Free Notice (Other) - District Court of Federal Claims - federal

Case 1:06-cv-00934-FMA

Document 43-6

Filed 08/20/2008

Page 1 of 14

EXHIBIT HF4

Case 1:06-cv-00934-FMA

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United States Department of the Interior
OFFICE OF THE SPECIAL TRUSTEE FOR AMERI CAN INDIANS

~
~9
/

4400 Masthead N.E. Albuquerque. NM 87 109
D ivision of Records Management Policies,

TAKE PRIDE"

INAMERICA

Procedures and Training

MAY 08 Z 008
Memorandum To: Management Analyst, Office of Externa l Affairs Office of the Special Trustee for American Indians Director, Office of Trust Records Approved Record Move Requests

From : Subject:

~~

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fJ.1b

The Office of Trust Records has approved the Record Move Reques t for the OST Office of External Affairs, in Albuquerque, New Mexico, to move records to the Ame rican Indian Records Reposi tory - Annex in Lenexa, Kansas. Attache d are: I . Original Record Move Request Forms 2. Original Chain of Custody Plans 3. Inventories Please fax a copy of the FedEx airbills to Ms. Marsha Ruiz at 505-8 16-1653. If you have any questions, please contact Ms. Theresa Baracker at 505-8 16-1628.

Attac hments

Case 1:06-cv-00934-FMA

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l. ORIGI NATING RESPONSIBL E OFFICIAL INFORMATION : (Please Print)
Dale
March 4, 2008

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0

UNITED STATES DEPARTM ENT OF THE INTERIOR RECORD MOVE REQ UEST OFFIC E OF TR UST RE CORDS APPROVA L

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First Name: Ofelia

I MI
Telephone:

I Last Name'
(505 ) 8 16- 1081

Pr ad o

Ollice: Office of External Affairs

Address: Office of th e Specia l Truste e for Ame rica n Ind ians
4400 M asth ead ST. NE , Albuquerqu e, NM 87109

O'igin~

~~:emgn::1
R~s to the American Indian Records Repository (AIRR)

Fax :

(505 ) 796-3 167

2. R Ee<: RD'S CATECORY: (Chick Oue)
a.

t8J

IU ve Trust

!'. OT E: Paragra ph 19 Ca bell Records requ ire Associate Deputy Secretary' s appr oval "

DO xor USE Till S FOR~ I

b. 0 Inactive Trust Records within BIA, crossing regional boundaries c. D Inactive Indian/Non -Trust Records to the AIRR
CE R fl FlCATlO:'J : I certify th at these record s a nd boxes being tran sferred acr oss region al bound aries or to t he Am er ica n Ind ia n Recor ds Repository (AIHH) a re i\:OT trust reco rd s. O riginating Respo ns ible Official's: Pho ne #: Signature: Date :

I

3. MO VE AND C HAIN OF CU STODY PLAN INFORMATION:
a Address where records are curre ntly located b . Q uantit y of boxes to be moved' (Attac h descr iption, e.g. inventory or box lists)

4400 Masth ead St. NE S uite 323 Albuq ue rq ue, NM 87 109
c. Sche dule or Series Numb ers' TR ·6000a· PS Program Correspo ndence Files - O ffi cia l Files e. Accession Numbe rs (To be completed by ORO)

32 c ubic reel

d. Method of Trans portation (Identify car rier and attac h written chai n of custody plan)

Fede ra l Expr ess

K01";08-110 3
g. Responsible Official' s Name Receiv ing Boxfes):

f. Rece iving O ffice Phone #: 913-825-5566 Address: 14612 W. 106" Street Le nexa , KS 662 15

lI o p e M el iu s, R eco rd s M an a g em ent S pecia list

4. APl'\{OVAL llY OT\{:

11 n

A

f{V

W· '!if.

...-...

Director, Office of Trus t Records signature: VlN\./

~D A ~d:J0
intend ed dest ina tio n locati on.

Date :

MAY 06 2008

5. AIR\{ DESTINATION C ERT IFIC ATION : I certify all reco rds an d bo xes have bee n moved s ucces sf ully a nd we re account ed for at the
Date Reco rds Received at the AIRR: AIRR Destination Responsible Offic ial's Signature: Date:

TO BE COMPLETW

BY

OTR

Date Reco rd Move Request Recei ved :

l0"

I

APR 282008

Cha in of C ustody Plan

0'" Inventory or Box Lists

fAR M Form 4004 Reco rds Retention Instr uctions, Retain Record Move Request Form and cop ies of all sup ponmg document ation (Cham of Custody Plan, Inventory/Box List , etc) in acco rdanc e with G RS 16, item 2a(2). Rev ised May 16,2 007.

