I I _ !_ _ ,' _'_·l_%; IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA _ ' : -, [_ Y:.....'! ELOUISE PEPION COBELL, et al., '" Plaintiffs, v. Case No. 1:96CV01285 (Judge Lamberth) GALE NORTON, Secretary of the Interior, et al_, Defendants. NOTICE OF FILING OF THE THIRTEENTH OUARTERLY REPORT FOR THE DEPARTMENT OF THE TREASURY The Department of the Treasury has prepared its Thirteenth Quarterly Repo_? on Actions Taken Z_y. the Department of the Treasury to Retain IIM-Related Documents Necessary For an Accounting and submits it to the Court in accordance with this Court's Order of December 2l, 1999· A copy of thc report is attached hereto. Dated: February 28, 2003 Rcspectfully submitted, ROBERT D. McCALLUM, JR. Assistant Attorney General STUART E. SCHIFFER Deputy Assistant Attorney General J. CHRISTOPHER KOItN Dircctor SANDRA P. SPOONER D.C. Bar No. 261495 Deputy Director · - Senior Trial Counsel JOHN J, SIEMIETKOWSKI Trial Attorney Commercial Litigation Branch Civil Division P.O. Box 875 Ben Franklin Station Washington, D.C. 20044-0875 (202) 514-3368 (phone) (202) 514-9163 (fax) 2 DEPARTMENT OF THE TREASURY BUREAU OF THE PUBLIC DEBT WASHINGTON, DC 20239-0001 February 28, 2003 MEMORANDUM FOR: ROBERT D. McCALLUM, .IR. ASSISTANT ATTORNEY GENERAL U.S. DEPARTMENT OF JUSTICE CIVIL DIVISION FRO?yE BRIAN L. FEI_RELL "f,,4'77 CHIEF COUNSEL;5' _/_',/(/y/ BUREAU OF THE PUBLIC DEBT DEPARTMENT OF THE TREASURY SUBJECT: THIRTEENTH QUARTERLY REPORT COBE£L, ET,4L. v. NORTO__ ETAL. Included with this cover memorandum is the "Thirteenth Quarterly Report on Actions Taken by the Department oft]ne Treasury to Retain IIM-Related Documents Necessary for an Accounting" (the "Report"). The Report has been prepared by the Department of the Treasury pursuant to the Court Order and Opinion in CobelI, et al. v. Babbitt, et al. (D.D.C. CV No. 96-1285), filed December 21, 1999. The Report includes information concerning the Financial Management Service, ("FMS"), Bureau of the Public Debt ("BPD") and certain Departmental Offices ("DO"). The Report was prepared based on information provided by a number ofprogranl offices from the above-described organizations. The preparation of the Report included circulation of drafts of the Report to program offices that are responsible for the actions described in the Report. Comments were received from those offices and incorporated in the Report. Prior to submitting the Report to the Department of Justice, senior officials ofFMS, BPD and DO reviewed a final draft of the Report. The Department of the Treasury stands ready, in accordance with the Court's order, to respond to any questions or concerns the Court may have after reviewing the Report and attachments thereto. www. publicdebt,treas._ov THIRTEENTH QUARTERLY REPORT ON ACTIONS TAKEN BY THE DEPARTMENT OF THE TREASURY TO RETAIN Il M-RELATED DOCUMENTS NECESSARY FOR AN ACCOUNTING Cot;ell, et al v .\k_rlon, (4 al DD.C. CV No. 96-1285 February 28, 2003 I. INTRODUCTION This is the Department of the TreasuD's ('Treasury") Thirteenth Quarterly Report, filed pursuam to tile Court's December 2I. t999 Order ("Order") in thc above-captioned case. It covers activities occurring over a three-month period from December 1,2002 tire,ugh February 28, 2003. Fhe eider states that "[e]ach quarterly report shall be limited, to the extent practical, to actions taken since the issuance of thc preceding quarterly report." Cobell. et al. v Babbitt. et a}, 91 F. Supp. 2d 1, 59 (I)D.C. 1999). During/he trial in I999 on issues related to the operation of the system for handling IIM assets. I rcasur) agreed to a series of eight stipulations designed to address matters involving IIM under lrcasur3's control. In its ._Jc. morandum and O];inion ]"indin,g„ o/Pact crud ( onchl_ions q/lint ("Opinion"), also issued on l)eccmber 21, 1999 [91 F. Supp. 2d 1 (D.D C. 1999)], tho ('om1 held that Treasury committed a single breach oi its trust responsibilities by destroying IIM trust materials "at,er their age exceeded six years and seven months, without regard Io the Jhct that the United States (through its trustee-delegates) has not rendered an accounting of plaintifik' JIM trust money.' Id. at 50. The Court further stated in its Opinion: "It may very well be that the agreement reached in that instance [Stipulation paragraphs 4, 5 and 6. addressing record retentionJ would satiM'acmrily discharge Treasury's duty to retain lhcse [JIM-related trust] documents beyond this litigation." Id. at 51. The Court held that Treasury's stipulations mooted the plaintiftk' concerns regarding non-segregability of IIM trust checks by paycc name and the "front-end float" (Stipulation paragraphs I, 2, 3. and 7) Itt. at 34-35. Stipulation 8 addressed "back-end float." In previous Quarterly Reports. Treasur3 _eporled on steps it had taken to address the single breach the Uourl had tbund with Tespccl la Treasur 5 and to report Treasur?s progress on all o f the Stipulalions. l'reasur> restated in its Ninlh Quarterly Report how and when Stipulations 1 2.3, 4.5, 7 and 8 were compleled. Pending approval of Treasury s proposed revised retention schedules (,,xhich Treasury submitted to the National Archives and Records Administration at thc end of September 2000) and lrcasury's proposed new retention order and proposccl amendment o[ Stipulalion 6 (which t'reasury liled July 9. 