TRIBAL RECORDS BRIEFING 2015 CONFERENCES PRESENTED BY OFFICE OF TRUST RECORDS AGENDA Introduction: This training is to provide information to Tribes on the preservation and management of tribal records Tribal Records Management Options Tribal Records Management Transfer Options American Indian Records Repository Tribal Research Options 2 Office of Trust Records (OTR) established in
1999: To develop and implement a program for the economical and efficient management of Indian fiduciary trust records Directives: 1994 American Indian Trust Reform Act, the Federal Records Act and other statutes and regulations WHAT IS RECORDS MANAGEMENT? A planned set of policies, procedures, and activities developed for the management of recorded
information throughout the records lifecycle: Records Lifecycle CREATION creation and/or receipt of records MAINTENAN CE AND USE Office filing, retrieval and handling of records DISPOSITIO N storage of permanent inactive records of historical, financial and cultural value
destruction of temporary inactive records that are no longer needed IMPORTANCE OF A RECORDS MANAGEMENT PROGRAM Preserves Historical Documents Aids management in the decision-making process Supports Litigation Provides timely, complete and accurate information IMPORTANCE OF A RECORDS MANAGEMENT PROGRAM (CONT.) Ensures legal and regulatory requirements
for audits and assessments Supports disaster recovery Protects sensitive information Protects rights Conserves space, money and time DEFINITIONS Indian Fiduciary Trust Records (IFTR) also referred to as Trust Records. Trust records document the existence of particular lands, natural resources, monies, or other assets held in trust at a particular time by the federal government for an Indian tribe, Alaska native or individual Indian. Examples of programs that create trust records are Real Estate, Natural Resources, Probate, Forestry, Appraisals, Field Operations (IIM) and Tribal Accounts.
General Trust Records: Does not meet the definition of a trust records but documents business activities related to program functions. Examples of programs that create general trust records are Social Services, Tribal Court, Law Enforcement and Education. 7 DEFINITIONS (C0NT.) Record Schedules: Identifies records as temporary or permanent. Written guidance providing specific and mandatory instructions for what to do with records that are no longer needed for current business. Schedules used by Indian Affairs: General Records Schedule (GRS)
Administrative Support (i.e. travel, time and attendance) Addresses Temporary records Used by most Federal organizations Indian Affairs Records Schedule Supports Programs (i.e. Realty, Natural Resources, Law Enforcement, Education, Social Services, etc.) Addresses Permanent records Used by Indian Affairs, and Office of the Special Trustee TRIBAL RECORDS MANAGEMENT OPTIONS FOR TRIBAL TRUST
RECORDS Option 1: The Tribe may use the Indian Affairs Records Management policy or revise it to fit Tribal needs. Option 2: Tribes may create their own records management policy. 9 OPTION 1: INTEGRATE INDIAN AFFAIRS RM PROGRAM Roles and Responsibilities Office of Trust Records: Assist in developing and implementing a Records Management program Provide training, as needed Work with tribe to develop a memo of understanding/memorandum of agreement (MOU/MOA) for specific implementation of the Tribes Trust
Records management program Provide procedures to transfer Indian Fiduciary Trust Records (IFTR) to the American Indian Records Repository Budget permitting, perform on-site records management assessment and evaluation to determine extent of technical assistance required Tribe: Designates a primary point of contact to develop, implement, and maintain a records management program. Works with OTR to develop a memo of understanding/memorandum of agreement (MOU/MOA) for specific implementation of managing the Tribal Trust records program OPTION 2: CREATE A TRIBAL RM PROGRAM Steps to developing a Tribal Records Management program Planning Stage:
staff and budget expense must be determined create a work plan. Legal Review and Acceptance: obtaining legal review and Tribal Resolution to accept new policy and procedures. Deployment: Implementing the records management program. Maintenance: Maintaining and updating
the records management policies. Execution of Work Plan: perform steps to develop a records management program. OPTION 2: (CONT) DEVELOP A TRIBAL RM PROGRAM Execution of a Work Plan 1) Determine who will be responsible - Appoint RM Staff 2) Identify Records - Conduct a Records Inventory and Classification 3) Develop Policies and Procedures - Create RM Forms 4) Develop Records Schedules - Disposition 5) Create a Recordkeeping System - Filing 6) Establish Records Storage 7) Create a Vital Records and Disaster Recovery Plan
8) Develop an RM Training Program 9) Develop a Records Audit/Assessment Program COMPARISON OF RM OPTIONS RM OPTION 1 Integrate Indian Affairs Record Management Program RM OPTION 2 Create Tribal Records Management Program Less work upfront Less staff needed Set of policies, procedures, record schedules, RM forms ready to be adapted to
fit Tribal needs Records storage is free at the American Indian Records Repository. More work upfront Full records staff needed Time required to develop policies, procedures, record schedules, forms, etc. High cost to rent or build records storage13 TRANSFER AND STORAGE OPTIONS FOR INACTIVE RECORDS Where does your tribe store inactive records?
