`

1. Purpose. This directive provides guidance regarding the request, approval, acquisition, 

inventory, and disposal of Information Technology (IT) Hardware and Software assets.

2. Summary of Changes. This is a new directive. 

3. Definitions.

a. Blanket Purchase Agreement (BPA). BPAs are contract agreements for 

commonly used hardware and core software to secure volume purchase discounts and to promote 

standardization. A BPA may be established by the Department of the Interior (DOI) or one of 

the DOI bureaus.

 b. Capital Planning Investment Control (CPIC). CPIC is a systematic process for 

selection, control, and evaluation of IT investments. It is mandated by the Clinger Cohen Act of 

1996, which requires agencies to use a disciplined process to acquire, use, maintain, and dispose 

of information technology assets.

 c. Core Software. Core software is IT software identified for common use across 

OSM. Core software includes operating systems and application software identified as 

commonly used and supported within OSM.

d. Consumables. Consumables consist of materials or equipment that are 

expendable and need continuous replenishment, such as paper and toner. 

 e. DOI Technical Reference Model (TRM). A TRM is a reference model of 

software recognized for use within DOI, which is commonly used, identified, categorized, 

supported, and approved for use by DOI. DOI’s Office of the Chief Information Officer (OCIO), 

working with the Chief Technology Officer Council, will maintain the DOI TRM for software. 

A waiver is required for software purchases of software other than the software categories listed 

in the TRM.

 f. Disposal. Disposal is any hardware that is removed from OSM’s ownership or 

control by selling, trading, donating, discarding, or in the case of software, uninstalling, deleting,

or wiping the hard drive.

 

U.S. DEPARTMENT OF THE INTERIOR

OFFICE OF SURFACE MINING 

RECLAMAION AND ENFORCEMENT

DIRECTIVES 

SYSTEM

Subject Number:

IT-2

Transmittal Number:

 945

Date:

DEC 9, 2008

 Subject: Hardware and Software Management 

Approval: Brent Wahlquist Title: Director 
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 g. Hardware. Hardware is any equipment purchased for use by OSM for the IT 

network, electronic processing, electronic monitoring, and Geospatial Information System 

processing. This equipment includes, but is not limited to the following:

(1) Desktop Computers;

(2) Laptop Computers;

(3) Tablet Computers;

(4) Servers;

(5) Monitors;

(6) Printers;

(7) Scanners;

(8) Plotters;

(9) Blackberries and Network Aware Cell Phones;

(10) Digital Cameras;

(11) Personal Digital Assistants;

(12) Switches;

(13) Routers;

(14) Firewalls; and

 (15) Other (any IT Equipment which may not fit the above categories).

h. Hardware Maintenance. Hardware maintenance is technical support supplied by a 

vendor either on site or remotely to repair broken, damaged, or malfunctioning hardware.

i. Refresh

 j. 

. Refresh is the annual replacement of IT equipment that has reached its

useful life in accordance with the Office of Surface Mining Reclamation and Enforcement’s 

(OSM) Refresh Guidance on IT Hardware Replacement (Appendix A) developed for OSM IT 

equipment.

 

SmartBuy. SmartBuy is a strategic sourcing initiative of the Federal Government 

to support effective enterprise-level software management through the aggregate buying of 
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commercial software (i.e., antivirus software) Government-wide in an effort to achieve bulk 

savings.

 k. Software. Software is any IT software license purchased with or without 

hardware, including all software loaded and used on OSM IT equipment. This includes, but is 

not limited to, the following categories:

(1) Microsoft Licensed Software;

(2) Core Software;

(3) Application Software;

(4) Technical/Scientific/Engineering Software;

(5) Operating System Software;

(6) Network Software; and

(7) Security Software.

 

 l. Software Licenses. A software license is usually issued by the software 

manufacturer to control the legal use of its software. The software license is usually identified in 

the licensing agreement that identifies software usage, installation, and restrictions.

m. Software Maintenance. Software maintenance is the long-term licensed use of 

software that may include system upgrades, training access, and limited support.

4. Policy. It is the policy of OSM to prudently manage its hardware and software assets in 

support of OSM’s mission objectives and goals while adhering to all applicable laws, 

regulations, and established DOI and Federal policy. Only authorized Government-owned 

hardware and licensed software will be permitted on the OSM network. This policy applies to 

all OSM employees and includes OSM contractors, unless they are specifically excluded under 

the terms of their contracts. 

5. Responsibilities.

a. The Assistant Directors, Regional Directors, and Office Heads

b. 

are responsible for 

ensuring all hardware and software procurements are entered into the designated inventory 

system and are reviewed at least annually to ensure compliance and completeness of information 

in the system. 

