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Exhibit 1
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United Stales Department of the Interior
THE DEPUTY SECRETARY Washington, D.C. 20240
D
Memorandum
TO:
Secretary Acting Solicitor Assistant Secretary - Fish and Wildlife and Parks Assistant Secretary - Indian Affairs Assistant Secretary-Land and Minerals Management Assistant Secretary - Policy, Management and Budget Assistant Secretary - Water and Science Inspector General Deputy Assistant Secretary - Policy Director, U.S. Geological Survey Director, Bureau of Land Managemen1 Director, Minerals Management Service Commissioner, Bureau of Reclamation Acting Director, Bureau of Indian Affairs Special Trustee for American Indians Director, Office of Trust Records Director, Office of Historical Trust Accounting Director, Office of Trust Fund Management Associate Director, Minerals Revenue Management, MMS Manager, Indian Oil and Gas Compliance and Asset Management, MMS Regional Director, Southwest Region, B1A Superintendent, Jicarilla Agency, BIA Superintendent, Laguna Agency, B1A Superintendent, Southern PueblosAgency, BIA Return. Receipt R~/~
From: Subject: Court Orders regarding the Pueblo of Laguna and the Jicarilla Apache Nation
To all Department of the Interior employees, On March 19, 2004, the United States Court of Federal Claims, issued TWO orders regarding The Pueblo ofLaguna v. United States, Docket No. 02,24 L (Courl of Federal Claims) and dicarilla Apache Nation, formerly Jicarilla Apache Tribe v. The United States of America, Docket No. 02-25 L (Court of Federal Claims).
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2 In general, the orders require every office and employee of DOl to take reasonable steps to preserve every document, data, or tangible thing in its possession, custody or control, containing information that is relevant to, or may reasonably lead to the discovery of information relevant to, the subject matter involved in the pending litigation. The subject matter of the pending litigation is the management and accounting of the tribal resources and funds of the Pueblo of Lagtma and the Jicarilta Apache Nation from August 13, 1946, to January 8, 2002+ Every employee and office within DOI is already under an obligation to preserve all such documents in accordance with my memorandum of March 20, 2002, regarding the preservation of tribal trust documents generally. Please note, however, thai the attached orders impose additional requirements. Under the orders, DOI employees are now required to preserve a broad range of "Documents, data, and tangible things" that are relevant to, or may reasonably lead to the discovery of information relevanl to, the subject matter involved in the pending litigation. "Documents, data, and tangible things" is defined in the order to include voicemail messages, message and activi~ logs and information that "serves to identify, locate, or link such" relevant material. The precise manner in which you preserve relevant voicemails will vary depending on your circumstances. We appreciate that DOI's phone systems are limited in their ability to preserve voice messages. If the system cannot preserve a voicemail, you must record the message in a waft can preserve the message or transcribe the message on io paper. Ifyou chose this method, please make a record of the dale and time of the message - the so-called "envelope." Larry Jensen, Counselor to the Solicitor, has earlier forwarded a similar communication concerning the matter. This memorandum merely reinforces that earlier memorandum. The Department of Justice requests that this memorandum and its attachments be disseminated to each of the units and/or individuals that are responsible for the handling.and preservation of the relevant records at the subagencies. It also requests that we draw your attention to paragraph 7 of the orders which indicate that a "failure to comply may lead to the imposition of sanctions.'" Any questions about this memorandum should be directed to Crislobal Alvarez at (202) 2086966. Please indicate your receipt of this memorandum by renaming a signed copy of this memorandum, without attachments, to my office. Attachments
RECEWED:
DATE:
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Exhibit 1 A
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A
-; .:)
United States Deparment of (he Interior
O~CE OFrrl SECREARY
\'v2.ngion. D.C :o:!~o
Memorandum
To:
HA¡: 20 200
AU Employees
From:
_. Subject:
J - Steven Gnies, Deput Secretary of the lntenor
Preservation of
Tribal Trut Documents
Preserving Indian trSl documents continues to be essentiaJ to the Deparent of the Interior.
This Memorandum instructs all Interior employees to inediateJy preserve all documents,
e-mail, and other records relatig to Indian Tribal uu fids and Tribal lrt assets, even if
-record retention schedules or other rules, manuals, or handbooks would allow their destruction. A number ofIndian Tribes have fied lawsuts againt the Federa Governent and the Deparent of the Interior ("Interior") alleging a f3Ïure to properly account for Tribal trust fuds and assets.
PUrs~ to previous guidance related to the individuaIlndian truts, all employees Were directed
to retii all documents relatig to the foJlowing thee areas: 1) Ameriçan Indian trt reform,
induding the High Level Implementation Plan or any of its subprojects; 2) the Cobell v. Norton ljúgation pending in the U.S. District Coun for the Distct ofColwnbia; and 3) administrtion of Individual Indian Money (UM accounts. Given the importance of preserving these documents
aDd given Ùle Tribal lawsuits, it is appropriate to issue this Memorandum 10 remind Interior
employees about our document retention requirements.
