Free Motion for Miscellaneous Relief - District Court of Federal Claims - federal

Case 1:06-cv-00945-FMA

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Exhibit 8

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IN THE UNITED STATES COURT OF FEDERAL CLAIMS

NAVAJO NATION, f.k.a. NAVAJO TRIBE OF INDIANS,
Plaintiff

) )
)

Case No. 1 :06~cv-00945-L

)
)
)

Judge Francis Allegra

)

v.

)

)

UNITED STATES,

Defendant

) ) ) )

DECLARATION OF ETHEL ABEITA

I, Ethel Abeita, as Director of the Office of Trust Records, pursuant to 28 U.S.C.
§ 1746 do hereby declare and state:
1. I have held the position' of Director, Office of

Trust Records, (OTR). Offíce of the

Special Trustee for American Indians (OST), Department of

the Interior (Interior), since

August 2002. OTR ís responsible for the management ofthe Bureau of Indian Affairs
(BIA) and OST records programs.

consistent with the requirements of 44 U,S,C. Chapter

31.
2. I have worked for the Federal Government for over twenty years. I was formerly

the Assistant Regional Solicitor of the Southwest Regional Office in Albuquerque, New

Mexico. In January 2000, I became the Deputy Regional Director for the BIA's
Southwest Regional Offce and held that position until

I was detailed to the Office of

Trust Records in August 2002..

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3. In my new position at OTR, I immediately began working with the Assistant

Deputy Secretary, Dr. Abraham Haspel, to develop a Strategic Plan ("OTR Work Plan")

to identify and address specific weaknesses in BIA's and OST's records management

programs.
Indian Affairs
4. A key component of the OTR Work Plan was to centralize all

records ín a safe and secure storage facility. Centralization had already begun when i

joined OTR. Indian Affairs records located at the various regional Federal Records
Centers were being transshipped to the Federal Records Center at Lee's Summit,

Missouri.

5. On September 12, 2003, Interior and the National Archives and Records
Administration ("NARA") signed a Memorandum of Understanding ("MOU") to
consolid"ate all inactive Indian records in the possession of BIA and OST, ~nd related

Interior fíduciary trust records at a new Federal Records Center, the American Indian
Records Repository ("AIRR") in Lenexa, Kansas.

6. The AIRR was dedicated on May 4, 2004. It is a state-of-the-art facility. built to
archive standards. This underground record center maintains the documents in a.
secure, climate-controlled environment, with controls for particulate matter and ultravÎolet light. The AIRR has sufficient future capacity to hold Interior's American
Indian records, as projected for the immediate future.

7. Access to the AIRR is strictly controlled. The stacks are closed to all but NARA
staff members, An advance appointment is required to do research at the AIRR, and
everyone is required to sign an ~greement to handle the documents in accordance with
2

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proper procedures. A copy of the Research Agreement is attached as Exhibit 1, All
visitors must also watch a training video which advises on those procedures, and also

the criminal penalties for theft or destruction of federal records.
8, All research at the AIRR is conducted in monitored rooms. Each researcher

may work on only one box and one file at a time, to preserve the integrity of the boxes.

9, Because of the superior conditions for preserving records at the AIRR i Interior
has a strong policy of shipping inactive records to the AIRR as soon as possible. This

policy was articulated in a May 5,2005 memorandum from James Cason, Associate

Deputy Secretary, and reiterated in memoranda circulated in 2006 and 2007. Over
150,000 boxes of inactive BIA and QST records have been shipped to Lenexa, Kansas.

These boxes have been indexed, including 14,086 boxes of records from the BIA
Navajo Region.
10. Inactive records are moved from BIA and OeT locations in compliance with

"Guidance and Procedures" issued by OTR. A copy of The Guidance and Procedures
is attached as Exhibit 3, These procedures include detailed instructions for completing
a Move Request which must be approved before records can be sent to the AIRR and
how each box is to be labeled, inventoried, and prepared for shipment.

11. When boxes of inactive records are received at the Lenexa Annex, the shipment
is verified for completeness. The boxes are then indexed and the data is input in the
Box Index Search System ('18ISSi,), an electronic file level index which lists the contents

of the boxes. The index provides information at the file level for general trust program
records (Le., the Office of Law Enforcement Services).
3

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12. Fiduciaiy trust program records are indexed at the document level, meaning that

every document in a file folder, or where there are no folders, every document in a box

is indexed. Each fiduciary trust document is assigned its own standard identifiers, such
as document type, date and account number if available. The BISS classifies 5754
specific types of documents in 30 identified document categories.

13. Boxes of inactive records are shipped from the originating offices by accession,
which could consist of a shipment of only one box. The indexers open each box within . an accession, record box and file title information, determine the document types within

the file/folder, and categorize these documents within the 30 document-type categories
by date, when indexing trust records. All information, on the outside of the box, typically

including where it originated and its accession, is entered into the BISS as a part of the box title. The boxes undergo quality control as the indexers finish each box, and the
contractor has a quality assurance process in place. Upon request, BISS training is

provided to researchers at the AIRR.

14. OTR's contractor, Labat Andersen, provides assistance to the BIA and CST.

Offices in preparing inactive records for shipment to the AIRR. A move schedule is
developed by OTR in consultation with the contractor. Several factors are considered

in scheduling a site for shipping assistance, including readiness of the SINOST'records
in the field, any urgent needs to move documents at risk, and w~ather conditions as

they relate to the working environment for the contractors that wil be preparing the

boxes for shipment. The BIA Navajo Region has communicated to OTR that it has

approximately 2,000 boxes of inactive records to be transferred to the AIRR. Upon
4

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availabilty of OTR contractor re~ources, we anticipate providing the BIA Navajo
Regional staff with assistance to prepare the inactive records for shipment and arrange
for delivery to the AIRR. This includes: inventorying, packing, shrìnk~wrapping and

completion of move request paperwork. Once a firm moving date had been established
for the Navajo inactive records, in part based on contractor availability. the contractor

wil be sent to complete those actions. Timely shipment to the AIRR of inactive records
such as those currently in the SIA Navajo Region is an important priority of OTR.

15. Although the AIRR's principal purpose is not litigation-related. it provides a
superior environment for the production and examination of documents in that context
as welL.

16. In addition to providing a safe storage and research facilty for inactive records

at the AIRR, OTR has taken steps to preserve and protect active records. 16 SIAM
contains NARA-approved records retention schedules that call for the indefinite
retention of all categ~ries of Indian fiduciary trust records. Agency personnel are made
well aware of this permanent institutional policy.
17. Additionally, in March 2007. I received a notice sent out by Larry Jensen, the

Deputy Solicitor, advising of the new tribal trust litigation, including this case filed by the

Navajo Nation. The notice was addressed to all employees and contractors at all
Interîor offices and bureaus that handle Indian trust documents, reminding them that all

such records must be preserved, including electronically stored information.

18. OTR conducts records training for BIA and tribal personnel on the proper
management of Indian trust records. Over 100 different training events were held last
5

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year, at eTR headquarters and various locations around th6 country. Between October

2004 and May 2007, OTR trained 1,630 personnel from BIA and eST, and 586 tribal
personneL. 156 rêoords contacts were trained from the BIA Navajo Region. OTR trains
new records. oontacts as they are Identifledi and a.so provides oontlnuIng training for

those previously trained, An overvie.w of OTR recorqs training, the table of contents
from OTR's records training manual, and a topical agenda are attached as Exhibît 2.

Intended
19, QTR has adopted and Implemented policies and procedures that are.

to and succeed In preserving Indian trust rec:ords for future generatIol's. and making

them accessible in a.n organized way for all interested parties. These purposes would

be thwarted by the entr of thQ order requested by plalntiff In this case. which would
require BIA to maintain documents on the Navajo reservation for up to five months,
whether or not oTR was ready to ~s5ist .in moving them to the AIRR. Leaving thE!
inactìva records in the field locations would place thGl records: at greater risk Of

destruction by acoidental causes_

Executed this.~~day of June, 2007

6

Case 1:06-cv-00945-FMA

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Abeita Declaration
Exhibit 1

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Documentre~ Di recto r 06/28/2007 Filed BIA-A 21-2

~022 Il014/01S Page 9 of 36

Ofce of th Sl)cial Trutee for Amencan Incs
American Indi Records Reosito~

Resear ~e1nt
The purose of ths resear ::greement is to establi reseuch iequits fo indidual thar. use and
handle; rccord at i:e Amerc;a. In.di Reco..ds Repository (AIR); eftw:e that rec:ofds a.t the .A a.

safeggrded, pi:cse.cd an preent the &strcton of federl records; to döi.ent the name aad

01:ga~t:on that acc~S tha AIR rOJ: ..es~h pi.O$es; ~d enure that all rl:~cachers are subject to the
proviions of 41 CFR subpat 101.20.3. Conduct on Fedeia Proper, and to aD nn an regutiiiii
issued and posted or clttbut~d by the Offie of Off of

the Speci T.ræe for Ameran Iodi (05'1 and

Trusi: Records (On). Removal and rnutition of i;cotds is forbidden by liiw Iid is punhable

by fie OJ: impiisonment or both (18 V.S.C. 2071).

