Legal ESI & Document Requests
One working procedure for two request paths. It combines SMC setup, OneDrive folder controls, partner routing, system searches, release decisions, redaction, secured email, and final documentation, so every case is processed the same way and every decision traces back to current guidance.
Overview & controlling rule
Read firstCreate an employee folder for every ESI or Document Request. Work only within the employee, date range, and document categories stated on the request form. The current Knowledge Base and approved release guide control whenever this guide and current procedure differ.
Audience
Team members who process ESI and Document Request cases through SMC.
Escalation owner
Brandon or the designated subject matter expert for access, release, redaction, and scope questions.
What governs this work
Current Knowledge Base articles, the approved release guide, the Document Request Form, and the source case.
Primary systems
SMC, OneDrive, ESI DR spreadsheet, HRHD, AE Documents, myHR, THAA Hartford, First Advantage, Kleopatra, and secured email.
Use the Document Request Form as the working scope. Do not search outside the requested dates, send categories that were not selected, or overlook the additional information field at the bottom of the form.
Scope & request types
The core forkTwo request paths run through the same procedure. Identify which one you have before touching a single field, because the source, subcategory, redaction rule, secure-link expiration, and final recipient all depend on it.
ESI Legal ESI request
- SMC subcategory
- UPS Legal
- Employee folder
- ESI folder, unless Workers Compensation is selected (then ESI-WC)
- Redaction
- PII redaction is not required for a response to UPS Legal, subject to current guidance
- Secure expiration
- 30 days
- Final recipient
- Send to the legal requestor on the case and copy the other listed legal partner
DR Field Document Request
- SMC subcategory
- HR, Risk Management, or Labor Request, per the source
- Employee folder
- ESI folder, unless Workers Compensation is selected (then ESI-WC)
- Redaction
- Redact PII on the request form and responsive documents before sending
- Secure expiration
- 7 days
- Final recipient
- Send to the requestor shown on the case
Each employee request requires its own case, attached Document Request Form, employee folder, tracking entry, search record, and completed response. One form, one employee, one case.
End-to-end workflow
10 stepsEvery case moves through the same ten steps. Each step carries an action, the evidence to record, and a control point that must hold before you move on.
Review the incoming case
Confirm the request source, employee, employee ID, attached form, selected categories, dates, and additional instructions.
Classify & assign the SMC case
Complete the required SMC fields, assign the case, select Work in Progress, and check Internal.
Create the employee folder
Create the folder in ESI or ESI-WC per the Workers Compensation selection and save the request form.
Add the tracking entry
Add only the categories selected on the form to the DR ESI 2026 spreadsheet.
Route partner work
Send post-2017 leave requests to Hartford through the case and Workers Compensation to I/A. Pull other categories through approved systems.
Plan the approved search
Use the request dates and KB0089845 to identify every system that may contain responsive records.
Retrieve & evaluate records
Search each approved system, review multiple entries when present, and compare each record with the release rules.
Redact & prepare summaries
Redact field Document Requests, preserve the ESI legal rule, and create date summaries where complete source records cannot be shared.
Assemble & send securely
Place only approved files in the final folder and send through secured email with the correct expiration and recipients.
Complete the SMC record
Download partner documents into the employee folder, document every action, and update the case status.
Required systems, links & Knowledge Base
Setup checkThe trainer should provide every bookmarked resource used during case processing. Confirm that each link opens, every required application appears, and the trainee can complete a test search before independent work begins. Report missing permissions to Brandon for review.