TTs Memoradum does not change the prior guidace. All Interior offces. bureaus, and employees must contiue to preserve all documents and e-mail relating to the thee areas
mentioned above. All Interior offces, bureau, and employees must also immediately preserve
documenrs. e-mail, data. and records relaaing to Tribal IrusI assets and Tribal/rust funds, even if
record retention schedules or other rules, manuals. or handbooks would allow /heir desiriicttOlt
What Tribal documents mus be preserved? All documents related to: I) the management and
admistraon of
TribaJ trfid acCOunts and funds and/or 2) Tribal tru assets. Such
documents are referred to in
th Memoradum as Tribal Trut Documents and include:
All documents, data. and records upon \vhich the Governent must rely to fulfill
its tnst duties to recognzed Indian Tribes pursuat to the American Indian Trust
Fund Management Reform Act of 1994 (P.L. No. 103-412), and other applicable sttutes; for example, those which evidence the existence ofT ribal trust assets (e.g., ownership data, m.ss patents, plot des::riptions, surveys, jacket files,
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ssaiement of accounts, etc.), the coHectiOD of income from T ribaJ trt asseis (e.£..
cce!'oo;ii rickets, .iournal vouchers. scheàule of coiie~1Íons. etc.ì. the use ofT:ibi
irst assets (e.g_, leaes, sales, ngbts-ofway, invessem report, proàuction
report, sales contracts, etc.), the managemenn of
Tribal trt assets (e.g., daily
ledgers, investment report, production verification reprt. rrespass enforcement.
timber srumpage report, royalty production report, etc.), or IDe disbursemem of
TribaJ tr assets (e.g., tranaciÎon ledgers, check registers, rrsacrion regis~~rs.
or list of canceled or undelivered checks, etc.). TribaJtrt assets are lands.
natinaJ resources, money, or other assets tht are or were held by ihe Federa goverent in trust or that are or were resircred against alienation. for Indian Tribes.
You must preserve T ribaJ Trus Documents involving all T nbes. Preserving Tribal Trust Documents is essential to enable Interior to fulfill its obligations.
possession. custody, or controJ of
Uyou are a supervisor, you are responsible for assurng ihai subordinate employees who are in Tribal Trust Documenis understand the imponance of preservng T noa) Trut Documents. Supervsors, as well as employees, are held accountable for
compliance. Supervsors must ensue tht their employees comply with ths Memoradum. If
you are a Contracting Offcer or a Contrctig Offcer's Techncal Represemari\"e, you must
notify contrctors who ar in possession, custody, Or comrol of
Tribal Trust DocumenlS that they
~
must preserve T Úbal Tru Documenis.
If yôtrãve any questions, please contacc. Sabnna McCarthy, Solkitor's Offce, (202) ~ 19-1 l 39.
or Debbie Meisner, Offce of Trut Records, Òffce of
the Special Truree for American Indians,
(505) 816-1600.
Report Fraud, Waste & Abuse: ToIl-Free (800) 424-5081; Local (10:?) 208-5300; T oJJ~Fret" TDD (800) 354-0966; or Loaj TDD (703) 23:5-9121.
--- ~-------
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Exhibit 2
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04/17/2007 09:1"/' FAT. 2022190559
Document 19-2
Document 12-4 DO[
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Pa!~e02¢ of 39
¯ . ....
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REVRFP013_2OSTABQ0027001546
Case 1:06-cv-00945-FMA
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04117/2007 09:17 FAX 202.21905~9
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REVI
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Exhibit 3
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To:
OHA-AII
Subject: ALL EMPLOYEE ME88A.GE Nal]onwlde. Responsibility for Maintaining Electronic-Mail (E-mail) Records (Supervisors, please ~n~re that employees without access to e-mail receive a pap~ copy of this message,) Memoramhlm To: From: Subject: All Employees J. Steven Griles, Deputy Secretary Is/ Responsibility for Maintaining Electronlc-Mail (E-maiD Records
This memorandum is to remind all ~mployees and Federal contr~tors of their respo~ibility for preserviag, tnotecting and maintaining official records creatzd or tee, sired using elex~trorttc moil (e-mail). ~ Bulletin 96-06, 7125196, Policy and Guidance for Managing the Creation, Retemtion, and Disposition of Eleetrome Documents provides Departmeaxt-wide policy and guldane~ for managing eleetrcmie'records (includktg e-mail records). This polioy is accessible at www.floi.gofi,/oei~r.eeords/~oli.cv/uol.ieies_..h.t~n.. Ctment policy based on National Archives and Records Administration regulations 06 CFR. Part 1234.24, Standards for Managing Electronic Mail Records) requires that all official electrenio re~ords should be printed out in hard copy and filed in the official paper reeordkeephag system. Only after this is dond can you delete the electronic version, if you no longer need the electronic version. Official Records: F-mail document~ ARE official records when they: Are created or received i n,.~.,~rmxs~tioa of agency business and Arc appropriate for preservation as evidence of the government's function and activities; or Are valuable because of the information they contain Not Official Records:. E-mail documents AP~ NOT official records when they: Provide am evidence ofageney functions mad activities Lack information of value ¯ Duplicate information already doctmaented in existing records If an e-mail me.~agc mcet~ th~ above criteria as an offioioi record, the message (including all atta¢l{ments and tran~co.2s~ion infon'nation) mu~t be . ~j':." :,,
REVRFP0132OHABIL0022000059
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printed to pap=r mad filed according to th~ agency's ro=or~lke~ing system_ Special Instructions- CobeU: Because of the Cob¢ll v. Norton litigation, special instructions apply for prlnting and deleting =-m~il messages related to this case. Laoluded in el~tronie records that must be printed" and filed are all e~mail messages (with all attachments) that relate to: Cobdl v. Norton litigation American Indian trust reform activities ' Administration of Individual Indian Money (I/M) accounts E-mail messages relating to one of these thre~ areas may be electronically deleted only after you have been notified by either your e-mail system edmimstrator or your CIO that your regular wtstern backup or another approved method has captured the electronic copy, Supervisors and managers must ensure that all employees and others who may handieFederai record~ (including contractors, interns, student~ and volttutecrs) reoeive this momorandum and are complying with this policy. If you have a6dition~l questions about this guidance, plense contact you~ bureau/oMee l~eord~ Officer firs.t, arid, if questions remain, contact the Departmental Records Ot~cer, Mr. Ed MeCeney, at (202) 208-3321.