2001). '1 reasury commues to take steps to ensure on an ongoing basis, that lecords are ietained as required hy the Courfs Augusi 12. 1999 retention otdel and iix fulfilhncnt of Stipulation 6. In light oPthese actions, I masury filed a mothm with thc Court on January 26, 2001 seeking a determinalion that the SecretaD of Ihe Tl'casury had rectified the single breach of his trust responsibilities tkmnd by the Court and seeking to be released Ii'om thc quarterly repoixing obligation. On September 28. 2001. the (ourt denied the motion, without opinion. Accordingly, this I hlrteenth Quarteily Report sets fbrth the status of Stipulation 6 dealing with record retention The hdl text of T_easury's Stipulation is set forth as Attachment A= 11. STIPULATION 6 (RECORD RETENTION) Stipulation 6 provides: 6. Until the ne_ retention schedules are in effect, Treasury _ill preserve: a. original checks, and digitized and microfilm copies of negotiated eheeks; b. check information from these same checks in electronic form (i.e., cheek serial numher, date and amount); c. monthly reports of canceled checks (either in electronic form or hard cop)' as retained in the normal course of business); afld, d. IIM deposit fund investment records (either in electronic fi_rm or hard copy as retained in the normal course of business), specifically requests for investment/redemption, transaction confirmations, and monthly account statements. B) letter dated Feloi uar_. 20. 2003. tile National Al'chixes and Records Administration tN.\RAI transmitted ils _esponse xxith respect to the proposed revised retelqtion schedules thai Treasu D submitted to NARA at the end of September 2000, in fulfillment of Slipulation 5. I NARA's "appraisers agree that the dispositions and retention periods stated in lhe proposed schedules meet the business needs of Treasury and provide adequate retention periods to protect the legal rights of the American people and file II.S. govcmment, as well as documenl government accountability" However. NARA has elected to "abstain[] from taking timber action:, {)Il the proposed schedules at lhis time" in light of present circumstances iii this ]Jtigation. including but not limited to ihat "[reasur3 's "Motion for a [Ne,x] I reasury Departmenl Documeni Retention (hdel and l).eplacement of Paragraph 6 of the Stipulation entered July 6, 1999" (which Ircasury tiled July 9, 2001) has not 3et been ruled upon. Accordingly, NAIL& states that it ,,,,'ill hold in abeyanec thc unapproved schcdulcs "pcnding further developments in the Cobell casc.- Finally, NARA slates it is of the opinmn that Treasury 'has met its obligations under the Court's Memorandum Opinion datcd Decembel 21, 1999. because Treasury has submitted to NARA schedules that meet NARA's tequirenaents,' and because NARA's appraisers "contrail with the dispositions stated in thc schedules" A cop5 of NARA's letter is set lhrth as Attachment B. Regard]ess olany i'utule action NAiL, g may take. Treasury's retention schedules xxill remain sublecl _o the (ourt's August 12. 1999 Order Regarding Treasur3 Depamnent tIM Records m Stipulation _ pi oxided: 'Tol]o_*ing consu]tation with Interior. Ti ea_uly xxill evaluate and subnlit its proposed ic_ i_cd i cclloxx lng discussions on Febluary 27, 2003. During the week of February 10. 2003. a representative of Treasury's Office of the Comptroller of the Cmrency (OCC) met with a representative of the Office of Trust Risk Management (OTRM), within Interior's Office of Special Trustee (eST), and provided thc OTRM reprcsentatix e with advice and materials to use in devcloping a trust perlbnnance rating and reviexx system, OCC will provide additional assistance to OIRM if requested On February 12-14. 2003. I rcasury rcpresen{alives altended an accounting conilerencc provided b_ OI ITA tbr personncl and contractols x_ orking on various aspccls oi the historical accomqtillg. On Februmy 21. 2003. Iteasury rcprcsentaiives inspected approximately 80 boxes of FMS' summary-level accounting records (Statements el'Transactions, Slatements of I)ifCe_ences. and supporting documcntation/at the Washington National Federal Records Center in Suitland. Maryland. in order to vcrif\' that thc volumes and date ranges of those recolds are as reflccled on the SI: 135's and to idcnlil} which boxes contain Interior related Iecords. t'MS plans to transfer some administrative l'unctions related to Treasmy's use of domestic, over-thc-countcr Ircasury Gcncral Account banks iq'GA banks1 to thc Federal Reserve, Such fimctions inchlde, lbr example, establishing ']'GA accounts and monitoring activity in TGA accmmts When thc I'unctions are transferred, FMS will ship related adlninistrative records to the St. I.ouis Federal Reserve Bank. FMS plans lo relain diiect responsibility lbr issuing, and superxising compliance xxith, its record retention instructions to the TGA banks. INDEX TO ATTACHMENTS The Department pi'the Trea,sury's Thirteenth Q_arterly Rel2ort Febrl_al3' 28. 2003 Attachment A l'he Dcpartmem of the Treasury's Stipulation dated Jtlly 6. 1999 Attachment B Fcbruar5 20. 