RL Records Managment Program (002) - U.S. … Project Management DOE O 200.1A/DOE 413 series guides, and the requirements designated in contractors’ contracts Sections C and J. These

DOE HANFORD SITE CONTENT AND RECORDS MANAGEMENT PLAN

DOE/RL-2009-78

Revision 1

1

2012

Department of Energy Richland

Operations Office

Hanford

2/24/2012

DOE HANFORD SITE CONTENT AND

RECORDS MANAGEMENT PLAN

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Table of Contents

1. Purpose ............................................................................................................................................... 4

2. Scope .................................................................................................................................................. 4

3. Vision/Mission/Objectives .................................................................................................................. 5

4. Program Owner .................................................................................................................................. 5

5. Roles and Responsibilities .................................................................................................................. 6

6. Service Management Model .............................................................................................................. 7

7. Service Requirements ......................................................................................................................... 9

8. Service Management and Oversight .................................................................................................. 9

9. Service Performance Measurements ............................................................................................... 10

10. Program Assessments ....................................................................................................................... 10

11. Service Modifications ....................................................................................................................... 11

12. Appendix A, Mission Support Contractor Request for Proposal Matrix ........................................... 12

13. Appendix B, Applicable Records and Information Management Laws and Regulations ................. 13

14. Appendix C, Capital Planning and Investment Control Description ................................................. 17

15. Appendix D, Potential Service Measurements ................................................................................. 21

16. Appendix E, Program Assessment Line of Inquiries ......................................................................... 22

17. Appendix F, Acronyms ...................................................................................................................... 24

18. Appendix G, Definitions .................................................................................................................... 26

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Revision History

Date Version Author Change Summary

June 2009 0 Terri Fookes Initial.

February 2012 1 Deb Martin Re-titled from Records Management Program Plan to DOE Hanford Site Content and Records Management Plan. Realigned with current business processes, reformatted, and edited.

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1. Purpose

The purpose of this plan is to identify and implement the objectives, requirements, services, and

performance measurements of the Hanford Site Records Management Program for the United States

Department of Energy Richland (DOE-RL), Department of Energy Office of River Protection (DOE-

ORP), Department of Energy Office of River Protection/Waste Treatment Plant (DOE-ORP/WTP), and

their contractors. The plan also describes the roles and responsibilities regarding records and

information.

2. Scope

The scope of this plan includes the following services and aspects of records and information in regards

to the DOE-RL, DOE-ORP and DOE-ORP/WTP and their contractors:

RECORDS MANAGEMENT PROGRAM SCOPE

Program Management and Oversight Litigation Support/Holds

Federal Records Inventory and Schedule Management Life Cycle

Vital Records

Document Control Long-Term Stewardship (LTS)

Long-Term Records Storage (including Retrieval and Destruction of Records in hard copy and electronic media)

Records Restoration

Major Collection Management Capital Planning and Investment Control (CPIC)

Figure 1: Scope of the Records Management Program

DOE is responsible for management and oversight of the ten service areas as identified above in Figure

1. Contractors will consult with the Hanford Site Records Officer regarding collaborative efforts to

improve the Records Management Program, service and program measurements (see Appendix D),

program assessments (see Appendix E), program efficiencies, and contract modifications. The Mission

Support Contractor (MSC) is responsible for providing Content and records and information services for

the Hanford Site. Some of the services listed above are mandatory services that must be procured from

the Mission Support Alliance (MSA), which is the current MSC, while other services are optional and

can be obtained from the MSA at the contractor’s discretion. Detailed explanation of services and

interface arrangements can be found in the prime contractors J-3 sections or the requirements and the

statements of work sections of their contract with DOE (see Appendix A, Mission Support Contractor

Request for Proposal Matrix).

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3. Vision/Mission/Objectives

This plan prescribes the requirements and responsibilities for conducting, assessing, and improving the Hanford Site Records Management Program to ensure compliance with federal laws, regulations, contractor requirements, and policies to implement best practices. The vision is to provide information at the point of performance through implementing a cost effective, innovative, and compliant Records Management Program with emphasis on electronic records, implementing industry best practices, maximizing cost reductions, and ensuring records and information management is an integral part of the cleanup mission at the Hanford Site and for legacy management. The mission is to establish processes for continuous business process improvements so that efficient Records Management Program is realized. Objectives:

• Ensure that records and information management systems are fully integrated and redundancy of the systems across the Hanford Site is minimized.

• Retain records created electronically as electronic throughout their life-cycle, eliminate the need for scanning hard copy records, and streamline workflow processes enabling additional workflow routing and automation of records capture.

• Ensure regulatory compliance and eliminate audit findings by increasing education, training, and communications.

• Maintain a 36 CFR Chapter XII, Subchapter B, Records Management compliant long-term records storage facility for hard copy records and a DOD 5015.2 compliant repository for electronic records.

• Establish a Long-Term Stewardship Program.

• Streamline the Capital Planning and Investment Control (CPIC) process with Records Management Program and project management activities (see Appendix C, Capital Planning and Investment Control Description).

Additional goals can be found in Appendix D, Potential Service Measurements.