¯ ... .;
REVRFP013 2OHABIL0022000060
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Exhibit 4
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Document 19-2
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LAN TEAM/NBC/OS/DOI 10/26/2006 01:03 PM "~ !~.m,~
To cc Dec DOI Nat~on,Mde Subject DOt Nationwide - Reminder Regarding Cobell Court Orders
(Note to Supervisors: Please ensure employees without ¢mall access receive a paper copy of this message.)
To:
All Department of the Interior Employees Associate Deputy Secretary //.Tames E. Cason//
Subject:
Reminder Regarding Cobell Court Orders
There have been many articles in the press about this litigation, specifically regarding settlemem efforts and appellate activity. This is a reminder that the case is ongoing, a~d that eourt orders entered in this case that have not been overturned on appeaI are still valid and binding. You must continue to abide by ongoing court orders and by the previous written guidance issued by the Department explaining and interpretin~ those orders. For example, these orders ~nclude: I. The ar~ti
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In addition, the Govenament moved for reassignment of this case to a different district court judge on August 15, 2005. The United States Court of Appeals granted the motion on July l 1, 2006. The plaintiffs have begun the procedural process to ask the Supreme Court to review the reassignment decision. Accordingly, the order granting reassignment is not final at this time and the case has not yet been lv.~tssigned. If you have questio~ regarding compliance with ongoing court orders, please contact your supervisor or the O~5~ce of the Solicitor.
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Exhibit 5
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03/2~/2001 16:56 FAX 2022190~59
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United States Department of the Interior oF~cs ov ~ SOL~C~TO~ MAR 1 2 2007
" lV~_,MO~t.,~ Office of the Secretary Office of the Solicitor Office of the Special Trustee Office of Historical Trust Accounting Office of the Inspector General Omee of Assistant Secretary - Indian Affairs Bureau of Indian Affairs Office of Assistant Secretary - Policy, Management, and Budget Office of Hearings and Appeals Office of Assistant Secretary - Land and.Minerals ..Minerals Management Serv!ce Office of Surface Mining.. ' BUreau of Land Management Office of Assistant Secretary - Fish, Wildlife, and Parks " Fishan/I " ' Service Wildlife Office of Assistant Secretary- Water and.Science Bureau of Reclamation U.S. Geological Survey
~-~rom'
Lawrence J..Jensen Depety Solicitor ~ ~Y~/~~L~
Subject:
Litigation Hold: Preservation of Informatlon in Tribal Trust Cases
As you may know, eighty Tribal plaknfiffs, including some Indian groups that are not federally reo0gniz~ recently f/led actio~a~ agaJ_ust the Department oft.he ]Interior ("Departmeiit") asserting cla/~s ofbreaoh of trust and/or asset m.{smanagement (.coLlectively, "Tribal Trust cases"). This ~ves Hse to an extr~melyimportaat obligation under Federal law to preserve 7naterial that is or may be relevant to the Tribal Trust cases. The purpose offfds Litigation Hold is.to i~form you of the scope of this obHgafign and what , actions are requir~ to comply with it. The preservation ofinfo~-matiola veill primarily be ca~ied out by individual employees and contractors (any reference herein to "employees" include~ contractor employees). Therefore, it is imperative that a copy of this Litigation Hold reaches every employee who may possess relevant information in your bureau or office.
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Information To Be Preserved: The information that must be preserved cov, sists of all "documents, data, and tangible things" in tl).e possession, custody, or control of your bureau or office that are or may be relevant to the subject matter of the "Pn'bal Trust cases. "Documents, data, and tangible things" eucompass paper documents, eleetmmeally stored information (discussed below), and other materials, such as maps, videos, calendars, charts, and similar items." Attached is a list identifying the individual Tribal plaintiffs whose information must be prec. erred. Additionally, the Native American Rights Fund has filed an action purporting to l~e on behalf of all other Tribes that received materials as part of the Tribal Reconciliation Project. Therefore, this Litigation Hold covers information concerning any Tribe or group o fk~i~s for which the Department administers or has administered a~sets in ~ust The Tribal Trust eases concern the management and accounting of tribal resources and fimds held in tm~ by the Department. Accordingly, information that is or may be relevant to these cases inciudes, without limitation, anything reflecting, referring or relating tO: 1.. any asset, such as funds, land, minerals, £orestr~j, sand and gravel, or Other resources, that is, or at any time has been, held in trust by the Umted Stmes or its a~ents.for Tribes or Indian groups ("mast asset'3; 2. policies, procedures, gaidelines, or eorrespondeaaoe relating to any aspect of the management or administration of Rust assets; 3. proceeds, imerest, or income fi:orn tnast assets; or 6isbursememt, distribtrtion, disposition or transfer of any trust assets; 4. reports, appraisals, reconciliations, o~ evaluations of any trust assets; and 5. information that serves to identify, locate, or link any relevant ~.formation, such as file inventories, ills foIder9, and indicei The timeframe of information that must b.e preserved is from a yet-to-be-detennSmed.beginking date through th. present, which means that information created in the future must also be preserved. Ge.eral Preservation Req"irements: Employees are recp4.ired to take "reasonable st~s" to preserve the information described above. Reasonable steps, at a minimum, include en.*nring that information is not purged pursuant to a records disposition schedule or btherwise inadvertently destroyed, This obligation also extends tO re~ords mainte.ined in off-site storage faeilitie% which may ifielude, in some instance~, Federal Records Centers. At the present time, this obligation is only to identify and preserve the infonnafion. You wiI1 be notified if anything additional is required as the Tribal Trust cases proceed.