Th information may be ttfeed to app=op.tte; Federa State, local or forei ageci, when i:elevt
to civi criru or ::egotory investitions or pi:sec:ti::~ the. informtin iny be diclosed by

OST /.A to an cxpe.. consultat, at a i;ontícto:r of OST / on to the extent nccessuy foz: them to assit OST / OTR in the peeoi:ce of its dutes; the inJouwi:don t:y be diddscd to the U.$.

Depaaent of Jusrice or to a cour or adjudicative body ii caal$S invol'C the mutition 02: uuwf reinova or records.

RESEACH ROOM RULES (Pblic use of record wm be made avaiable in co:ror:ce with
Natinal AAclves :Reeoíds Adttatin gudelis)

The followi teseatch reuiements must be I3dhctM to in ord to coiiduc: rese:mh :ai: the .ARR. These
requients ue:
1. The AIR premes are p..Otecte by dec;oniç an vieo ssce syste. Upon am a.t the
AI. al viitor are n:quied to ..epo1:t to the m2i eInace. 'Ier~fte... al l3uthom:ec individua

wi be wo.ned to \1~ ~8Îtc entt po.til to eeti:i and exit me :&city.

2. Only autho1Îed individual az:e anowed acc(;SS into r: AI. No other "Vtors are ~owed to
accompany the authoried indiviU2 A federa 0: state is!;u~d photo ideeticattoIJ c: must be

presented upon eeterig the AIR
3. AutholÌed indiviua a:e assigned an on AIR Tempo~ V'::to.'s Badge which tt1.st be
viible aad wom above th wat at al times. whie in the &.city.
4. Establihed i:esear hour ~e: Monday th Friday fr 8:00 a.w - 4:30 p.m. Anyone scheduled

to ICeach eaer at latet than the ideetìeà tie wi nee to ma prioi: anangeents with the
Chif fot w.e DiMon of

Record Opençins (01: desigee) ofth~ A1AA.

5. Pet50na proper i5 aubjec:-ç to inpecton by the Of-Duty Secty Guazd or IU AIR em.ployl!e. (41 CFR 102.20.301) Persona ptopa is defied as j~ckets. co.tg, pur, backcb, hradbags. brif CIlBes, iattché bag, lunch bags, authomed laptop compute..s) etc. Weapons such as fieas,
kn'Ves (including sma pockt: and stea kns). ta~. st-gns~ maQe iud pcppee spray ue not

alwed in feder governont :Ees. Possesson or a.li 0:1 wepon in wa Fcdd'a. fa.city is a. £eder cre reggdless if a linse to can a i;ol)e4d hadgu is authorled (Tide 18 isc,
Sei;. 930).

IAR Form 7003 - Reseuc Ageeent
Reved 7/05
'..

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6. Peronal propert such a.~ punc..., backpa.cks, bticf cases, etc., m'lt be stoted. in 1o~ whi ar lock to seCle y01 pC!on~
avable in desigated a.te only_ YC)U win need tC) bti your own

be1on.. Coat racks aae avable to hang over~oats. nncoaæ and sim a.pparel
7. At no l:e aae perona compute!, b.ptOPS, peeonal cltallSSistat9 (pDA's), tape recoroee. and hand held pho~o tag devices iùowed in the facity. O£fid. use kptop computee must be

authori~ed by rhc Chif' for the Divion of Reco..ds OpetattoaB (ot deee) an subject to inspection upon eotr int() the AIRR.

8.. Notes, refe::ences.lists of :rcord to be consulted and oth~ materils may bç adø~ if th are essenti to the authoried indidua's reeah work However, the authoried individ\laI must present these mate to the Chief fot the Diviion of Reco!:ds Operatins (01: deee) upon
en~i:è intO the Al. These materals wi be iubjeect to inspectn by the OO-D\1ty Secuty

pci;; to e::å:cing the AIRR
9. Use of

pens, .mers, híghter and colQred pcnc.11 arc prohiited. A1 p.rv.es Ni.imber 2

pen,ùs Glnd pa.per upon ..equest.

10. Eatig, dr~ smokig, chewig gu5tDokl!less tobat:eo or diruptive behavior is pmhibited

11. Phone ca ar lited to brief lQçii ~ on.
. 12. Reiiearchers mWit c::ctt :a.lpossile cae to p..eveiit daae to the ttoods. Pnor to remmig to
the rc£cach room, aumoried individua Jnust eiie ha ar cl and free from lotions and
h:md 1liu1:cr9. Disposable gloves and maks 9.1! a~ble upon i:quest.
13. Rftcords m.ust: not be lened on. fateed with clips 0.1 robber ban, wrtten on, £olded~ tri; or

handlei; in anywy to cause da. Use only staess steel staples 01' sWns steel paper clps.to
reassemble docuenu bø.i:k together. IE docuents ar robber banded togethet, temo'\e the

rubber band then place docuiia into an acc.oi:di Ble then ~fie back intO the box. Al of
these supplies wi be fuhcd upon n:quclìt.

14. Lit yow: reea to one box at a time. Furer lit Y01l reseachg to one foldee with the box. Use a Chiige-Out cad as aa iidiçiito;; to tctt the ~eseach folder wits o~ order
with the box. Do not leave folders out and boxe open :for any perod of rie whie away frm

the reseach .rom. Boxei ttu:t be x£tu to ¡¡belving at the cu of the day15. Microfi reader are JiteQ. A .tesea.ç,e,, ma.y use a tedet as long as neßsar if no one ee5~ is waitig. If other ate watig, a. i:e (3) hour lit per day wi be imposed whi may be teserved pri.. to the tesea. If others ar waitig. a reseration wi be held fot 15 miute before beire1quihed to the n~~ iese:cb. Micrfi mi.t be hadl wi white or plastic gloves to avoid smudgg the fi.
16. Rosea.chets whose dutis requie handli Privacy Ai:t i:ceords sb. tae cae to protect the th records at aD. tiC:!i. RC$eac:er sha not diclose any
integrity. secu.ty, and condentity of

infottø.tÎoÌ' contad :i a Privacy Act sytems of reord by any 1DS of comm:wiicatÏii to any

person, o.r to Iinothe. t.ey, a:cept puruant to a wwtlen reuest by, oI with the prio!: written conent of the individ\1l to whom the .record per. The Privay Act of 1974. Til1 5, U .S.C.

5523. cont: proviioIl for c:al penalties for know1y and wi discloSS infommtion
unles9 properly aumo::ed

IA"\ Form 7003 - R~i: Agent
R4~!ed 7/05

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17. Duplication fees can be ob~ea £rom the AIRR:
I

18. When in doubT: on how ~o hadl record with a box, consult an AI einployee.
I

Faiure to abid by these nnes, wrtten dr refereece above; Of if a ti¡seai:chee by hh5lher actions
demonstttes that they present a. che~ to the :rcco:rds or 2Ioyace to other reseacher or employees, may resut .i the revocatin of the ICKciarc:her's rights :Ud ptiv.ge..
I

R=en can have the reea ~eg reok fo "" (60) da if they ",fu to fol the nd
of the A11O roCC)rdii ceter. The reser's orgaalion wi ::eceive awrtten notice from the Dior

of OT wi fie (5) W-mm days oflrhe decin to nwoke the priviege Revocarions may be appea
to the Oí5ce of TíUt Records wi tl (30) days of the effectve date of revocation. If the i:evoca:non

is uphe1d 01: if no appea is made, the rc~cacll!i"a otgation may apply for reseucl piiviegee al.ei the
endig date of the revocanon. Acccss th the A TRR wi be dend dur any appea peeod-

i HA VB RE AN AGREE TO ABIDE BY THE RULES AN REGULTIONS, AS

IDENTIFD IN TInS AGREEMNT.
I

. i

PRINTRD NAMR
,

SIGNA TT
CONTACI' NUMER
I

DATE

ORGANIZATION

IFORAIRR USB ONLY
(I NOT WR.1' BRT.oWTH5 LTN)

