[Federal Register Volume 68, Number 86 (Monday, May 5, 2003)]
[Notices]
[Pages 23756-23759]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-11095]


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DEPARTMENT OF THE INTERIOR

Office of the Secretary


Policy and Procedures for Collection of Missing Indian Trust-
Related Records From Third Parties

AGENCY: Office of the Secretary, Interior.

ACTION: Notice.

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SUMMARY: This document establishes policy and procedures that the 
Department of the Interior (DOI) will follow to collect relevant, 
available Indian trust-related records from third parties to conduct a 
historical accounting of Individual Indian Monies (IIM) or Tribal Trust 
accounts. Collection of these records would supplement existing Federal 
records and assist the Department in assembling complete records in 
those instances where Federal records are incomplete or missing.

FOR FURTHER INFORMATION CONTACT: Bert Edwards, Executive Director, 
Office of

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Historical Trust Accounting, 1801 Pennsylvania Avenue NW., Suite 400, 
Washington DC 20006, telephone 202-327-5300, or by facsimile at 202-
327-5375.

SUPPLEMENTARY INFORMATION: The remainder of this notice is divided into 
two parts. Part one contains the policy and procedures the Department 
will follow in collecting Indian trust-related records from third 
parties needed to complete the historical accounting. Part two is an 
explanation of the Department's policy and how it evolved.

Part One: Policy and Procedures for Collecting Indian Trust-Related 
Records From Third Parties

I. Policy

    The Department's Office of Historical Trust Accounting (OHTA) will 
identify, locate, and secure available data, including missing trust-
related records, as necessary, to conduct a historical accounting of 
Individual Indian Monies (IIM) or tribal accounts.

II. Objective

    The objective of this policy is to supplement existing Federal 
records by collecting relevant, available Indian trust-related records 
from third parties for purposes of conducting a historical accounting 
of IIM or tribal accounts.

III. Responsibility

    OHTA is responsible for carrying out the procedures identified in 
this policy and for coordinating with other DOI bureaus and offices, as 
appropriate.

IV. Procedures To Be Followed in Collecting Trust Information

    OHTA must use the following actions to locate and secure missing 
Indian trust-related information from third parties.
1. Alert Potential Third Parties to DOI's Efforts to Locate and Secure 
Possible Missing Indian Trust-Related Records, and Request Retention
    (a) Alert potential third parties to DOI's efforts and the need to 
retain relevant records through Federal Register notices, letters, 
newspaper ads, presentations at meetings and conferences, information 
bulletins in mailings, and other means.
    (b) Potential third parties include:
    (1) Tribes;
    (2) Federal agencies (other than Bureaus within DOI);
    (3) State agencies;
    (4) County agencies;
    (5) Municipal agencies;
    (6) Financial Institutions;
    (7) Companies;
    (8) Law firms;
    (9) Colleges and universities;
    (10) Professional organizations and societies; and
    (11) Individuals.
2. Identify Information and Records Needed
    (a) Identify records necessary, e.g., to complete the historical 
accounting use document types described in the Accounting Standards 
Manual issued by OHTA.
    (b) Assess known information gaps and missing Indian trust-related 
records. For example, in preparing the historical accounting:
    (1) Use results from a current Office of Trust Records project to 
index existing records;
    (2) Survey Interior Bureaus to determine the availability of 
relevant records; and
    (3) Complete an evaluation of relevant automated systems.
    (c) Identify specific information gaps that might be filled by 
third parties.
3. Identify and Locate Indian Trust-Related Records Held by Potential 
Third Parties
    (a) Identify potential third parties by resource and document type.
    (b) Contact potential third parties.
    (c) Ask potential third parties to identify, inventory, and secure 
available, relevant Indian trust-related records, providing a copy of 
the inventory to DOI.
4. Obtain Third-Party Records
    (a) Once a data gap has been identified, review available third-
party inventories and identify records that pertain.
    (b) Secure relevant Indian trust-related records through an 
electronic image, paper copy, or in some instances, assuming custody of 
original records.
    (c) Store available records in an appropriate records storage 
facility.