3.1 System & access matrix
| System or resource | Primary use | Access / control check |
|---|---|---|
| SMC | Locate, classify, assign, route, document, and complete cases | Trainee can open assigned cases, download attachments, email partners, and update fields |
| OneDrive Shared folders | Create employee folders, separate WC requests, maintain the final response set | Access to both the ESI and ESI-WC folder locations |
| DR ESI 2026 spreadsheet | Track requested categories and case progress | Add only categories selected on the request form |
| HRHD | Search historical records that predate myHR | Trainee understands when older records require HRHD |
| Workday | Verify employee ID, status, original hire date, termination date | Complete one active and one former employee training search |
| AE Applicant Metadata & AE Documents | Locate JobappID entries and retrieve responsive forms | Employee ID search, folder access, cloud bucket access, download permissions |
| Kleopatra | Decrypt saved PGP form packages from AE Documents | Decrypt Verify and Save All functions work |
| Fountain | Retrieve approved responsive records through the legal request procedure | Follow KB0167637, section 3 |
| myHR | Current employment, leave, examination, and other approved information | Trainee can search the employee and requested dates |
| THAA Hartford | Review leave claims and obtain approved partner records | Access, and ability to distinguish FMLA from short-term disability |
| First Advantage | Background check information, including applicable drug and alcohol records | Application appears and employee searches work |
| DLT & other approved systems | WC, ASAP, LDPP, lactation, examination, or another directed category | Trainee understands the category-specific search rule |
| Shared mailbox | Compose approved partner and final response messages | Send access and the correct mailbox procedure |
| Secured email | Deliver final ESI and Document Request files | Access, and ability to set the correct expiration |
3.2 Knowledge Base reference matrix
| Article | Use in this workflow |
|---|---|
| KB0089790 | Document Request release rules: files that may be shared, and information that may be provided without releasing the source file |
| KB0089710 | AE Documents access and retrieval procedure |
| KB0167637 | Legal request procedure, Fountain instructions, and partner routing for Hartford and I/A |
| KB0089845 | Date-based guidance for identifying which system may contain the requested record |
| KB0089920 | First Advantage background check procedure |
Save the current release guide with a descriptive title in the shared training location. Remove obsolete copies when guidance changes so processors do not select records from an outdated list.
Intake & SMC case setup
4.1 Review & download the Document Request Form
Open the SMC case and review the complete request before changing fields. Read the existing case history and notes for prior searches, partner responses, missing records, or related requests. Scroll to the bottom of the case and move right until the download arrow appears. Download the attached form, confirm it belongs to one employee, and review the selected categories, requested dates, and additional information field.
4.2 Verify the employee record
Search Workday using the employee ID and confirm the employee name, current status, original hire date, and termination date when applicable. A former employee may not appear in the standard name search, so use the employee ID as the controlling identifier. Compare the request form, Workday record, and SMC case before saving any employee field, and document any identity or status discrepancy before continuing.
4.3 Complete the SMC fields
| SMC field | Required entry |
|---|---|
| Subject Person | Select the employee and add the employee ID. When no result appears for a former employee, enter UPS Former Employee America and complete the Candidate EmployeeID field below it. |
| Category | Document Request |
| Subcategory | UPS Legal only for Robert Dressler or Richard Pawlyk. Otherwise HR, Risk Management, or Labor Request per the case source. |
| Short Description | Document Request, employee name, and employee ID. Update this field for ESI cases. Add BG after the employee ID when the case is background-check only. |
| State | Work in Progress |
| Assigned to | The processor handling the case |
| Internal | Check the Internal box |
When the name does not appear because the person has been terminated for some time, enter UPS Former Employee America. Complete the Candidate EmployeeID field beneath it and compare the ID with Workday or the approved employment record before saving.
4.4 Background check & related tracking
A background check request and an HREC request may appear on the same form. Confirm whether a related HREC case or spreadsheet entry exists before creating another tracking entry. Enter the employee name and SMC case number in the tracking spreadsheet. When a related HREC entry exists, use BG to distinguish the background check work, and add BG after the employee ID in the SMC short description for a background-check-only case.
A separate authorization form is not required when UPS Legal is the requesting party, subject to current procedure. Confirm the requester and request type before applying this rule.
4.5 Save the case & preserve scope
Save the case from the upper right after the required fields are complete. Add only the categories selected on the form to the DR ESI 2026 spreadsheet. Use the request dates as the search boundary, preserve any additional instructions shown at the bottom of the form, and document discrepancies before beginning the search.
Employee folder & partner routing
5.1 Create the employee folder
| Condition | What to do |
|---|---|
| Workers Compensation selected | Create the folder inside ESI-WC and save the request form there |
| Workers Compensation not selected | Create the folder inside ESI and save the request form there |
| Request form subject line is blank | Save the form using EmployeeID_Employee Name |
| Partner records returned through SMC | Download each responsive file from the case into the correct employee folder |
5.2 Route records that partners must provide
| Requested record | Routing action | Where it goes |
|---|---|---|
| Leave forms after 2017 | Email Hartford through the SMC case using KB0167637 | Hartford adds documents to the case. Download them into the employee folder and document the receipt. |
| Workers Compensation, any dates | Email I/A through the SMC case using KB0167637 | I/A adds documents to the WC file and updates the case with documents added or no records located. |
| All other selected categories | Retrieve through the approved internal systems | Save responsive files in the employee folder and document each search result. |
5.3 Send the partner email from SMC
Select Email near the upper-right of the SMC case. Remove the default name from the To field and copy the current recipients from KB0167637. Hartford uses one listed recipient. I/A uses three listed recipients and includes the supervisor as a copied recipient. Remove the default body template, paste the current Knowledge Base template, update every required field, and attach the request form from the case. When the case contains more than one attachment, select the form that shows the employee name. Send the message and record the partner, sent date, requested category, and attachment in the case note.