NOmS (I1lcl--de ideD,1icatìon crdenti, lette of authriation, ctt)
I I

I

I

I

!A F O:n 7003 - Resrc Agrent
llJl1i:d 7/05

Case 1:06-cv-00945-FMA

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Abeita Declaration
Exhibit 2

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Jun-D6-2007

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Document 21-2

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Offce of the Speci Trustee
OFFCE OF TRUST RECORDS

Division of Records Management Policies,
Procedures and Traini

4400 l'Ia.c;thcadi l\i', Room 130I.
.Abuquetque, N~ "87109

BrA/OST RECORD CONTACT RECORDS T:RING - 2 i¡~ Days
This tra js desied "t pi:Dvide Buu,MU of Indian ..\.££5 ::d Ùl~ Ofñi:i: of the Speci Tru~tee Em .A.crç;;n Indi (OSi)
policy, gud-açc ~d. supporr for tc:conh m¡¡rr~ement a.tivicies widim thE! 1)L'\ mci -oST. II1Jim:w~', 2004, on i;i:qu~sred Ùli

BI. ;ud OST n~e a Record5 Contact for tbci. rr;pr:,.e rcorn Or ?ro~ cc££ii;u The Record! Co..I'l1:~'must ~tæd the

R.c;Oti.. Conmct Records Ti:S \i:bii:ll wi outle thci rcspon~ibilti(; for Rccord.-; ~gement Acttrii:s.
The iespoi:sibitic~ oftbcsc ri:çi;ri:s ~C,n~ti ÎJ TO be the 1it poiit of ~i.ttei £0, inormation tÇp~ æ\ofd$ ingaent
for thei orgaa::tion by beig able to field g~c:",1 i:c:coi:d.~ q~iìons diect more comploc records quetions from 'Sta to the
~rrp::opmmte on rec:o::ds conæçr; ço,i;i1.c n'Od asssr rhe on r--dd R~corrs lisons with any ~pi:cial pooet¡¡ or i-$U~

related to iixQ::d.; ~f1d diui;f1UU'Ltt: -all rcçori;b m~i;mclt poliq, guiance, intti:ccn! to 1111 c:plcybt in thei regiona or
labe fot f01à~5; pic:m:ig ~ ti1c m..i:tCM1lçc: ~nd. di~poi.-mn pls::d pi:epii a.d submittg inactive! records to the

p:rga o!fcc Ths trg c;omptiSÇ$ of h22d5-on açrivicie.~ for idenii admsttic and prtpp ~Qi:ds¡ pr~pa.g
Amei:ii Inddin Reords Repository (."\i:R).
II dt. mW session Reords Conmct wi:

.. Lea how to dii: il rei:oid frm II .non-i:6Coi:d
. Bece f.:: wirh record scecul~
. Lemm the basic priciples ofnlcs Management

. Le:a how to ideeiify ¡¡ Trut Recoro . ~ow ",hac ~ Trut Reeoi:d i5
. i Set up and m:iimMn fiç~
. : Cre.te a Filc5 P!nn

. 'Ship ii:ciivi: ri:rd~ tD tb.: _~
. Prcpur; a i~CCQil:15 MQvi: P1Kn

. Research &: Retrve rccordi. fomm tht: AIR1\

! TRIBAL RECORDS MA""AGEMEl"T BRIEFING - 2 Days (Inrroduc:ol" to the Ai:rion Plan)
Thi~ briefi provides i:ecOtds m='1gemcnt ;tw;cncs~ on póliLy, guid.:..ncc :ud 5upporr fo, ,ci:Qros manageent ;;i:ti~ for

Tri:: go,.crnmenl"S. Tlús brifWg is dessgned to inonn trballcocr5, program rr;imigers ~nd di;sig~c:i, i:ecori: keepr$ of the

i.pornçc i;( Ct~ring ;t good rd:ordkeei.g proggam which "'' prC5crri; and ~iOrf: iiportnt documcrt::, pi.:i: mn omu
r~c;o.rd i:pes, aad provide gudõlflC;~ on ~eftii:g up and rti,wnaicing a i:corth mam.gement p::oggmn tht wi b~l :51 me ned of
thc: oi::atiOI1. Th~ briçffng t¡'1tgi;t~ ri:l!".. gOVi=t:IlLS we Ji"vC' no! i;~rnb1.~hC:Q :J rc(oi:i:~ ni.irsi;i;t P~Qgn bi.r are

w.tl!i:em~d in Ob1t\iiÛ t=i:c.iiwtanc:e from OTR in C5r.blish.iig -¡cd implemenrig a records maeme.t pro~.
T epic; disc.us 53 0115 inch d c:

'. Offce ofTfql' ß,e¡;ord Respoiisibilti:ö: Ov~ew on the Offce ofTi:r Recotds (OTR) r~'pQn~bility Eo::

p:o~g poW:, guciancc::d die;"c; On ~cords nw¡:emeet ptogrm& to (he T:ibe5.

. tndi Afai Records Management Mani:¡¡:I 'Pari:pan~ are p..oviàed i:cco.mmCD!auons.on mc use of p(!lici~iI
and proçei;ur~.

. ute Cycle ofRec~rds: Conçi;pt di~i:us,con on recc::ds i:t iie proçi;5~cd ilou¡:i: the thr= ~r¡¡gi:s of a W"ecyi:lc,
These stages include c;i;r10n. i:tence and use, and the i:ispotiition (storage or dcsmmi:r!n) or ;records. . Records: Wh:u i~ a rccoi- i~,oi:C¡¡:iU (0: ìi:entil'ý"ii:s ;rcçord ITatc:i:ii.

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· NOT1-it~OroS: Proces~e,, fer idCl~S", W m.g non-record mare with p.t~ ofEcc:i;,
· Ri;cord SceduJef¡õ An overew on the ImeITce of (lcvcli:pi, impL!m=1: a:d. IJ'\g a rcr;rds schedule ro
i:i: iii; nnd inactive re.c:rd., with ~ pws offie: m:lfii \dari:f)' r.ecoros to presere and srare imd id=tifr

whkh ici;ord.s to destroy.

· StOIOg'C an Safeg-w.ding kccord.: ThscU:sion ini:h..òc~ cstabli!:g iu tw~ i:H=r~ ¡uti i=em~1 com::ls
for me stoi:g. p~i;i;n.-îg. and safegung ::ctìvc ;;nd iictive records. · Vita Records: .\ sumry On e:ömb1il:g i!d impleeentil1g:: ..-itt records p:ogram to ensur.e r.lle i:otlMlory of p:ogr 0i:~mrions in thc C1ß!r of an êmf:tgl;ty or di5¡¡~r.
· LititiOD Ri:coii$: PnrucipMtS v.i. rcc;cive i:eo;Qrn'!endai:oi:$ on 11andiig and m:gig records that peeia 10

litigation c::es,

. PriV¡¡cy Act Records: 'l"b;: iiPOrta.cc of establishig. maiimcinif1 iipd i:ompiyig ..itl idb:a llws for rei:o::ds 't1r

contai Priv:cy A::t Info~rion. TRlBAL RECORDS MAAGEMENT TiUJNING - 2 Days (Util:i:ng the. alA/CST ltccords Trag Workbook)
'T u~g is dl!lid for tri-b~l gQvcnJ(Ut! rhr tte inreres..eò ipl\opttg the BLo\ and OST poliq, ggiite ~d Tei:ordkep1ng icqqcnn for esiabl1rg and imp1cmcntis a rec;i:rds inan4men.\ proggam. 'l'b tIg c:ompusc of

h;mds.otJ ncctics fox identig ildmini~ttti'9c I\d progiain rl!ord.~; pre.pacng labc:ls for foldcn; md preparg a fie
m.1l.llremce :a diSP09ition. pla,

In ths train session, Record Cont2c;¡¡ wi:

· Lca how 1:0 ditish a recOld .E ¡¡ ~aII.zecoi:d

· Becme fim ,.c1 :t~d si;hc¿hilç¡
· :: how to idaati a Tiw( Re.cotd . Know whT cc 'I~ 'Rorà Ls
. Ser up and maitai fies · Crr1IC a Fiic~ p~

. r..i;m the; basic pricipl ofFil M=agc:i:

¡BEST RECORDS MAAGEMEN PRACTICES FOR A..;ERICA INDiA TRIBES (lplemenmtion of Aciioø. Pll
'.Chis hcieGng pro...;d~ basic rcc;rds m::iiget!t recordkeeping .:e'1~~eiH~ oi: d.tkkpin ::d o!~t~bli~hi poIiy, guida..:o:

;;nd suppoi: for ICi:OttiS m:im,gcmimt iic:i:vii:s for Tribal go.,e=~ts. This i:ouuseï~ de.cf: to IIOII ttb:al~ad~,
progtam mnnagers :wd d~ggat!!d .:ei:ord læper of th~ b~~ of c:~taI.i¡~hil1g and impli:t:ntìrr ~ound rt:cordJeep~

.£..

rc.qulei~u. This t"Uin;".. i:a1"g-ets trbe!: uu..i: h",v", "'.. in~...,,,'I 1n ford,.,.. dt:dnpinf' duo;.. nW r..i:....d. m..n..,...in..nt:
p~ogram bai-cd upon the ::s¡J~~~Q( :needs of the trbe and with teellnkal :ai;Ïstee from the Offce ofTnns( Records

T opii: dicussions includii:

. :Employee Rcsponsibilties: Emplo)'ee. 2%e t:ught in d: b2:eW1g, of me ::$pi:n5ïbili:~s ;;nd ~i:ÇCUlt4 bwn, of
CDS\i.g -adeqi,¡¡ne 'iQ proper dai:w:t:tÎon of o~::cio~, funci:on.s. polici, decisions, procedures and esse:ri

tt..saei:ons of of6i:c opcr:ttom ¡¡nd 11c;'litics. , · Life Cycle of Ri:cotd5: Coni:cpt àisi:s:siol1 OJ: records WI Ui: p.roccsi;i:d th1"D\lgb the; th~~ ¡j~~gi;~ of a lifci;cle. Th~c stages ~cludo crc::n:ion. m.rewce and use, an the diposition (storage or. destrcrol1) ot rt:coriis.

.. Dctcrmc Records from Non-RecD::ds: \\"'t is II record? P::oces'Ses fo.! identig i:ccord matcrial and man~g non-recoriJ m:ti=ii15."th progam offi:es.
. Re.cQld Scldwesi _IU ovi:tvi:w on the importani:c of dc:vt:oping. implemnti and usin 8. records schedul to
i;c: ai;vc and ¡nai:"c Tci.c"tds w)rhin a pioiPm office rhii win íderHif¡. I"f;COl"c:i' ~ ppe,;ei:e IId $to:e and ii:enti
whch 1"i:i:OI"W TO di:~=ø)'.

. Storage aDd Safeguu Records: D~i;~oi: indudi:~ i:~tabli~ll and inai~ internal aßd e;icrerniil comrols
for rhi: ~toring. ptc!õi:i:ving. ¡¡rod $::fcgu:udjg ai:avc ::d inai:~ç 1"I;Oids,

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. Víta Re-oz5;. A sum on erbJisbmg ~d Urpli:c:til'g a ,,-iT" =cords ppogr to mrnrc clt: t:onciuiry of program cpccciii in ih~ evmt of an ~eeCj 01: diaster,
. Litiation kecCltd8: Paa:: w. rei:e rec:omdations on h~~ iud mai;~g=~ tei:aro Wt pc:mi to

1iiiatton ca~i:i;. . Pra-cy ACt Records. The: ímporn1ncc of ~tab1jshiDg, numi aa1d complying with trb~ i 1;",,,1\ fo:: ::ei;crds tht

-contai Fricy .'1çt inotm::CoIl.

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TABLE OF CONTNT
Section
Pa~e No.
Pages 1-5

Termology and Acronym..... u.. 0......................................
Intrduction ...... I. *', I... ........... ........ a.. Ii'.. ..." .....". ............. ..... I... ..ir....

PQ.ge 6-18

Regiona Records Liaions

R-erds Contact Resnsibilites ' IDdian Afai Records Management Maaual (IA

6
10 15

Teamwotk . .

N atatve ... ". .. .. .. .. .. .. .. .. .. .. .. .. . .. .. .... .. .. .. 'I .. .. .. ...... .. .... .. .. .. .. .. .. .... .. .. . . .... .... .. . .. .. .. II....

Page 1
Page

MODULE A- Recrd Magemt (I 1.1) ..,..... o. ... 0 0.... . 0
Recoiù Managemen Goals

A-I thruA-19

Recrd Life Cycle
Ways to Improv.e Records Maagement.
,Recrd Schedules

A-2 A-3 A-5 A-6

c.

Naratve.........., ...u....... ...................... u.............., Page;s 1-3

MODin B - Crtion (l 2.0) .................... . . . .. . ,. . . . . .. . ., Page B-1 rhru B43
'Wat is an Indian Fíducimj TNSt Record? , Persona Pape:s vs Govemment Paper

What is a Record? ,
E-mai
Adstrative va. Prgram Papcm

B-2 B-4
B~34

PcreI vs. TempDrar Recrds

Files Tys
Ai:tivi 1 - JdotiinC Adminlsrrare. DocUJ... ........

B-4
B-40

B-39 B-39

Actty 1-1.th~ 1-4
Actvity 2-1 thru 2-8
Pages 1-5

AcivÍl 2 -Idetifyin P rog ra DOCU1.... ...... .. ......
N lIative . .. II . - .. .. . . . . . .. .. . .. . _ _ .. .. .. .. . .. .. .. . .. .. . . .. .. .. .. . .. .. .. .. .. .. .. .. .. .. .. .. .. .. . .. .. .. .. . .. .. . .

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Secon
MODUL C ~Recrds Maitenance and Use (l 3.0) ......".

Page N().
C-L thr C-44

Record Maitenance Requiements File Folder labels Files Maintenance & Dispsition Plans
Storig &, Safeguardig

Records in Jeopardy

Freedm of Inormon Act
Prvacy Act Recrds
, Activity 3 - Preparg Admative Laóels m... ...._.. _. ....
AClvil) 4 - Prepar Program ..bels n..... ... __ __.'n '.."
:' ÂQIMi; S - Preparg a File MQinl~fi & DfSposition P44'J

C-8 C-13 C-21 . C-30 C-40 C-42

A.ctivity 3-1 thr 3-3
Act'Vry 4.1 thro 4-6
Acrivity 5..1
\

i NaatÏve, . .... ~ . .............. ... .. l.. ... l. , . Ii... .".. .. ....... .. .. ...... I J ......".......... .. ...........

Pages 1-7

MODULE D - Recrds Disosition (l 4.0) .............. ',' . . ...

Rec TIafer

Page D-l th17 D-61

Box Invcn Rccrd Move Plan Packge
~.

Intemlee Recrds Retreval

D-3 D-7 D-19 D-30 D-33
D~58
Activity 6- J rhr 6- J 7

Removal and Destrction

AcriviN 6 - Preparing an ¡."w:ntory... .,. .:. ..: ...... ....n ... .-m

, Activty 7 - Preparing a Rørd Move RRuest Form... .. .n
Nanatíve....... .................... .......'11,.,............... to........ ... .._............

Activity 7-1

Pages 1-7

MODULE E - Vita, Frozen & Litigaon Recrds (I S.O

Vita Recrd,

& IA 8,0) .. ........... .... ..........,........... .....

Page E-I'lhI' E-15

Emergency Operatig or Critical Perroii Records Legal & Financial Rights RecoiLitiga.tion & Frozen Recrds

£-2

K..6

E-6 E-8
Pages 1-3

Nartive .............................................................
GLOSSARy,..,.."............................................. 0......... '0

PageG-l thru 6-11

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.: .:,. . ,... Of ~. .. .. ., I

('

.: ,I :',': i ..I.. r " ~ Æ

""'.:''':"..1"' ..,"
8:30 a.m.

" .

AGENA RECORDS CONTACT TRG
~: :~:'~,:~/;~~:~~ :;:.,~:, .~:~;~~~~~~~;~.~.¡:;):. ::f::, ::.~' ;::~~~;!:~~~;~; ;,;:~~:::~~':;(~:;~¡~t~~ ~::::':: ::;rj:'~'~~, !ii;

Openg Rem
(Housekeeg Ruies~ Introdctions, PreTest)

9:00 a.m.

MODUL A - RECORDS MAAGEMENT

10:00 a.m.

MODUL B - CRATION
Quiz: Is it a Record?
Lunch 11:30am - 12:45pm Actvity i-Identifyng General Admin. Documents
Activity 2 - ldeti1J Program D()CUrnenlS

12:45 p.m.

MODULE C - RECORDS MATENANCE AN USE
2:00 p.rn

Activity 3 - PreparngjilEi labels (General Admn. DOCWents)

Acllvity 4 - Preparngfie labels (p"(Jggtz Docut3)
.:;:. .; ::~ ::.... .. '¡ ......1,.:..: P'" :';: : :":;:?,':bÁ¥'twÖ" ';',,';;',::'... ' .;. 'r. .:::'--~.. :. ,.j: :; 1:' '::::': ,"¡'i ...,' . ~~~.::.: :.
;,::"; -..' .; ,,;.:.. , ....... ..... .;:'.:~ ., :~:: . .'. ':$:33i.iû~;.~¡4:3Itp,.m:~¡¡..;.;:.:~\..~~::,¡~:~;.;~:~:i::~~:~: .:.\:~.::.::;::):,:.:;, '.: :'~__" ':.'