Has your Tribe considered sending records to the AIRR? The following slides will show you 3 options to consider for storing and transferring your inactive records. 14 TRANSFER AND STORAGE OPTIONS FOR INACTIVE RECORDS Option 1: Store Records at local Tribal Records Facility Option 2: Compact/Contract Tribes Relinquish Records back to the BIA/OST/BIE Option 3: Tribe/Consortium transfers records in accordance with Annual Funding Agreement 15
OPTION 1- STORE RECORDS AT LOCAL TRIBAL RECORDS FACILITY RECOMMENDATIONS: Create (buy, build, rent) a tribal storage facility Facility standards for federally funded programs are found in 36 C.F.R., Subpart B-Facility Standards. Tribes are encouraged to follow these same standards whether they have federally funded programs or not. Building security Clean, pest-free and climate controlled Have access controls in place that addresses security and Personal Identifiable Information (PII) Develop and implement indexing(system of locating records)/storage/transfer procedures Tribal budget must be considered 16
OPTION 1: STORE RECORDS AT LOCAL TRIBAL RECORDS FACILITY Recommended Transfer Procedures 1. Originating office arranges files in boxes by records series (basic unit for organizing and controlling your files). 2. Inventory (detailed listing of the volume, scope, and complexity of an organization's records) boxes for each separate transfer 3. Prepare transfer documentation and obtain approval 4. Transfer records to Tribal Records Storage Facility 5. Facility documents transfer receipt and assigns designated storage location (i.e. row, shelf) 6. Facility sends form to originating office acknowledging receipt and storage location 17 Option 2: Compact/Contract Tribe Relinquishes Records to BIA/OST/BIE
Agreement between Tribe/Consortium and BIA/OST/BIE Tribe transfers legal custody of Indian Fiduciary Trust Records (Tribal Records) to BIA/OST/BIE if agreed to. Indian Fiduciary Trust Records (Tribal records) become federal records Records subject to FOIA and Privacy Act Tribe/Consortium requests copies through BIA/OST/BIE Shipment prepared according to IARMM (Policy) Option 2: Compact/Contract Tribe Relinquishes General Trust Records to BIA/OST/BIE Policy exists for transferring only Indian Fiduciary Trust Recordsnot General Trust Records. Effects of relinquishment: Tribe loses ownership of their records, the records become subject to FOIA/PA, and only copies of records are available to the Tribe. st
u r lT a y r c e s i l n d o P G e ecor NO R
Option 3: Tribe/Consortium transfers trust records in accordance with Annual Funding Agreement Annual Funding Agreement Language Federal Register, Volume 70, Number 166, dated August 29, 2005 Department of Interior issued a Notice of Final Decision Self-Determination and SelfGovernance Funding Agreement language on Fiduciary Trust Records Management Between the Secretary and the Tribe/Consortium Option 3: Tribe/Consortium transfers records in accordance with Annual Funding Agreement Annual Funding Agreement Language
Tribe/Consortium agrees to: (a) Preserve, protect & manage all fiduciary trust records, created and/or maintained by the Tribes/Consortia during their management of trust programs in their Title IV agreement (b) Make available to the Secretary all fiduciary trust records Access shall include visual inspection and at the expense of the Secretary, the production of copies (as agreed upon between the parties) and shall not include the removal of the records without tribal approval (c) Store and permanently retain all inactive fiduciary trust records or allow such records to be removed and stored at the American Indian Records Repository (AIRR) at no cost to the Tribe/Consortium at the Tribe/ Consortium Option 3: Tribe/Consortium transfers trust records in accordance with Annual Funding
Agreement Annual Funding Agreement Language Secretary agrees to: (a) Allow Tribe/Consortium to determine what records it creates to implement the trust program Except that the Tribe/Consortium must create and maintain the information required by statute and regulation No additional recordkeeping requirements are required (b) Store all inactive fiduciary trust records at AIRR at no cost to the Tribe/Consortium when Tribe/Consortium no longer wishes to keep the records. These records stored at the AIRR shall not be treated as Federal records. Tribe/Consortium will retain legal custody and determine access to these records. (c) Create and manage a single tribal storage and retrieval system for all fiduciary trust records stored at the AIRR (d)