Hartford and I/A responses remain part of the SMC record. Download responsive partner files into the correct employee folder before final review, and record when the partner reports that no responsive documents exist.
Search planning & release decisions
Use the current release guide, KB0089790, KB0089845, and the Document Request Form before opening employee records. The date guide identifies which system may hold the requested period. The release guide distinguishes files that may be shared from information that may be reported without releasing a source file. The request form controls the employee, categories, dates, and additional instructions.
The release decision, question by question
| Decision question | Required response |
|---|---|
| Is the record within the requested dates? | Exclude information before or after the stated period unless the form provides a separate instruction. |
| Was the category selected on the form? | Search and report only the selected category. Keep unrequested categories outside the final response. |
| Is the record responsive? | Compare the content with the request language and additional information field. |
| May the file itself be shared? | Confirm the document appears on the current release list for the request source and purpose. |
| May only information be shared? | Prepare the approved date or status summary without attaching the restricted source file. |
| Does the request require redaction? | Apply the ESI or Document Request rule and review the saved file. |
| Is the record type unfamiliar? | Keep it outside the response and consult the Knowledge Base or designated SME. |
| Was no responsive record located? | Record the system searched, date range, search result, and any supported reason for unavailability. |
Record category procedures
7.1 Background checks & First Advantage
Open First Advantage through the approved application list and follow KB0089920. Search by the employee information on the request. Review the original hire date before concluding a record is missing, because older hires may lack a background record. Document the result and continue through other approved sources when none appears.
7.2 Examination records
Use myHR, SMC, and First Advantage Background for current examination research, including applicable drug and alcohol information. Use HRHD for records that predate myHR. Search only the dates and examination categories on the form, and document each system searched and every result.
7.4 Fountain records
Use the Fountain procedure in KB0167637, section 3, when the request includes responsive Fountain material. Compare the record with the requested category and dates, apply the request-specific redaction rule before adding the file, and document when responsive records cannot be located.
7.5 Hartford FMLA & short-term disability
For leave after 2017, send to Hartford through the case; download the returned files into the folder. Review every claim and confirm FMLA or short-term disability. Provide only approved FMLA usage records. For short-term disability, verify approved dates and enter only permitted dates into a Word summary instead of releasing the complete claim record. Remove unrelated Hartford material.
7.6 Workers Compensation & I/A
Route every WC request to I/A through the case, regardless of dates. Create the folder in ESI-WC and preserve the form there. I/A adds responsive documents to the WC file and updates the case. Download any attachments into the folder and document the outcome.
7.7 Leave letters & confirmations
The response may confirm a leave existed when current guidance permits. Nine-month or twelve-month letters may be provided when they exist and release is authorized. Do not list a letter absent from the record. Verify every date and status against the approved source.
7.8 ADA & religious accommodations
Confirm whether the employee had an ADA accommodation case; an ADA agreement or regional determination letter may be included when rules permit. Review related AE or Fountain forms under the request-specific redaction rule. For religious accommodation, provide only permitted confirmation or documentation, never infer one existed, and escalate any unclear release decision.
7.9 Other approved categories
ASAP, LDPP, lactation, employment, examination, and leave-usage records require category-specific review. Use DLT or another approved system when the request and procedure direct that search. Verify every category separately and document why an available record is excluded. Presence of a record does not establish permission to release it.
7.10 Unfamiliar documents
Keep unfamiliar documents outside the final response until purpose and release status are confirmed. Prior notes flagged a Request for Service Authorization as needing review. Check the current Knowledge Base, release guide, or designated SME, and document the final decision and supporting procedure in the case.