The Chief Information Officer (CIO) is responsible for approval of all IT 

Software and Hardware procurements; compliance with the refresh of IT Hardware; and 

oversight of the IT Hardware and Software Inventories. The CIO is also responsible for ensuring 
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that only approved hardware and software are used by OSM and that appropriate procedures are 

issued to ensure compliance with this Directive. 

c. The Chief Information Security Officer is responsible for annual review of this 

policy to identify and facilitate compliance. Compliance issues will be reported in conjunction 

with the quarterly Plan of Action and Milestones briefing to the Director.

 d. The Regional and Other OSM IT Managers are responsible for collaborating with 

the CIO to support annual refresh efforts and ensuring close coordination of the annual refresh 

dates in support of the established refresh timeline. 

6. Procedures

a. Hardware Acquisition.

. 

 

(1) The acquisition of hardware will be made using established BPAs with 

DOI, General Services Administration (GSA) Purchase Schedules, or SmartBuy. When 

hardware requirements fall outside the BPA or existing, pre-competed purchase schedules, 

hardware can be purchased from other sources with appropriate competition in accordance with 

established OSM and DOI policy and CIO approval.

(2) All hardware acquisitions will be approved by the CIO, or designee, prior

to procurement action and will follow established OSM, DOI, and Federal procurement policy.

 (3) All blackberry acquisitions and the determination of distribution within 

OSM are the responsibility of the CIO.

 (4) New and upgraded equipment, including leased equipment, will be

procured using the Refresh Guidance on IT Hardware Replacement (Appendix A).

 (5) Newly purchased equipment will be:

 

(a) In compliance with Electronic Procurement Environmental 

Assessment Tool standards; and 

(b) EnergyStar compliant. 

Exception: Consumable/disposable low-volume hardware items under $1,000, such as 

keyboards, do not need to be approved by the CIO for purchase or entered into the property 

system (see Appendix B for a more complete list). However, items in Appendix A still need to 

be tracked through the property system regardless of single unit purchase price, for 

accountability and justification purposes. 
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b. Hardware requisitions will include maintenance to cover the expected life of the 

equipment. 

c. All hardware that has been identified as OSM-managed personal property will be 

entered into the OSM-designated property management system, FBMS, which serves as OSM’s 

official property inventory. See Chapter 10 of Directive ADS-18, Personal Property 

Management Program. IT Equipment must be removed following appropriate Government 

property disposal or donation guidance. For security purposes, all computer processing units

must be in compliance with OSM’s wiped disk policy. Only the original operating system that 

was supplied with the computer when it was purchased may be reinstalled prior to being 

surplused or donated at the option of the donating office.

 d. Hardware will be secured consistent with the sensitivity of the information in the 

system while making some allowance for installation size, scope, physical layout, and other sitespecific elements.

 e. Managers and system owners will review the hardware inventory annually to 

determine hardware replacement requirements in order to strategically maintain the OSM IT 

Infrastructure and to meet the requirements of system users, OSM, DOI, and Government 

mandates. 

f. Software Acquisition. 

 (1) Software purchases must be approved by the CIO, or designee, prior to

purchase and must follow established OSM, DOI, and Federal procurement policy.

(2) The acquisition of all software will be made using established BPAs, with 

DOI, GSA Purchase Schedule, or SmartBuy. 

(3) If software is not on the DOI TRM, additional justification must be

provided to obtain a waiver from the CIO and to support the approval of the software purchase.

(4) Effort should be made to consolidate services and reduce the number of

licenses required to run services OSM-wide. 

(5) Unused software purchases should be redistributed if the license 

agreement so provides.

(6) Software shall be managed to avoid unlicensed use.

 g. Software Installation.

(1) Only DOI and/or OSM authorized and licensed software may be 

installed or used on OSM-owned or leased hardware. The use of unlicensed software or 

personally-owned software is strictly prohibited.
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 (2) Software installed on OSM-owned hardware will be reviewed 

electronically to ensure software is licensed, updated, and secure, and that outdated versions 

and unauthorized software are removed from Government-owned or leased equipment. 

 

(3) Each region, directorate, and office will conduct an annual review of 

installed software against the central software inventory to ensure OSM compliance with 

Federal copyright statutes. An annual report on software compliance will be provided to the 

OCIO by each region, directorate, and office.

h. Refresh.

(1) In addition to Appendix A, a more detailed Refresh procedure document 

will be established to provide procedural guidance for replacement and removal of IT 

equipment that has reached its replacement life cycle. 

(2) The Regional and other OSM IT managers will review the Refresh 

procedure document annually and update life-cycle categories as established in this policy 

document, as appropriate.

(3) IT equipment life cycles will be reviewed to ensure the Refresh cycle is 

cost efficient and appropriate, taking into consideration factors such as the availability of 

funding and external environmental requirements, e.g., the need for more computing power to 

run software and office use to ensure the hardware holds up in its intended environment. This 

review will be conducted no less than every two years. 

i. Capital Planning Investment Control (CPIC). 

