TABLE OF CONTENTS
| Topics | Sections |
| OVERVIEW | 2.1 What is the purpose of this chapter? 2.2 What is the scope of this chapter? 2.3 What is the overall policy? 2.4 What are the authorities for this chapter? 2.5 What terms do you need to know to understand this chapter? |
| RESPONSIBILITIES | 2.6 Who is responsible for reviewing, approving, and carrying out records transfers within the Service? |
| TRANSFER REQUIREMENTS | 2.7 What requirements apply when transferring Service records to another location or organization? |
OVERVIEW
2.1 What is the purpose of this chapter?
A. This chapter:
(1) Provides policy for transferring U.S. Fish and Wildlife Service (Service) records to the National Archives and Records Administration (NARA) (i.e., either the archival units or the Federal Records Centers (FRC)), a non-Department of the Interior (Department) Federal agency, or a Departmental bureau or office; and
(2) Describes roles and responsibilities for transferring records to another organization.
B. For information about and links to records schedules, see 283 FW 1, Scheduling and Disposition of Federal Records.
2.2 What is the scope of this chapter? This chapter applies to:
A. Service employees, contractors (as part of carrying out their contractual obligations), volunteers, students, interns, and others who perform work for or on behalf of the Service. For simplicity, we use the term “employee” in this chapter as a general term to describe all of these individuals;
B. Service records regardless of physical form (i.e., electronic, analog, etc.) or media; and
C. All transfers of Service records, including transfers to external entities (e.g., NARA, other Executive Branch agencies) and transfers to other bureaus and offices within the Department.
2.3 What is the overall policy?
A. The Service conducts records transfers to promote program continuity, cost-effective record storage, historic legacy preservation, and for other mission-related reasons. We must conduct all transfers in accordance with applicable NARA regulations and Departmental Records Management Policy (RMP) 2021-05, Transferring Records Between Organizations.
B. Transfers require the approval of the Service Chief Records Officer (CRO) prior to beginning the action. Additional approvals and requirements may apply, depending on the type of transfer requested. Offices must work with their servicing Records and Information Management (RIM) Specialist to prepare records for transfer. Requirements will vary depending on the record series schedule and whether the records have reached their disposition date. See section 2.7 for more information.
C. Service records subject to personnel investigations, Freedom of Information Act (FOIA) requests, congressional oversight, or legal holds should remain in Service custody until the hold is resolved. Offices that want to transfer records under a hold must contact their RIM Specialist.
D. Failure to receive approval from the Service CRO prior to transferring records constitutes unauthorized records removal.
(1) An employee must receive approval from the Service CRO to retain Service records if they leave the Service to go work for another bureau or office within the Department or another Federal agency. See RMP 2021-12, Records Transition for Transferring and Departing Departmental Staff for more information.
(2) An employee must also receive approval from the Service CRO to retain records when separating from the Service.
E. Employees who remove records from Service custody without authorization may be subject to disciplinary actions and other penalties in accordance with 283 FW 3, Unauthorized Removal or Destruction of Federal Records.
2.4 What are the authorities for this chapter?
A. Department's RMP 2021-05, Transferring Records Between Organizations.
B. Loan of Permanent and Unscheduled Records (36 CFR 1228).
D. NARA Bulletin 2014-04, Format Guidance for the Transfer of Permanent Electronic Records.
E. NARA Bulletin 2015-04, Metadata Guidance for the Transfer of Permanent Electronic Records.
F. Office of Management and Budget Memorandum M-19-21, Transition to Electronic Records, as amended by M-23-07, Update to Transition to Electronic Records.
G. Scheduling Records (36 CFR 1225).
H. Transfer of Records from the Custody of One Executive Agency to Another (36 CFR 1231).
I. Transfer of Records to Records Storage Facilities (36 CFR 1232).
J. Transfer of Records to the National Archives of the United States (36 CFR 1235).
K. Transfer, Use, and Disposition of Records in a NARA Federal Records Center (36 CFR 1233).
2.5 What terms do you need to know to understand this chapter? Terms related to records are defined in 280 FW 1, Records and Information Management Policy and Program, and 283 FW 1, Scheduling and Disposition of Federal Records.
