C04e Attachment 4 MPSG Project Record Protocol v.08-14 1284LM26Q0117.pdf

Planning Service Organization

MPSG Planning Record Protocol The Planning Record All land management plan revisions are required to have a planning record. The planning record tells the story of the revision. It is a paper trail that documents the agency’s decision-making process and the basis for the decisions. Under the Federal Records Act and National Archives Records Administration (NARA) regulations, the project record is defined as:

All books, papers, maps, photographs, machine readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decision, procedures, operations, or other activities of the Government or because of the informational value of data in them.

44 U.S.C. 3301

Roles and Responsibilities MPSG Planner/ Plan Manager

• The planner or assistant planner will be in charge of maintaining the project record. The role of the planner is to provide guidance and support to the team and ensure that the planning record complies with protocol and all other laws, regulations, and policies. They will be responsible for setting up and maintaining the file structure and implementing naming conventions. They will take the documents placed in the “To Be Filed” folder by team members, verify that they are in the correct format and file naming conventions, save the document in appropriate folder, and update the index.

Team Members

• Responsible for ensuring that all necessary supporting documents for their analyses are included in the planning record. To support this, team members need to submit their finalized documentations to appropriate “To Be Filed” folder with the appropriate naming conventions.

GIS Specialist

• Responsible for managing spatial data, filing any associated outputs to support the revision, analysis, and archiving GIS data for the planning record.

• Responsible for zipping GIS data at the end of each phase to be placed in the project record.

Workspace and Folder Structure Working documents must be created, stored, drafted and reviewed within planning SharePoint workspace. The workspace will be set up by the planner and will be organized as follows:

• 0_1_ProjectMgt

• 0_2_InternalCommunications

• 0_3_PublicEngagement

• 0_4_TribalEngagement

• 0_5_CooperatingAgenies

• 0_6_Monitoring

• 0_7_USFWSConsulation

• 0_8_TribalConsultation

• 0_9_Wild_WSR-SCC

• 0_10_Reource Working Files

• 1_PresAssessment_Assessment

• 2_PlanDevelopment

• 3_DEIS

• 4_FEIS

• 6_Objections_PostObjRes

• 7_References

• DRAFTProjectRecord

• General

The SharePoint site and the documents within it will be considered the “Working Documents” folder.

Each subsequent folder will be structured just like this one. Once they are finalized, the specialist working on the document will move it to the “To Be Filed” Folder.

Flow of documents The project record folder in SharePoint and Pinyon will be created, maintained, and shared by the planner overseeing the revision. SharePoint can be used to share working documents to which multiple IDT members and to share other documents and resources amongst the team; however, the Pinyon folder is the official project storage location. Within the Pinyon planning record folder there will be four folders that will house documents. Each of these folders will maintain the same structure as the “Working Documents” folder.

• “Working Documents” folder.

o This includes working documents and drafts that are not a part of the project record. If these files are to be included in the project record, they should be moved to “ToBeFiled” once they are finalized.

• “To Be filed” folder.

o This is a staging area for documents that are ready to be submitted to the project record.

Team members will place files in this folder when they are ready. From here the planner will properly file them and rename them if needed.

• “Official Planning Record” folder.

o This is the official project record. Only finalized documents should be placed here. These are the final resting place for documents.

• “Original Documents” folder.

o This is a place to keep additional copies of documents.

What needs to be added to the planning record?

Pre-Scoping/ Project Management

• Relevant policies, planning documents, or guidance letters from the national, regional, forest, or district level.

• Photos, maps, and documents pertaining to the existing condition and preliminary actions that are not included elsewhere or inserted within another document or report.

IDT Coordination Process Documentation and Meeting Notes

• Project charter, project management plans (PMP), task tracker (TT)

• Notes from IDT meetings and other items that document the process

• Emails that document an internal discussion not otherwise incorporated in other materials or addressed.

External Engagement

• This section is divided into subsections and contains documents from the designated public involvement periods, as well as any communications that occur outside designated periods.