4. Program Owner

The steward for the Hanford Site Records Management Program is the Hanford Site Records Officer who oversees records and information activities for DOE-RL, DOE-ORP and DOE-ORP/WTP and contractors.

Current and Future States

The Information and Content Management Team of DOE-RL’s Site Stewardship Division will transition from a contract oversight model where the prime contractor provided records and information oversight to a more involved service oversight model with emphasis on communication, collaboration, and integration. The management and oversight of the program will be conducted by implementing project management principles. This change is required due to the lack of centralized contractor oversight. The

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MSC is responsible for some program integration, but there are other prime contractors on the Hanford Site that self perform functions in the field of records and information management. To close the gap of decentralized program oversight, the goal is to establish the MSC as a service provider of choice for all prime contractors and DOE at the Hanford Site.

SITUATIONAL ANALYSIS

AS-IS TO-BE

DOE-RL/ORP/WTP DOE-RL/ORP/WTP

MSA Records and Information Management Services

Provider

MSA Records and Information Management Mission

Partner

Optional Services Mandatory Services Services closely aligned to mission cleanup work. Provide information at point of performance

Contracts that receive mandatory Records and Information Management Services from the MSC

Contracts that receive mandatory Records and Information Management Services from the MSC

CHPRC WRPS CSC HOHS

WCH ATL BNI CHPRC WRPS CSC HOHS

WCH ATL BNI

MSA-Mission Support Alliance

CHPRC-CH2M Hill Plateau Remediation Company

WRPS-Washington River Protection Solutions LLC

WCH- Washington Closure Hanford

CSC HOHS- Computer Services Contractor Hanford Occupational Health Services

ATL- Advanced Technologies and Laboratories International Inc. DOE-RL/ORP/WTP- Department of Energy Richland Operations/Office of River Protection, Waste Treatment Plant contractor BNI-Bechtel National Inc.

MSA-Mission Support Alliance CHPRC-CH2M Hill Plateau Remediation Company WRPS-Washington River Protection Solutions LLC WCH- Washington Closure Hanford CSC HOHS- Computer Services Contractor Hanford Occupational Health Services ATL- Advanced Technologies and Laboratories International Inc. DOE-RL/ORP/WTP- Department of Energy Richland Operations/Office of River Protection, Waste Treatment Plant contractor BNI-Bechtel National Inc.

Figure 2: Records and Information Management Situational Analysis

5. Roles and Responsibilities

The roles and responsibilities applicable to the Records Management Program include program oversight by the Hanford Site Records Officer and execution by the prime contractor responsible for delivering the services to the contractors. The services required phase, as shown on the Service Management Model, is used for planning the measurements, assessments, remedies, and improvements to the program. Service providers and resource requirements are identified in this phase.

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RECORDS AND INFORMATION MANAGEMENT ROLES AND RESPONSIBILITIES

ROLES RESPONSIBILITIES

DOE

• Determines vision, mission, and goals.

• Oversees and manages the records and information services provided by the MSC.

• Manages the Records Management Program and provides contract oversight of all records and information services provided by all Site contractors to their employees and sub-contractors including RL, ORP, and ORP/WTP staff ensuring compliance, consistency, efficiencies, and effectiveness.

• Determines the criteria for performance measurements and frequencies of reporting.

• Issues contract requirements direction.

Prime Contractor

Service Provider (MSA)

• Ensures records and information services are provided in accordance with their contract to DOE and its contractors.

• Works to achieve the vision, mission, and goals set by DOE.

• Acts on deficiencies and seeks to implement process improvements including increasing the use of electronic records.

• Implements and manages a Records Management Program to provide cost effective and efficient services that support mission needs.

Contactor and DOE

Entities Receiving

Services (All

Contractors)

• Ensures compliance with their contract regarding the services stated in the scope and obtains mandatory services from the prime contractor responsible for delivering records and information services.

• Ensures procedures direct staff to obtain services from the appropriate sources.

• Collects, compiles, and reports results of performance measurements.

• Seeks to implement business process improvements and electronic records wherever possible.

All Employees

• Obtain services as required from the mandated service provider.

• Obtain records and information management training.

• Participate in performance measurements surveys, focus groups, requirements gathering, and steering committees.

• Participate in service assessments by providing information to evaluate program performance and effectiveness.

Figure 3: Records and Information Management Roles and Responsibilities

6. Service Management Model

The Service Management Model for records and information illustrates a life-cycle where planning,

delivery, and performance measurement occur. Program assessments and service measurements are

conducted and gathered, and based on the results, improvements are planned and implemented. This

DOE-RL Content and Records Management Plan sets the foundation for the program, processes, and

culture for continuous process improvements to obtain cost and performance objectives.

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Vision

“To Provide Information at the Point of Performance”

Provide a cost effective, innovative, and compliant Records Management Program with emphasis on

electronic records, implementing industry best practices, maximizing cost reductions, and ensuring

records and information is an integrated part of the cleanup mission at the Hanford Site.