(1) All costs budgeted for the replacement of IT equipment and the purchase 

of new or leased equipment must be estimated and reported in a spending plan.

(2) Refresh infrastructure and desktop refresh are acceptable investments 

beginning with the 2011 CPIC Portfolio development cycle.

 

j. Waivers. Waivers are required to be signed by the CIO for all hardware and/or 

software purchases which are made from any source other than from an approved DOI BPA. 

Waivers are required for all procurements of software not identified as core software or 

approved by DOI in the TRM.

 

7. Reporting Requirement. Annual Software Compliance Report

8. Effect on Other Documents. None
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9. References

a. Executive Order 13423 – Strengthening Federal Environmental, Energy, 

.

and Transportation Management Implementing Instructions

 b. OMB Circular A-130, Appendix III, dated November 28, 2000

c. Public Law 104-106; Clinger-Cohen Act of 1996

d. Public Law 107-347; E-Government Act of 2002

e. Title 44 U.S.C. 3506; Federal Agencies Responsibilities

f. Federal Acquisition Regulations Part 39, Acquisition of Information Technology

g. DOI Secretarial Order 3244, dated November 12, 2002 

h. DOI Electronic Stewardship Implementation Plan, dated June 20, 2008

i. OSM Property Directive ADS-18

10. Effective Date. Upon Issuance

11. Distribution. By electronic format

12. Appendices

a. Appendix A: Guidance on IT Hardware Replacement

. 

b. Appendix B: Items Not Requiring CIO Approval 

Contact: Chief Information Officer
A-1

APPENDIX A

REFRESH GUIDANCE ON IT HARDWARE REPLACEMENT

This guidance is provided to OSM managers to establish and communicate a replacement 

timeline for IT equipment. This guidance should also be used to develop budget estimates to 

determine the replacement of IT hardware. Managers may from time to time be required by 

exigent circumstance to deviate from the actual replacement cycle. IT hardware shall be 

replaced in accordance with the following:

Standard Desktop Workstations - Four Years. Those workstations are identified by the 

Departmental blanket purchase agreement that meet the needs of the most OSM employees. 

This configuration should be ordered for employees unless a business case requires that 

additional features be added to this workstation.

Advanced Desktop Workstation - Four Years. These are workstations ordered with advanced 

computing or storage features needed to meet the employee’s special documented needs for such 

features. Examples include Technical Innovation and Professional Services (TIPS) workstations 

and Administrator Workstations.

Portables (Standard Usage) – Four Years. This category includes laptops and tablets used in 

the normal course of business. This includes laptops and tablets used in the office and on 

occasional travel, and systems loaned from a central office pool. 

Portables (Ruggedized/Field Usage) – Three Years. Laptops and tablets used primarily in the 

field. These systems include those used by field inspectors and TIPS systems primarily outside 

the office environment.

Servers – Five Years. Servers should be replaced on a five-year cycle. An additional two-year 

maintenance agreement should be purchased in addition to the standard three-year hardware 

maintenance agreement that comes with the purchase of the server.

Printers – Five Years or until no longer serviceable. Printers, network and personal, should 

be replaced on a five-year cycle. Managers should ensure that the number of printers is kept to a 

minimum.

Monitors – Five Years, Not to exceed Eight Years. Monitors should be replaced on a fiveyear cycle.

Plotters – Five Years or until no longer serviceable. Plotters should be replaced on a five-year 

cycle.

Scanners – Five Years or until no longer serviceable. Scanners should be replaced on a fiveyear cycle.
A-2

Switches – Five Years. Switches should be replaced on a five-year cycle.

Routers – Five Years. Routers should be replaced on a five-year cycle.

Other IT Equipment. All other categories of IT equipment should have a plan to replace the 

equipment based on the expected system useful life as determined by the equipment owner.

Additional Notes:

- Managers should attempt to reduce the number of workstations assigned to employees.

- Contractor-supplied Government workstations must be included in the refresh inventory.
B-1

 APPENDIX B

ITEMS NOT REQUIRING CIO APPROVAL

a. The following items are excluded from the requirement for CIO approval provided the 

single unit price for the items is less than $1,000:

1. Keyboards;

2. Mice;

3. Storage Devices (CDs, DVDs, thumb drives, memory cards, etc.);

4. Speakers;

5. Computer cables;

6. Batteries;

7. Headphones;

8. CD/DVD burners (mass production CD/DVD burners do need to be approved);

9. GPS units and ancillary equipment;

10. Bore hole cameras;

11. Televisions (provided they were not purchased for use as monitors);

12. Stand alone copiers;

13. Uninterrupted power supplies (UPS); and

14. Consumables – small price replacement parts, supplies such as print cartridges,

and ancillary equipment such as mouse pads, USB ports, and laptop bags.

b. The following items are excluded from the requirement for CIO approval provided the 

single unit price for the items is less than $3,000:

1. License renewals for maintenance purposes; and

2. Video Cards