• Includes formal letters, news releases, copies of newspaper articles, public notice mailing lists, response letter, emails received from the public, notes, attendee lists from public meetings, internal, external, meeting minutes and tribal engagement plans.

Interagency Communication

• Correspondence or documentation of meetings with other agencies (cooperating and regulatory)

• If internal meetings have substantive information, document a summary in a thoughtful, appropriate way through concise meeting minutes Emails

• Some emails may be necessary to include in the project record. Noy every email about the project needs to go in the record. Only emails with substantive information that provide context for how the analysis was conducted, the alternatives were developed, or decisions were made.

• Emails to include in the record:

o External emails with members of the public, partners, collaborators, or others outside of the Agency must be included in the project record.

o Internal emails that demonstrate resource analysis not otherwise incorporated or addressed in other Project Record documents.

o Internal emails that contain unique information relative to the EIS decision

Specialist Input Reports and Supporting Documents

• Divided into sub-sections for each of the relevant resource areas.

• Specialist reports, white papers, field notes, maps, resource photos, etc.

NEPA and Planning Documents

• Legal Notices and Federal Register Notices for each phase of the process, including cover letter(s)

• Mailing lists (electronical and hard copy) for the final documents

• Public Drafts

• Final

• Final versions of all documents released to the public

• Final versions of the analysis document EIS.

• Singed Record of Decision (ROD)

• Response to Comments documents that are not in the final analysis document for example response to comments for assessments.

Objections Record

Administrative Review Period Documents

• Objections received, objection tracking form, agency responses or documentation of resolutions.

Privileged Information

• Information exempt from public release under the Freedom of Information Act (FOIA). See below for a more in-depth explanation.

• Tribal information or documents that are not already publicly available.

References

• Studies, research, papers, etc. that were considered directly or indirectly.

Working Files

• Under NARA regulations, certain working files such as preliminary drafts, rough notes, and other similar materials shall be maintained for purposes of adequate and proper documentation if:

o They were circulated or made available to employees, other than the creator, for official purposes such as approval, comment, action, recommendation, follow-up, or to communicate with agency staff about agency business; and o They contain unique information, such as substantive annotations or comments included therein, that adds to a proper understanding of the agency’s formulation and execution of basic policies, decisions, actions or responsibilities.

36 CFR 1222.12(c)

What is not a planning record?

• Drafts of any document that are part of the work process (incomplete, editorial, etc.) or internal deliberations.

o Includes draft versions with comments, unless they were shared with the public, cooperating agencies, and tribes during comment periods; these are relevant to show what information was presented at this stage of the process.

• Informal deliberations, personal notes, or project management information that does not inform the agency’s decision-making process.

o Includes internal fiscal documents and budget related information.

• Internal emails do not need to be included, unless they demonstrate resource analysis that was not otherwise incorporated or addressed in another project record.

• Computer runs that were not used to inform the final decision-making process, for example, GIS data that was not used or was superseded.

1. Raw data, such as for wildlife surveys. These data should be interpreted in a final report.

Documents that are exempt from FOIA In some cases, sensitive information may be exempt from release to the public under the Freedom of Information Act (FOIA). If such information was used to support the planning process, it should be included in the project record. However, it should be filed in a separate area and clearly marked “FOIA exempt” in the document name and index. If there are any question or concerns regarding FOIA and FOIA exemptions, the primary contact for the revision should be the forest FOIA coordinator. If there is no forest FOIA coordinator the regional FOIA coordinator will serve as the next point of contact. Planning materials that the FOIA exemption may apply to are as follows (FSH 6209.13):

• Exemption 1 (information exempted by statue). For example, an archaeological site report must be withheld. The Archaeological Resources Protection Act and the National Historic Preservation Act prohibit the disclosure of information about the nature and location of archaeological and historic resources.

• Exemption 2 (trade secrets or commercial or financial information). For example, financial information from a private corporation doing business with the Forest Service would be withheld from a competing corporation.

• Exemption 3 (inter- & intra-agency records). For example, a land appraisal report or proposed land exchange records might be withheld until after the exchange is finalized. (or) an opinion written by OGC might be withheld until all chance of litigation is past. (or) a research project report or data might be withheld until it is fully completed.

