TABLE OF CONTENTS
| Topics | Sections |
|---|---|
| OVERVIEW | 3.1 What is the purpose of this chapter? 3.2 What is the scope of this chapter? 3.3 What is the overall policy? 3.4 What are the authorities for this chapter? 3.5 What terms do you need to know to understand this chapter? |
| RESPONSIBILITIES | 3.6 Who is responsible for ensuring the Service avoids the unauthorized removal or destruction of Federal records? |
| REPORTING AND PENALTIES | 3.7 What has to be in a report to the National Archives and Records Administration about missing, unauthorized removal, or unauthorized destruction of records? 3.8What are the penalties for unauthorized removal or destruction of Federal records? |
OVERVIEW
3.1 What is the purpose of this chapter? This chapter:
A. Reinforces the requirements for U.S. Fish and Wildlife Service (Service) employees to maintain records in accordance with Federal laws and Department of the Interior (Department) and Service records management policies;
B. Defines unauthorized removal and unauthorized destruction of Federal records;
C. Establishes policy for managing unauthorized removal or unauthorized destruction of Federal records by Service employees;
D. Ensures our practices align with National Archives and Records Administration (NARA) guidance regarding nonrecords; and
E. Describes the procedures, based on Federal law and Departmental policies, for Service employees to follow when reporting unauthorized removal or unauthorized destruction of Federal records.
3.2 What is the scope of this chapter? The requirements in this chapter apply to all:
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.
3.3 What is the overall policy?
A. In accordance with 280 FW 1, Records and Information Management Policy and Program, employees must safeguard records created or inherited throughout their lifecycle to prevent unauthorized removal, destruction, and loss. Employees must comply with 283 FW 1, Scheduling and Disposition of Federal Records, and 283 FW 2, Transfer of Records, to properly handle and disposition records. Failure to receive proper authorization to disposition records may result in the disciplinary actions we describe in section 3.8.
B. Employees must immediately report suspected or actual unauthorized removal, unauthorized destruction, or loss of records as we describe in Table 3-1 and section 3.7.
3.4 What are the authorities for this chapter?
A. Concealment, Removal, or Mutilation Generally [of Records] (18 U.S.C. 2071).
B. Department’s Records Management Policy (RMP) 2020-03, Federal Records Disposal Authorization.
C. Department's RMP 2020-09, Unlawful or Accidental Records Loss and Destruction Reporting.
D. Department’s RMP 2021-12, Records Transition for Transferring and Departing Departmental Staff.
E. Identifying Federal Records (36 CFR 1222, Subpart A).
F. Public Printing and Documents; Safeguards (44 U.S.C. 3105), and Unlawful Removal, Destruction of Records (44 U.S.C. 3106).
G. Unlawful or Accidental Removal, Defacing, Alteration, or Destruction of Records (36 CFR 1230).
3.5 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
3.6 Who is responsible for ensuring the Service avoids the unauthorized removal or destruction of Federal records? SeeTable 3-1.
Table 3-1: Responsibilities Related to Unauthorized Removal or Destruction of Official Records
| These employees… | Are responsible for… |
|---|---|
| A. The Director | Approving or declining to approve Servicewide policy regarding unauthorized removal or destruction of Federal records. |
| B. Directorate members (e.g., Assistant Directors; Director, National Conservation Training Center; Regional Directors) | (1) Ensuring appropriate internal controls and safeguards are in place to prevent the loss or unauthorized removal or destruction of Federal records in their areas of responsibility, and (2) Reporting incidents covered by this chapter to the Service’s Chief Records Officer (CRO). |
| C. Associate Chief Information Officer (ACIO) (i.e., the Assistant Director – Information Resources and Technology Management (IRTM)) | Establishing controls and safeguards for Service records against unauthorized destruction, unauthorized modification, loss, and illegal removal. |
| D. Chief, IRTM Division of Policy and Planning | Ensuring policies and procedures are established to support controls and safeguards for Service records against unauthorized destruction, unauthorized modification, loss, and illegal removal. |
| E. Service Chief Records Officer (CRO) | (1) Notifying NARA about any loss or destruction of records in the custody of the agency in accordance with 44 U.S.C. 3106, and (2) Reporting the loss of records to the Senior Agency Official for Records Management at the Department and the appropriate members of the Directorate and other leadership. |
| F. Records and Information Management (RIM) Specialists within IRTM | (1) Educating employees about authorized removal or destruction of official records; (2) Communicating with Service supervisors, managers, and employees on all matters pertaining to unauthorized destruction or missing records; and (3) Reporting lost or unauthorized removal or destruction of records to the Service CRO. |
| G. Managers/supervisors | Reporting lost or unauthorized removal or destruction of records to their servicing RIM Specialists or the CRO. |
| H. Employees | Reporting any actual, impending, or threatened unlawful removal, defacing, alteration, or destruction of records to their supervisors, their servicing RIM Specialists, or the CRO. |
REPORTING AND PENALTIES
3.7 What has to be in a report to NARA about missing, unauthorized removal, or unauthorized destruction of records? The Service CRO must report such findings to NARA. The report should include the following:
A. A complete description of the records with volume and dates if known;
B. Identification of the office of origin and custody;
C. A statement of the exact circumstances surrounding the alteration, defacing, removal, or destruction of the records; and
D. A statement of the safeguards with specific procedures the Service must institute to prevent further instances of loss of records.
3.8 What are the penalties for unauthorized removal or destruction of Federal records?
A. The penalties for the unlawful or accidental removal, defacing, alteration, or destruction of Federal records or the attempt to do so may include employee discipline or a referral for prosecution to the Department of Justice, which may result in a fine or imprisonment, or both, in accordance with 18 U.S.C. 641 and 2071.
B. If the records contain personal identifiable information or information subject to the Privacy Act, additional penalties may apply. See 204 FW 1, Privacy Program, for more information.