Date: March 13, 2009
Part 223: Employment
14.1 What is the purpose of this chapter? This chapter provides guidance and procedures for employees, supervisors, and other personnel to successfully complete the Service's Exit Clearance Process ("process") for Non-Fish and Wildlife Service Employees who have access to controlled Service facilities and systems. The process for Fish and Wildlife Service employees is in 223 FW 13.
14.2 What are the objectives of this policy? Our objectives are to:
A. Establish standard exit clearance procedures that non-Service employees, supervisors, and managers follow when non-Service employees separate from the Service, transfer, or begin an extended leave as Table 14-2 defines;
B. Ensure that non-Service employees who separate from the Service, transfer, or begin an extended leave do not retain improper electronic and physical access to Service information and property; and
C. Ensure that non-Service employees who are moving to another duty station within the Service:
(1) Retain access to the information systems, property, and facilities they need;
(2) Return property to the facility they are leaving; and
(3) Do not retain access to information systems or facilities that are not related to their position at the new duty station.
14.3 What is the policy?
A. Our policy is that when a non-Service employee separates from the Service, transfers, or begins an extended leave, the non-Service employee, his/her supervisor, and accountable groups (i.e., Divisions and Offices within the Service) work together to ensure successful completion of the following three steps:
(1) Begin the exit clearance process,
(2) Complete the exit clearance requirements in FWS Form 3-2370 (e.g., collect credentials and badges, terminate access to information systems), and
(3) Verify FWS Form 3-2370 is complete and file required documentation.
B. The Service supervisor/Contracting Officer Representative (COR) is responsible for ensuring the successful completion of the exit clearance process for non-Service employees.
(1) If the non-Service employee is a contractor, his/her supervisor is the COR specified in the relevant contract.
(2) If the non-Service employee is a volunteer, his/her supervisor is the Field Office Manager sponsoring the applicable Volunteer Services Agreement.
(3) For all other types of non-Service employees (e.g., visiting scientists, detailees – see Table 14-1), the responsibility falls to the person's immediate Service supervisor.
C. The process begins when a non-Service employee or his/her supervisor/COR starts FWS Form 3-2370 to separate, transfer to another facility within the Service, or change to an extended leave status. The process ends when the supervisor/COR certifies that the non-Service employee and all accountable groups have met the exit clearance requirements.
D. The non-Service employee, his/her parent organization, and the supervisor/COR complete the process in the 10 business days between the employee's notification of intent to separate and the separation date. Figure 14-1 illustrates the process and highlights some key milestones in each phase.
E. If a non-Service employee abruptly departs, the supervisor/COR must complete the tasks normally assigned to the non-Service employee immediately. The supervisor/COR also must obtain certifications from Authorized Approving Officials as necessary to document completion of the process. This may be necessary in the following situations:
(3) Personal emergency,
(4) Termination, and
(5) Abrupt change of personnel on contract or cancellation of contract.
14.4 What is the scope of this policy?
A. The policy applies only to non-Service employees who:
(1) Separate from the Service, transfer, or begin an extended leave; and
(2) Have access to controlled Service facilities and systems.
B. Separating Service employees should refer to 223 FW 13 for guidance and procedures for exit clearance.
C. Table 14-1 shows the division of our two exit clearance chapters (223 FW 13 and 223 FW 14) and gives examples of the two types of personnel who have access to and work in Service facilities. Ask your servicing Human Resources office if you are not sure which chapter applies to you.
C. Table 14-2 shows the actions that require exit clearance.
14.5 Who is responsible for performing this process? Several groups share responsibility for completing the exit clearance process for non-Service employees. An Authorized Approving Official from each accountable group certifies completion of the exit clearance requirements by initialing specific sections on FWS Form 3-2370. For a list of the designated Authorized Approving Officials, see section 14.7C. The following people must work together to complete the process:
A. Non-Service employees or their parent organization:
(1) Notify the supervisor/COR of the intent to separate at least 10 business days before the effective separation date,
(2) Comply with the Service's exit clearance policy and procedures, and
(3) Complete FWS Form 3-2370 and send the completed form to the non-Service employee's immediate Service supervisor/COR.
(1) Initiate the separation process, when necessary,
(2) Comply with the exit clearance policy and procedures, and
(3) Work with the non-Service employee and his/her management to hold non-Service employees accountable for employee responsibilities. (The supervisor/COR is ultimately responsible for ensuring the successful completion of the process.)
C. Division Chiefs, Deputies, Human Resources/Human Capital Officers, and Budget and Finance Officers:
(1) Comply with the exit clearance policy and procedures, and
(2) Hold supervisors/CORs and non-Service employees accountable for responsibilities.
