certain forms related to a 

successful applicant are filed in the 

electronic Official Personnel Folder as 

permanent records. 

3. Paper examining answer sheets are 

retained 6 months; and computer media 

copies are retained 10 years. Scanned 

Maintenance Selection System forms are 

retained 10 years, and related hiring 

lists are retained 5 years. 

4. Records pertaining to the USPS fuel 

fleet card purchase program are retained 

for 10 years. 

Records existing on paper are 

destroyed by burning, pulping, or 

shredding. Records existing on 

computer storage media are destroyed 

according to the applicable USPS media 

sanitization practice. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL

SAFEGUARDS: 

Paper records, computers, and 

computer storage media are located in 


jbell on DSKJLSW7X2PROD with NOTICES
46284 Federal Register / Vol. 86, No. 157 / Wednesday, August 18, 2021 / Notices 

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. 

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 266.5. 

CONTESTING RECORD PROCEDURES: 

See Notification Procedure and 

Record Access Procedures above. 

NOTIFICATION PROCEDURES: 

Individuals wanting to know if 

information about them is maintained in 

this system must address inquiries to 

Human Resources Shared Services 

Center, P.O. Box 970400, Greensboro, 

NC 27497–0400. Inquiries must include 

full name, Candidate Identification 

Number (as provided during the 

application process) or Employee 

Identification Number, name and 

address of facility where last employed, 

and dates of USPS employment or date 

of application. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

February 25, 2019, 84 FR 6022; July 

19, 2013, 78 FR 43247; June 17, 2011, 

76 FR 35483; April 29, 2005, 70 FR 

22516. 

* * * * * 

Attorney, Federal Compliance. 

SYSTEM NAME AND NUMBER: 

USPS 100.300 Employee 

Development and Training Records. 

SECURITY CLASSIFICATION: 

None. 

SYSTEM LOCATION: 

Management training centers, 

Integrated Business Solutions Services 

Centers, other USPS facilities where 

career development and training records 

are stored, and contractor sites. 

SYSTEM MANAGER(S) AND ADDRESS: 

Vice President, Human Resources, 

United States Postal Service, 475 

L’Enfant Plaza SW, Washington, DC 

20260. 

Vice President, Organization 

Development, United States Postal 

Service, 475 L’Enfant Plaza SW, 

Washington DC 20260. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

39 U.S.C. 401, 410, 1001, 1005, and 

1206. 

PURPOSE(S) OF THE SYSTEM: 

1. To provide managers, supervisors, 

and training and development 

professionals with decision-making 

information for employee career 

development, succession planning, 

training, and assignment. 

2. To make and track employee job 

assignments, to place employees in new 

positions, and to assist in career 

planning and training in general. 

3. To provide statistics for personnel 

and workload management. 

4. To provide employees with an 

online platform that supports individual 

and career development. 

5. To facilitate voluntary information 

sharing through an enhanced employee 

profile tool that highlights individual 

education, knowledge and experience. 

6. To provide employees with 

convenient and flexible online learning 

options. 

7. To create a forum that promotes a 

culture for participation in voluntary 

career development activities and 

opportunities. 

8. To create a readily available source 

of information about current employee 

talents, skills, and abilities. 

9. To communicate with and provide 

notification to individuals about 

training assignments and requirements, 

both prior to and after effective date of 

employment or placement. 

10. To facilitate communication 

between the Postal Service and 

individual employees, new hires and 

applicants, including current and 

former employees. 

11. To share relevant information and 

topics about the Postal Service with 

individual employees, new hires and 

applicants, including current and 

former employees. 

12. To request and gather voluntary 

feedback from individual employees, 

new hires and applicants, including 

current and former employees. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Current and former USPS employees, 

new hires and applicants. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

1. Employee information: Name, 

Social Security Number, Employee 

Identification Number, phone 

number(s), SMS text message number, 

personal email address, demographic 

information, photograph, years of 

service, retirement eligibility, postal 

assignment information, work contact 

information, finance number(s), duty 

location, and pay location. 