2003 letter h'om NAIG\ to the Commissioners of FMS and BPD regarding lreasury's proposed reviscd record rctcntion schedules Attachment C Example of Janual? 22. 2003 le/tcr mailed by FMS to all (approximately 425) banks tbat act or have acted as Treasury's financial agents. rcminding lhem to continue Io retain, indefinitely, records associated with Interior's deposits to I'reasm_ General Accounts at those banks Attachment D Janual) 27. 2003 lelter fiom FMS Contracting Officer Jams R. Hamrick to Didlakc. Inc.. reminding it to cont0me retaining closed check cla0ns case records indefinitely Attachment E January 29. 2003 leIIcrs mailed b) FMS to the two banks (Mellon Bank and Bank of' Amc[ica) that adnlinistcr lockboxes lbr IIM deposits. reminding thenl to continue preserving all records pertinent to those lockbox account_ Atlacltment F Februmy 12. 2003 lettez issued 1,5 FMS. reminding the United States Secret Service to continue preserving, tmtil fill_her notice, all Freasury checks Ihat FMS Ik)rwmds for investigation and related intbrmation and lecolds Attachment G FebrLlat?' I 3. 2003 letler fiom FMS to NARA. remh/ding NARA to continue the 'freeze" on FMS records at Federal Records Centels Attachmenl 1t Global c-mail issued February 14. 2003 Iv all FMS employees, and posted on FMS' intranet site. Jeminding employee5 to COlllil/lle retaining records related 1o this litigatioJ/mdcfinilcl 5 and lo coniinuc tltilizing thc "Cobell Archive" mailbox to retain all IIM related e mail Attachment I Global cmmll issucd Fcbr/lary 27. 2003 to all BPD employees, and posted on BPD's intranet site. reminding employees to continue preserving IIM-ielated records indefinitely and sending ali Cobell-rclated ¢ ma][ to BPD's dedicated mailbox Altacbmenl J FebruaJ_ _7. 2003 Ict_cr tiom BPD Io NARA. reminding NARA to continue suspending destruction ofBPD recolds al Federal Records ( enters ATTACHMENT A IN THE UNITED STATES DISTRICT COURT FOR THE. DISTRICT OF COLUMBIA ELOUISE PERION COBELL, ct. al., Plaintiffs, Civil Action v. Case No. 96-185 (RCL) BRUCE BABBITT, et al,, · Defendants. _H'ULAT_(_ Ina good faith cffor_ at resolving th_ dispute between the parties and consistent with its statutory and regulatory auEaorky, tile Dcpertment of the Treasury has engaged hi a comprehensive assessment as to how to address the issuing betw_'en TrcasmT and tlqc plalntiff_ Thus, delendam Department of the Treasury hereby stipulates alld agrees to thc following: RECORDS RJ_TRIEVAL: DEVF_LO.PMENT QF NEW SY,$TE&ig I Treasury's cttrmnt system does not allow Tr_gury to sealcfi and retrieve iIM checks drawn on 'the T_a.sury for indlviduld payees without predicate iltformatiol* (i.e, check symbol, serial number) from Interior. 2. New System for Nef_0fiateA Cl_ecks - Within onc year of thc filing of this stipulation, Treasury will install a n*w system to reit ieve by payee atone (and potentiafiv aa additional unique identifier such a.q an alplmmumeric d_signation from Interior) information from IIM checks negotiated after the new system becomes operational 3_ New System for Ch0cJ<._ 188tled. but nc[t_'Negoliat_ql - Provided that the Oftice (if Tnl.qt Fund Ma_agement (OTFM) provides payee nzunes and pote_>tially an additkmal nniq_te [de_.fifier to Treasury (as it pi_memtly provides other information on disbursed check*), Tre_u_ '_dll haxtalt, wLllxin one year of _e filing of this atlpah_tion, a ue',v system to retrieve by payee name (and potentially an additional Unique identifier gueh ns an ulplta- numcrle der,igaation from interior) informalion for IIM cheeks issued by OTI_M after the new syslem bea:omes operational. This System will provide infonlm/ion on eheck_ that have been issued but _ot negotiated. _F._CORD l_Vl_N TIO_[ 4. Tregusury will consult with the Deparlmem of the Interior to identify nM-related docurtl¢llt,x maintained or created by Treecaury necessary to meet thc govem[_.¢tx_'s trust obligallor_q 5. FoLlowing consultation with Interior, Treasury ,MIl evaluate a_d submit i_s plopcsed r¢„Jscd record rctcntlon schedules for I[M-related docurnonts to thc ArChivist of the United Stales, purmlrmt to 44 13.S.C. chapt_s 29, 3 t and 33, and llae corresponding rcgulatkms 'l_ac revised sclxed.le$ will address the ex/sting unditt_routiatexl check records as well ag di_ere_fiated records once I_M cheCk i_formatlon is segrcgaled. See '_i 2-3. 6. Until the new retention schedulem are in effect, Tre_ury will pl t_er ye: a. original checks, and digitized mid n_icrofilm copies of negotiated checks; b. check i_ffornlation from these satzle chocks il_ electronic forn_ (i.