• Exemption 4 (personally identifiable information, or PII). For example, individual personnel or medical files that contain information such as an employee’s home address, home phone number, social security number, and date of birth are withheld in part or in entirety.

• Exemption 5 (records and information compiled for law enforcement). For example, the names of persons involved in a law enforcement investigation, the names of witnesses interviewed, law enforcement techniques and procedures, and on-going investigations, can be withheld.

Generally, the project record does not include privileged documents and materials that contain protected information. However, if there are such documents, they will be identified as “FOIA exempt.”

Team members should work with the project’s FOIA coordinator to determine if FOIA exemption is warranted. The agency should consult with the agency counsel and the DOJ attorney or the Assistant United States Attorney, as to the type and extent of the privilege(s) asserted. Be sensitive to the relevant privileges and prohibitions against disclosure, including but not limited to, attorney-client, attorney work product, Privacy Act, deliberative or mental processes, executive and confidential business information.

If documents and materials are determined to be privileged or protected, the index of record must identify the documents and materials, reflect that they are being withheld, and state on what basis they are being withheld.

Data and Analysis Products and Geospatial Data (GIS) The project record, at a minimum, contains copies of the original finalized data used to conduct the analysis for the project. The electronically generated data is kept on electronic storage media suitable for producing a hard copy on demand. The raw data used to develop and structure any analytical tools is part of the file as well as all model outputs. All model outputs and the raw data used to develop and structure any analytical tools are part of the record. The project record must contain an accurate description of the entire analysis process including:

• Inventory data collection

• Development of resource yields

• Sources of economic data

• Assumptions used in developing resource relationships

• Processes used to estimate environmental effects

• Published documents for each state/phase of the plan revision process

• Final computer runs used in the analysis.

The GIS Specialist for the project will: (1) catalog all data for the project record (2) compress/archive the entire project folder and move a copy to the pinyon folder.

EndNote for References EndNote is a reference database for storing published information; it is the location for most reference materials, including books, scientific journal articles, General Technical Reports, land management plans, and other programmatic NEPA documents. EndNote provides a central place to house reference citation information and the associated PDF; is a virtual tool that works across boundaries of forest. It makes it easy to obtain commonly referenced methods and reports and it facilitates easier access to regional documents. As the DEIS is being written, authors will use the Cite While You Write function, which will allow EndNote to automatically generate a bibliography; if the reference is not on file, the writer must save the reference as a PDF to be added to the EndNote library. An EndNote library will be established for each LMP revision project prior to the DEIS phase to set up the EndNote library and provide any necessary EndNote training.

Naming Conventions and Formats

• All files need to be in PDF format.

o Hard to PDF Microsoft documents like outlook emails or excel can be converted into

PDF’s by pressing print and then saving as a PDF. Unfortunately, this has to be done individually.

• All files need to be named in the following format: date_type of file_name of file.

o Ex: 2023.09.14_decisionmemo_kandylandwildernessdesignation

• Date needs to be written in yyyymmdd format.

o If you want to separate the date, use an underscore like so yy_mm_dd o Do not use periods

• If date is unknown insert 11111111_ as the date.

• The type of file needs to be specified this can include classifications like email, meeting notes, decision memos, letter, management narrative, press release, etc.

• Similar files such as photos, or forms can be batched and uploaded as one PDF instead of being uploaded individually.

• The correct formatting and naming of the files needs to be implemented and encourage early in the process to prevent further work when the revision is complete.

• This naming convention will work with the HIIT Tool expanded on below.

• Using the naming conventions early on in the process will greatly benefit efficiency

Planner Workflow The MPSG planner/ plan manager or MPSG assistant planner assigned to the revision will be responsible for maintaining the project record. To ensure that the project record is up kept there will be certain checkpoints that will align with the planning phases. These checkpoints are as follows:

• Preparedness Phase o Planner will introduce the project record system and protocol early on during pre-assessment. This can be done through a presentation to the unit.

o Planner will speak about record management during kickoff strategy meetings.

o Planner will establish clear expectations for managing the project record and what is expected of the team.