8:30 a.nn
'-

Rec Maence contiue
Filas Maitenaoe and Dispo~ition P)an
Activity 5 - Preparg G1 Files Plan

10:00 a.m.

Lunch

1l:30am-12:45prn
12;45 p.m.
..

MODUL D - RECORDS DISPOSmON Aciivity 6 -Preparg an Inventory and a. SF-135

2:30 p.rn

Recds Diosition contied
Acttty 7 - Preparng d Record Move Plan

._.....~::,~:¡ ;:,I"' ii:~::.;" .',¡,;':::' ;?:':;':::::~;¡~;',;,,~~,,;::""¡::'¡:-¡¡::~r:"" "lID '::,.. ": :'~i;f.::".:':' .;':'~::::;:¡::¡;;;'::"~~;:;',:~"¡"::¡;:!!;.. .0....~¡:::i¡;:; ';':',:¡:::¡ i 1 ï;: ji P"I""JI1i.r i' - "0" -.-" ... . .-u~ "!:;; ,¡ ~.t..._. .... - ,n. ........ ,...,. 0" II. .;::: .::' ........ ;::' "';:; :""
., "..' ' .., "':.:..: ,,'. ': i "I''...: ."....,...,:: .....':; --:¡r'i~:;Y~Il.'næ~i:~: ....: .' " '.. '..."..:.'...." '.:.'1'.. :. ,"..:.' ,;:';: . :.'

..,-.., . . -- ::". -_:......:!. ._;...r..:... I ..,.... . ...4.lu.oo....:.. . ~;:. ~::..IlM". " .. i .1. . .', . r .. .r..:.....,..,'. . "1'. '8~::n;:..""...,i¡~¡.nol:"":._. . t . ,.. ' .,.......,..' . .'~; , :_. _.~.., . .,_..., '. "' ... -,.

8:30 a.m.
i 0:00 a.m.

Records Dispsition cQ.nt:1Jed

.

MODULE E. VIAL, FROZEN & LmGATION RECORDS
Wrap-Up) Review, PostMTes~ EvauatiODSt Certficates

11 :00 a.m. - 12:00 p.m.

* i 0 minute breaks scheduled ol1lhe hour.

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Abeita Declaration
Exhibit 3

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United States ,Deparent of the hhterior
OFFCE OF TI SPECIAL TRUSTEE FOR AMRJCAN INIAS Albuquerque, NM 87109
Division of

Records Management Policies, PTo~urCS and Traing

MA 2 ~ 2l

Memorandum
To:
Director, Bureau of Director, Offce of Qirector, Offce of

Indian Afairs

Indian Education Prograas~ ~
the G~ %rutee for AmeriC~diBI
Trut Records (OTR) ~ .
, ..
..

Law Enforcement Serices

Though:
From:
Subject:

ChiefInO~ation Offcer, Offce of

Director, Offce of

Guidance and Prcedures to Follow when Requesting Approval to Move Records

On July 19, 2004. OTR issued gudance and procedurs to be used to obta approval to move

inactve records to the Amencan Indian Record Repository (AI) - Anex in Leex~ Kansas. Effective imediately, ths memorandum supersedes the July 19,2004 gudance. The
Record Move Plan Package (Move Request foro, Chai of Custody Plan, and records inventory) is to be used for all record moves that requie approval from OTR. The only exceptions are identified as follows:
· Paragraph 19 Cobell Records
· Records of

Tribes named in the Assistant Deputy Secretar's December 16, 2003

Memorandum:
"Active and inactive Tn"bal records of AssinboIne and Sioux Tribes of Tribes of

the Standing Rock Sioux Tribes, the
the Fort Peck Reservation, the Shoshone-Banock
Lagua, and

-

the Fort Hall Reservation, Jicarlla Apache Nation, Pueblo of

the Delaware Tribe ofOkIahoma."

Records for above listed Tribes stil require the Assoclate Deputy Secretar's approval and use Custody Plan:
of the Associate Deputy Secretary's Record Move Request fonn and Chain of

The attached gudace and procedures are to be used to obtain approval fOT moving inactive
record to the AI-Anex in Lenexa, Kansas. The guidance and procedures are provided to
assist you and your staf

in preparg the Record Move Plan Package. The records inventory,

Chai of Custody Plan and Record Move Request form are available in electronic fonnat on the
BlA Intranet under category Data Management. All Records Move Plan Packages must be
forwarded to the OTR Regional Records Liaison (R) for processing and!! directly to

4400 Masthead N.E.

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the OTR office in Albuquerque, NM. This wm provide the RR the opportnity to review

the Move Plan Packages prior to submission and to correct errors if necessary, . -_

OTR Records Management Specialists both in Albuquerque and in the field are available to provide techncal assistance or any other infonnation you may need as you develop and prepare your requests. Please contact your RR or can the Division of Records Management Policiesi PTocedures and Training at (505) 816-1620 if you have any questions.

Attachments:
1. Guidance and Procedures to Follow when Requesting Approval to Move

RecOTds to the AI.Anex in Lenexa. Kansas
,2. Instrctions for Preparg a Records mventory with two examples

3. Record Move Request Revision 2 (fonn) - Director, OTR Approval and
4. Listig of

Chai of Custody Plan Regional Records Liaison's (R's)
::

cc:

Actig, Deputy Assistant Secretar for Inoimation Resources Management - Indi~

Afai '

=-

Director~ Offce of

Inonnation PoIicy- Indian Afai

Centr Offce Dkectors

Regional Directors
Agency Sup,ertendents

~
--

2

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Attachment 1

Guidance and Procedures to Follow when Reauestim! Appr0!I1 to Move Records To the American Indian Records Repository
..

i. The BIAOriginatig Responsible Offcial (ORO) wil prepare the following (Records

Move Plan Package) for submission to the Regional Records Liaison:
1) Record Move Request fonn 2) Chai ofCuscody Plan
3) Records Inventory

4) The Records Transmittal .and Receipt (SF-135) is not reauired by
OTR but mav be pre¡:ared as an option b~ the ORO.
2. The ORO must forward all original documentation 10 the OTRJegional Records Liaison

(OTR/) for processing:
3. The OTR wil review the Record Move Request fonn. Chain of Custody Plan, "and Records Inventory for compieteness. The OTR wm contact the ORO to discuss and clarfy discrepancies and/or necessar changes.

.4. Afer review, the OTR win forward an original documentation for approval to:
-'

. -

Offce of Trust Records
Diviion of

Records M3Iagemcnt Policies, Procedurs and Trag

4400 Masthead N.E.

i\lbuquerque. ~ 87109
(505) 816-1620
Note: The ORO should not seal box one o(the accession. Upon receipt of approvalJ place the Move Plan Package in box one of each acc.ession. The ORO may prepare the boxesfor

shipment but must not ship the boxes to AIM without an aTJDrovedRecord Move Request form.

5. When the Record Move PJan Package has been 1rproved by the Director, OTR, a copy ~
ofthe approved Records Move Request fonn will be provide9. to the OTR and the __

OTRJ will provide a copy to the ORO.
6. If the Record Move Request has been disapproved by. the Director,. OTR, the Records Maaagement Specialist wil fax a copy of the disapproved Record Move Plan Package

along with a disapproval explanation to the OTRI.
7. The OTR/ win contact the ORO 10 discuss the disapproval