SERVICE MANAGEMENT MODEL

Figure 4: Service Management Model

Drivers

Requirements, Contracts, Standards, Best Business

Practices

Reporting needs, Capital Planning and Investment

Control (CPIC)

Program Management and

Oversight

Strategic Development and Project Planning

and Controls

Training and Education

Program Objectives

Implementation

Program Assesments and Measurments

Continuous Implementation of

Process Improvements

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7. Service Requirements

The Records Management Program will be managed in accordance with the contractors’ contracts,

applicable laws, regulations, DOE orders and directives, and best practices governing the Records

Management Program and services as well as DOE’s usability and cost expectations. These

requirements are specified in the United States Code (USC), the United States Code of Federal

Regulations (CFR), and are identified in DOE O 243.1a, Records Management Program and DOE O

243.2, Vital Records. Additional guidance comes from the International Standards Organization (ISO)

Standard 15489, Information and Documentation – Records Management Part 1: General; National

Archives and Records Administrations (NARA), Agency Recordkeeping Requirements: a Management

Guide; Project Management DOE O 200.1A/DOE 413 series guides, and the requirements designated in

contractors’ contracts Sections C and J. These requirements and expectations serve as the foundation of

this plan and the basis that much of the measurements and assessments are considered against. The

applicable laws and regulations are listed in Appendix B, Applicable Records and Information

Management Laws and Regulations.

8. Service Management and Oversight

Management and oversight of technical compliance, scope, cost, schedule, and risk will be provided by

the Hanford Site Records Officer. The Hanford Site Records Officer will ensure planning, delivery of

services, measurements, corrections, and improvements are implemented as required or necessary. The

Hanford Site Records Officer has the authority to recommend remedies and improvements in

accordance with the scope of the contract of the contractor providing the service, as well as modifying

contract requirements. The Hanford Site Records Officer may use other contractors to perform the

management and oversight responsibilities. The Hanford Site Records Officer will employ any number

of management practices to ensure program requirements, compliance, and growth towards best

practices and full implementation of electronic records.

Services Provided

Three services are specified in MSC Section J3: Long-Term Records Storage, Major Collection

Management, and Federal Records Inventory and Schedule Management services. Of these three the

MSC specifies that only Long-term records storage, use of the system for Inventory and schedule

services and Major Collections Management are required services to be obtained from the MSC

contractor.

Additional services in the Records Management Program and implemented at the Hanford Site include

Litigation Support, Vital Records Program, Long-Term Stewardship, Document Control, and CPIC.

Services Oversight

A situational analysis of the current as-is state and the future to-be state is depicted in Figure 2 with an

increase in the direct management and oversight responsibilities for the Hanford Site Records Officer of

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the Records Management Program at Hanford. To accomplish the oversight, three types of management

reviews will be instituted:

• Monthly and/or quarterly program and project performance reviews,

• Ongoing implementation of the CPIC process and monthly CPIC data reviews, and

• Annual service assessments or program assessments which include an examination and appraisal

of the overall health of the program.

These reviews will be chaired by the Hanford Site Records Officer. Information will be gathered and

presented by the DOE-RL, DOE-ORP, DOE-ORP-WTP, and their contractors,

9. Service Performance Measurements

Service performance measurements are conducted against the goals and objectives of the Records

Management Program and are reported as specified by the Hanford Site Records Officer or the

assessment process requirements. Examples of the measurements and the frequencies are shown in

Appendix D, Potential Service Measures. The collection, compilation, and reporting of performance of

the measurements will be the responsibility of the contractor Records Managers and/or as designated by

DOE management. The results of the measurements will be reported to the Hanford Site Records

Officer. The service performance measurements will include pre-defined Service Level Agreements

(SLA), Memorandums of Agreements (MOA), and/or Memorandums of Understandings (MOU). The

performance measurements may include completion and delivery of long range plans such as the

Comprehensive Records Management Program Plan, Hanford Site Records Disposition Contingency

Plan, Recommendation for Cost-effective Long-Term Storage (2008-2035), Assessment of Records

Storage Compliance, and a Content (Records) Management Security Plan required annually.

10. Program Assessments

Program assessments will determine the adequacy of the DOE and contractor’s Records Management

Programs, verifying if the program includes adequate policies, procedures, standards, and measurements

that are effective and efficient. Program assessments will ascertain compliance with fundamental

records and information regulations and project management disciplines. The Hanford Site Records

Officer will assess the effectiveness and efficiency of the contractor providing the records and

information services beginning with a baseline program assessment. All aspects of effective project

management will be assessed including performance in the areas of cost, schedule, risk, scope, quality,

communications, performance against milestones and metrics, and other cornerstones of good project

management. Program assessments will continue to occur on a regular basis. These formal program

assessments will be conducted using customer surveys, field interviews, focus groups, and liaison team

meetings to determine how well services are being provided. Compiled reports and metrics will be

compared against performance goals and progresses against the goals are determined.

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Assessments against records and information requirements, business practices, standards, policies, and

procedures will cover:

• Appropriate processes are in place for the identification, creation, and capture of records by

contractor or agency’s business and technical organizations.

• Records in long-term records storage locations and records staging areas are compliant with

applicable requirements and adequate protection from risk, accessible, and adhere to retention

schedules.

• Records created electronically are captured electronically.

• The trustworthiness of records, including:

� Retrievability and usability – Ability to be located, retrieved, presented, and interpreted. � Authenticity – Control of creation, receipt, transmission, maintenance, and disposition. � Reliability – Trusted as a full and accurate depiction of what existed when a decision was

made or action taken. � Integrity – Complete and unaltered.