Case 1:06-cv-00934-FMA

Document 43-6

Filed 08/20/2008

Page 4 of 14

Office of the Special Trustee for American Indian s Office of External Affairs
TR- 6000a-P5 Program Corresponden ce Files - Official Files

BOX #13
File #
1

File Name Email - Jerry Chavez April 2007 - July 2007

Cutoff FY2008

BOX #14
Fil e #
1

File Name Email - Jerry Chavez August 2007 - December 2007

Cutoff FY2008

BOX #15
File #
1

Fil e Name Email - Jerry Chavez Janu ary 2008 - April 2008

Cutoff FY2008

BOX #16
Fil e #
1

File Nam e Email - Frank Perniciaro October 2006 - Dece mber 2006

Cutoff FY2008

BOX #17
Fil e #
1

Fil e Nam e Email - Frank Perniciaro January 2007 - March 2007

Cutoff FY2008

BOX #18
Fil e #
1

File Nam e Email - Frank Perniciaro January 2007 - March 2007

Cutoff FY2008

BOX #19
File #
1

File Name Email - Frank Perniciaro March 2007 - June 2007

Cutoff FY2008

BOX #20
File #
1

File Name Email - Frank Perniciaro April 2007 - June 2007

Cutoff FY2008

Case 1:06-cv-00934-FMA

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Office of the Specia l Trustee for American Indians Office of External Affairs
TR-6000a-P5 Program Correspondence Files - Official Files

BOX #21
File #
1

File Name Email - Frank Perniciaro April 2007 - June 2007

Cut off FY2008

BOX #22
File #
1

File Name Email - Frank Perniciaro July 2007 - August 2007

Cutoff FY2008

BOX #23
File #
1

File Name Email - Frank Perniciaro August 2007 - September 2007

Cutoff FY2008

BOX #24
File #
1

File Name Email - Frank Perniciaro October 2007 - December 2007

Cutoff FY2008

BOX #25
File #
1

File Name Email- Frank Perniciaro October 2007 - March 2008

Cutoff FY2008

BOX #26
File #
1

File Name E-mail - Pat Gerard 2005

Cutoff FY2008

BOX #27
File #
1

File Name E-Mail - Karen Jackson January 2005 - May 2005

Cuto ff FY2008

BOX #28
Fil e #
1

File Name E-Mail - Karen Jackson June 2007 - September 2007

Cutoff FY2008

BOX #29
File #
1

File Name E-Mail - Karen Jackson June 2005 - September 2005

Cutoff FY2008

Case 1:06-cv-00934-FMA

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Office of the Special Trustee for American Indians Office of External Affairs
TR-6000a-P5 Program Correspondence Files - Official Files

BOX #30
File #
1

File Name
E-Mail - Karen Jackson October 2005 - June 2006

Cutoff

FY2008

BOX #31
File #
1

File Name MIT - Program Correspondence Files

Cutoff

FY2008
Cut off

BOX #32
Fil e #
1

File Name Clarence Coriz Program Correspondence Files

FY2008

Case 1:06-cv-00934-FMA

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C H A IN OF CUST O DY PLAN Upon receipt of the approved Record Move Request form, the Responsible Officials at the originating and destination offices will ensure that the following procedures are followed during the transportation and transfer of the record s being moved. T r ans po r ti ng Records Pro cedure (C ha in of C ustody) I. 2. 3. Records are packed in appropriate storage boxe s. Box lists or inven tory of records for each box are included inside the first box (box # 1). An OTR Acce ssion Number has been furnished by OTR and labe ling proced ures are followed for movement to the American Indian Record s Reposito ry (AIRR) . For shipments of 200 boxes or less, ORO will call OTR at 505-816 -162 0 for shipme nt instructions . and carrier information. For shipments of over 200 boxes, ORO will call OTR at 505 -816-1620 for shipment instruct ions and carrier information . Each box is sealed with tape and boxe s are numbered sequentially (e.g . box I of 5, box 2 of 5, etc.). Number of Boxes: 32 7. Check one box only:
~ a. Boxe s are taken to (Fed-Ex)

4.

5.

6.

Schedule or Series Number: TR-6000a-P5

pick up location, or ;

o b. (Carrier)
8. 9. (Fed Ex)

is called to pick-up boxe s at sender's office.

shipment form is completed and prov ided to carrier personnel.