2. Employee development and 

training information: Records related to 

career development, work history, 

assessments, skills bank participation, 

USPS- and non-USPS–sponsored 

training, examinations, evaluations of 

training, and USPS lodging when a 

discrepancy report is filed against the 

student about unauthorized activities 

while occupying the room. 

RECORD SOURCE CATEGORIES: 

Employees; employees’ supervisor or 

manager; and other systems of records. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

Standard routine uses 1. through 9. 

apply. 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Automated database, computer 

storage media, digital files, and paper 

files. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

By employee name, Social Security 

Number, or Employee Identification 

Number. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

1. Training records are retained 5 

years. Training-related travel records are 

retained 1 year. 

2. Records related to succession 

planning and individual development 

planning are retained 10 years. 

3. Examination records are retained 1 

year after employee separation. 

4. Skills bank records are retained up 

to 2 years. 

Records existing on paper are 

destroyed by burning, pulping, or 

shredding. Records existing on 

computer storage media are destroyed 

according to the applicable USPS media 

sanitization practice. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL

SAFEGUARDS: 

Paper records, computers, and 

computer storage media are located in 


jbell on DSKJLSW7X2PROD with NOTICES
Federal Register / Vol. 86, No. 157 / Wednesday, August 18, 2021 / Notices 46285 

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. 

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 266.5. 

CONTESTING RECORD PROCEDURES: 

See Notification Procedures below 

and Record Access Procedures above. 

NOTIFICATION PROCEDURES: 

Individuals wanting to know if 

information about them is maintained in 

this system must address inquiries to 

the facility head where currently or last 

employed. Headquarters employees 

must submit inquiries to Corporate 

Personnel Management, 475 L’Enfant 

Plaza SW, Washington, DC 20260. 

Inquiries must include full name, Social 

Security Number or Employee 

Identification Number, name and 

address of facility where last employed, 

and dates of USPS employment. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

Pursuant to 5 U.S.C. 552a(j) and (k), 

USPS has established regulations at 39 

CFR 266.9 that exempt records in this 

system depending on their purpose. The 

USPS has also claimed exemption from 

certain provisions of the Act for several 

of its other systems of records at 39 CFR 

266.9. To the extent that copies of 

exempted records from those other 

systems are incorporated into this 

system, the exemptions applicable to 

the original primary system continue to 

apply to the incorporated records. 

HISTORY: 

July 19, 2013, 78 FR 43247; June 17, 

2011, 76 FR 35483; April 29, 2005, 70 

FR 22516. 

* * * * * 

Attorney, Federal Compliance. 

SYSTEM NAME AND NUMBER: 

USPS 100.400 Personnel 

Compensation and Payroll Records. 

SECURITY CLASSIFICATION: 

None. 

SYSTEM LOCATION: 

USPS Area and District Human 

Resources offices, the Human Resources 

Shared Services Center, Integrated 

Business Solutions Services Centers, 

Computer Operations Services Centers, 

Accounting Services Centers, other area 

and district facilities, USPS 

Headquarters, contractor sites, and all 

organizational units. 

SYSTEM MANAGER(S) AND ADDRESS: 

Deputy Postmaster General and Chief 

Human Resources Officer, United States 

Postal Service, 475 L’Enfant Plaza SW, 

Washington, DC 20260. 

Vice President, Human Resources, 

United States Postal Service, 475 

L’Enfant Plaza SW, Washington, DC 

20260. 

Vice President, Controller, United 

States Postal Service, 475 L’Enfant Plaza 

SW, Washington, DC 20260. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

39 U.S.C. 401, 409, 410, 1001, 1003, 

1004, 1005, and 1206; and 29 U.S.C. 

2601 et seq. 

PURPOSE(S) OF THE SYSTEM: 

1. To support all necessary 

compensation and payroll activities and 

related management functions. 