RESPONSIBILITIES
2.6 Who is responsible for reviewing, approving, and carrying out records transfers within the Service? See Table 2-1.
Table 2-1: Records Transfer Responsibilities
| These employees... | Are responsible for... |
| A. The Director | Approving or declining to approve Servicewide RIM policies. |
| B. Directorate members (e.g., Assistant Directors; Director, National Conservation Training Center; Regional Directors) | (1) Ensuring employees within their Regions and programs are aware of and follow the requirements in this chapter; (2) Maintaining awareness of records that employees create, hold, or process within their respective organizational and physical areas of responsibility; and (3) Providing the necessary resources and support for employees within their Regions and programs to conduct records transfers. |
| C. Associate Chief Information Officer (ACIO) (i.e., the Assistant Director - Information Resources and Technology Management (IRTM)) | (1) Establishing Service-specific policies, procedures, and standards related to transferring records; and (2) Ensuring the Service’s technical infrastructure is capable and available to support records transfers and related business needs. |
| D. Chief, IRTM Division of Policy and Planning | (1) Implementing policies and procedures in support of transferring records, and (2) Supporting the Service CRO when conducting records transfers. |
| E. Service Chief Records Officer (CRO) | (1) Approving all records transfer requests, (2) Coordinating with NARA to receive approval for applicable records transfer requests, and (3) Authorizing receipt of records when conducting an interagency transfer. |
| F. Records and Information Management (RIM) Specialists within IRTM | (1) Assisting Service employees with preparing transfer requests, (2) Coordinating with employees in their areas of responsibility to properly transfer records, (3) Coordinating with NARA and the records owner to complete applicable transfers, and (4) Coordinating with NARA and employees to gain access to the Archives and Records Centers Information System (ARCIS) for transfer of records to an FRC. |
| G. Managers/supervisors | (1) Ensuring records proposed for transfer are not subject to a legal hold or other record retention requirements; (2) Signing the DI-3455 form, Request to Move Records and Chain of Custody, as necessary, to indicate supervisory approval for transferring the records to an external organization outside of an FRC or NARA; and (3) Initiating, or delegating authority to an employee under their supervision to initiate, requests to transfer records to FRCs or to NARA as described in section 2.7. |
| H. Employees | (1) Working with their managers/supervisors to prepare and submit records transfer requests for approval by the Service’s CRO, including creating an inventory of records that they will transfer; (2) Ensuring records proposed for transfer are not subject to a legal hold or other record retention requirements; and (3) Working with their RIM Specialist and their managers/supervisors as necessary to complete approved transfer actions. |
TRANSFER REQUIREMENTS
2.7 What requirements apply when transferring Service records to another location or organization? The requirements for conducting a record transfer depend on the type of records being transferred and type of transfer being conducted. Table 2-2 describes some common types of records transfers and their associated requirements. Contact your servicing RIM Specialist for information about transferring records to an organization using a method not listed here.
Table 2-2: Records Transfer Requirements
| Transfer Type | NARA Approval Required? | Documentation Requirements | Associated Regulation or Policy |
| Transfer to an FRC | Yes | Transfers to an FRC are facilitated through NARA’s ARCIS portal. Records must also be transferred with an approved records schedule. | |
| Transfer to archival units within NARA | Yes | Accessions to NARA are facilitated through NARA’s Electronic Records Archives system. All electronic records must be described by metadata per NARA Bulletin 2015-04, Metadata Guidance for the Transfer of Permanent Electronic Records, and must be in an appropriate file format. See 282 FW 4, Electronic Records, for more information. | 36 CFR 1235, 1236, and 1237. NARA Bulletin 2015-04 NARA Bulletin 2014-04, Format Guidance for the Transfer of Permanent Electronic Records |
| Custody transfer to another Federal agency | Yes, with some limited exceptions | Complete a DI-3455 form, Request to Move Records and Chain of Custody, and a folder/file list of the records proposed for transfer. The Service CRO and the receiving agency’s Records Officer must sign the form. | 36 CFR 1231 |
| Custody transfer to another Departmental bureau or office | No | Complete a DI-3455 form and obtain approval from the Service CRO and the receiving bureau’s or office’s Records Officer. You must also provide a folder/file list of records to be transferred. | RMP 2021-05 |