The ORO, Ofelia Prado, will notify the ORO , Hope Melius, at (9 13) 825-5566 (voi ce), (913) 825-5575 (fax) when shipment left location and approximate date of arrival at the A IRR. Th e ORO , Ofelia Prado, retain s a copy of the shipment form for tracking purposes in the event that a shipment item is missing. The ORO , Ofelia Prado, contacts the ORO, Hope Me lius, at (9 13) 825-5566 to verify that the records and boxes have been moved success fully and are account ed for at the AIRR. The ORO, Hope Melius, is responsible for cert ifying the successful move by com ple ting and signing item 5 of the Record Move Reque st form. Within two working days, the ORO, Hope Melius, must forward copies, via fax, to the ORO, the RRL, and to the Division of Records Management Policies, Procedures and Training at (505) 8 16- 1653. The ORO , Ofelia Prado, and the ORO, Hope Meliu s, will create and maint ain a file to document the rec ord s tran sfer process (by shipment). The Record Move Request form , records inventory, Chain of Custody Plan and other supporting documentation will be maintained IA W GRS 16 item 2a (2).

10.

II.

12.

13.

IA RM Form 4002 Revi sed 4/11/07

Case 1:06-cv-00934-FMA

Document 43-6

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Office of the Special Trustee for American Indians Office of External Affairs
TR-6000a-P5 Program Correspondence Files - Official Files

BOX #1
File #
1

2
3

4
5

6 7 8 9 10 11 12
13

14 15 16 17 18 19

20
21

22 23 24 25
26
27

28 29 30
31

32
33
34

35 36
37

File Name 105 Time and Attendance Folder 104 Time and Attendance Folder OST: Regional Trust Admin. Folder OST: Field Operations folder OST: OCIO folder OST: Advisory Bd folder OEA Performance Plans folder "To Be" Implementation fold er OST: OlA Secretary folder Employee Performance Plan and Rpt. "Appraisal" folder 04 performance Goals folder Ofelia Prado folder OEA- Karen Jackson folder Carrie Moore fold er Trust Tracking and Coordination (Trac) folder Travel Vouche rs :04 04 /05 Vacan cy Ann. Folder OST : Procedu res etc folder OST: Directives Clarence Coriz fold er Red folder wi - Master all handouts from RA meeting 7103 FT'S Training fold er OST- SR, MG R, MTG folder 04 - Training folder OST - Vacancy RPT S folder OST - Staffing and Org . chart folder National museum of the American Indian folder 04 OAS - Corrective Action Plan folder OAS - ABC fold er S. 1340 to Amend IlCA! 5.550 folder Appraiser PO's discuss with Dean folder OAS personn el folder External Affairs (Out reach plan) External Affairs Brochures Guidance to move records folder Office of Tru st Record s folder EOA: Office of External Affa irs folder

Cutoff FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008

Case 1:06-cv-00934-FMA

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Office of the Special Trustee for American lndians Office of External Affairs
TR-6000a-P5 Program Correspond ence Files - Official Files
38 39
40 41

42 43
44

45 46

4 Operations Plan folders for July 8, 2003 External Affairs '05 budgeV '04 budgeV'03 folder WEP: External Affairs folder OEA - ABC folder '03: Training folder External Affairs : Daily/Moving RPT's folder P. Gerard: FY '03 travel folder P. Gerard: FY '04 travel folder OEA position descriptions folder

FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008

Case 1:06-cv-00934-FMA

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Office of the Special Trustee for Ame rican Indians Office of External Affairs
TR-6000a-P5 Program Correspondence Files - Official Files

BOX#2
File Name NCAI - Pat Gerard stuff, magazines , flyers, and brochures folder NCAI 2003 601 h Annual session Alb, NM o National Congress of American Indians Resolution #ABQ03-001 - #ABQ03-1 34 folder Tribal Self-Governance 2002 Annual Report to Congress folder Quarterly Report - 19 Appraisals folder April 1 - June 30 , 2003 - 14th report to the Court folder Quarterly Report 18 folder Quarterly Report 17 folder Q4arterly Report 16 folder 15th report to the Court folder OAS 13th quarterly report OST- Office of Appraisal Services Quarterl y Report (12) Oct. 1 - Dec. 31, 2002 Training packets, power point print outs Pat Gerard OST Acquisition Training Conference notebook Herd v. Asarco Document Productions folder Management Accountability and Control folder o OST- OAS meeting Phoenix, AZ November19-20, 2002 Rocky Mountain - Propos ed move folder OST Triba l consultation on Appraisal Consolidation Las Vegas, Nevada 10-28-03 (AM and PM Sessions) Cutoff FY2008 FY2008

3 4

5
6

7

8
9

10 11 12 13 14 15 16

FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008

17

Case 1:06-cv-00934-FMA

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Office of the Special Trustee for American Indians Office of External Affairs
TR-6000a-P 5 Program Correspond ence Files - Official Files