2. To generate lists of employee 

information for home mailings, dues 

membership, and other personnel 

support functions. 

3. To generate retirement eligibility 

information and analysis of employees 

in various salary ranges. 

4. To administer the purchase of 

uniforms. 

5. To administer monetary awards 

programs and employee contests. 

6. To detect improper payment related 

to injury compensation claims. 

7. To adjudicate employee claims for 

loss or damage to their personal 

property in connection with or incident 

to their postal duties. 

8. To process garnishment of 

employee wages. 

9. To support statistical research and 

reporting. 

10. To generate W–2 and 1095–C 

information for use with external thirdparty tax preparation services at the 

request of the individual employee. 

11. To administer the USPS fleet card 

program used to purchase commercial 

fuel and oil, maintenance repair, 

polishing and washing, servicing, 

shuttling, and towing. 

12. To develop and administer 

voluntary wellness challenges and 

programs to support individual 

employee wellness goals. 

13. To track and summarize voluntary 

wellness challenge activities during 

each program cycle for individual 

employees and employee team 

participants 

14. To facilitate communication 

between the Postal Service and current 

and former employees. 

15. To share relevant information and 

topics about the Postal Service with 

current and former employees. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

1. Current and former USPS 

employees and postmaster relief/leave 

replacement employees. 

2. Current and former employees’ 

family members, beneficiaries, and 

former spouses who apply and qualify 

for benefits. 

3. An agent or survivor of an 

employee who makes a claim for loss or 

damage to personal property. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

1. Employee and family member 

information: Name(s), Social Security 

Number(s), Employee Identification 

Number, ACE ID, date(s) of birth, postal 

assignment information, work contact 

information, home address(es) and 

phone number(s), SMS text message 

number, personal email address, finance 

number(s), occupation code, occupation 

title, duty location, and pay location, 

and Fuel Purchase Fleet Card Personal 

Identification Number (PIN). 

2. Compensation and payroll 

information: Records related to payroll, 

annual salary, hourly rate, Rate 

Schedule Code (RSC) or pay type, 

payments, deductions, compensation, 

and benefits; uniform items purchased; 

proposals and decisions under monetary 

awards; suggestion programs and 

contests; injury compensation; monetary 

claims for personal property loss or 

damage; and garnishment of wages. 

3. Voluntary Employee Wellness 

Participant Challenge and Program 

Tracking and Reporting Activities: Type 

of wellness activity or program, 

wellness activities and points tracked 

and reported, self-selected alias names 

for participants, department or team 

name, work duty location, gender, 

weight, reporting of top tier final results 

and/or prize winners by wellness 

challenge or program with employee 

permission. 


jbell on DSKJLSW7X2PROD with NOTICES
46286 Federal Register / Vol. 86, No. 157 / Wednesday, August 18, 2021 / Notices 

RECORD SOURCE CATEGORIES: 

Employees; employees’ supervisor or 

manager; other systems of records; 

claimants or their survivors or agents 

who make monetary claims; witnesses; 

investigative sources; courts; and 

insurance companies. 

Voluntary employee wellness 

participant challenge and program 

initiative records. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

Standard routine uses 1. through 9. 

apply. In addition: 

(a) Records pertaining to financial 

institutions and to nonfederal insurance 

carriers and benefits providers elected 

by an employee may be disclosed for the 

purposes of salary payment or 

allotments, eligibility determination, 

claims, and payment of benefits. 

(b) Records pertaining to supervisors 

and postmasters may be disclosed to 

supervisory and other managerial 

organizations recognized by USPS. 

(c) Records pertaining to recipients of 

monetary awards may be disclosed to 

the news media when the information is 

of news interest and consistent with the 

public’s right to know. 

(d) Disclosure of records about current 

or former Postal Service employees may 

be made to requesting states under an 

approved computer matching program 

to determine employee participation in, 

and eligibility under, unemployment 

insurance programs administered by the 

states (and by those states to local 

governments), to improve program 

integrity, and to collect debts and 

overpayments owed to those 

governments and their components. 