Part Two: Explanation of the Department's Policy

I. Oil and Gas Industry Pilot Project

    In an effort to gauge the potential availability of third-party 
Individual Indian Monies-related or Tribal-related information, DOI 
initiated a pilot project focused on the oil and gas industry. A 
Federal Register notice was published on February 6, 2002 (67 FR 5607), 
requesting that, ``anyone in possession of records related to IIM trust 
funds to notify the Department, and preserve and maintain such records 
indefinitely.'' The notice also noted that DOI would be willing to take 
custody of these records, if the current owner preferred.
    In March 2002, this notice was followed with a letter sent to 
approximately 4,200 addresses derived from the Oil and Gas Journal 
subscription list. This letter asked if the company addressee possessed 
records relating to production on individual-allotted Indian lands and 
requested an inventory of those records from 1887 to the present. The 
letter requested that the company preserve and maintain these 
documents. It also asked for a copy of the company's records retention 
policy.
    In July 2002, staff from OHTA conducted an on-site survey of some 
documents held in storage by a responding company located in Denver, 
Colorado. The purpose of this review was to determine what data may be 
available from third-party sources and to estimate their relevance to 
the historical accounting effort. The review revealed that trust 
records represent a very small percentage of the stored materials and 
are interspersed with non-trust data. The review also led to the 
conclusion that locating trust data within the volume of stored records 
would be a labor-intensive exercise, particularly where there is no 
data inventory.
    A final component of this pilot project involved a presentation at 
the fall conference of the Council of Petroleum Accountants Society in 
October 2002. In this case, information was presented to the conference 
describing OHTA, its role in collecting missing information and in 
completing the historical accounting for IIM account holders. The 
discussion following the presentation revealed the following.

--Many of the companies represented at the conference are retaining 
data they believe are relevant to Indian trust resources.
--Industry consolidation could make data collection more difficult 
because acquiring companies may not be fully aware of the content or 
completeness of records ``inherited'' from an acquired company.
--Companies are concerned that old, and potentially unknown, 
liabilities inherited from acquired companies could be discovered if 
they surrender records to the Federal Government.
--Few, if any, companies have segregated Indian data from non-Indian 
data, and it could be costly to as so, particularly for inactive, 
archived records.
--Companies are concerned about Federal access to records unrelated to 
Indian trust.

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II. Explanation of the Procedures for Collecting Trust Information