Assessments will indicate deficiencies, opportunities for improvement, and corrective actions. Actions

will be tracked and reported as determined by the Hanford Site Records Officer.

Response to assessment findings will be tracked and will include proof of improvements and correction

of deficiencies where needed. A sample set of assessment questions are shown in Appendix E, Program

Assessment Line of Inquiries.

11. Service Modifications

As a result of the Service Performance Measurements and Program Assessments, process modifications

and service improvements are expected to be implemented. These may include any of the following

activities to improve the overall Records Management Program and towards achieving its goals:

• Training and education,

• Communications (e-mail, posters, etc.),

• Marketing,

• Cost saving initiatives,

• Software upgrades,

• System developments and redevelopments,

• Equipment upgrades or changes,

• Changes to the service provided,

• Contract modifications, and/or

• Changes to measurements and assessment goals.

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12. Appendix A, Mission Support Contractor Request for Proposal Matrix

Interface

Number

Type of

Interface

Activity 1 MSC 2 PRC TOC WTP RCCC Other Site

Users

Requirements Cost Allocations

67 I/S Federal

Records

Inventory

and

Schedule

Management

Provide

service to

and receive

input from

Site

contractors

Deliver input

to MSC

Deliver input

to MSC

Optional Deliver input

to MSC

Deliver input

to MSC

Various DOE

directives and

NARA regulations

Funded through

MSC; provided at

no cost to Hanford

Site contractors.

Optional service

reimbursed by the

user

Inventory and Schedule Management provides the Hanford Site-Wide Records Inventory and Disposition Schedule (RIDS) system for

inventorying and scheduling all Hanford Site Federal records for MSC and for designated contractors including those documenting the

missions, programs, projects, and all administrative functions. This work addresses all records (and nonrecords) originated or held by any of

the covered contractors and includes records in all media (e.g., electronic systems, databases, spreadsheets, microform,

photographs/negatives, and hard copy).

• MSC shall provide Hanford Site-wide RIDS system for Hanford Site Federal records.

• Other Hanford Site contractors shall provide RIDS system information.

68 S Major

Collection

Management

Receive

input from

Site

contractors

Deliver input

to MSC

Deliver input

to MSC

Deliver input

to MSC

(Optional)

Optional Deliver input

to MSC

MSC bears the

cost burden of

program

administration;

Hanford Site

contractors bear

internal

implementation

costs

Major Collection Management provides continued maintenance of significant collections of records (e.g., engineering drawings,

photographs/negatives, and videotapes).

• MSC shall ensure that records in identified collections include complete metadata and are indexed, authenticated and accessible to

those that have a business requirement.

• Hanford Site contractors shall meet the requirements of Major Collection Management as administered by the MSC.

69 S Long-Term

Records

Storage

Provide

service to

Site

contractors

Receive

service from

and provide

input to

MSC

Receive

service from

and provide

input to

MSC

N/A Optional Receive

service from

and provide

input to

MSC

Various DOE and

NARA

regulations,

including

36 CFR 1228

MSC bears the

cost burden of

program

administration

Long-Term Records Storage provides for physical storage of over 110,000 cubic feet of records in various hard copy media (e.g., paper,

photographs, video, and tapes).

• MSC shall provide long-term physical storage for paper and other hard copy media records and maintain information systems to

manage that collection.

• Hanford Site contractors shall coordinate with MSC for transfer of records.

1 Site-Wide System - Mandatory; Inventory & Scheduling Service - Optional 2 Service Provider


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13

13. Appendix B, Applicable Records and Information Management Laws

and Regulations

1. 5 CFR 3B, Office of Management and Budget Part 1320, Controlling Paperwork Burdens on the Public

2. 10 CFR 830, Nuclear Safety Management 3. 36 CFR 236 Subpart K, Facility Standards for Records Storage Facilities 4. 36 CFR Chapter XII, Subchapter B, Records Management 5. 36 CFR 1220, Federal Records, General 6. 36 CFR 1222, Creation and Maintenance of Federal Records 7. 36 CFR 1228, Disposition of Federal Records 8. 36 CFR 1230, Micrographic Records Management 9. 36 CFR 1232, Audiovisual Records Management 10. 36 CFR 1234, Electronic Records Management 11. 36 CFR 1236, Management of Vital Records 12. 36 CFR 1238, Program Assistance 13. 41 CFR 102-193, Creation, Maintenance, and Use of Records 14. 48 CFR 970.5223-1, Federal Acquisition Regulations System, DOE Management and

Operating Contracts 15. 5 USC 552, Public Information; Agency Rules, Opinions, Orders, Records, and

Proceedings (The Freedom of Information Act) 16. 5 USC 552a, Records Maintained on Individuals (The Privacy Act of 1974) 17. 5 USC 601, Regulatory Flexibility Act 18. 5 USC Appendix 2, Federal Advisory Committee Act 19. 5 USC Subchapter II, Administrative Procedure Act 20. 18 USC 101, Records and Reports, Section 2071, Concealment, Removal, or Mutilation

of Records 21. 40 USC 1401, Information Technology Management Reform Act (Clinger-Cohen Act of