BOX #3
File #
1

2
3
4
5

6 7 8 9 10
11

12 13 14 15 16
17

18 19

20
21

22 23 24

File Name Indian Trust Reform act of 2005 - Introduced July 20, 2005 folder Fiduciary Trust Model FY 05 folder American Indian Probate Reform Act 2004 folder Quinault folder Management Information Team communications folder MIT - communications FY05 - FY06 folder Management Initiative team commun ications Team fold er OEA - We ekly Status 2005 folder Old Fiduciary Trust Officers (FTO list) folder ABCM activities folder Performance Measu res folder Quarterly Metrics: OEA folder Strategic Plan, performance " ,measures folder ABC/M output date - OEA Gallup Q12 results - OEA folder Tribal Withdrawals folder History of OST folder Field request OST promo items folder OST slide presentations outreach folder OEA: travel folder (OST due ) OEA: 2 positions folder F Calendar info folder 109th Congres s folder MIT Inherentl y Federal folder

Cutoff FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008

Case 1:06-cv-00934-FMA

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Office of the Special Trustee for American Indians Office of External Affairs
TR-6000a-P5 Program Correspondence Files - Official Files

BOX #4
File #
1

2 3
4

5
6

7
8

9
10
11

12
13

14

15
16
17

18

File Name OTR - Procedures lrnpt, Memos folder local Rule 5.I(h)(2) memo with article Tickler - OAS folder National Tribal Self-Governance Advocacy plan for the Bush administrat ion and the 108lh Congress Updated Aug. 2003 folder Evaluation of the appra isal organization of the USDA forest service March 28, 2000 folder Evaluation of the appra isal organization of the office of special trust ee for American Indians, office of appraisal services August 29, 2003 folder , plus a copy Quality Service Survey folder FY 05:25 CFR Part 1200 Proposed Revisions folder Court Order - communication 09/29/04 folder 638 Appraisals MOUISecu rity Clearances folder OST Office of External Affairs Goals and Objectives - FY05 (Ol A FY05 Activiti es) folder Self Governance Compact Training 12/14 - 15/2004 folder NBC OAS Management issues folder FY05: App raisals Secreta rial Order folder NCAI 10/30 - 11/4/05 Tulsa, OK folder ITMA 10/1 1-13/05 l as Vegas, NV folder CompactslContractors master file folder Self Governance Fall 04 folder o Self-Governance Seattle, WA Nov 8-12, 2004 folder o California Trust Reform Consortium & Pacific Regional Office (November, 2004) fold er

Cutoff FY2008 FY2008 FY2008 FY2008 FY2008 FY2008

FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008

Case 1:06-cv-00934-FMA

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Office of the Special Trustee for Amer ican Indians Office of External Affairs
TR-6000a-P5 Program Correspondence Files - Official Files

BOX#5
File #
1

2
3 4 5 6 7 8

9 10 11 12 13
14

15 16
17

18 19
20

21

22 23

File Nam e Self Governance/638 Appraisal Info folder (NOTES ) Procedures , Policies , etc. OAS folder performance Plan (Preston P. Smith) Email folder April/May 2003 emails folder. June '03 email folder July '03 email folder August '03 email folder September '03 email folder October '03 email folder (Pat Gerard) November '03 email folder (Pat Gerard) December '03 email folder (Pat Gerard ) FY04: January emails folder FY04: February email folder FY04: March email folder FY04: April email folder FY04: May email folder FY04: July email folder FY04: August emails folder FY04: September email folder Compacts/Contracts 93-638 folder NCAI - Albuquerque, NM OST Exhibit Booth Nov. 16-21, 2003 folder NCAI Ft Lauderdale, FL Oct. 10-15, 2004 folder

Cut off FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008 FY2008

Case 1:06-cv-00934-FMA

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Office of the Special Trustee for American Indians Office of External Affairs
TR-6000a -P5 Program Correspondence Files - Official Files

BOX #6
Fil e #
1

File Name Pat Gerard's emails Oct. 2005 - March 2006 ( folders)

Cutoff FY2008

BOX #7
File #
1

File Name Email - Jerry Chavez May 2005 - August 2005

Cutoff FY2008

BOX #8
File #
1

File Name Email - Jerry Chavez September 2005 - December 2005

Cut off FY2008

BOX #9
File #
1

File Name Email - Jerry Ch avez January 2006 - April 2006

Cuto ff FY2008

BOX #10
Fi le #
1

File Name Email - Jerry Chavez May 2006 - July 2006

Cut off FY2008

BOX #11
File #
1

File Name Email - Jerry Chav ez August 2006 - December 2006

Cutoff FY2008

BOX#12
File #
1

File Name Email - Jerry Chavez January 2007 -March 2007

Cuto ff FY2008