    This part explains the procedures in section IV of part one of this 
notice. The numbered paragraphs correspond to the paragraph numbers in 
section IV of part one.
1. Alert Potential Third Parties of DOI's Efforts To Locate and Secure 
Possible Missing Indian Trust-Related Information, and Request 
Retention
    OHTA expects to write letters, publish notices in the Federal 
Register, and take ads in local, regional, and national newspapers, 
Tribal publications, and trade and professional publications to alert 
potential third parties of the possible need for their Indian trust-
related records. In the case of historical accounting, for example, the 
notices and ads will describe the historical accounting effort, and 
request individuals and organizations to inventory their records and 
notify OHTA if they believe they possess records relevant to income 
production on individual Indian or Tribal lands. Additionally, OHTA 
will make presentations to professional organizations as a means of 
making a direct request for assistance in locating relevant data. In 
those instances where a specific third party is a likely source of 
records, OHTA will approach the entity directly.
    Further, another process to locate third-party data involves 
inserting informational notices into routine mailings administered by 
DOI agencies and non-DOI agencies (such as the U.S. Forest Service). 
This process would alert third parties directly and ask for their 
assistance in locating appropriate data. With the cooperation of 
elected officials, a similar mailing could be directed toward a larger 
audience by inserting informational notes into Congressional letters 
mailed to constituents.
2. Identify Information Needed
    In order to secure relevant data, it is important to identify the 
information needs that exist. Searching for third-party data before 
knowing whether these data are necessary is neither efficient nor 
effective. The relevance and importance of third-party data will be 
determined by information gaps identified. Thus, it is important to 
know what information gaps exist and then develop an approach to fill 
those gaps.
    For example, after consulting with five major accounting firms, 
OHTA has issued an Accounting Standards Manual that identifies key 
document types for accounting teams to use in performing the historical 
accounting. At present, the Manual focuses on documents under Federal 
control. As the historical accounting progresses, the Manual is 
expected to be updated as more is learned about the types of documents 
available and the types of documents utilized over time. In those 
instances where OHTA is not able to use or locate federally held 
records to document a transaction, the manual will identify equivalent 
third-party data as a means to support the accounting.
    Third-party data would likely reside with entities involved in the 
revenue stream or production activities associated with Indian trust 
resources, or with those parties that received the revenue. Analysis of 
these activities, as well as lines of communication associated with 
them, will help identify documents potentially held by third-party 
custodians. For example, data relevant to judgments are likely to be 
associated with court records. Searching pertinent court records may 
produce documents suitable for use in documenting transactions 
associated with judgment accounts.
    A number of efforts have been initiated to address potential 
information gaps. The Office of Trust Records (OTR) has initiated a 
contract to index records in the OTR Albuquerque facilities and the 
Lee's Summit, Missouri, Federal Records Center. This effort will 
provide an assessment of records and record types in Federal custody 
and can be used to identify those that may have to be searched among 
third parties. In addition, several Bureaus within DOI, including 
Bureau of Indian Affairs, Minerals Management Service, U.S. Geological 
Survey, and the Bureau of Land Management will be asked to identify the 
types of records they have destroyed as part of an approved document 
retention/disposition plan, or accidentally. This survey will also 
provide information about records in Federal possession and those that 
could be searched and perhaps retrieved from third parties.
    Gaps in available data will also be detected as OHTA undertakes the 
accounting effort. Analyses will verify account transactions with 
actual records. Transactions that cannot be corroborated will usually 
indicate the need to search for additional relevant data. 
Identification of data gaps through the reconciliation process is 
anticipated to result in specific and relevant data needs, and may 
require identifying and collecting records held by third parties.
3. Identify and Locate Records Held by Potential Third Parties
    Once an information need has been identified and it has been 
confirmed that the necessary trust-related data are not under Federal 
control, the next step is to identify a potential source from an entity 
other than a Bureau within DOI, i.e., a third party.
    The number and range of potential third parties is extensive. State 
and county agency records may offer a number of data sources. For 
example, State revenue records usually contain data on both personal 
and business tax assessments and payments; County Clerk offices may 
have data to identify and confirm property ownership or property 
leases; Oil and Gas Commissions can have records on production rates, 
prices, and royalties; State and regional Geological Societies may 
possess information to help determine oil quality and production areas; 
State Agricultural Departments are likely to hold data about crop 
harvest, grazing, and dairy production; State Forestry Departments 
could have information relevant to timber production, timber harvest, 
and timber sales.
    Private companies are also likely to have data to confirm lease 
payments, rights-of-way payments, and production data. Federal agencies 
other than DOI could have data on timber harvest, surface mine 
production, grazing, and recreational revenues. The U.S. General 
Accounting Office may have information relative to previous 
accountings, and the Department of the Treasury is likely to have 
records of cashed checks issued to, or on behalf of IIM account holders 
by the Federal Government. Financial institutions, colleges and 
universities, State and local historical societies, professional and 
business associations, and a variety of other entities may possess 
records that will be relevant to the historical accounting process.
    Finally, it is very possible individual Indians and Tribes may 
possess records that can be used to supplement Federal records. As the 
accounting effort identifies a need to supplement available Federal 
records, the appropriate organization(s) will be identified and 
attempts made to secure copies of existing records.
4. Obtain Third-Party Data
    Once a potential data need has been identified and a possible 
records source has been recognized, OHTA will undertake prudent action 
to contact the source, review available documents, and attempt to 
secure a copy of relevant

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data. The availability of inactive records held by individual entities 
will vary since experience indicates there is no ``industry standard'' 
document retention policy.
    In some instances, entities may request that DOI take custody of 
relevant documents. In appropriate cases, DOI will identify a suitable 
secure storage site (e.g., a Federal Records Center) and take 
possession of the records. Appropriate security and access strategies 
will be employed to ensure that the documents are available for the 
historical accounting effort.

    Dated: April 30, 2003.
J. Steven Griles,
Deputy Secretary.
[FR Doc. 03-11095 Filed 5-1-03; 9:38 am]
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