.... I
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Preservati.n of Electronically Stored Information (~_ESt"): Under new amendments to the Federal Rules of Civil Procedure, the preservation requirement explicitly relates to electronically stored information. BSI can include, but is not limited to: E-mail (including attachmcats); Instant messages; Electronic calendars, task lists, and other organizational aids; Word processing documents; Spreadsheets; Databases; Audio and video recordings; and Voicemail. ESI may be located on network systen~ and server~; local hard.drives, laptops, storage media, (includiug flash drives, diskettes, and CD-ROMs), as well as on ?DAs (such as Blackberries) and " cell phones. ' Note thfit home computers, cell phones, and other devices used for work may also contain relevaat or pQtentially relevant information thatmust be identified and preserved. Further, the hard drive and network files of departing ~rrployees mus~ be identified and preserved. Your ]T personnel will be responsible for taking steps to preserve ESI from a technical standpoint. Employees should seek assistance from the 1T personnel as necessary to preserve their ESt, and in no case should they delete any relevant information. ,Conc.lusion: Immediate compliance with thisLitigation Hold is essential to protect the .Department from lengthy--and avoidable--discovery disputes thai consume bureau time and resources and other negative consequences, such a~ monetary sanctions and evidcntiary inferences that would limit the Department's ability tO defend against the claims in the cases. This Litigation Hold also protects individual managers and employees by providing them basic guidance on how to comply with their legal requirements. Thank you for your prompt attention to this matter. Please direct any questions about thh memorandum to Paul Smyth, Counselor to the Solicitor, (202-208-4307). Attachrn~at
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Tribes and Indian Groups with Pending Tribal Trust Cases (As.of 3/_06/2007) A.k-Chin Indian Community A]abarna Quassart~ Tribal Town Assinibohae & Sioux Gros Vcntm Tribe and Assiniboinc Tn~oc Blackfeet Trib~ of the Blackfeet Indian Reservation Cheyenne River Sioux Tribe The Chick~aw Nation and Choctaw Nation Chippewa Cre¢ ("Pembina") Chippewa Cre¢ Tribe of the Rocky Boy's Reservation Cooer d'Aleac Tube Colorado River iudian Trib~ The Confederated Trib~ ofth~ Colville Reaorvation Cont'cdcrated Tribes of the Goshutc R6sev,'atJon ' Con_fcdcrat~ Tribes of the Warm Springs ReseI~ation of Oregon. Crow Creek Sioux Tribe Delaware Tribe of Indians and The Dglawarc Trust Board Delawares of Idaho. Inc. F.ast,m Shawne, Tribe of Oklahoma Gila Rivc~ Indian Community Haudenosauncc, Onondaga Nation Hoopa Valley Tribe Hopi Tribe Iowa Trib~ of Kans~ and Nebrask~
-[
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Jicaritla Apache Nation Kaw Nation of Oklahoma Makah Indian Tn-be of the Makah Indian Reservation Miami Tribe of Oklahoma Muskogee (Creek) Nation of Oklahoma N~vajo Nation Nez Porte, et al (Class Action) Mescalero Apache Tn'be Tule River Indian Tribe Hualapai Tribe " Yakama Nation Klamath Tribes Yurok Tribes Cheyenne-Arapaho Tflbo Sac and Fox Nation Santee Sioux Tribe of Nehraska Ncz Perce T~'be Northern Cheyenne Tribe of Indians Northwestern Band of Shoshone Indians Oglala Sioux Tn'be Omaha Tribe of Nebraska Omge Natioa and/or Tribe of Indians of Oklahoma
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~ozo
Oto~-Missouria Tribe of Indians of Oklahoma Paiute-Shoshone Indim~s of the Bishrp Community of the Bishop Colony, Cm]Jforni~ Pa~amaquoddy Tribe of Maine Pawnee Nation of Oklahoma Pechanga Band of Luiseno Mission Indians of California Pones Tribe of Indians of Oklahoma I~raifie Band of Potawatomi Natron Pueblo of Lagtma Pueblo of Santa Ana Quechan Tribe olthe Fort Yuma Indian Reservation Red CliffBand of Lake Superior Chippewa Indians Rosebud Sioux Tribe Round Valley Indian Tribes Salt River Pima-Maricopa Indian Community San Manuel Band of Serrano Missions Indians Seminole Nation of Oklahoma Shoshone-Bannock Tribes of the Fort Hal] Reservation The Shoshone Indian Tribe and Northern Arapaho Tribe of the W'md River. Reservation, Wyoming Eastern Shoshone Tribe and Northern Arapaho Tribe Soboba Ba~d of Lmsono Indians Sokaogon Chippewa Community (aka Mote Lake Band of Lake Superior Chippewa Indians) Standing Rock Sioux Sfillaguaraish Tribe of Indians Swinoraish Indian Tribal Community Te-Moak Tribe of Western Shoshone Indians (Class Action) Three Affiliated Tribes of the Fort Berthold Reservation Tohono O'odham Nation Tonkawa Tn~oe of Indians of Oklafioma United Keetoowah Band of Cherokee Indians:in OMahoma. Ute Indian Tribe of the uintah and Ouray Reservation Winnebago Tribe of Nebraska
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[~olt
Wyandot Natioa of~r~sas Yank~on Sioux Yoz~ba Shoshon8 Tribe
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Exhibit 6
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T-483
THE ASSOCIATE DEPUTY SECRETARY OF THE INTERIOR
WASHING'TON. D.C 202/1~
5~
To;
Direaor, B=~a~ of tn~tiaa AJ~airs Director, O£6cc ofIndlan F.ducafion Ih'ogramu D~, O~ce of I~r Tmforceme~t S¢~==s Regional Director~ BLk Centna O~ce ~ B~ Age~y Supedntegtea'=, B:IA Jmn=s E. Cason(~,,.-..~w I ~,~I,~.-~ A..~iate Depmy[t~=v~ ASIA R~rd~ Backlog l~x~ect