AE Applicant Metadata & Kleopatra retrieval
Most exacting stepOpen AE Applicant Metadata and search by employee ID. Identify every forms folder number and JobappID associated with the employee. Multiple JobappID entries may exist, and each entry must be pulled and reviewed because requested forms may appear in one entry and not another. Follow KB0089710 throughout.
Search metadata by employee ID
Search AE Applicant Metadata by employee ID and record each forms folder number and JobappID.
Open the cloud bucket
Open Google Cloud Storage, select the ae_documents_prod bucket, and open the applicable forms folder.
Filter by JobappID
Enter the JobappID in the Filter field. Confirm the correct folder number when no result appears.
Save the forms package
Right-click Forms at the bottom and select Save link as. Choose Downloads.
Fix the extension
Change the file extension from pdf to pgp. Set Save as type to All Files and save the package.
Repeat for every entry
Repeat the download for every AE Applicant Metadata entry associated with the employee.
Decrypt in Kleopatra
Open Kleopatra and select Decrypt Verify. Select the saved PGP packages in Downloads. Multiple packages may be processed together.
Save all results
Open the selected files, use Save All for the blue-shaded result boxes, and select Yes when prompted to save each form.
Select only requested forms
Open the resulting PDF files in Downloads. Use the request form to identify and select only the forms requested.
When the package saved with a pdf extension instead of pgp, return to ae_documents_prod and repeat the save step before continuing in Kleopatra. Each forms folder may contain roughly thirty to fifty forms, so review the contents against the request form rather than copying the complete package.
Redaction & manual summary controls
8.1 Manual summary standard
Use a Word summary when the current procedure permits approved dates or status information while restricting the complete source record. Identify the employee and approved category, enter only the permitted information, and compare every entry with the source. Save the summary in the employee folder with a descriptive file name, and keep the underlying source outside the send folder when it is not approved for release.
Redaction rules by control & request type
| Item | Document Request | ESI | Verification evidence |
|---|---|---|---|
| Request form PII | Redact before sending the form or response to a field requestor | Redaction not required for a response to UPS Legal under the source procedure | Final folder contains the correct version for the request type |
| Responsive AE / Fountain files | Redact protected information before release to a field requestor | Use the unredacted file when permitted for UPS Legal | Processor opened and reviewed the saved file |
| Hartford source claims | Release only permitted FMLA usage or approved information | Follow the current legal release rule for the selected category | Unrelated claim records remain outside the final folder |
| Short-term disability dates | Create the approved Word date summary when the source cannot be shared | Create the summary when current legal guidance requires it | Dates match the source and no extra claim information appears |
| Draft & source files | Remove unredacted copies, drafts, PGP packages, unrelated records, superseded summaries | Remove drafts and unrelated files from the send folder | Final folder contains only the approved response set |
A visible box does not confirm a completed redaction. Open the saved file, review the complete page, and confirm that protected content cannot be read before the file enters the response folder.
Response assembly & secured email
9.1 Build the final response folder
Compare the employee folder with the Document Request Form and current release guide. Keep only files that match the employee, selected categories, requested dates, request type, and additional instructions. Remove partner correspondence, PGP packages, drafts, unredacted copies that do not belong, unrelated Hartford material, and superseded summaries. Use descriptive attachment names that match the SMC note.
9.2 Send through secured email
| Request type | Secure expiration | Recipient rule |
|---|---|---|
| Document Request | 7 days | Send to the requestor shown on the SMC case |
| ESI | 30 days | Send to the legal requestor who made the case and copy the other listed legal partner |
[Requestor name],
Please find the requested information for the employee attached.
[Processor name]
ATA Admin, Global HR Shared Services
[Processor email]
The source example uses Jackie Carter and jacqulyncarter@ups.com. Replace those fields with the assigned processor information before sending.
9.3 Final email review
Review the requestor name, recipient address, copied recipient, expiration, employee, subject, secure attachment set, and case number. Confirm that every attachment opens and contains the intended employee record. Compare the final file names with the case note before sending, and record the sent date, destination, expiration, and response contents after delivery.
SMC documentation & completion
Return to the SMC case after partner routing, record retrieval, and final delivery. Document the systems searched, dates reviewed, records located, records not located, excluded categories, redactions, manual summaries, partner communications, secure email delivery, and final attachment names. Update the state according to the current workflow, including Awaiting Acceptance when that status applies. Confirm that the case history, OneDrive folder, and DR ESI 2026 spreadsheet describe the same work.