8. The ORO wil send the new or modified Record Move Plan Package to the OTR for
the approved Record Move Request fonn and all

~~~~~~. '
Page 1 of2

and. if appJicable, clarify discrepancies and/or changes. The ORO wil either complete a new Move Plan Package, or modify the existing Package.

9. The ORO must include a copy of

supporting documentation (Chain of Custody Plan and Records Inventory) in box one of

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A,ttachment J

the accession. After all required documents have been placed inside box one, the box should then be sealed.
-:

10. The ORÚ win mark the boxes with the Accession Numbers provided on the Record

Move Request fonn from OTR. The "Accession Number" should be wrtten on the upper left hand comer and the "Agency Box Number(s)" should be written in the upper right hand corner of the FRC boxes.

11. The ORO wil notify the Destination Responsible Offcial (DRO), "when the
shipment bas left Us offce and pi-oYide the DRO, with an appi-oxinnate date for
arrival at the destination office.

Destination Responsible Offcials:
Lena Mils, (913) 825-7800; Fax~ (913) 825-7875

12. The DRQ is responsible for certfyg the successful move by completing and signing
the successful move, the DRO is responsible for forwarding a cop)', via fax. of the completed Record Move
item 5 of the Record Move Request and within two working days of

Records Management Policies, Procedures and Ti-iningOffce at(505)"Si6-1653. Attention: Marsha Ruîz.
Request fonn to the ORO, respective RR and to the Division of

:
.:

13. If for any reason the shipment is unsu ccessful, the DRO must contact the ORO immediate)y. The ORO will contact the carer immediate)y to initiate the ~ce for the
boxes not received.

14. The ORO and DRO wil document actions taken to resolve the unsuccessful shipment until the situation is cOITected and include the documentation as part of the file to document the records transfer process as described in item 15 below.
1 S. The DRO will prepare a report with documentation to the Director, OTR, if the transfer cannot be corrected and is unsuccessful for more than 5 days from the date the shipment should have been received by the DRO.
_.

--

16. The ORO and DRO are responsible for creating and maintaining a fie to document the records transfer process. The Record Move Request fonn. Chain of Custody Plan, Records hhventory and other supporting documentation wil be maintained in accordance with GRS 16 item 2a (2).

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Attachment 2

INSTRUCTIONS FOR PREPARIG A RECORDS INNTORY
;
1. The Records Inventory should.be tyed or generated with word processing softare. your bo~es:

2. You must choose one of the o~tions below fo.. the inventory of

DetaiJed Inventorv. The fol1owing infonnation must appear on all paJ!es when

the detailed invento~ option is selected (See. attached ExamDle 1):
a. Records Series Number (Schedule number); iftbere Is no current Records
Series Number, list as "UnscheduJed" with a brief description of

the

records;
b. Record Series Title. (Iftbe title does not you should provide a brief description of c. The origiatig offce names (Le., Bureau of

adequately describe the records,
the contents of

the documents);

Indian Affairs or Offce of the Special Trustee, Trut Funds Management, Region or agency offce
and program);

d. Cíty and State;

e. Box number(s) that the inventory is for; f. Box contents listing. Ths listing inc1udes important file folder identifiers such BS dates, contract numbers, names, or any information that

- -

.:

specifically identifies an the fie folders in the order they oIJ'Pear in the
bOL

Hi2h-Level Inventory The fol1owing information must appear on all D41!eS when the llgh level ;nventorv option is :¡¡ele.cted (Seeaiiached Example 2):
B. . Records Series Number (ScheduJe number); if Series Numberi list as "Unscheduled" with a brief description of

there is no current Records the
descrbe the records, the documents);
..

documents;
b.. Record Series Title. (If the title does not adequately you should provide a brief description of c. The originating office names (i.e., Bureau of

Indian Affairs or Offce of the Special Trustee, Trust Funds Managementi Region or agency offce
and progr);

-

d. City and Statei

e. Box number(s) that the inventory is for;

f. Box contents listing. This listing inc1udes Important fie folder identifiers such as dates, contract numbers, names, or any information that
specifically identifies the first an d last fie folders as thev appear in the

!! Number the first and last fie folder to indicate the totol offie
folders in each.box,
3. When detennining the Records Category, Section 2 (a, b a.nd c) on the Record Move Request fonn, please use the Trust Definition Matrces to ma.ke the determination. If a

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Attachment 2

file folder or record within a box is detennIned to be an Indían Fiduciar Trust Record
(IF A), the entire accession should be considered as trst records.

FOT example, the accession is comprised of 8 boxes of records/file folders. Box 2

contains IFT A records according to the Trust Definition Matrces. All 8 boxes are to be

considered as trst records. Section 2a or 2b oftbe Record Move Request form should be

checked. On the inventory you should, write ¡'TR" in bold lctters next to the fie or record
identifier. It is only necessar to mark one fieoT folder identifier on the inventory with theUTR". (See Note 10 Example 2, High Level Records Inventory).

4. For records Iisted in the trust matrces with an asterisk (*), examine the fHes to determine if the records are trst or non-trst and foJIowing the guidance in item 3 above, check the appropriate box in Section 2 of the Record Move Request form (Trust or Non-Trust box).

::

=-

.. ..

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Attachment 2

EXALE i

DETAILED RECORDS INNTORY

2306-P3 ~ (Indian Self-Determination Grant/Contract Files) ~
Bureau of Indian Affairs,~ Gi-eat Plains Regional Offce Rm ..

Aberdeen, South Dakota ~1i "

BOX NU1\1BER 1 ..

FY 1985 Contract No. 12345678A Red Scaffold School Board
Lump Sum Incremental Cost Program

m1~~e1Yè~
J ailerlDispatcher Program

TR - FY 1985 Contract No. 23456781B . Thee Afffiated Tribes
, -

FY 1985 Contract No. 34567812C
Fish, Game and Recreation Program

Thee Affiliated Tn"bes

..

FY 1985 Contrct No. 45678I23D
Cnminal Justice Progr
No. 56781234E FY 1985 Contract Home Improvement Program

Thee Affliated Tribes
Thee Affiiated Tribes

FY 1985 Contract No. 87654321G
Social Service Program

BOX NU1BER 2

Thee Affiliated Tribes

FY 1985 Contract No. 7654321 8H
Mineral Lease Compliance Prograa

Thee Affiiated Tribes

..
.-

FY i 985 Contract No. 65432 i 78J Twin Buttes School Distrct #37

Academic Instrctional, Food, and Transportation Services Program

FY 1985 Contract No. 543216781
FaciIities Management Services Program

Twiii Buttes School District #37

FY 1985 Contract No. 43215678K Mandaree School Distrct #36
Academic Instrctional, ,Food. and Transportation Serices Program

FY 1985 Contract No. 11145678L
Operation of UTETC ,

UTETC

Page 1 of 1

UÖL ~11 ~UU7 14: ~3 ¥AX ~U~219U559

DOl

14 009

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Attachment 2

EXAMPLE 2

~

HIGH LEVEL RECORDS INNTORY

=

2306-P3 . (Indian Self-Determination Grant/Contract Files) ~ Indian Affairs~~'Gi-eat Plains Regional Office ~U_
Bureau of

Aberdeen, South Dakota im

~~è~
BOX NUMBER 1 .
1 - ííirst fie folder) FY 1985 - Contract No. 12345678A - Red Scaffold School Boa.rdLump Sum Incrementa COSt Program

20 - ((OSl fie foJder) TR - FY 1985 - Contract No. 23456781B - Thee Affliated Tribes J ailerlDispatcher Program

-

-

BOX NUER 2
i .. (First fie foJdeij FY 1985 - Contract No. 876543210 - Thee Mfiliated Tribes-

Social Serice Progr
25 ~ ((ast me folder) FY 1985 - Contrct No.1, 1 145678L - UTETC Operation ofUTETC

Note: Using this option of

in

veil

tory wil not allow you to ideiirif whether the records in

the boxes are trust records 01' not unless thefirst or /astfile is inlact a trust record,

according to the Trust Definition !!1atrices. /fit is known that ooiefile betweeii thefir.st file is a trust record, write 011 the/ace ofthatfilefo/der ffTR" and ideiitif the entire accession as trust records.