(e) Disclosure of records about current 

or former Postal Service employees may 

be made to requesting federal agencies 

or nonfederal entities under approved 

computer matching programs to make a 

determination of employee participation 

in, and eligibility under, particular 

benefit programs administered by those 

agencies or entities or by USPS; to 

improve program integrity; to collect 

debts and overpayments owed under 

those programs and to provide 

employees with due process rights prior 

to initiating any salary offset; and to 

identify those employees who are absent 

parents owing child support obligations 

and to collect debts owed as a result. 

(f) Disclosure of records about current 

or former Postal Service employees may 

be made, upon request, to the 

Department of Defense (DoD) under 

approved computer matching programs 

to identify Postal Service employees 

who are ready reservists for the 

purposes of updating DoD’s listings of 

ready reservists and to report reserve 

status information to USPS and the 

Congress; and to identify retired 

military employees who are subject to 

restrictions under the Dual 

Compensation Act and to take 

subsequent actions to reduce military 

retired pay or collect debts and 

overpayments. 

(g) Disclosure of records may be made 

to the Internal Revenue Service under 

approved computer matching programs 

to identify current or former Postal 

Service employees who owe delinquent 

federal taxes or returns and to collect 

the unpaid taxes by levy on the salary 

of those individuals pursuant to Internal 

Revenue Code; and to make a 

determination as to the proper reporting 

of income tax purposes of an employee’s 

wages, expenses, compensation, 

reimbursement, and taxes withheld and 

to take corrective action as warranted. 

(h) Disclosure of the records about 

current or recently terminated Postal 

Service employees may be made to the 

Department of Transportation (DOT) 

under an approved computer matching 

program to identify individuals who 

appear in DOT’s National Driver 

Register Problem Driver Pointer System. 

The matching results are used only to 

determine as a general matter whether 

commercial license suspension 

information within the pointer system 

would be beneficial in making 

selections of USPS motor vehicle and 

tractor-trailer operator personnel and 

will not be used for actual selection 

decisions. 

(i) Disclosure of records about current 

or former Postal Service employees may 

be made to the Department of Health 

and Human Services under an approved 

computer matching program for further 

release to state child support 

enforcement agencies when needed to 

locate noncustodial parents, to establish 

and/or enforce child support 

obligations, and to locate parents who 

may be involved in parental kidnapping 

or child custody cases. 

(j) Disclosure of records about current 

or former Postal Service employees may 

be made to the Department of the 

Treasury under Treasury Offset Program 

computer matching to establish the 

identity of the employee as an 

individual owing a delinquent debt to 

another federal agency and to offset the 

salary of the employee to repay that 

debt. 

(k) Disclosure of employment and 

wage data records about current Postal 

Service employees may be made to the 

Bureau of Labor Statistics for use in 

their Occupational Employment 

Statistics program for the purpose of 

developing estimates of the number of 

jobs in certain occupations, and 

estimates of the wages paid to them. 

(l) Disclosure of W–2 and 1095–C tax 

information records to external thirdparty tax preparation services. 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Automated database, computer 

storage media, digital files, and paper 

files. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

By employee name, Social Security 

Number, Employee Identification 

Number, Fuel Purchase Fleet Card 

Personal Identification Number (PIN), or 

duty or pay location. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

1. Leave application and 

unauthorized overtime records are 

retained 3 years. Time and attendance 

records (other than payroll) and local 

payroll records are retained 3 years. 

Automated payroll records are retained 

10 years. 

2. Uniform allowance case files are 

retained 3 years; and automated records 

are retained 6 years. 

3. Records of monetary awards with a 

status that they have been processed, 

failed processing, cancelled, or reported 

(Service Award Pins, Retirement Service 

Awards, Posthumous Service Awards) 

are retained 7 years, as payroll records 

would have been affected/processed. 