1996) 22. 44 USC 15, Federal Register Act 23. 44 USC 1501, Definition 24. 44 USC 1502, Custody and Printing of Federal Documents; Appointment of Director 25. 44 USC 21, National Archives and Records Administration 26. 44 USC 25, National Historical Publications and Records Commission 27. 44 USC 29, Records Management by the Archivist of the United States and by the

Administrator of General Services 28. 44 USC 31, Records Management by Federal Agencies 29. 44 USC 3101, Records Management by Agency Heads; General Duties 30. 44 USC 3102, Establishment of Program of Management 31. 44 USC 3103, Transfer of Records to Records Center 32. 44 USC 3104, Certifications and Determinations on Transferred Records 33. 44 USC 3105, Safeguards 34. 44 USC 3106, Unlawful Removal, Destruction of Records 35. 44 USC 3107, Authority of Comptroller General 36. 44 USC 33, Disposal of Records 37. 44 USC 3301, Definition of Records

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38. 44 USC 3302, Regulations Covering Lists of Records for Disposal, Procedure for Disposal, and Standards for Reproduction

39. 44 USC 3303, Lists and Schedules of Records to be Submitted to the Archivist by Head of Each Government Agency

40. 44 USC 3303a, Examination by Archivist of Lists and Schedules of Records Lacking Preservation Value; Disposal of Records

41. 44 USC 3308, Disposal of Similar Records Where Prior Disposal was Authorized 42. 44 USC 35, Coordination of Federal Information Policy Subchapter I 43. 44 USC 3501, Paper Reduction Act 44. 44 USC 3506, Federal Agency Responsibilities 45. 44 USC 3601, E-Government Act 46. ANSI/EIA-649B 2011, Configuration Management Standard, April 1, 2004 47. DOE G 433.1A, Nuclear Facility Maintenance Management Program for Use with DOE

O 433.1B, September 12, 2011 48. DOE M 471.3-1, Manual for Identifying and Protecting Official Use Only Information,

April 9, 2003 49. DOE O 200.2, Information Collection Management Program, October 11, 2006 50. DOE O 226.1B, Department of Energy Oversight Policy, April 25, 2011 51. DOE O 241.1B, Scientific and Technical Information Management, December 13, 2010 52. DOE O 243.1A, Records Management Program, November 10, 2011 53. DOE O 243.2 Vital Records, February 2, 2006 54. DOE O 413.3B, Program and Project Management for the Acquisition of Capital Assets,

November 29, 2010 55. DOE O 420.1B, Facility Safety, December 22, 2005 56. DOE O 433.1B, Maintenance Management Program for DOE Nuclear Facilities, April

21, 2010 57. DOE O 471.3, Identifying and Protecting Official Use Only Information, April 9, 2003 58. DOE/RL-2008-63, Records Restoration Guidance for the Hanford Site: The User’s

Handbook, March 2009 59. DOE/RW-0333P, Office of Civilian Radioactive Waste Management Quality Assurance

Requirements and Description, January 4, 2009 60. DOE-STD-1073-2003, DOE Standard Configuration Management, October 2003 61. DOE-STD-4001-2000, DOE Standard Design Criteria for Electronic Records

Management Software Applications, March 2000 62. Executive Order 11440, Providing for the Supplemental Use of Exhibits and Displays

Created in Furtherance of Authorized Programs of Executive Departments and Agencies, December 11, 1968

63. Executive Order 12600, Predisclosure Notification Procedures for Confidential Commercial Information, June 23, 1987

64. Executive Order 12667, Presidential Records, January 16, 1989 65. Executive Order 12829, National Industrial Security Program, January 6, 1993 66. Executive Order 12937, Declassification of Selected Records Within the National

Archives of the United States, November 10, 1994 67. Executive Order 12958, Classified National Security Information, Amended March 25,

2003

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68. Executive Order 13233, Further Implementation of the Presidential Records Act, November 1, 2001

69. Federal Rules of Evidence 70. ISO 15489, Information and Documentation – Records Management Part 1: General 71. ISO 15489, Information and Documentation – Records Management Part 2 72. NARA Bulletin 2005-04, Availability of Electronic Records Management Guidance for

PKI Digital Signature Authenticated and Secured Transaction Records, March 28, 2005 73. NARA Bulletin 2005-06, Additional Requirement for Transferring Permanent Records to

the National Archives of the United States Directly from Agencies, August 22, 2005 74. NARA Bulletin 2006-02, NARA Guidance for Implementing Section 207(e) of the E-

government Act of 2002, December 15, 2005 75. NARA Bulletin 2006-03, Availability of the Federal Enterprise Architecture Records

Management Profile, December 23, 2005 76. NARA Bulletin 2006-04, Scheduling Electronic Copies of E-mail and Word Processing

Records, July 12, 2006 77. NARA Bulletin 2006-05, Pre-accessioning Permanent Electronic Records, July 31, 2006 78. NARA Bulletin 2007-02, Guidance Concerning the Use of Enterprise Rights

Management (ERM) and Other Encryption-Related Software, April 30, 2007 79. NARA Bulletin 2008-01, Checklist of Current NARA Bulletins and List of Records