and last

,:
_.

Page 1 of 1

UtJ/.i.l/.iUUf .l4:.i4 l'AA .iU.i.i.lllUOt,¡i

lJU.l

Ig U1U

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0\

UND STATES
:
DEPARTMENT OF THE JNRIOR

RECORD i\10VE REQUEST OFFICE OF TRUST RECORDS APPROVAL
D¡¡~:
Offcc:
Fìr.L Nii~:

Lasl Name:

Addm;s;

Originating ~esponsjbl~ Offciiil's Signaa=:

Tclephonc:
'~'%. : :"". ,,~

faJ(:

NOTE: Parasrapb 19 Cobel1 Rc:cords rcquin= Associate: a. 0 Ir;;ctive TlVst Re'cords 10 ihe Me:rkiin Indian Records Reposiiolj (AI)' DO NOT lISEDeputy Secreuury's iipprovili TilS FORM .

b.D InBcuve Tl'sI Records wjthin alA, :rossirrg regional boundaes

c. 0 Inactive Indìiion-Trut Rccord to tb~ ,Ai:
CERTIFICATION: i eerty that these reCDTd5 and bDns bc:ini: transferred IICtO!5 re:i:ioiiiil boUndarlc:s or 10 th~ Ainerlciin indliii Records Repository (AJRR) aTC: NOT trust nCDrds,
Orginating R.ponsible Offcial's: phone #: 5

Îgmitu; Date:

.. ii, r.- ....
a. Addre wbuc record m: currently located

b. Quantity Drboxc. 10 b~ inoved (Attach deacritiDD 1:-1:- inventory or box J.i)

c. Schcdule Dr Scries Number.

d. Method orTral'Stto~iion (Identify c::rric¡, snd :i¡ttch wrillcn chain of custody plan) ,

c. A¡;i;ccsion Numbcn (To be completcd by ORO)

f. Receiving Of1ce Phone #:

Addrcs:

¡¡, Rcaponsibk Offcial's Niimc Rc~civing Bax(c:):

. ,.l.'\'1''~"~W"~~~~~~Il~ ~i:1~ "'!~~~;"':';~l~~'l:\!l~:!':\.._

Dale Records Reccive al the AmR:

AIR Destination Responsible Offciii's Signature:

Date:

IAR Fonn 4004 Recorda Relention IIstnciions; R~lain Rccord Move Reque$l Form iind ~op¡ee or

1111 Sllppmting docum~I3IiOn (i.c., SF-OS, Chain of

Custi;dy Plan, !nvc:rrii;rytaDx List, elc) in iii:i:ordam:c wiih GRS 16, iiem 21(2). REVISION 2 (July 14, 2(0).

UU/':ll ~UU"( 14: ~4 l"AX ~U~~19U559

DUl

14 011

.,

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CHA OF CCSTODY PLA
Upon receipt of approval of the Record Move Request form, the Responsible Offcial at the origiatig and

destination offces win ensure tha.t the following pfocedures are followcd during the transporttion and transfer of the records being moved.

:.

Transporting Records Procedure (Chain of Custody)
1. Records are packed in appropriate storage boxes.

2. Box lists or inventory ofrecords for each box are inc1uded inside the first box (box #1).
3. Each box is sea1ed with tape ard boxes are numbered sequentially (e.g. box 1 of 5, box 2 of 5, etc.).
Number ofBoxt;S;
4. Check one box only:
o a. Boxes aTe taken to (Camer)
pick up location m:

Schedule or Series Number;

o b. (Carer)

is caned to pick-up boxes at sender's offce.
=

s.

(Carner)

shipment form is completed and provided to caner personneL.

~

6. The ORO, ,(item 1 offomm) win notify the DRO. Lena Mills at (913) 825-7869

AI

(voice), (913) 825-7875 (fax) whenshipinent left location and approximate date ofarval at the

7. The ORO, , (item 1 of fonn~ retains a copy of the shipment fonn for trckig puroses in the
event that a shipment item is missing.

8, The ORO, , cOntacts the DRO, Lena Mils at (913) 825-7869 to verifY that the records and boxes have been moved successful1y and are accounted for at the AI.
9. The DRO, Lena Mils is responsible for certifyg the successful move by completig and signing
hem 5 of

the MovcRequest fonn. Witlln two working days, the DRO, Lena MiUs must forward

. Procedures, and Training, Att: Marsha Ruiz at (505) 816-1631. :
i O. The ORO, and the DRO, Lena Mils. will create and maintain a fie to document the records
transfer process (by shipment). The Record Move Request fonn records inventofY. Chain of Custody

copies, via fax, 1:0 the ORO, the RR. and to the Division ofRecqrds Management Po1icies,

~

plan and otber supporting documenta.tion wil be mairrtained lAW GRS 16 item 2a (2).

LARM F ann 4002 Revised 311//06

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Exhibit 8 A

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National Archives and Records Administration CENTRAL PLAINS REGION 17501 WEST 98TM STREET LENEXA, KANSAS 66219 h~p://www.nara.~pv

FACSIMILE COVER PAGE
(CENTRAL) NUMBER OF PAGES including this page:

FROM:
CENTRAL PLAINS REGION REGIONAL RECORDS SERVICES LENEXA, KANSAS 66219

PHONE NUMBERS: FAX: (~u:9/') g,.~ 7- ©c7, OFFICE:

PHONE NUMBERS: FAX: 913.825.7822 OFFICE:

COMMENTS:

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Memorandnm of Understanding Between The Department of rite Interior and The National Axchives and Records Administration ]~egarding an American Indian Records Repository L,,.~ted at NA.RA's Lenexa. l~n~as, Regien.~l Records Services Facility A Memorandtma of Understmadiag O~IOU) is made and entered hato between the Departmeat of the l~tedor (DOI) and thQ National ArchNes and Records Admin~atio~i (NARA) for the l~tn-pose of ~o ~olidatlng and preserving on a eondmfing and long-term b~s designated lndiaa mcor~ in. The possession of DOts Bureau of Indian ~rs (BIA) and the Office of the Speci~ Trustee for American Lrtdi~ (OST), m~d related DOI fiduda~ ~ records, as~. to, at NARA's m~onal m~f~ds ~ex~dces facility in Lene~ Kansas. Arti¢leL B~.ck~ound and Ohjective.~ A. Within DOL the mission Qfthe BIA is to fulfill its tumt r~ponsibi{Ries and promote seifd~rmtnation fQr American Indian Tribes, individual American Iadlarm and Alaska Natives (hereimLfter collectively referred to as American Indians). BIA develops and implements, in cooperation with Tribal governments, Native Amedcan organizations, otherfaderal agencies:. star mad lo~,d governments, and other interested groups, eeortomie, social, eAucat[onal ~ other programs fox the benefit and advancement of American Indians, B, Within E OI, OST was established to ovezsee and coordinate reforms within DOI of practices ~elating to tl0 e management and discharge of the Secretary's trust responsibilifie~ to American Indians. C. DOI, ptu~u~t to the American Ind.ian Trttst Fund Management Reform Act of 1994 (1954 Act) mcl l~rbr l~w% is charged with management of the U.S. GovermnenFs trust responsibilities to America~. Indians, including wi'th respect to records mana~menL DOI established the Office of Tzus~ Re~rds in 1999 to develop attd implement a program for the economical and efficient management oftrust records, eonskstent with the 1994 Act, the Federal Records Aet~ other statutes and their implementing regulations. D. A corn mission of NARA is to assist agencies in the manaBemenl oft.heirrecords from fl~e time those ~ ecords are created, in order to ensure that essential documentation is av-ail~ble t¢ the U.S_ Gover0merlt, t.oday's ~itizcr~, eaxd future generations. Pursuant to the :Federal Records Act at 44 U.S.C. 2107, when it wirpcars to the Archivist of the United Slates to be in the public interest, Nt .tP~ will accept for deposdt the re~ords of a federal ngcncy that have sufficient historical or other value to warrant their cozriuucd long-term preservation by the United States

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Gov=mment Additionally, through its Rccords Center Program, NARA provides sceure, cos~efliaicnt storagv and servicing of non-active agency records in facilities that ar~ compliant wit'.q 36 C~F.R. Part 1228, Subpart K. E. NARA's ne~v regional records sorciccs facility m Lemc'~ Kansas (the Lcne~x~ facl]jty), c.~i a~comr~odstc f~ a.~hival storage of records in a¢cardanc= with strict ~ facility standar~,s for the preserve.tiers of archival records. The Lenex, fadlity has sufficient flame capacity to ]:old all tithe records d t~ Ame6can ludian Records P,~pository within *,he scope of the l~css~