Records of award submissions with the 

status approved, deleted, or as a draft 

are retained 31 days, as payroll records 

would not have been affected/ 

processed. 

4. Records of employee-submitted 

ideas are maintained for 90 days after 

being closed. 

5. Injury compensation records are 

retained 5 years. Records resulting in 

affirmative identifications become part 

of a research case file, which if research 

determines applicability, become either 

part of an investigative case record or a 

remuneration case record that is 

retained 2 years beyond the 

determination. 

6. Monetary claims records are 

retained 3 years. 

7. Automated records of garnishment 

cases are retained 6 months. Records 

located at a Post Office are retained 3 

years. 

8. Overtime administrative records are 

retained for 7 years. 

9. Tax preparation records are limited 

to an employee’s previous year’s wages, 

tax documentation, and health 

insurance coverage as required by the 

Affordable Care Act. 


jbell on DSKJLSW7X2PROD with NOTICES
Federal Register / Vol. 86, No. 157 / Wednesday, August 18, 2021 / Notices 46287 

1 15 U.S.C. 78s(b)(1). 

2 17 CFR 240.19b–4. 

3See Securities Exchange Act Release No. 91952 

(May 20, 2021), 86 FR 28410. 

4 15 U.S.C. 78s(b)(2). 

5See Securities Exchange Act Release No. 92321, 

86 FR 36173 (July 8, 2021). The Commission 

designated August 24, 2021, as the date by which 

the Commission shall approve or disapprove, or 

institute proceedings to determine whether to 

approve or disapprove, the proposed rule change. 

6 In Amendment No. 1, the Exchange: (i) Stated 

that Teucrium Trading, LLC will be the SubAdviser for the Fund; (ii) represented that neither 

the Sponsor nor the Sub-Adviser (as such terms are 

defined below) is registered as a broker-dealer or 

affiliated with a broker-dealer and made additional 

representations with respect to firewalls; (iii) stated 

that the Fund will seek investment results, before 

fees and expenses, that correspond to the 

performance of the Index (as defined below) and 

that the Fund will seek to track the Index over time, 

not just for a single day; (iv) stated that the Sponsor 

or Sub-Adviser determines the type, quantity and 

mix of investments that the Sponsor or Sub-Adviser 

believes, in combination, should provide exposure 

to the Index to seek investment results equal to the 

performance of the Index; (v) stated that the 

Sponsor or Sub-Adviser may cause the Fund to 

invest in VIX Related Positions (as defined below) 

if the market for a specific futures contract 

experiences emergencies or disruptions or in 

situations where the Sponsor or Sub-Adviser deems 

it impractical or inadvisable to buy or sell SPIKES 

futures contracts; (vi) represented that (a) the Fund 

will attempt to limit counterparty risk in uncleared 

swap agreements by entering into such agreements 

only with counterparties the Sponsor and SubAdviser believes are creditworthy and by limiting 

the Fund’s exposure to each counterparty and (b) 

the Sponsor and Sub-Adviser will monitor the 

creditworthiness of each counterparty and the 

Fund’s exposure to each counterparty on an 

ongoing basis; (vii) stated that, with respect to 

halting trading in the Shares, the Exchange may 

consider (a) the extent to which trading is not 

occurring in the securities and/or the financial 

instruments composing the daily disclosed portfolio 

of the Fund; or (b) whether other unusual 

Continued 

10. Records pertaining to the USPS 

fuel fleet card purchase program are 

retained for 10 years. 

11. Records related to voluntary 

wellness challenges and programs will 

be retained for 30 days after the 

conclusion of each challenge or program 

cycle. 

Records existing on paper are 

destroyed by burning, pulping, or 

shredding. Records existing on 

computer storage media are destroyed 

according to the applicable USPS media 

sanitization practice. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL

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. 