Provide technical assistance for Tribes/Consortia in preserving, protecting, and managing their fiduciary trust records Option 3: Tribe/Consortium transfers trust records in accordance with Annual Funding Agreement Records stored at the AIRR remain legal custody of the Tribe Tribal records are stored in a separate location from the BIA/OST records Tribes must send written request (letter) along with Agreement to Director, OTR requesting inactive Indian Fiduciary Trust Records to be stored at AIRR. Include the following: Name of Tribe/Consortium Records Officer or POC State whether Tribe/Consortia will use the Indian Affairs Record Schedules or their own Tribally developed schedules Technical assistance from OTR
WHICH RECORDS STORAGE OPTION SHOULD YOUR TRIBE CHOOSE? STORAGE OPTION 1 STORAGE OPTION 2 Tribal Storage Facility Relinquish Ownership-Store at AIRR Retain OwnershipStore at AIRR
Tribe transfers ownership to BIA/OST/BIE Tribal Records become Federal Records Subject to Freedom of Information (FOIA) and Privacy Act (PA) No storage costs No employee expense Tribe retains ownership No storage costs No employee costs Established RM
Program needs to be in place Not Subject to FOIA/PA Tribe retains ownership Tribe pays for storage costs Tribe pays employee costs STORAGE OPTION 3 24 AMERICAN INDIAN RECORDS REPOSITORY
(AIRR) LENEXA, KANSAS Opened July 1, 2004 Stores only Indian Records (BIA, BIE, OST, Tribes) Approximately 275,000 cubic feet of Indian Records are currently stored at AIRR Haskell Indian Nation University (HINU) Haskell students are employed by AIRR Records Management curriculum at Haskell University initiated in 2005 National Archives and Records Administration (NARA) Agreement between AIRR and NARA provides NARA services in support of storing IA and OST records 26
27 RESEARCHING YOUR RECORDS AND REQUESTING COPIES Do you look for old documents? The following slides provide options to consider for researching or retrieving copies of your records. 28 RESEARCH REQUESTS UNDER OPTION: 1 Option 1: When you choose to transfer records to tribal storage facility Research request forms and procedures will need to be developed Employee costs for manually retrieving and refiling information
Note: Response/retrieval time dependent on the organization of stored records 29 RESEARCH REQUESTS UNDER OPTION: 2 Option 2: Compact/Contract Tribe Relinquishes Records to BIA/OST/BIE (stored at AIRR) BIA/OST/BIE requests records from AIRR on behalf of Tribe Only copies of original documents are available Response time to requestor with the requested information is approximately 2-3 days depending on the volume BIA/OST/BIE provides to the tribe the requested information
30 RESEARCH REQUESTS UNDER OPTION 3: Option 3: Tribe/Consortium transfers trust records in accordance with Annual Funding Agreement (stored at AIRR) Tribal Point of Contact requests records as established in the Memorandum of Understanding (MOU). Research Request is faxed to AIRR: (913) 956-2685 Tribal contact is notified on status of request within 24 hours of AIRR receipt Response time is approximately 2-3 days, depending on the volume Request to Withdraw the Records. If withdrawal of box(s) is requested in writing by an authorized individual, OTR DRMO will comply with the request and document the return of box(s) to the Tribe/Consortium. 31
RESEARCH REQUEST OPTIONS OPTION 1: Tribal Research Request (Tribal Storage) Tribe stores locally, no Research Request necessary Staff seek out files stored in local Tribal storage facility No OTR involvement Response/retrieval time dependent on organization of stored records OPTION 2: Research Request
(Relinquished Trust and General Trust Stored at AIRR) Tribal Point of Contact requests information to BIA/OST/BIE---- BIA/ OST/BIE submits the research request to AIRR Only copies of original documents are available Response time is approximately 2-3 days
OPTION 3: Research Request (Tribe retains custody of records stored at AIRR) Tribal Point of Contact designated in MOU requests records by submitting written document. If requested, originals will be sent Response time is approximately 2-3 days Tribe may withdraw the
records. Tribe pays cost to ship records back to tribe. 32 QUESTION & ANSWER SESSION 33 CONTACT INFORMATION: Kevin McNulty, Records Management Specialist Office of Trust Records (OTR) 115 Fourth Avenue SE., Suite 500 Aberdeen, South Dakota 57401 Call: (605) 226-7421 Email: [email protected]
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