Reviewed the [ESI or Document Request] case for [employee name and ID]. Confirmed the requested categories and dates, created the [ESI or ESI-WC] employee folder, saved the request form, and updated the DR ESI 2026 spreadsheet. Searched [systems], routed [categories] to [Hartford or I/A], located [records], completed [redactions or summaries], and documented records not located in [systems]. Sent the approved response through secured email to [recipient] with a [7 or 30] day expiration on [date], recorded the final attachments, and moved the case to [status].
10.1 Partner response note
When Hartford or I/A adds documents to the case, identify the partner, received date, selected category, and downloaded file names. Record when the partner states that no responsive employee documents exist. Confirm that returned files were moved into the correct employee folder, and preserve the partner response in the case history.
Final quality review
Interactive checklistThe reviewer compares the request form, SMC case, spreadsheet entry, employee folder, partner responses, and secured email package. Every search and release decision should trace to the current Knowledge Base and selected request scope. Work each item, then confirm, correct, escalate, or remove before the response is sent or the case is closed. Your progress is saved in this browser.
- Request source & typeESI or DR source, requestor, employee, case, and due date confirmed
- Request form scopeOne employee, selected categories, date range, and additional information confirmed
- SMC fieldsSubject Person, Category, Subcategory, Short Description, State, Assigned to, Internal correct
- Former employee entryUPS Former Employee America and Candidate EmployeeID used when required
- Employee folderStored in ESI or ESI-WC per the Workers Compensation selection
- Spreadsheet entryOnly selected categories appear, and BG used when applicable
- Partner routingPost-2017 leave went to Hartford and Workers Compensation went to I/A
- Search completenessEvery approved system and multiple AE JobappID entry has a documented result
- Release eligibilityEvery final record or summary is permitted for this request source and purpose
- Date boundariesNo response content falls outside the requested dates
- Redaction ruleFinal files follow the field Document Request or UPS Legal ESI rule
- Manual summariesDates and approved information match the source records
- Final folder controlDrafts, PGP packages, unrelated records, and superseded files removed
- Secured emailExpiration, recipient, copied recipient, message, and attachments correct
- SMC completionCase notes, status, spreadsheet, and employee folder match the completed work
Escalation rules
Stop & ask| Escalate when | Required action |
|---|---|
| A trainee cannot access an application, folder, saved list, or KB article | Report the missing permission to Brandon before assigning independent case work |
| Case source, subcategory, requestor, or recipient conflicts with the attached form | Resolve the discrepancy before folder creation, partner routing, or final delivery |
| The form contains more than one employee or the wrong employee attachment | Stop processing and obtain the correct separate case and form |
| A requested record type does not appear clearly in the release guide | Keep the record outside the response and consult the designated SME |
| The ESI or Document Request redaction rule remains unclear | Pause the release decision and confirm the current rule before editing or sending |
| An AE JobappID, folder number, PGP download, or Kleopatra result does not work | Document the failed step, verify the folder and extension, request technical or procedural support |
| Hartford or I/A returns incomplete, conflicting, or unfamiliar information | Document the partner response and request guidance before release |
| The final folder contains information outside the selected category or date range | Remove the additional material and repeat the final quality review |
Trainer & trainee completion record
PrintableThe trainer demonstrates one ESI case and one field Document Request case with suitable training records. The trainee completes a supervised search across the required systems, creates the correct employee folder, routes partner work, applies the proper redaction rule, and prepares the secured response. The trainer reviews the SMC note, spreadsheet entry, employee folder, and final quality checklist before independent work begins.
| Completion item | Trainer initials & date | Trainee initials & date |
|---|---|---|
| Required links, folders, and system access confirmed | ||
| ESI and Document Request distinctions demonstrated | ||
| SMC fields and former-employee procedure demonstrated | ||
| OneDrive folder and spreadsheet procedure demonstrated | ||
| Hartford and I/A partner routing demonstrated | ||
| First Advantage and examination searches demonstrated | ||
| AE JobappID, PGP, and Kleopatra procedure demonstrated | ||
| Release, date boundary, and redaction decisions reviewed | ||
| Secured email expiration and recipient rules demonstrated | ||
| Final case note and quality review completed |
Independent case work begins after the trainee can explain the request scope, select the correct SMC values, create the correct employee folder, route partner records, document each search, apply the proper release rule, and send the final response through secured email.