For the voluntary employee wellness 

initiative, employees will create their 

own profile and enter their own 

challenge activity progress. Employees 

without access to U.S. Postal Service 

computers and employees voluntarily 

participating in the weight loss 

challenges may opt-in to a manual 

process to have their profile created and 

entries updated by a designated 

wellness challenge coordinator for their 

geographic location. 

Participant alias names will be used 

in all wellness program dashboard 

participant input and activity reporting 

to protect the privacy of individuals. In 

addition, weight loss challenge 

dashboards will only display the 

percentage of weight loss for the 

employee by alias names, rather than 

actual weights. 

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 266.5. 

CONTESTING RECORD PROCEDURES: 

See Notification Procedure and 

Record Access Procedures above. 

NOTIFICATION PROCEDURES: 

Individuals wanting to know if 

information about them is maintained in 

this system must address inquiries to 

the facility head where currently or last 

employed. Headquarters employees 

must submit inquiries to Corporate 

Personnel Management, 475 L’Enfant 

Plaza SW, Washington, DC 20260. 

Inquiries must include full name, Social 

Security Number or Employee 

Identification Number, name and 

address of facility where last employed, 

and dates of USPS employment. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

Records in this system relating to 

injury compensation that have been 

compiled in reasonable anticipation of a 

civil action or proceeding are exempt 

from individual access as permitted by 

5 U.S.C. 552a(d)(5). The USPS has also 

claimed exemption from certain 

provisions of the Act for several of its 

other systems of records at 39 CFR 

266.9. To the extent that copies of 

exempted records from those other 

systems are incorporated into this 

system, the exemptions applicable to 

the original primary system continue to 

apply to the incorporated records. 

HISTORY: 

June 15, 2020, 85 FR 29492; February 

25, 2019, 84 FR 6022; February 23, 

2017, 82 FR 11489; March 2, 2015, 80 

FR 11241; June 17, 2011, 76 FR 35483; 

April 29, 2005, 70 FR 22516. 

Joshua J. Hofer, 

Attorney, Ethics & Legal Compliance. 

[FR Doc. 2021–17250 Filed 8–17–21; 8:45 am] 

BILLING CODE 7710–12–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–92650; File No. SR– 

NYSEArca–2021–29] 

Self-Regulatory Organizations; NYSE 

Arca, Inc.; Notice of Filing of 

Amendment No. 1 and Order Instituting 

Proceedings To Determine Whether To 

Approve or Disapprove a Proposed 

Rule Change, as Modified by 

Amendment No. 1, To List and Trade 

Shares of ConvexityShares 1x SPIKES 

Futures ETF Under NYSE Arca Rule 

8.200–E (Trust Issued Receipts) 

August 12, 2021. 

I. Introduction 

On May 13, 2021, NYSE Arca, Inc. 

(‘‘NYSE Arca’’ or ‘‘Exchange’’) filed 

with the Securities and Exchange 

Commission (‘‘Commission’’), pursuant 

to Section 19(b)(1) of the Securities 

Exchange Act of 1934 (‘‘Act’’ or 

‘‘Exchange Act’’) 1 and Rule 19b–4 

thereunder,2 a proposed rule change to 

list and trade shares (‘‘Shares’’) of the 

ConvexityShares 1x SPIKES Futures 

ETF (‘‘Fund’’), a series of the 

ConvexityShares Trust (‘‘Trust’’), under 

NYSE Arca Rule 8.200–E, Commentary 

.02 (‘‘Trust Issued Receipts’’). The 

proposed rule change was published for 

comment in the Federal Register on 

May 26, 2021.3 On July 2, 2021, 

pursuant to Section 19(b)(2) of the Act,4

the Commission designated a longer 

period within which to approve the 

proposed rule change, disapprove the 

proposed rule change, or institute 

proceedings to determine whether to 

approve or disapprove the proposed 

rule change.5 On July 26, 2021, the 

Exchange filed Amendment No. 1 to the 

proposed rule change, which replaced 

and superseded the proposed rule 

change as originally filed.6 The 


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