Frottt:
~hcd please find a memora~mn fzvm the AssJstv~z Deputy S~crctary rcl~adh~ the stfipmc=~t of in~tive z~ords to the Office of Tru.~ ]~cm~ facility, the Amedcmz h~azt Records ~ository (AZ~), in Lezcx~, K=~=s. This m~ ~ to direct your compliance with tl~ request titan the OJ~© of T~st Records (OTK), It is important that we ade~Iuat¢ly protect our reexnds and movi~ them to th¢ state.of-the-art z~.ords ar~ve in Kansas is the best way to do tEaL As the attached memorandum indicates, J~ivc records are those rccotr~ that have met thor ~vtcnficm d~te according to the a~proved 16 BIAM ~ Sched~e. I am ¢¢mo=m~ that there appears to be a ¢v~idvra~le m~nb~r of cu~c feet (i.e., boxes) of ~]~acti~v records at field locations and the n~mbvr is contin~g to grow, ~g a backlog situation. I am very inlm~t~xl in seeing t~t as zr~ny iuactivc ~=co~]s as possible are moved to safe and s¢~m~ storage at A]RR. However, if you have re~ords which tmvc m=t the zetenti~ date ac~ to the Kccot~ 8chedole but the ~ a~ ~11 bcmg us¢l on a ~F~.b.r basis for ondoct~g ~¢reat 1~uduess and the BL~OI]~ tine officers do not want to send them to the AIRR, th=a they can be ramued onsite, but the line offio~ must certify tt~ in ~ri~q~ to the Director, OTR. To expedite the r~em~t of t~r~ inactive records, OTE has modified the nom~l r~tiremeat oflnac~v¢ record ly~=~lnre~ fer ~_s ~eordsbaekla~ ~.roiect only. The procedures a~e a.Uache& OTR will he contacting each field location to schedule a time wh~ OTR oau ome to that location to assist ia the prepat-ation of the r~:ords for ddpmmt to the Axmex. ~ e~eb~eld ~ffi~e should n~t wa~ f~_F OTR to as_~i~ in tbe~revar~tio~u o[inactive,recorda for shipment to_the~Annex(.~ Field effiFes sh, pnld bealn the lyreuaratiolt as soon a~ p~s_lbl~
05/22/2007 13:15 FAX 2022190559 I)OI ~5-ZZ-07 IO=@B From-O~T-Offjl;~ of Trust Records
Case 1:06-cv-00945-FMA
Document 19-2
Filed 06/21/2007
Page 26 of 37
Each BIA/OI]~P regional =~I agency program sl~uld t~we a dcsi~cx[ l~=~ords Co~t~ who is ~ v,,ith :~Vo~ aware of th~ l~'OgCa~'s records and the attar,,hcd ~. OTg, is rexlm~'K~ that tl~ l~ecords C~tact or desi~ far ~ch OST ~ pin.am office b¢ ~= during tho schedule~lpIoje~ timo, OTR's l~=gio~l ~ Liaisons and other staff will be zv~ablc to as~ your offices in m~dng our ~ha~] goal of~dng those rucorc~. I~ne ar~chcd procr.dm-es pro-,id¢ specific i~¢u~-tions ~d list ~ respoz~'MIities for B]A, the Office o£Indtan Education PIograz~ m~t OT~P,. BIA/OIEP program o:~Sces may om~ their l~¢gion3] l~cco~ LiaL~)n or O"1"1l AIbuquc'rqu¢ for any que~tioos ~ to this project, OTP. ~1l oordi~te all ~'pcct~ of the re~ords baeYJog pro~cct with BIA/OiIIP ~ions aud a~cncy o~Sces and ~ pay all shipp~g
Case 1:06-cv-00945-FMA
Document 19-2
Filed 06/21/2007
Page 27 of 37
Exhibit 7
05/22/2007 13:15 FAX 2022190559
Case 1:06-cv-00945-FMA
Document 19-2
D01
Filed 06/21/2007
T-4B3
Page 28 of 37
P. 0041010 F-644
O~-ZZ-O? ]0:~8
Fro~-O~T-Office of Trust Records
~05 81~ 1B12
United States Department of the Interior
OFFICE oF THE SPECIAL TRUSTEE FOK AMS~CAN INDIANS Albuquerque, lqM 87109 Division of V..e, eords M~az~,emem: Pollci~, 1~roc~xhm~ a~d Trd.~ing TAKE PRIDr/" 'NAMER[CA
2 2 2g06
Memorandum
To; Director, Buleml oflndima ~ (BIA)
~or, Office of lndima Education Programs Deputy. Director, Offie~ of Law Exfforcemem S ervice~
- ..~~thc
Chief Information Officer, Office of the Special Tx-usto9 for Ameriema Iadians Direvmr, Office of Trust Rcv, ords~ 1~ ASI& R~coras B~ldog Project D This memorandum is to request that you r~zind and dim0t BIA Line Officers m continue the pr-paration of all i~,~five records for shipmeat to the Office of Trust Records (OTR), Leaexa Axmex. As yea may recall the Associate Deputy Secretary issued a directive m May 2005 dixecting complL~ce with this ilaitiative. At that time, insttu~ons were provided b), OTR on how the inactive records should be prepared. We a~e findi~ that BIA offices arc not prepazing records prio~ to arliVal of OTR's contractor mad this is taming delays to the projeot As you may recall, BL~ offices, with arzumulations of 200 boxes or more of backlogged inactive reeords~ have the option ofprepafing the records for shipment themzelves or ush~ OTP,'s contractor to prepare the reactive x~ords for shipmeaL Remember, backlog ixmctive records are those records that have met the retention date made, the approved Indian AflM~ Records Schedules (16 BIA1VI l~.ecord~ Schedule ~td upd~te~). It i~ very costly to ~ore irmetive reeord~ in office space and it is the objective of this project to centrally store aud ~operly proteot all inactive IndSza records in aretfival quality ~e. Pleane be aware tlmt oopies ofrecords can be req~ m ~xy time ~md copies will be prO,d~ted by OTR staff at the American Indian Records Repository (AIRR). Onoe the records m-rive at Lenexa, they will be electronically inde~;ed and aeoe~oned i~ the AW, K for permmx~t ~ozage. OTI~ provides each BIA office seading records with a completed St~dard Form 135 and an ind~ oftke boxes of records retirexl. OTR's Regiomal Records Liaisons (RRL) Hill be eonlaeting each BZA loe~tioa with 200 m more boxes of inactive re~ords m schedule an appointment to meet with program managem ia order to provide guidaaee in the preparation of t~= ~~o~:ds, 'Fae ~ will provide written instructions at this meeting and be available to answer questions.