F, DOI end NAP, A jointly believe that it is i~ the l~bLi~ interest to consolidate designated, riceractive India~ ~mords, IXes=ntly in the custody vfDOl, in the Lenexa facility managed by NARA. Iz is in th~ f~rtJmr interest of all Irafics that tbe proposed consolidation £ududc Indiml rcco~Is presently store:l in NAP, A'S regional recot'ds services facility in ice's Sum tnit, Missouri. G. Haskcll Indian Nations Un~vezsiry (I-IaskcU Univcrdty), located in Lawrence, Kamas, is eft accredited fot~:-ycar coUcgc operated and funded bythe BIA, witha core n~ss~rt of being a r~fional ints~ibal c~nter for teaching, extension and research rela~d to the study of Arnefic,~ Indian Natisn,~ ~e and ~dT-~s. H. DOI and NARA agree that it is in the public m~r.at for I-Iask=ll OniversRy to develop an ~rcbXv~l and r,:cords ~mrmgernsmt sttldies program. The r¢~d1~g educational, o~treach, and training programs to be conductcd by the fac~ty sad sm~ oflq~skcl| lYnivcrsRy can lend suppcrft to the management of Indian records stored at NARA'- Lencxa facility. Article IL Aathority Authority for NARA to enter irtm this MOLl is contained in the Economy Act, 31 U.S.C. 1525, the Federal Records AcL 44 U.S.C. 2107 and 2907, and NARA's Records Center Revolving Fund authorily, Pub_ L_ 106-58, T'rtle IV, 113 Star. 460-6t (1999), codi~ed at 44 U.S.C. 290,r note. The au~odty fo~ DOI to a-nt~r into this MOU is contained in the American In,an Tru~a Fund Manag,;ment Rcfomt Act of 1994, 25 U.S-C. 4001, e~ seq_, the Federal Rscords Act, 44 U_S.C. 31~I, el seq.. and the Duties of the Commissioner of ]jadian Affairs, 25 U.S.C. 2. Article 111. Framework of the Agregmeut A. ~IARA agrees ~o:

1. E:,'tublish an "America~ Indlart Records R~pository" at NARA's Leaexa facility within the fr ~mcw0rk ~f NARA's existing regulations governing r~Eional records canter facilities, 36 C.F~ Part I22g. The Am~can Indian Records Repo~itm-~ will consi~ of omolidatc~. collection of non-active LRdian mcord~ oarrenfly re.yidin~ in the legal ~rtd physical custody of DOL which warmer aondnued p£=servation by the U.S. Govmzttncat itt order to 2

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docum~at ~tx and endtl~mcn~ the actions of ~ov£~nm~mL and th~ ~0nal experience. R¢cor~ to be t~ansferrcd from DOI to N~ for iacl~icn in the American Indian Records Kepository at '/he l_~x~ facility will be as specified in a sc~riex of moor& tmmfe~~ agreed to by NARA aad DOI, milizing Smnda~ Fo~=.~ (SFs) 135 and 258. Th~s¢ transf¢~ vfill b~ made fft~cCoimnce w~ mm pu~m x~--'e~ing au6~n-~ S'F~5r~ords sch~iules goveraing the retantion of records, consistent with NA.RA's practices aad policies. 2. Rcloczte to the American Indian Records Repository at the Lencv, a facility tadia~ records pmseatly stored at NARdVs L,~e's Sttmmit regicaaI records services fac~ty. 3. Pz~s=~'e the inte#ty of the reco~&s collection ie the Americ~ ~di= Rgcords Repository l~' m~ttailihg the~ ~eords as z sei~a~t= ~dty ~ the Len~xa facility. ~t. Build storage space at DOrs request and maintain records v,Sthih th~ American Indian Reco~ tLepository at rtm Lcncx~ facEity in a~:ordaace with NA.RA 1571, "ArcM~al Smrag~ Stan&~--ds;' which eatablishes structural, eaxvironmental control, tim safety, presorvatLon, and security.~t~_ dards for appropriote archival storage conditions in NA.R~ am/rival f~cilifies, or m2y superseding ~aidance a~ authorized and zpproved by the Archivist. 5. Assist DOI in establis]xing a ping-ram to manage and prm'id= cotd~uing access to Ludiau records in dec~aamic fo~n~ts, iacluding at tke Lenexa fa~ility.
1

6. Pr.~vide, upgrade, .atgt/or build all fa~iliti~ necessary at the L~nexa facility to supfort use of the A~erlcaa Indiau Ke~ore~ Repository by DOI staff and contractors, Haskell Univerdty fa~mlry ~nd smdems, and other researcher~, including a reseamh room, work spaces, offices, conf~ence room, copying equipment rooms, and additional space as reqtfired. 7- Provide fur servicing of records in the Amcri~ Indian Records lZeposimty to DC[ s'taffand to i crsons authorized by DOI (including Haskcll Univeraity faculty, staff~ and studeats), in accordance- with apphcable federal law, and NARA Records Center Pro=moRro policies and practices. g. Provide that for any records that h~ve been ~rat~fe~ed into the legal custody of NARA pursuant to ~n SF-258, questions on access to records in the Americ~m India~ Records Repo.,itory wilI be refer:ed to the Archivist ofthe United State~ or his desiguat¢d NAR.A representative. 9. Restrict access to odgi~al documents for reference purposes when those documents have been ~.tisfaetorily reproduced on microfilm and r~rertce prints or other media are available. 10. 'Upon request, appropriate NARA compo~nts will, in accordance ~dt.h NARA r~sulations, make available to researchers at the Lenexa facility copies (including, as appropriate, microfilm c,~pies or scanned images) of existing Indian records in NA_RA~s regional and

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W~htngto~ D.C., national headqua~rs ~rhdv~ collections. Copies of all such~quested records xvill also be incorporated into ths Atnor~c~m Indian P,~cords Rclmsito~ at 1he Ldnex~

fadlity.
11, Foster an a~atcd mlafionship with Haskcll University0 in¢ludiag authnrizmg NARA staJ~to pm'ti~atc= to the extent permi~ed by Federal law, in educational, outr~ch, arr~ training pmgr~ ns invoNing DOI and Hask~ll Uniwwsliy~ aud indudlng NARA Support of w~kstudy employm e.nt~ ~u~mstdps~ md s~ffl~ op~fir~ for HsskcU Unlvczsity students to work attke Am~ic~ Indian Records KcpositorL

I. Until such time as records are transfe=exl tn the Lc~acxa f~cility, cm:tinue to bc r~spansible fax the care aad preservation of both inactive aad cta-xent records in its physi~l custody. 2. Trm~sfor agreed-upon collections of existing Indian records presently in the physical custody of DOI to NARA's Ltmexa ~adlity when no long~r active or cvxxent, far ~ontinued maintenance Jal th~ Amedcan Indian Records Keposito13r, in accoxdancc wixh applicable NARA r~gulations ~i guidmace, and in compliance with applicable court orders and DOl zecord too're

3. Provide adeqtmt~ funding for the establishment and maintcna=cc of an Amarican Indian Kcco~s Repository at the Lancxa facility, including (a) payment of fccs for the storagu and servicing of records at the facility in accordance with th~ provisions of NARA's Records C¢nter Revoh4ng Fund; b) reimbursement to NARA fOr the cost of moving ths p~escaat collec~on of[udia~ recoals at Lee's Summit to L~nexa, in accordance with III.A.2, s~pra; (c) fundiag, u1~on DOI api~roval, for research room~ work spaces, and other office sp~ce facilitiea associaO-~d wt{h the American I~dian Records Rq~osito~, as spewed in I]I.A_6, supr~ (d) funding, upon DOI approval, for NARA staff costs associazed with the educational, outreach, and training programs contemplated tmd~r I~.AA l, auprc; and (e) funding, ulmn DOI approval, for othrx costs to NA.RA that arise in. comz~ction with continued u~age and mainteuancc of the rccozds within the Ar~crican Indian Reco~xts Repodtory. 4. Subject to ~c availability of funds and resources and withiR existing laws and regulation, ~dll .work jointly with H~kell U niverslty to idex~tify ~nd create a series of progz~als and projects involving the .~mdy of and continued preservation of Indian records within tim AmcricaR In~Lian Re.cc~rds Rtrpository at the Leaexa facility. These pI~grams and projc~s, which will also inv~[ve utilization of NARA staff, are e~pected to include (b~ wcruld not be limited to): providirg for a g~e~1 program of ~dueation= including training seminars and workshops, Internships aad othex work study opportunities; conservation activities of archivsl materials, including holtdings maintenance and preservation ~opylng;, archival d~cripti0n aad reference fuactions; ard public programs, exhibita and public~tlons.

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I. That thi~ MOU ~ill tamainate in the event of a lack of fund[l~g by DOI of the operations ot"t~h¢ American lnd'm.u ]~cords Kepository, as sp=cified in A.~de m.B.3, .r~ra, oz upon 180 &tys not/ca of either psrty. 2. That nothing in this ~emt may be construed to obligate ¢ith0r party to any ¢~¢eat or fut~ ~-p~diRu-~ ofrasoux~s ia advance ofth~ availability of apFCOprlafions from Congress. Th~ atj~-~mct~ does not obligate [tlxer party to spclld funds ~ aRy iTarficular project or ptlrpose, cvcn if fuads m~ available. The p~Cdea will ar~m~ for any mmsfcr of ftmds, property or ~rices ia s~arat~ agmcm~ata under al~pli~abl= ~uthofity. 3. Th~$ this MOU will bc subject to formal periodic reevaluation .and possible am~ea~ ~r the parties at intervals of no [~sS than ~ery :fiVe years from original date of enactment-. 4. T~it all press ~ele'~cs and public statements issued by DO] or NARA concerning or cllara~ this MOU will b= jointly r~viewed and ag~cd to by d~lcgatcd staff r~prss~ each of the tmdcrsigned signatories.

~

/rc~" Nort,~n Interior. oflh¢