¢. check sarta! number, date and ealmunt); c. monthly reports oFcoJice)ed checks (either in electronic £c_rm or hard cc_py as re(M,u:d in _e nomxa_ catlr_c e£ busingS); ulld, -2. d. IIM deposit fund invcstm_ll rocotda (Cithat in O!eOtrouic form or hard oopy as te_dne,d in thc lloi'l_al coxlrs_ of bllsine_), spccif_ca$$y requests for invostalenffmdcmptinn, transaction confirmations, mid momhly accotmt S_.T_m _nt s, AVAILABII.FI"Y OF DF,POSITS FOR I_„B_._MENT 7. Al_ough curmt_t OTFM pra_t(e,cs v_th rcspoct to fimit_g of invegtr_;ut conform to industry start 'darda, Treasury will neverthclcss, wlthtu flf_on (15) days of tho fi[lng of this stipulation, allow OTFM, on tho mor_in E of the next business day, to inv_t "as uP' the piior busin_-_s day, nil daposit_ that were aYa½labl_ to Tr_msuty the prior business day htLl were not included in llmt day's O'['FM overnight in„cstment request, STtlD„ TO D ETI_R.MINE C[tE_ NEOOTIAT[QN PR_Q_ES 8. Tre_qury will mldertakc a study, whlch it anticipates compleling witlfm one year of ibc fit[a_ of tixis _tipul*_tiot_, t_ detemmm the a';eragc tlm¢ between the date of OTFM check iss_m_tcc and thc date of presentation oflhose clu:ek.s to thc Fcdcral Reserve for paymeal I_nc results of tiffs study could be used in analyTJng the feasibility and desirability of posstble modifieat½m_s lo t_e existing p_actiee_ for disburs4:ment of FiM eh_-Xs or Ibc disinveslment of tim&s. Dated: July 6, 1999 Re_eetf'ally submiued, LOIS Jr. SCFffFFER Asslstanl Attorney Geaera_ -3_ TOM C. CLARK 12, C01ifi Bar No, 1OS09g Scnior Coun_l U.S, Department of Juslicc Environment _k Natural Resources Division P.O, Box 7611 Waahingtort, O,C, 20044-761 I (202) 514-3553 Trial Attorney U.S. Depart_lcnt of.rust,icc EnvimEumem & Natural Resmn_ces Division P.O, Bo:_ 663 Washhlgton. D.C. 20044-0(k63 (202) 305-0428 OF COUlqSEE: Edith K, Blackwc[l Fral]cinc K cmer Cmm3e Lund_we. Department oflhe Treasury Michael S. Can: Office of thc General Counsel Department of thc lntcrior Office of the Solicitor .4_ . hr,;l,va on&, ,. ATTACHMENT B Arcio'lwes at College Park 8601Adelphi Road College Park, Maryland20740.6001 February 20, 2003 B„ Facsimile 202-874-6743 Commissioner Richard Gregg Financial Management Service U.S. Dept. of the Treasury 401 14th Street, SW Room 548 Washington, D.C. 20227 By Facsimile 202-219-4163 Commissioner Van Zeck Bureau of the Public Debt U.S. Dept. of the Treasury 999 E. Street, NV/ Room 500 Washington, D.C. 20239-0001 Dear Messrs. Gregg & Zeck: Following up on the meeting held at the offices of the Bureau of the Public Dcbt on January 22, 2003, I am now in a position to provide an official response on behalf of the National Archives and Records Administration (NARA) to six pending requests for disposition authority submitted by components of file D_pastment of the Treasury, in connection with ongoing proceedings in Cobell, et al. v. Norton, et al., No. t :96CV01285 (P_CL) (D.D.C.). We tmderstand that as part of the Cobell "Memorandum Opinion: Findings of Fact and Conclusion of Law," dated December 21, 1999, the Court ordered Treasury to submit proposed revised docmnent destruction schedules to the Archivist of the United States. Pursuant to the deadline set by the Court, on Septembcr 28, 2000, Treasury submitted Job Nos. NI-425-01-1, NI-425-01-2, N1-425-01-3, N1-425-01-4 for Individual Indian Money (FilM) records of the Financial Management Service; lob No. N1-53-01-2 for IIM records of the Bureau of the Public Debt (BDP); and Job No. N1-56-01-1 for the IIM records of the Department of the Treasury, Office of Masket Finance. As you are aware, during the past several years, as part cfa Targeted Assist_ce partnership between NARA and the Department of the Treasury, NARA has undertaken to provide inventorying and scheduling training to Treasury staff. NAR& staff also met with Treasury officials to discuss the function of the records at issue in the schedules, and to examine such records, so that NARA could appraise the value of the records. The above-referenced schedules are the final versions after NARA completed its appraisal of the records and its review m_d revision of prior submitted drafts. NARA appraisers agree that the dispositions and retention periods stated in tile proposed schedules meet the Nattortal Archives and Records Admintsteation ¢ appraisers agree that the dispositions and retention periods stated in the proposed schedules meet the business needs of Treasury and provide adequate retention periods to protect the legal rights cf the American people and the U.S. government, as well as document government accountability. During the appraisal and public comment period, the Department of the Treasury, Department of Justice, and NARA developed a "note" or legend, to be placed on the cover page to each schedule, which prohibits Treasury from implementing file schedules until the conclusion of the Cobe/f litigation or until the Court or Special Master orders that specific records may be destroyed. Essentially, the note constitutes a schedule-specific "Cobell freeze" on further disposition of all existing records covered within the scope of these schedules, subject only to exception with Court approval Notwithstanding the proposed "note," however, NARA believes that the state of the Cobell litigation is presently in sufficient flux so as to warrant NARA abstaining from taking further actions on thc proposed schedules at this time. We say this for at least three reasons. First, the Special Master has not yet ruled on Treasury's "Motion for a Treasury Department Document Retention Order and Replacement of Paragraph 6 of the Stipulation Entered July 6, 1999," with accompanying proposed "Order Regarding Document Retention by Treasury," both dated July 9, 2001. Second, we understand that the Court denied Treasury's "Motion for A Determination That Treasury Has Rectified The Single Breach of Trust Responsibilities Found By The Court And