• Pre-assessment o At the beginning of pre-assessment, the planner will create a working files folder on SharePoint and the respective official folder on Pinyon.

o Before entering the assessment phase, the planner will encourage team members to submit necessary documents to the project record “To be Filed Folder” and will ensure documents are properly named and will file them into the “Official Planning Record” Pinyon folder and the “Original Documents” Pinyon folder.

o Used GIS data will be zipped and added to the project record at the end of the phase.

• Assessment o During the assessment phase, the planner will remind team member to submit documents to the “To Be Filed Folder” o Planner will create a SharePoint folder where all references for assessment document will be placed before being renamed and moved to the “To Be Filed Folder” o Before the beginning of the plan development phase, the planner will ensure documents are properly named and will move files from “To be Filed Folder” into the “Official Planning Record” Pinyon folder and the “Original Documents” Pinyon folder.

o Used GIS data will be zipped and added to the project record at the end of the phase.

• Plan Development o Before completion of the plan development phase, the planner will ensure documents are properly named and will move files from “To be Filed Folder” into the “Official Planning Record” Pinyon folder and the “Original Documents” Pinyon folder.

o Used GIS data will be zipped and added to the project record at the end of the phase.

• Draft EIS o Before completion of the draft EIS phase, the planner will ensure documents are properly named and will move files from “To be Filed Folder” into the “Official Planning Record” Pinyon folder and the “Original Documents” Pinyon folder.

o All references will need to be compiled for EndNote during this phase. References used to write the Draft EIS will be compiled and passed on to and EndNote Librarian who will enter them into the EndNote library.

o Used GIS data will be zipped and added to the project record at the end of the phase.

• Final EIS o Before completion of the final EIS phase, the planner will ensure documents are properly named and will move files from “To be Filed Folder” into the “Official Planning Record” Pinyon folder and the “Original Documents” Pinyon folder.

o Additional references used will be added, compiled, and passed on to EndNote Librarian.

o Used GIS data will be zipped and added to the project record at the end of the phase.

• Objections o Add BASI that was considered and brought forward during the objection process.

o At the end of the objection period, gather all added BASI and ensure documents are properly named and will move files from “To be Filed Folder” into the “Official Planning Record” Pinyon folder and the “Original Documents” Pinyon folder.

• ROD

o Before the ROD the Planner will finalize project record. This must be done before the plan is signed.

o Planner will also run the HIIT tool using the finalized project record before the signing of the ROD. The project record will them be published and made available to the public.

HIIT Tool Hyperlinks need to be given for all the documents in the project record. The HIIT tool can be a very useful tool that will create these hyperlinks. These hyperlinks can be referenced and embedded in other documents, emails, or websites. The HITT tool will create hyperlinks for all of the files found in the project record. The project record can be directly downloaded from Pinyon and saved onto the planner’s computer. The planner can run the HIIT tool once the project record is finalized, and all the files are formatted and named correctly. Once run the hyperlink index will be uploaded on to Pinyon and form a part of the planning record. It is imperative that the files are all following the guidance for the naming conventions and that they are all in PDF format.

Steps for Running the HIIT Tool

1. Download the latest version of the HIIT tool onto desktop.

2. Download project record onto a desktop and save a copy onto your computer.

3. Make sure that you do not work in a SharePoint or Pinyon folder. The folder in which you will run the HIT tool needs to be on a desktop hard drive.

4. Save HIT tool onto the project record.

5. Open HIIT tool

• If it is pre-populated press “Clear Index” button to clear

6. To run the HIIT tool select “Index Folder” option

• A window will pop open, select the desired project file record

• The tool will run and populate the table with the hyperlinks and the respective names.

• Keep in mind with large folder this can take a very long time, make sure the computer is plugged in and wont shut down, if possible don’t work on the computer while the HIT tool is running large folder.

7. These hyperlinks can be copied and embedded into documents.

• Upload hyperlink index back onto Pinyon