Management Guidance in Effect, December 21, 2007 80. NARA Bulletin 2008-02, Protecting Federal Records and Other Documentary Materials

from Unauthorized Removal, February 4, 2008 81. NARA Bulletin 2008-03, Scheduling Existing Electronic Records (NARA Bulletin 2006-

02), March 6, 2008 82. NARA Bulletin 2008-04, Guidance for Flexible Scheduling, April 30, 2008 83. NARA Bulletin 2008-05, Guidance Concerning the Use of E-mail Archiving applications

to Store E-mail, July 31, 2008 84. NARA Bulletin 2008-06, Records Storage Facility Standards, Aug 25, 2008 85. NARA Bulletin 2008-07, Endorsement of DoD Electronic Records Management

Software Applications Design Criteria Standard, September 10, 2008 86. NARA Bulletin 2009-01, Checklist of Current NARA Bulletins and List of Records

Management Guidance in Effect, October 21, 2008 87. NARA Bulletin 2009-02, Guidance Concerning Managing Records in Multi-agency

Environments, June 18, 2009 88. NARA Bulletin 2009-03, Pre-accessioning Permanent Electronic Records, July 30, 2009 89. NARA Bulletin 2010-01, Checklist of Current NARA Bulletins and List of Records

Management Guidance in Effect, January 21, 2010 90. NARA Bulletin 2010-02, Continuing Agency Responsibilities for Scheduling Electronic

Records, February 5, 2010 91. NARA Bulletin 2010-03, Flexible Scheduling, May 03, 2010 92. NARA Bulletin 2010-04, Guidance Concerning Notifications for Previously Scheduled

Permanent Records, September 10, 2010 93. NARA Bulletin 2010-05, Guidance on Managing Records in Cloud Computing

Environments, September 30, 2010 94. NARA Bulletin 2011-01, Checklist of Current NARA Bulletins and List of Records

Management Guidance in Effect, March 4, 2011

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95. NARA Bulletin 2011-02, Guidance on Managing Records in Web 2.0/Social Media Platforms, October 20, 2010

96. NARA Bulletin 2011-03, Guidance Concerning the use of E-mail Archiving Applications to Store E-mail, December 30, 2010

97. NARA Bulletin 2011-04, Guidance on Managing Mixed-Media Files, July 18, 2011 98. NARA Bulletin 2010-04, Guidance Concerning Notifications for Previously Scheduled

Permanent Records, September 10, 2010 99. NARA Bulletin 2010-05, Guidance on Managing Records in Cloud Computing

Environments, September 30, 2010 100. NARA, Agency Recordkeeping Requirements: a Management Guide 101. OMB Circular A-123, Management’s responsibility for Internal Control, December 21,

2004 102. OMB Circular A-130, Management of Federal Information Resources, 11/28/2000 103. Public Law 107-347, E-Government Act of 2002 104. Hanford Records Schedules

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14. Appendix C, Capital Planning and Investment Control Description

Project Purpose:

The purpose of this project is to develop and implement efficient and a cost effective Records

Management Program at the Hanford Site. This project will set the means for managing the

Records Management Program for the Hanford Site. The project will be reported through the

Capital Planning and Investment Control (CPIC).

Project Scope:

The Records Management Investment is an existing integrated set of the Records Management

Program and systems that support over 5000 contractor employees at the Hanford Site. Some of

the key records and information systems include: Integrated Document Management System

(IDMS), Document Management and Control System (DMCS), Imaging Operations, and the

Records Holding Area activities and records and information management system. The Records

Management Investment is a contractor managed system and is shared with multiple Hanford

Site contractors. The Records Management Investment includes the following major contractors:

MSA, which is responsible for the majority of the records and information management scope on

the Hanford Site, CHPRC, WRPS, WCH, , and CSC HOHS.

Schedule and Cost Objective:

The Records Management Investment is expected to be about $188 million over an 11 year

period. Because of the scope of this project it is considered a capital asset project.

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CPIC PROJECT MANAGEMENT FLOW DIAGRAM

Base Support Team

The Records Management CPIC team consists of representatives from the five major contractors

and a project controls employee.

General responsibilities for the members of the base support team are shown in the following

table.

DOE P 413.1 Program and Project Management Policy for the Planning, Programming, Budgeting and Acquisition of Capital Assets

DOE O 413.3 Program and Project Management for the Acquisition of Capital Planning

Project Planning

1) Integrated Project Team and Charter

2) Tailoring

3) Project Documentation

MSC

CHPRC

WRPS

CSC HOHS

WCH

Project Implementation

1) Project Oversight and Control

2) Project Performance Assessment

MSC

CHPRC

WRPS

CSC HOHS

WCH

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Contractor’s point-of-contacts are responsible for providing information on their contract. Data

from the contractors are collected and consolidated by DOE-RL prior to populating the CPIC

submission.

BASE SUPPORT TEAM GENERAL RESPONSIBILITIES

No. Tasks Frequency

1

Provide planned cost for the duration of the contract to DOE. Planned cost must be subdivided in three categories:

• Planning

• Acquisition

• Maintenance and Operation

Yearly or as requested by DOE HQ

2

Have system in place for tracking cost, to be able to demonstrate consistency and accuracy of data.