Request For Relief From Quarterly Reporting Obligation," leaving Treasury a continuing active participant in thc case. And third, we believe, based on our understanding of the publicly available filings in the case connected with the upcoming Phase 1.5 evidentiary proceeding, that Treasury will likely be called upon to amplify on its past filings in supplying additional useful documentation to the Court on how it proposes to prospectively manage its IIM-related records. Accordingly, NARA's Life Cycle Management Division intends to hold in abeyance the above- described unapproved schedules, pending farther developments in the Cobell case, with our fin_lcr intent being that the schedules will be submitted to the Archivist for approval at an appropriate time in the future. In the meantime, it remains NARA's opinion that the Department of the Treasury has met its obligations under the Court's Memorandum Opinion dated December 21, 1999, because Treasury has submitted to NARA schedules that meet NARA's requirements and NARA concurs with the dispositions stated in the schedules. If you have any questions or comments, please contact Paul M. Wester, Jr., Director, Life Cycle Management Division, at 301-837-3120, or at paul.wester_nara, gov. Sincerely, MICHAEL J. KURTZ Assistant Archivist for Records Services - Washington, D.C. TOTAL P,83 e DEPARTMENT OF THE TREASURY I F rNANCIA L MANAGEMENT SE RVICE ATTACHMENT C W ,S ,NOTON, DC 20227 January 22, 2003 Dear Si_ : Please continue to fc]]ew the instructl©ns stated in FMS' letter's te Four flnaTicial institution dated Ju]y 9, 1999, August 2, 1999, December 16, 1999, September 7, 2000, Pebruary 15, 2001, August 1'?, 2601, February 15, 2002, and AUgUSt 15, 20©2, re_ardinc3 document _etcntion. Due to} ongoing litigation [Cobell, et al. v. Norto_ , et al. , Civ. Ne. 1 96CV0128b (D. D.C. ) } , yenr financia] institution rmlst retain, until fuither notice: Standard Fo}m 2]5, Standard Form 5515 and any supporting documentatlon, IN ALL FONHS __ND MEDIA, associated with transactio!ls _elating to depesits received _rem the Department eL the Interlo_ fer credit to the Treasury's Seneral Acconnt (TGA) . This inc]udes paper, electronic, microfilm, microfiche, o3 any other media. If you have not a]ready done so, please designate a point ef contact at your financial institutloxl to disse_[[inate E)lese zecord FeLention lnstlL_okio[s to appropriate persoilfle! at Four organixatioll (ino]]ld{nc! _ecords nlanag!ment personnel) . P]Ease eflSktLe NhaE ail appropria!e dJsso_l[i_iation process is In place and zs bein_ fellowed at your £i_anc{al instit, utien. If these retentJ©n instructions c:eate a problem for y©ur operations, pleeso send Foul concerns in writing to Manager, Banking Operations 8ranch at d01 14th Street, S.W., Reom 436, Washington, DC 20227, as soon as possible. Thank you Lot your contitluing cooperation iN this fTiattel, if you have any _uestlons, yen ii l y contact Deris Hyman at (202} 874 7132 or [/e aE (202) 874 6762. Sincerely, A]exa Urban, Directer Pinallcla] ScrvJc{s EivJs]oll A/C Fedela] Finan2e 0 DEPARTMENT OF THE TREASURY ATTACHMENT D FINANCIAL MANAGEMENT SERVICE WASHINGTON D.C, 20227 January 2'7, 2003 Didlake, lac Attn: Ethel Hughes, Project Manager 3700 East-West tfighway, Room B-014 Hyattsville, 5AD 20782 Re: FMS Contract Number FHQ99D51295 Dear Ms. Hughes: Please continue to ensure that appropriate personnel at your company who perfi)rm work for FMS under the referenced contract are aware of, and are complying with, FMS' longstanding instructions to retain, indefinitely, all check claims related records Such records include microfiche copies of closed check claims case files, oiiginal documents contained in such files (including original TFS 1133 claim forms), and any supporting information or documentation associated with same Our letter to you dated August 7, 2001 included a copy o/'the retention order issued August 12, 1999 in the Cobell, et al v Notion, el al litigation If you need anodler copy of the retention order, please let me know Please make FMS aware of any concerns you may have _egarding these instructions You may contact the COl'R, Marilyn Itaynes, al (202) 874 8445 ol mc, at (202) 874- 7271, if you have any questions. Thank you for your continued cooperation :i Cont] acling Officer cc: Marilyn Ihynes, COTR Beth Krameh Office of Chiel'Counsel ATTACHMENT E DEPARTMENT OF THE TREASURY FINANCIAL MANAGEMENT SERVICE (l 0f2) WASHINGTON, D.C. 20227 dAN 2 9 2003 Ms, Elaine Friedman, Vice President Mellon Bank Mellon Client Service Center Suite 1260 Pittsburgh, PA 15262-0001 Rc: Minerals Management Service Lockbox Account Agency kocalion Code 14170001, Lockbox Number 911-4258 Dear _ As you know, FMS rcmains under a continuing court order in CobelL et al. v Nort01 h cA al. to presetwe, indefinitely, all records relating to Individual Indian Money (ILM) trust lhnds and trust assets. Accordingly, please corltinue to retain all documentation pcrtainin_g to the abo;e referenced lockbox account until fttrther notice You haxe confirmed that thc records for this account include: Standmd Foml 215 Standard Form 5515 ACH Receiving Remittance'PaFql_ent Repoll Dcmand Deposit Accounl ActiviI 5 Statements J&I]5 r forms used to