14.6 What are the authorities for this policy?
A. Office of Management and Budget (OMB) Circular A-123, Management Responsibility for Internal Controls.
B. 375 DM 19, Information Technology Security Program.
C. The Federal Acquisition Regulation (FAR) (48 CFR).
14.7 What is FWS Form 3-2370?
A. FWS Form 3-2370 is the standard form that non-Service employees and their supervisors/CORs use to document completion of the exit clearance process. Authorized Approving Officials sign the form to indicate that non-Service employees have complied with exit clearance requirements. If non-Service employees do not comply with the process and complete FWS Form 3-2370, they or the vendor or organization they represent may be subject to action by the Service.
B. Table 14-3 summarizes the four sections on FWS Form 3-2370.
C. Capturing formal certification that non-Service employees have satisfied exit clearance requirements is a key element of the process. Table 14-4 lists the Authorized Approving Officials who may verify completion of separation tasks for their accountable group (i.e., each official/backup listed below is the only person who may sign on behalf of his/her respective group). Click on the links within the table to view detailed information about an accountable group's exit clearance responsibilities.
A. Step 1 - Begin the exit clearance process. The separating non-Service employee or his/her parent organization point of contact must:
(1) As soon as he/she is aware of a pending separation, inform his/her supervisor/COR of the intent to separate.
(2) Start FWS Form 3-2370 no later than 10 business days before the anticipated separation date.
(3) Request a meeting with his/her supervisor/COR to review FWS Form 3-2370 and identify applicable exit clearance requirements. This meeting must be held no later than 5 business days before the anticipated separation date to ensure there is time to complete the applicable separation tasks.
B. Step 2 - Complete the exit clearance requirements in FWS Form 3-2370. The separating non-Service employee must:
(1) Print and review FWS Form 3-2370 before meeting with his/her supervisor/COR to discuss applicable exit clearance requirements, and
(2) Obtain signatures from the authorized officials who are accountable for exit clearance requirements.
(1) Certify FWS Form 3-2370 and give the completed form to his/her supervisor/COR, and
D. Non-Service employees should contact their supervisors/CORs with any questions or issues related to this process.
14.9 What are the supervisor's/COR's responsibilities when a non-Service employee separates from the Service, transfers, or goes on extended leave?
A. Step 1 - Begin the exit clearance process. The supervisor/COR must:
(1) After the non-Service employee provides notice of the separation/transfer/extended leave, have a meeting with the employee to review the exit clearance process and FWS Form 3-2370. The non-Service employee or his/her parent organization point of contact should schedule this meeting, but if they do not, the supervisor/COR must request a meeting.
(2) Identify the Service-owned property and systems to which the non-Service employee has access. This information is required to ensure the successful completion of FWS Form 3-2370, Sections 2 and 3. Send Section 3 of FWS Form 3-2370 immediately to the servicing IRTM representative.
(3) When appropriate, the supervisor/COR should take responsibility for contacting all individuals and groups necessary to complete the exit clearance requirements on behalf of a non-Service employee.
B. Step 2 - Complete the exit clearance requirements in FWS Form 3-2370. After meeting with the non-Service employee, the supervisor/COR must:
(1) Complete all exit clearance tasks for which he/she is responsible, and
(2) Record the completion of tasks on FWS Form 3-2370.
C. Step 3 - Verify FWS Form 3-2370 is complete and file required documentation. After the non-Service employee obtains certification for all required exit clearance tasks, the supervisor/COR must:
(1) Certify the completed FWS Form 3-2370. If the non-Service employee fails to successfully complete the form, the supervisor/COR must ensure completion of any outstanding tasks and explain incomplete items.
(2) Give the non-Service employee a copy of the completed FWS Form 3-2370.
(3) File the original FWS Form 3-2370 and any supporting exit clearance documentation with the contract file, Volunteer Service Agreement, or other agreement, as applicable. The supervisor/COR must retain the form and supporting documentation for at least 5 years after the date of separation (see 283 FW 2, Records Disposition Schedule, Appendix 1: PERS-520).
D. Supervisors/CORs should contact their servicing Human Resources office with any questions or issues related to this process.
14.10 What responsibilities do Authorized Approving Officials in IRTM, Contracting and General Services, Budget and Finance, and Human Resources/Human Capital have when a non-Service employee separates from the Service, transfers, or goes on extended leave?
A. Step 1 - Complete the exit clearance requirements in FWS Form 3-2370. After receiving notification of the non-Service employee's pending separation, the Authorized Approving Official must:
(2) Record the completion of tasks on FWS Form 3-2370.
B. Step 2 - Verify FWS Form 3-2370 is complete and file required documentation. Following the completion of all required exit clearance tasks, the Authorized Approving Official must certify FWS Form 3-2370.
14.11 Who should you contact with questions or issues related to this process? Non-Service employees separating from the Service, transferring, or beginning an extended leave should contact their supervisors/CORs with any questions about this process. Supervisors/CORs and other Authorized Approving Officials should contact their servicing Human Resources office with any questions about this process.
For information on the content of this chapter, contact the Division of Human Capital. For more information about this Web site, contact Krista Holloway in the Division of Policy and Directives Management.