4400 Masthead N.E.
05/22/2007 13:15 FAX 2022190559
Case 1:06-cv-00945-FMA
Document 19-2
DOI
Filed 06/21/2007
Page 29 of 37
05-22-0T I0:38 Fr~-OSTq3fflca of ?rust Rscords
BIA may 0ore'act thdr respective KRL or OTR Albuqucrqus staff fOz any qucstiona r~htod to this 1;g-oj¢~. OTIL will coordinate all aspocts of the backlog maotiv¢ records projcot with BIA regions and agca~y offices a~l willpay all shipping costs. Whc~e records wh/oh have met the rmmion dates but arc still being used on a rcgul~ basis for conducting ¢u~rmt busin~s and the BIA program mauager caunor~ yet send the zccords to ~ A3P~ the ta'ogram zaauagr.r mast prq~¢ a "Records P, etcnfion Certification" providi~ iafou~t/on on the volume and where tho records wiU bc stor~L The attaohod form should b¢ us~ (s~ Attackmant 1). Additionally, all file folders containing records that arc r~aincd must be re,labeled in ~ccordanc¢ wi~ the applicable update.d records schcdulc. In other words, all file foldgs contaiaing records ~ will he retained in the field must be labclod in compliaacc vfith t2aC ~l~plic~l¢ upda'¢~l reotxo~ schedule. This includes all r~cords that are listed in the c~tific, afion to the OTR Dir~tor. We appreciate your personal support in mec~g the expectations of the Associate Deputy Scoretary that all ~tive ~.ords he cxpc~t/ously ~fired from the field to th~ ~ ;in Lenoxa, Kansas. Questions regarding this project may be directed to the Dircctoz, Ms. Ethel Abeita ~t 505-816-1600_
Assistaat SecremtS, -- Ind/zn Affairs Special Truste¢~ Office ofth~ Special[ Trustee for Am~oau Indians Actillg. Deputy AssistaIR Secreta~ fur 111fo~mlafion R.csouTces tVIallagmalsnt - IIldian Affa~ Director, Office ofZuformafion Palioy- Indian 'Affah~ C~ral 0f8¢ DircotoIs l~ogional Directors
Case 1:06-cv-00945-FMA
05/22/2007 13 : 15 FAX 2022190559
Document 19-2
D0I
Filed 06/21/2007
Page 30 of 37
I]~-Z~-I]T I0;@@
From-OST-Of.ficB of Truzt Rscord~
ATTACHMENT 1 ~STRUCTIONS FOR COMPLETING IA_RM FOlt_M 4010-RECO]RDS RETE~fION CERTIFICATION (Complete one Iota for each record series a~d Program) The Certification Form must be prepared by each program retaining records at the agency or regional location and signed by the appropriate ot~flce head_ (E.g., Agency Supefinmndent, Regional Erireeu)r, or designee), This form is available on the BIA Intran~ All file folders for inactive records (records that have met their ~:rttion date) being retained must be labeled in accordance with the updated ~nd applicable records schedule and cannot be lab=led using the 1989 16 BIAM P, ecords Schedule. Section 1 - l~esp~msible Official llffori~tion Itvma a.~ inse~ date, last ~ fia~t name mad middle iztitial and title of the program manager retaining ~ r~ord~. Item ~ ~ program office (such as realty Qr forestry)~ must be identified. Include your tenon and agency if ~plicable. Item g~ imolude the efface STREET addre~. Item h and i, ineluxle a telephcme and fax number of the program manager who is requesting the~e recx~ds be approved for rctmation. Se~dvn 2 - Records Information Item a, hxclud~ the re~ord~ ~cg number. Item b, include the volume of the reoox~l~ in cubic re, or. (Cubio I~ --- 1 ½ lettsr verticaI size filing eabin~ arawer). Item % i~clude the date range of the records from open to cut off date~. Item d, check ~ropriate box fo~ Trust ,Dr not Item e, sta~ why these reeord~ need to be kept at the program offic~ past thek r~tion.