lhcilitatc in_emal processing, such as the (ASH NK Deposit Report Form '_ou must retain thc records fbr this account IN ALL FORMS AND MEDLA generaled fut' thc account This includes paper, electronic, microfilm, microficbe, or any othc_ media. If you created thc safilo record ill multiple media, you must relain Itle record in all mcdia. Please fiistributc this lcttcr to app?opEiate bank persomlcl, including reco'ds nmmeen c t pqrso[mc!. If you have any questions regarding these rctcnlion instrtmt/ons, please contact hie at (202) 874 6762. Thank you fbr 5our continued cooperauon Sincerely. [I ( ./ ' T-- Z&lcsa Lit% ii{ Dil'ectot Financial Sci',, ices D/vision Federal Finance ATTACHMENT E DEPARTMENT OF THE TREASURY FINANCIAL MANAGEMENT SERVICE (2 of 2) WASHINGTON, DC 20227 ,lAN 29 _0_ Mr. Stephen C. Hemdon, Senior Vice President Bank of America Fedclal Government Banking Division 600 Peachtree Street, NE Atlanta, GA 30308-2214 Re: Bureau of Indian Affairs Palm Springs Lockbox Account Agenc_Location Code 00004844, Lockbox Number 72758 Dear N_I/H. emdon: As you know, FMS remains under a continuing court order in CobellJ_¢t aL vNonon, e! al. to preserve, indefinitely, all records relating to Individual Indlat_ Money (ILM) trust fimds and trust assets. Accordingly, pleasc continue to retain a ll,d0ctmaentation 12_aining Io the above-referenced lockbox account tmtil fiarther notice. You have confirmed that the records for this account include: Stmldard Form 215 Standard Form 5515 Check copies Monthly Account Activily Repro ts ([MA AR) Monthly Account Analysis Statements (MAAS) Standard Listing Any forms used to facilitate mtema] processing, sttch as the Daily Bakmce Shcct You must retain the records for this account IN ALL FObtMS AND MEDIA generated for the account This includes paper, electronic, miclofihn, miclofichc, or any other mcdla If you create the same record in nmltipIe media, 3o0 musl retain the record in all mcdia As of this time, thc Coull has not acted on Treasury's ,hfiv 9 2101 Motion to replace the exislingAugust 2, 999reentolorder _thscase A. ccoTdl glv owi sta d_g la you began generating photocopies of'checks associated _ith this account on Ocmbel I, 2(I01. you nnlst conhllue retah_ing any dupJicale copies on microfilm, tmlcss mad until FLMS obtains court appreval to retain (lift 5 pre-October 2001 microfilm copies attd post- September 2001 photocopies Page 2 Please distribute this letter to appropriate bank personnel, including records mmlagement persomle[ If you have any questions regarding these retention instructions, pleasc contact me at (202) 874-6762 Thank you for your continucd cooperation. Sincerely, ? Financial Services Division Federal Finance cc: Linda g. Corbett, Senior Vice President, Bank of America DEPARTMENT OF THE TREASURY FINaNCIaL MANAGEMENT SERVtCE _TT/_CH_[E]_T F HYATTSVILLE, MD 20782 February 12, 2003 George Rogers Assistant Director, Office of investigations U,S, Secret Service 950 H Street, N,W. Washington, D.C, 20001 Re: Document Retention Order in Cobell, ctal. v Norton, et al. ('ix,. No 1-96CV01285 (D,D.C,) Bear ix/k, Rogers: This is a reminder that Treasury' remains subject to a continuing court order in the above- referenced lawsu0 to retain, indefinitely, "all documents and data relating to Individual Indian Money trust i'unds and Individual Indian bxist assets." Copies of the document retention order entered in the case on August 12, 1999 and Trcasm3's Stipulation flied with the court on July 6, 1999 wcre provided with our previous remitldcr letters to James Bauer. Please contact me if you need additional copies. As stated in our previous letters to Secret Service dated Janum7 14, 2000, October 13, 2000, February 28,200 l, August 29, 2001, and August 28, 2002, among the types of records tllat Treasury must preserve lo comply with the court re'der and Stipulation are all checks and check- rela_cd records. Accordingly, please continue to preserve, until further notice, all checks that EMS for_-,,ards lo your bureau for in','cstigation and all infom_alion and records your bt/reau maintains relating to those checks. Please takc all steps necessary to determine and doc u[nent that all such records in thc possession of S£¢et Service are being preserved indefinitely. If you have any questions concerning the Cobell document retention order and Stipulation_ please contact Beth Kramer in thc FMS Chief Counsel's office_ at (202) 874 7036, or mc, at (202) 874- 7913 Thank you for your continued cooperation and assistance. Sinccrely, _ Rkaid O. C),n_, D0'ector FinaficiaI Processing Division cc: Thomas Doughe_ly. Ollicc of Chief CouuseL U.S. Secret Service Fax #202!406 65'44 O r Paa;M£NT OF 'tm: -raEasuaY ATTACHMENT G FINANCIAL MANAGemeNT SERVICE PIYATTSVLLL_. _ _ ZtOlgZ February l3,2003 'Thomas E. Mills Assistant Archivist for Regional Records Services Nalioaal A.rchives and Records Administration Office of Regional Records Services 8601 Adelphi Road, Suite 3600 College Park, MD 20740 De_ Mr Mills: The purpose of lids letter is to remind you lhai Fin racial Management Service (FMS), a bureau oft[ac U S Department of the Treasury, rc_ gains under court order to preserve records indefinitely 1ot purposes of the CobclI ct; 1, v, Norton, et