United States Department of Agriculture

Animal and Plant Health Inspection Service

WS Directive 4.130 08/29/11

INFORMATION AND DATA MANAGEMENT AND SECURITY

1. PURPOSE

To provide guidelines to Wildlife Services (WS) personnel for effective and proper 

handling and security of program information and data. 

2. REPLACEMENT HIGHLIGHTS

This directive revises WS Directive 4.130 dated 08/09/04.

3. DEFINITIONS

a. Data

b.

. Discrete facts, statistics, or items of information. Values or sets of values 

representing a specific concept or concepts. Data becomes “information” when 

analyzed and possibly combined with other data in order to extract meaning, and to 

provide context. The meaning of data can vary according to its context.

Information

c.

. The communication or reception of knowledge; something received or 

obtained by communicating with others or through study or instruction. 

Requestor

d.

. As related to information and data management, anyone who asks for 

information from the WS program.

System of Records

4. BACKGROUND 

The WS system of records was developed in compliance with Federal acts and guidance 

provided by oversight agencies and entities. Consult the WS Information and Data 

Management Handbook (IDMH) for a list of authorities and guidance sources. A brief 

summary of selected Acts and guidance is provided below for clarification. 

. A group of any records under the control of any agency from 

which information is retrieved by the name of the individual or by some identifying 

number, symbol, or other identifying particular assigned to the individual. In WS the 

system of records is known as the Management Information System (MIS or 

MIS2000). It includes all data entered into the MIS electronic database and all hard 

copy documents associated with the data

a. The Freedom of Information Act (FOIA) is a disclosure statute designed to allow the 

public access to documents held by administrative agencies of the Executive Branch of 

the Federal Government. The intent of the FOIA is to provide, in a timely manner, 

access to Federal records that already exist, not to create records or to respond to 
questions through dialogue. Requesters may ask for any agency record. The Animal 

and Plant Health Inspection Service (APHIS) FOIA Officer makes the determination 

about what information should be withheld based on nine exemptions specified in the 

Act. Information may not be withheld unless it specifically falls under one of the nine 

exemptions. Refer to APHIS Directive 156.1, Freedom of Information Act/Privacy Act 

Guidelines, for a list of exemptions. The APHIS FOIA Officer is the deciding official 

on information that may be withheld under the FOIA.

b. The Privacy Act provides requirements for collecting, maintaining, and disclosing 

personal information obtained by Government offices from or about individuals and 

contained in a system of records.

Personal information obtained by Government offices from or about individuals is 

protected from disclosure by the Privacy Act. The following are often used for the 

express purpose of distinguishing individual identity, and is Personally Identifiable 

Information (PII) under the definition used by the U.S. Office of Management and 

Budget and published by the National Institute of Standards and Technology (NIST):

• Full name (if not common)

• National identification number

• IP address (in some cases)

• Vehicle registration plate number

• Driver's license number

• Face, fingerprints, or handwriting

• Credit card numbers

• Digital identity

• Birthday

• Birthplace

• Genetic information

The following are less often used to distinguish individual identity, because they are 

traits shared by many people. However, they are potentially PII, because they may be

combined with other personal information to identify an individual.

• First or last name, if common

• Country, state, or city of residence

• Age, especially if non-specific

• Gender or race

• Name of workplace or the school individual attends

• Grades, salary, or job position

• Criminal record 

c. The Federal Information Processing Standards (FIPS) Publication 199, of the NIST is 

the official series of publications relating to standards and guidelines adopted and 

promulgated under the provisions of Section 5131 of the Information Technology

Management Reform Act of 1996 (Public Law 104-106) and the Federal Information 

Security Management Act of 2002 (Public Law 107-347). These mandates have given 

the Secretary of Commerce and NIST important responsibilities for improving the 

utilization and management of computer and related telecommunications systems in 
the Federal Government. The NIST, through its Information Technology Laboratory, 

provides leadership, technical guidance, and coordination of government efforts in the 

development of standards and guidelines in these areas. WS has categorized its

information system (MIS) and its information in accordance with these guidelines. 

Refer to the IDMH for details.

d. The WS System of Records includes a database and other information collected and 

maintained about WS’ program activities. This system of records includes minimal 

information about WS customers for the purpose of conducting business; complying 

with Federal record keeping mandates; and evaluating program performance, 

including goal accomplishments. The MIS System of Records contains both electronic 

and hard copy records. The terms “MIS”, “MIS2000”, and “System of Records” may 

be used interchangeably in this directive and in companion documents referenced.