As requested

3

Provide to DOE monthly and year-to-date actual cost. Actual cost reported must be subdivided in three categories:

• Planning

• Acquisition

• Maintenance and Operation

Monthly or as requested by DOE HQ

4 Collect project lifecycle documentation for all projects funded by planning and acquisition funds as identified in Task No. 1 above. CPIC documentation requirements consist of, but are not limited to:

• Needs statement

• Alternative analysis

• Acquisition strategy

• Project plan

• Schedule

• Risk plan

• Risk register

• Any other documentation as needed These documents will be submitted to DOE for audit purposes.

Yearly or as requested

5 Respond to any cost and schedule variances questions. As requested

6 Contribute to establishing performance metrics for the Hanford Site, and be familiar with the expectations of established performance matrices.

Yearly or as requested

7 Report data for established performance matrices. Monthly

8 Respond to any verification/validation/assessment questions.

As requested

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15. Appendix D, Potential Service Measurements

Customers include DOE-RL, DOE-ORP, DOE-ORP/WTP, and their contractors.

Strategic Goal(s)

Supported

Measurement

Area/SLA/MOA

Measurement

Category

Measurement Indicator Baseline Target

Easy and mobile

access to records

information

Processes and Activities Productivity Number of processes

reviewed for workflow

implementation (per year)

6 reviews

per year

Increase

reviews by

20% per year

Increase number of

electronic records

Technology Information and data Number of electronic records

in electronic records' storage

systems vs. number of records

retired in physical format

Current

ratio 5%

Increase

number of

electronic

records in

storage by 1%

per year

Implement quality

Records

Management

Program

Customer Results Customer benefit Number of users trained per

year

240 users

per year

Increase

number of

users trained

by 10% per

year

Cost effective

program

management

Mission and business

results

Administrative

management

Actual costs are less than

budget

TBD Decrease cost

Long-term records

storage, retrieval,

and destruction


results

Administrative

management

Removal of records from the

field and into long-term

storage, RSAs, or IDMS

TBD Decrease % of

records in the

field past their

cut-off

Records inventory

and schedule

management


results

Administrative

management

Account for all records and

nonrecord information bi-

annually

TBD 100% of all

companies

reporting

Vital records Mission and business

results

Administrative

organization

Ensure all vital records are

created and stored separately

TBD 100% of all

companies

reporting

100% of all

vital records

listed and

stored in off-

Site locations

Imaging Operations Technology Information and data Increase quantities of imaged

scanned as records

TBD 100%

electronic

records

Imaging Operations Technology Information and Data When items are scanned as

electronic records, no

corresponding records will be

retired in RHA unless dual

storage is required

TBD 100%

electronic

records

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16. Appendix E, Program Assessment Line of Inquiries

1. Are there policies and procedures?

2. Do they adequately cover requirements, roles, and responsibilities?

3. Are they working to the policies and procedures?

4. Do they have full time staff assigned to Records Management?

5. Are they trained?

6. Is the Records Manager staff full time (should be)?

7. Are budgets clearly identified for all Records Management Program elements?

8. Are budgets sufficient to allow compliance with procedures, requirements, etc?

9. Are there records processing backlogs?

10. Does a training program exist?

11. Is training conducted by a qualified records professional?

12. Does the training clearly state the responsibilities?

13. Do field personnel understand the difference between temporary, permanent,

nonrecord, and vital?

14. Are the Records Management Programs between DOE-RL, DOE-ORP, DOE-

ORP/WTP and the contractors clearly integrated?

15. Is there a process in place to identify and follow to resolution records non-

compliance issues?

16. Are all DOE-RL, DOE-ORP, DOE-ORP/WTP and contractor employees aware of

their records responsibilities?

17. When new record types are created or received is action taken to establish records

handling, storage and disposition requirements?

18. Are the RIDS listings for DOE-RL, DOE-ORP, DOE-ORP/WTP and contractors’

employees up-to-date? Are there items not listed on the RIDS that should be?

19. Are they aware of areas in buildings where information or records are stored, such

as closets, bathrooms, or Conex boxes?

20. Are all required data filled out on the RIDS and are they accurate?

21. Are electronic records included on the RIDS?

22. Are system applications sending electronic records to IDMS or are they being

rendered to print?

23. Are active records adequately protected?

24. Are adequate indexes included when records are transferred to the Records Holding

(RHA)?

25. Doe the RHA house the records that are most highly retrieved or are those records

located at the Federal Records Center (FRC)?

26. Are there limits on records that an organization can hold in the field before retiring

to the RHA?

27. Are adequate controls (e.g., receipt acknowledgement) in place for records transfers

between organizations, contractors, RHA, FRC, and the field?

28. Is the RHA compliant with storage regulations?

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29. Are records retrieved tracked until they are returned? Are they checking to ensure

they are unaltered?

30. Are Office of Civilian Radiological Waste Management (OCRWM) and

Transuranic (TRU) procedures adhered to?

31. Are conditions of risk or damage present or known about?

32. Does Hanford have a single database to track all retired records for all contractors

and do all contractors participate?

33. Are there guides for consistent data entry and indexing information and are they

followed?