al, litigation. Therefore, we request tt_a1 the Federal Records Ce lters continue to implement the freeze on all records from FMS Record Groups 39, 50 an] 425 and preserve all such records until further notice. If you have any questions, you ma3' con, act Jean S tdlowe at (202) 874-8954 Thank you for your cooperation in tiffs matter. Shiccrely, ATTACHMENT H Official FMS Business blank To: Office of the Commissioner Agency, Services Debt Management Services Federal Finance Financial Operations Govemmentwide Accounting information Resources Management Regional Operations H Birmingham Kansas City Philadelphia San Francisco Date: 02/14/2003 From: William Higgms Subject: Important message about Cobe[I to all FMS employees from the Commissioner Date: February 14, 2003 TO; All FtqS Employees From: Richard L, Gregg Corhrnissloner Subject: Cobol Litigation - Records Retention Requirements All FHS employees are again reminded that FFiS remains subject to a continuing court order, requiring us to retain and safeguard aU records tbat relate to the Individual Indian Money (IIM) trust fund and ]1Iq trust assets, indefinitely, Do not destroy _ records unless you have followed the below-described "Process for Obtaining Disposition Approval" and received written approval from the Chief Counsel. Continue to copy or forward all ¢obeJl-related e mail to the dedicated "Cobell Archive@fins" mailbox in accordance w]th the memoranda identified betow, t appreciate your continued compJJance with these instructions and encourage you to review the pertinent memoranda and e-mails, which are described below and posted on FHS'intranet under "News" or "Hot Topics" and ' Cobell Litigation." Process for ObtaininQ Disposition ADproval ffor documents not Dertainino to any Dendinq litiqation_: The internal process for reviewing and approving non-litigation-related records for disposition is outlined ina memorandum issued March 7, 2000 byChiefCounselDebra N. Diener. This process applies to all types of records, in all media. Each Assistant Commissioner area must seek written approval from the Chief Counsel to dispose of any records, by submitting a memorandum to the Chief Counsel through the Assistant Commissioner for Management. This process is not to he used for I[M records or any crt]er jlt_t(on-re!ated records. If you have any questions about the process, or need as$istall£_ to determine whether particular records are Jitigation related_ please contact Beth Kramer in the Office of Chief Counsel, at (202) 874 7036, fax number (202) 874 6627. Use of E-Mail Mailbox: Please continue copying or forwarding all Cpbell_related e mail and other electronic documents to the dedicated "Cobeli Archive@fms" mailbox, in accordance with the guidance issued by the Deputy Chfef Information Officer onJuly2, 1999 and Hay 30, 2000 To insert the mailbox address or/ an e mail, simply type "CobeU" and press the "Enter" key, If you need additional guidance on this, please contact Beth Kramer Afc_hivinq Electronic R_cords: AS provided in a memomandum entitled "Maintenance of Data oil FP1S Systems" issued by Deputy Commissioner Kenneth R. Papaj on March 3, 2000 (revised and reissued March 24, 2000), no IIIVi data or other litigation-related data is to be removed from any FM$ electronic production system, except pursuant to an approved archive pran and schedule that ensures the data's preservation and retrievability. Proposed archive plans should be submitted to the Conlmissioner's Office for approval, through the Assistant Commissioner for Management and the Chief Counsel. Federal Reserve Bank Records: The Federal Reserve Banks have been [ostructed not to destroy any fiscal agency records unless they have received specific permission in writmg from FMS or the Bureau of the Public Debt author(zing the destruction. Please refer at_y record retention-related inquiries from FRB personnel to Rita Bratcherat (202) 874-8462, fax number (202) 874 1859 Do not attempt to give guidance on record retention matters to any FRB employee. pertinent Memoranda and E-mails Available on Fl4S' Intran_t: The following memoranda and e-mails describe the types of records FM8 must retain indefinitely for the Cobe4! litigation, the processes for requesting approvar to dispose of records and to archive data from electronic production systems, _d the _equireme_ts for using the "Archive CobeW' mailbox to preserve Cobell-related electronic records: 1. Commissioner Richard L. Gregg% August 30, 1999 memorandum directing ali FMS employees to preserve indefinitely all documents and data relating to IIM trust monies. This memorandum includes the court's August 12, 1999 retention order and a list of the types of records FP1S must preserve. Note that the records ?MS must retain for the Cobe!( litigation include not only IIM-reiated records but certain entire categories of records that F_S agreed to retain, regardless of whether they are ZIM related (for example, afl Treasury checks) 2. The Deputy Chief Lnformation Officer's ]uty 2, t999 guidetines for utUizing the "Archive CobelP' mailbox. 