WS collects information about organizations, industry, Federal and non-Federal entities, 

and members of the public as part of cooperative direct control or technical assistance 

activities throughout the United States and its territories. Cooperator information is 

provided voluntarily by those who wish to obtain assistance from WS. This information 

is collected by a WS employee from the person seeking services, or from an authorized 

representative, employee, owner, manager, or executor of that person. In such cases 

where the cooperator is a Government agency or a private organization, such information 

is collected from an official representative of the cooperating entity.

Completion of a Work Initiation Document (WID), one of the WS Form 12 Series, is 

required prior to WS beginning work on a property. A copy of this document must be 

maintained in the WS State Office. 

Some wildlife damage management activities will not require processing a WID if 

supporting documents include the same information that is required in the WID such as 

those implemented using agreements or work plans with federal, state, or local governing 

bodies. 

The life cycle of the WID is five years. The WS IDMH provides additional information 

about the initiation, completion and renewal of the WID.

5. POLICY

WS employees shall manage all information, data, and its security in accordance with 

current APHIS directives, policies, and guidelines (see Section 6a2). Notwithstanding, 

this directive gives more specific guidance for conduct of activities unique to WS

information and data management systems and processes.

This Directive establishes policy and procedure for collection and retention of data, 

exchange of information among WS employees and with other Government agencies, 

transfer of information to the public, and securing such data and information maintained

by WS.
6. PROCEDURES

a. WS System of Records Management.

1. Duties, roles, and responsibilities for information actions and data management of 

the WS system of records are outlined in the WS IDMH. Specific guidance on 

subjects related to the system of records shall be sought in accordance with the 

protocol set forth in the WS IDMH.

2. Data entry, access, use, security, integrity guaranty, retention and disposal in MIS 

are managed in accordance with standards established by APHIS (MRP Directives 

3040.2, and 3040.3, and APHIS Directives 156.1, 1510.1, 3031.1, 3140.3, 3140.5)

and APHIS Records Management policy and guidelines. Related information is 

further set forth and clarified in the WS IDMH. New or revised procedures that

may be contemplated as WS information and data management processes evolve 

shall be referred to the Director, Operational Support Staff, 4700 River Road, Unit 

87, Riverdale MD, 20737-1234, Phone: 301/734-7921 for evaluation and approval.

b. Information Transfer and the WS System of Records.

Consult Section 9.0 of the WS IDMH for guidance on process and the nature of 

restricted- and unrestricted-circulation information based on Privacy Act mandates, 

FOIA, and routine WS information transfer procedures. In addition, any media interviews 

contemplated should be discussed with Legislative and Public Affairs if controversial 

issues might arise, or there is uncertainty about the subject material.

7. REFERENCES

APHIS (Animal and Plant Health Inspection Service). 2010. Records Management.

__________. 2009. APHIS Directive 3140.5. APHIS information systems security (iss) 

roles and responsibilities.

__________. 2004. APHIS Directive 3031.1. Clearance of public reporting and 

recordkeeping.

__________. 2000. APHIS Directive 3140.3. APHIS internet use and security policy.

__________. 1996. APHIS Directive 1510.1. Communications with offices of members 

of congress, OMB, and OBPA.

__________. 1982. APHIS Directive 156.1. Freedom of Information act/privacy act 

guidelines, and enclosures as amended in 10/4/83.

Information Technology Management Reform Act of 1996 (Public Law 104-106). 

Section 5131

Federal Information Security Management Act of 2002 (Public Law107-347).

MRP (Marketing and Regulatory Programs). 1998. Directive 3040.2. MRP Records 

Management Program.

MRP (Marketing and Regulatory Programs). 1998. Directive 3040.3. Electronic records 

management program.
NIST (National Institute of Standards and Technology). Federal Information Processing 

Standards (FIPS) Publication 199.

NIST (National Institute of Standards and Technology). Guide to Protecting the 

Confidentiality of Personally Identifiable Information. Special Publication 800-122. 

The Freedom of Information Act, 7 U.S.C. § 370.

The Privacy Act of 1974, 5 U.S.C. § 552 a, as amended.

Wildlife Services (WS). 2011. WS Information and Data Management Handbook,

Revision Three. WS Operational Support Staff. 25 pp.

Deputy Administrator