Case 1:06-cv-00945-FMA
Document 19-2
Filed 06/21/2007
Page 31 of 37
05/22/2007 13:15 FAX 2022190559 D01 O~-Z2-OT 10:~ J~r~l~-O3T-Offic8 of Trust lhcordx
Section 3 ~ Records Holdizg Fa~tltt~ Iifformatioa Ir~z ~ id@ the phy=cal location where ~¢se reacts ar~ stored. (Please provide the e~t physical STREET addxess). Item b, if records identified in Section 2d are Tnmt rcco~-ds, check No or Yes if they are stozetI in locking fiz~ixoof cabinets. If they wer~ not id~tJ_ficd as Trust rvcords, check N/A for not applicable. Item c, check all ozlditions tlmt apply, Item d, indic.~te by ohcckhlg No or Yes if these rec~Is are stored near any ofthz conditions listed m~ in~cat¢ which coxxclition~ are a~plicable. Item , indicate by ~hecldng No or Yes if these r~ords are at risk through continual use. Descxa~e the cuzrcnt on~fion of the records, Item f; indicate by choking No or Yes if therv is md~cie~t room for storing these records in ttzeir cuzrcnt location. Itmz g, pzu~ ma~g="s si~ture a~d date cmtifymg the, e records arc still necdezl and used on a regul~ basis for conducfiug cun'cnt business. Section 4 - Superintendeat Concurrence Entw supcrintvadem's Dame mad date (if applicable) and obtain signam~ ix~catii~ he/she concurs with the program m~nager's certifiootion. Section 5 - Region or Central O4~fice Director Con~rrenee Ent~ re~onal or mmtral otRce director xmme and date and obtain signature indicating hel~he concurs with the SuparinttmdcmI or the P~'ogrmn Mauager's cettitioation.
Case 1:06-cv-00945-FMA
05/22/2007 13:15 FAX 2022190559
Document 19-2
DOI
Filed 06/21/2007
Page 32 of 37
05-ZZ-OT 10;~6 FrorOST-Offloe of Trust Record~
505 916 161Z
AttaH~ment 1
g. X certify that these records have met the ~¢en~n dat~ estab]ish©d iu the Indian Affairs ~ecerds Sehedule~ Ind~n Fidudary Ftnsndal Record Schedule or the General Record Schedule (P.ircle nee) but are still needed and used on a regular b~ for ¢~nducting current business.
Case 1:06-cv-00945-FMA
05/22/2007 13:15 FAX 2022190~59
Document 19-2
DOI
Filed 06/21/2007
T-483
Page 33 of 37
05-2Z-lit 10~39 Fror~-0ST-0ffi~e of Truer Racord~
-~OE lib 1017
Umted States Department of the Interior
OFFICE OF THE SPECIAL TRUST]~ :FOP, AMERICAN INDIANS
AtbUqU~¢, Blvl 87109
Division Of Re¢or~ Mgnagem¢nt Politic% Procedures and Train~ag
FEB 0 ! ZOO7
MomoraRdum To: Director, Bureau of Indian Affaixz (BIA) Director, Bureau of Indian Education Programs D~puty Director, Office of Law E~orcement Services Principal Deputy Special Tnastee, Of 6ce of the Special T~~"~ Indians Ch/eflnformation Officer, Of~¢e of the Special Trustee for Amer/.ean Indisas Assistant Secretary - Indian Affairs Records Backlog Project
ThroLl~h"
From: Subject:
This m~mormadum is to request that you x'm~nd mad direct BIA Line Of'fleers to continue the prsparation of all inaative rc~ords for shipment to th~ Office of Tmst Records (OTR) at t~ Annex in Lencxa, Kansas, As you may recall, the Associate Deputy Secretary issued a directive in May 2005 directing compliance with this initiative. At that time: instraetions were provided by OTR on how the inael~re records shoxdd be prepared We are finding that BIA offices are not preparing records prior to arrival of OTK's contractor and this is causing delays to the project. BIA ejects have the option ofprepariug inactive records for skipmextt dxemselves or using OTR's contractor. Rememb¢% backlog inactive records are those re~osds that have met the retention dam under the approved Indian A_flairs P~coa~ Schedule~ (I 6 BIAM Records Sdaedule and updates), It is very costly to sror~ inactive re.cords in office space and it is the objective of this project to centrally store and properly protect at[ inactive ~dian records in archival quality space. PleAse be aware that copies of records can be requested at any ~me mad cooies will be_orovided by OTR Staff at the American Indian Records Repository (AIR.R). Once the records arrive at Lenexa, they will be electronically Indexed and aecessioned into the A1RR for permanent stor~tg¢. OTR provides each BIA office with a completed Staudard Form 135 aud an index of the boxes of records retired, OTR's Regional Records Liai~on~ (RRLs) will be contacting each BIA location with inactive records to schedule an appointment to meet with program managers in order to provide guidauce in the preparation of the re~ord~, The RRL will provid~ written inslruotions at this meeting and will be available to answex que,~-ionS. BIA may contact ~c'k rgspeetive RRL or OTR Albuquerqu~ ~taff for arty questions related to this l~OjCCt OTR will goordinate all aspects of the backlog iamctive records project with BIA regions and agency off/c~ and will pay all shipping co~ts.