34. Is the vital records program managed, controlled, and adhering to regulations and

best practices?

35. Have separate assessments been performed on document control, major collection

management, standards/policies/procedures, imagining operations, records

restoration, electronic records, and litigation holds?

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17. Appendix F, Acronyms

ANSI/EIA American National Standards Institute/Government Electronics and Information Technology Association

ATL Advanced Technologies and Laboratories International Inc.

BNI Bechtel National Inc.

CHPRC CH2M Hill Plateau Remediation Company

CSC Computer Services Corporation

CFR Code of Federal Regulations

CPIC Capital Planning and Investment Control

DMCS Document Management and Control System

DOD Department of Defense

DOE Department of Energy

DOE-ORP Department of Energy Office of River Protection

DOE-RL Department of Energy Richland Operations

FRC Federal Records Center

FOIA Freedom of Information Act

HLAN Hanford Local Area Network

HOHS Hanford Occupational Health Services

IDMS Integrated Document Management System

IRM Information Resource Management

IRM/IT Information Records Management/Information Technology

ISO International Standards Organization

I/S Information/Service

IT Information Technology

LTS Long-Term Stewardship

MOA Memorandum of Agreement

MOU Memorandum of Understanding

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MSA Mission Support Alliance

MSC Mission Support Contractor

NARA National Archives and Records Administration

OCRWM Office of Civilian Radioactive Waste Management

OGA Other Government Agencies

OMB Office of Management and Budget

ORP Office of River Protection

OUO Official Use Only

PRC Plateau Remediation Contract

PSCR Personnel Security Clearance Record

RCCC River Corridor Closure Contract

RHA Records Holding Area

RIDS Records Inventory and Disposition Schedule

RL Richland Operations Office

RSA Records Storage Area

S Service

SLA Service Level Agreement

TBD To Be Determined

TOC Tank Operations Contract

TRU Transuranic

USC United States Code

WRPS Washington River Protection Solutions LLC

WTP Waste Treatment Plant

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18. Appendix G, Definitions

Clinger-Cohen Act of 1996: The Clinger-Cohen Act of 1996 provides that the government IT

shop be operated as an efficient and profitable business. Acquisition, planning, and management

of technology must be treated as a "capital investment”.

Governance: The establishment of IRM/IT policies and methodologies to implement the laws

and regulations levied on the DOE and subsequent contract agreements and the continuous

monitoring of their proper implementation, enabling the best decisions to be executed efficiently

to support mission and project schedule demands.

Hanford Site Records Officer: The Hanford Site Records Officer is responsible for the oversight of the Records Management Program and ensuring contractor’s records and information activities are compliant with all applicable regulations as well as being cost effective and proactive. The Hanford Site Records Officer is the principal point-of-contact for DOE-RL, DOE-ORP, and DOE-ORP/WTP regarding all records and information management matters and is the records and information interpretive authority for the DOE.

Information Technology: IT, as defined by the Clinger-Cohen Act of 1996, sections 5002,

5141, and 5142, means any equipment or interconnected system or subsystem of equipment used

in the automatic acquisition, storage, manipulation, management, movement, control, display,

switching, interchange, transmission, or reception of data or information. For purposes of this

definition, equipment is "used" by an agency whether the agency uses the equipment directly or

it is used by a contractor under a contract with the agency that (1) requires the use of such

equipment or (2) requires the use, to a significant extent, of such equipment in the performance

of a service or the furnishing of a product. IT includes computers, ancillary equipment, software,

firmware and similar procedures, services (including support services), and related resources. It

does not include any equipment acquired by a Federal contractor incidental to a Federal contract.

J-3 Matrix: In the Mission Support Contract Solicitation, Attachment J-3, is the Hanford Site

Services and Interface Requirements Matrix.

Oversight: DOE oversight encompasses activities performed by DOE organizations to determine

whether Federal and contractor programs and management systems, including assurance and

oversight systems, are performing effectively and/or complying with DOE requirements.

Oversight programs include operational awareness activities, on Site reviews, assessments, self-

assessments, performance evaluations, and other activities that involve evaluation of DOE-RL,

DOE-ORP, DOE-ORP/WTP, and their contractor organizations that manage or operate DOE

Sites, facilities, or operations (see DOE O 226.1B, Department of Energy Oversight Policy).

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Risk: Risk is a measure of the potential inability to achieve overall project objectives within the

defined cost, schedule, and technical constraints. The two components of risk are 1) the

probability or likelihood of failure to achieve a desired outcome, and 2) the consequence or

impact of this failure.

Work for Others: In support of the Hanford mission, IRM/IT may be required to have tasks

performed for others. These tasks are managed and controlled utilizing the same processes and

procedures as contractor work.

IT Portfolio Management provides IT support for Federal employees.

Services provided for DOE-RL, DOE-ORP, DOE-ORP/WTP, and direct support contractors, and

Other Government Agencies (OGA) include:

• Computer system planning, IT services procurement from Hanford Site IT service

provider as required, and IT support for OGA.

• Visitor support for OGA, including coordination of telephone computer installations and

Hanford Local Access Network (HLAN) account access, IT asset management, IT

equipment checkout, inventory for repairs, and specialized support.