3. The Deputy Chief Information Officer's Hay 30, 2000 e-mail, which reiterates the policy for using the "Archive Cobell" mailbox, It also provides guidance for using the mailbox with Lotus Notes e mail. 4. Deputy Commissioner Ke_netb P,. Papaj's March 3, 2000 memorandum (revised and reissued Iqarch 24, 2000) to Assistant Commissioners, entitled "Haintenance of Data on F[qS Systems." 5. Chief Counsel Debra N. Diener's March 7, 2000 memorandum to Assistant Commissioners, outrimng the requirements for seeking approval to dispose of documents not pertinent to pending litigation. TO locate these documents, double click on the icon for Netscape Navigator. This moves you to Pi'45' ]ntranet, Under "News" or' "Hot Topics," click on "Cobel[ Litigation," If you have any questions, please contact Debra Diener, Chief Counsel, at (202) 874 6824 or Beth Kranler at (202) 874 7036. Thank you. **_ ENDOFANNOUNCEMENT **' ATTACHMENT I Anne Meister TO: Ail - BPD (Business use onFy!) ce: IIM Mailbox_BPD 02/27/2003 01:22 PM Subject; [MPORTANT REMINDER Once again, many thanks for all your diligence in preserving records that could potentially contain information relevant tO the Coheir litigation You've seen the Important Reminder below before, but [ am askir_9 you to p[ease take a few minutes once again to refresh yourselves on our obligations to preserve records. The rule of thumb here is -- when in dou bt, don't throw it out! Never assume that you know what might or might not be potentially relevant to this litigation First, check with your supervisor, manager, or Jimmy Phillips important Reminder to Preserve I!M-re!ated records: AIl BPD employees are again reminded of the continuing need to retain indefinitely and safeguard all records in our possession or under our control that relate to Individual Indian Money (lfM) trust monies. [ cannot overemphasize to each of you the importance of this. Van's instructions of September 1, 1999, are still in effect. Please review these on PDWeb at the following address: ttp://ntpdweb/occ/litigation/cobell/cobmem3 pdf To further emphasize, instructions to preserve IIM-relatad e-mails also remain in effect. Please continue to send a "cc" (not a "bcc") of ail e-mails (including attachments) that you initiate where they relate in any way to the Cobell libgation, Individual Indian Monies or DepaFrment of Interior investments on behalf of individual Indians to "IIM Mailbox? Also. forward all e-mails that you receive (incrudfng attachments and retaining forwarding history) that relate in any way to the Cobell litigation, Individual indian Monies or Department of Intertor investments on behalf of individual Indians, to "IiM Mailbox" unless you can tei[ from the message that the initiator of the e-mail has already copied the 'IIM Mai/box" The Federal Reserve Banks are under orders not to destroy any fiscal agency records unless they have received specific permission in writing from Public Debt or FMS authorizing the destruction, if you should get a call from FRS personnel related to this issue immediately refer the inquin/to Jimmy Phillips at (202) 691-3683 Do not attempt to give guidance on document retention matters to any FRS employee. If you have any questions about the subject of this e-mail message, you should also contact your supervisor or Jimmy Phillips Thank you again for your care and attention to this important litigatlon-related responsibirity. Anne /"i_ DEPARTMENT OF' THE TREASURY ATTACItMENT J I BUREAU Of THE PUBL}C DEBT PARKERSBURG, WV 26106-1328 · February 27, 2003 National Archives and Records Administration Li£_ Cycle Mmmgement Division Attention: James Vouch 860I Adelphi Road Coltege Park, MD 20740-6601 Re: Suspending Destruction Dear Mr, Veaoh: As you are aware, the Bttreau of the Public Debt (BPD), Department of the Treasury, has been trader courI order since August 1999 to prese_'e ali documents relating to the pending litigation, Cobell v, Nm_on, et al., which challenges the, government's management of the Individual _dian Monies (ILM). The purpose of this letter is to remind you that BPD remains under court order to presetw e records indefinkcly for ptwposes of the Cobol] litigation. Therefore, we request that the Federal Records Centers continue to implement the freeze on alii records from BPD Record Groups 53 and 82 and presel-¢e ail such records unti! further notice, Thank you for your cooperation in this matter. Sincerely, Vicki Thorpe, Manager, Graphics, Printing, and Records Branch Records Officer CERTIFICATE OF SERVICE I declare under penalty of perjury that, on February 28, 2003 I served the foregoing Notice of Filing of the Thirteenth Quarterly Report for the Department of the Treasury by facsimile in accordance with their writien request of October 31, 2001 upon: Keith Harper, Esq. Dennis M Gingold, Esq. Native American Rights Fund Mark Kester Brown, Esq. 1712 N Street, N.W. I275 Pennsylvania Avenue, N.W. Washington, D.C. 20036-2976 Ninth Floor (202) 822-0068 Was'aington, D.C. 20004 (202) 318-2372 By U.S. Mail upon: Elliot[ Levitas, Esq. 1100 Peachtree Street, Suite 2800 Atlanta, GA 30309-4530 By facsimile and U.S. Mail upon: Alm_ L. Balaran, Esq. Special Master 1717 Pennsylvania Avenue, N.W. 13th Floor Washington, D.C. 20006 (202) 986-8477 By Hand upon: Joseph S. Kieffer, m Special Master Monitor 420 T h Street, N.W. Apartment 705 Washington, D.C. 20004 (202) 478-1958 Ja Kevin P,"_m'gsto_