4400 Masthead N-~
Case 1:06-cv-00945-FMA
05/22/2007 13:16 FAX 2022190559
Document 19-2
I)01
Filed 06/21/2007
Page 34 of 37
05-ZZ-0T 10:39
Fr~-0ST-0ffics of Trust Rec0rd;
Where records which have met the rotmtlon dates ~ still being used on a regular basis for . conductiog cuaxent busiu~ md the BIA Vzo~u manager cannot yet send the records tO the AIRR, the program manager must prepare a "Records Retention Certification" providing information on th, volume and where the records will be sto~cI. The attached form should bo used (s¢ Attachm~t I). Additionally, all Kic foldcrs contaiazing recozds that arc retained must be re-labeled in aceordaa¢¢ with ~ applicable x~pclstcd moords schedule. ~ oth=" words, all file fold~ ¢ontaining records tl~t will be retained in the field must be labeled in ooz~pliamco with the applicable updated regords schcdul,s- This mcludea ali records that are listed ha the certification to the ~ Ditc~or. We a~eciatc yo~ parsoual ~!oport in mesciag the eorpee.tations of the Associate Deputy Secxmm3r that all inactiv= rccozds be cxpi~lifiously retired fi-om the field to th~ AIRR in Lenuxa, Ka~. Qu~tiom ragarding this lxoje~ may be diremtexi to the Director, M~, Ethel Aboita at 505-816-I600. Att~hrn ¢nts Assistant Secretary- Indian AKa~ Special Trustee, Office of the Special Trustee for Amtricau Indians A~'ti~g Chief Information Offic~ - Ila~lia~ Afl~airs Dir~tor, Of=Flee of lzLformation Policy - Ix~an AK-a~ Central Omcc Directors Regional Directors
Case 1:06-cv-00945-FMA
Document 19-2
Filed 06/21/2007
Page 35 of 37
Exhibit 7 A
06/06/2007 15:50 FAX 2022190559 D01 Case 1:06-cv-00945-FMA Document 0~-22-07 10;]8 From-0ST-OffJce of Trust Records
19-2
~014/030 Filed 06/21/2007 Page 36 of 37 505 816 lBl= T-48a P 009/010 I=-G44
United States Department of the Interior
OFFICE OT THE SPECIAL, TRUSTEE FOR AMERICA.N INDL/LNS
Atbuquc~u=, ~d 87109
Olympian of Records Maaag~ncnt Polici~, Procedur~ emd Training
TAKE PRIDE"
mAMERICA
Memorandum
To:
Dircotor, Bureau of Indian Affairs (BIA) Direotor= Bureau of Indien Education Programs D~puty Director, Office of Law Enforc.e~eat Set-vices Trus.___..~ ~c.___. Principal Deputy Special Trustee, Office of the Special Iadhns an
Through: From: Subject:
Chief Information Officer, Off=ice of the Special Trustee for American Indians Assistant Secretary - Indian Affairs Records Backlog Project
This memorandum is to request that you ~a~a~d and direct BIA Line Offioers to cominue the preparation of all inactive records for shipment to the Office of Trot Records (OTK) at the Annex in Leaaexa, Kansas. As you may recall, the Associate Deputy Secretary issued a directive in May 2005 directing compliance with this initiative. At that time, instruotions were provided by OTR on how the inactive records should be prepared. We are l~xding that BIA offices are not preparing records prior to arrival of OTR's conl~aetor and this is causing delays to the project. BIA offices have the option of preparing inaotive records for shiprnertt themselves or using OTR's contractor. Remember, backlog inactive records are those records that have met the retention date under the approved Indian Affairs P~cords Schedules (16 BIAM Records Schedule and updates). It is very costly to store inactive records in office space and it is the objective of this project to centrally store and properly protect all inactive Indian records in archival quality space. Please be aware that copies of records can be requested at anytime and .copies will be provide4 by OTR staff at the American Indian Re.'cords Repository (AIRR). One¢ the records arrive at Lenexa, they will be electronically indexed and aecessioned into the for permalxcnt storage. OTR provid~ each BIA office with a completed Standard Form 135 and an index of the boxes ofre.oords reared. OTR's Regional Records Liaisons (RRLs) will be contacting each BIA location with inactive records to schedule an appointment to meet with program managc.ra in order to provide guidance in the pr£'parat~on ofthe records. The RRL will provide written instraefions at this meeting and will be available to answer questions. BIA may contact their respective RR.L or OTR Albuquerque staff for any questions reh;ted to this projeeL OTR will coordinate all aspects of the baeldog inactive records project with BIA regions and agency of-~ces and will pay all shipping costs. 4400 Masthead N.E,
06/06/2007 15:50 FAX 2022190559 DOI Case 1:06-cv-00945-FMA Document 06-22-0T 10"39 Froe-D.~T-0ffice of Trust Records
19-2
Filed 06/21/2007 Page 37 of 37 505 e18 le12 T-4e3 P.010/010 F-N4
[~ 015/030
Wh~ro records which have met the retention &ir.~ arc still being us~ or; a ~egular basis for ¢onductiltg caxrr~t business aud the BIA IXOgram manager cannot yet send the records to the AIRR) tho program xxm_uagsr must prepare a "~Reco~:ds Retention Certification" providing infommtion on the volume and wk~r¢ the records will be stored. Th~ attached form should be used (sec Attacb.m~-~t I). Additionally, all file foldol's containing records that arc letaincd must be re--labeled ia accordance with the applicable updated records schedule. I~ otkcr words, all file fold¢rs containing records that will bc rcCaincd in the field must be lab=led in compliance with the applicable updated records schedules. This includes alt re~o~s that arc listed in ~ certification to the OTR Director. We appreciate your p~rsomd support in meeting the expectations of the Associate Deputy Seer=troy that all inactive records be expeditiously retired fi'om the field to ttl~ AIRR in Lencxa~ Kansas_ Qucsrioxxs regarding this proje.~ may be directed to the Dffcctor, Ms. Ethel Abeita at 505-816-1600.
c)c:
Assistaut S~'ctary- IRdian Affairs Special Trustee, O;[~ice of the Special Trustee for Amexica~t Indians Acting Chief Infoauation Officer- Indiaa Affairs Director, Oftice of Information Policy- Indian Affaixs Ccutral Offi.co Directors Regional Directors
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