IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBTA ELOUISE PEPION COBELL, al., gj Plaintiffs, V. Case No. 1:96CVO1285 (Judge Lamberth) 1 ) GALE NORTON, Secretary of the Interior, gt al., ) Defendants. 1 1999. NOTICE OF FILING OF THE FIFTEENTH QUARTERLY REPORT FOR THE DEPARTMENT OF THE TREASURY The Department of the Treasury has prepared its Ffteenth Quurterlji Report on Actions Taken By the Depurtment of the Treasuty to Retain IIM-Related Docurnents Necessary For an Accounting and submits it to the Court in accordance with this Court’s Order of December 21, A copy of the report is attached hereto. Respectfully submitted, Dated: Scptembcr 2, 2003 ROBERT D. McCALLUM, JR. Associate Attorney General PETER D. KEISLER Assistant Attorney General STUART E. SCHLFFER , Deputy Assistant Attorney General J. CHRISTOPHER KOHN Director SANDRA P. SPOONER D.C. Bar No. 261495 Deputy Director JOHN T. STEMPLEWICZ Senior Trial Counsel JOHN J. SIEMETKOWSKI Trial Attorney Commercial Litigation Branch Civil Division P.O. Box 875 Ben Franklin Station Washington, D.C. 20044-0875 (202) 5 14-3368 (phone) (202) 5 14-9 163 (fax) \ A. 3 August 29,2003 MEMORANDUM FOR: FROM: SUBJECT : Included with this cover memorandum is the “Fifteenth Quarterly Report on Actions Taken by the Department of the Treasury to Retain IIIM-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 Cobell, 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 of program 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 of FMS, 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 reviening the Report and & ,TC DEBT FIFTEENTH QUARTERLY REPORT COBELL, ETAL. v. NORTOdtr, ETAL. attachments thereto. DEPARTMENT OF T H E TREASUXY BUREAU OF 7-HE PUBLIC DEBT WASHINGTON. DC 20239-0001 ROBERT D. McCALLUM, JR. ASSOCIATE ATTORNEY GENERAL U.S. DEPARTMENT OF JUSTICE CIVIL DIVISION BRIAN L. FERRELL CHIEF COUNSEL BUREAU OF THE DEPARTMENT OF THE TREASURY FIFTEENTH QUARTERLY REPORT ON ACTIONS TAKEN BY THE DEPARTMENT OF THE TREASURY TO RETAIN IIM-RELATED DOCUMENTS NECESSARY FOR AN ACCOUNTING Cobell, et al. v. Norton, et al. D.D.C. CV NO. 96-1285 August 29,2003 This is the Department of the Treasury’s (“Treasury”) Fifteenth Quarterly Report, filed pursuant to the Court’s December 21, 1999 Order (“Order”) in the above-captioned case. It covers activities occurring over a three-month period from June 2, 2003 through August 29, 2003. The Order requires Treasury to report on the steps it has taken since the last quarterly report to rectify a single breach of its trust responsibilities, namely the destruction of IIM trust materials after their age exceeded six years and seven months. Cobell, et al. v. Babbitt, et al., 91 F. Supp. 2d 1,50,59(D.D.C. 1999). Treasury continues to preserve IIM-related documentation pursuant to the Court’s August 12, 1999 Order, which defines the trust records that Treasury must retain. During the past quarter, Treasury again issued reminders to ensure the retention of required records. Among the reminders Treasury issued this quarter are letters reminding NARA (see Attachments A and B), a contractor (‘ Attachment C), banks (see Attachments D and Ii>, and Secret Service (m Attachment F) to continue retaining pertinent records. In addition, employees of Financial Management Service (FMS) and the Bureau of the Public Debt (BPD) were again reminded to continue preserving records related to this litigation (see Attachments G and H), and retention instructions to pertinent Departmental Office (DO) employees continue to be posted on DO’S intranet site. As previously reported in Treasury’s Fourteenth Quarterly Report filed June 2, 2003, on May 27, 2003, Treasury transmitted, through Justice, a report from its Chief Information Officer to the Special Master regarding a hardware failure, possibility of data loss, and e-mail system upgrade at the Departmental Offices. On June 27,2003, a meeting was held among the Special Master’s technical advisor, Treasury’s Acting Deputy Chief Information Officer, and other Treasury representatives to discuss the matter further. On June 30,2003, Treasury submitted, through Justice, to the Special Master’s technical advisor the information that the technical advisor had requested at the end of the June 27,2003 meeting. On July 7, 2003, the Special Master sent the technical advisor‘s report to Justice and to Plaintiffs’ counsel. Treasury is currently reviewing the report. Treasury also continues to assess whether any data was lost during the system failure. During this quarter, FMS approved an archive plan for CA$H-LNK to ensure the data continues to be preserved as CA$H-LINK I1 is implemented. The archive plan will convert and transfer all CA$I{-LINK data to DVD-ROM. (CA$H-LNK is a cash concentration and information system that houses deposit data,) In addition, the Federal Reserve Bank of San Francisco reported on July 1, 2003 that it had located one box of records that previously was reported missing on May 16, 2001. (& Attachment I.) INDEX TO ATTACHMENTS The Department of the Treasury’s Fijleenth Quarterly Report August 29, 2003 Attachment A Attachment B Attachment C Attachment D Attachment E Attachment F Attachment C, Attachment H Attachment I August 8,2003 letter from FMS to NARA, reminding NARA to continue the “freeze” on FMS records at Federal Records Centers August 19,2003 letter from BPD to NARA, reminding NARA to continue suspending destruction of BPD records at Federal Records Centers August 6, 2003 letter froin FMS Contracting Officer James R. Hamrick to Didlake, Inc., retninding it to continue retaining closed check claims case records indefinitely Example of August 1 1,2003 letter sent by FMS to all (approximately 475) banks that act or have acted as Treasury’s financial agents, reminding them to continue to retain, indefinitely; records associated with Interior’s deposits to Treasury General Accounts at those batlks August 26,2003 letters mailed by FMS to the two banks (Mellon Bank and Bank of America) that administer lockboxes for IIM deposits, reminding them to continue preserving all records pertinent to those lockbox accounts August 26,2003 letter issued by FMS, reminding the U S . Secret Service to continue preserving, until further notice, all Treasury checks that FMS forwards for investigation and related information and records (without the enclosures) Global e-mail issued August 13, 2003 to all BPD employees, and posted on I3PD’s intranet site, reminding employees to continue preserving IIM-related records indefinitely and sending all Cobell- related e-mail to BPD’s dedicated mailbox Global e-mail issued August 14, 2003 to all FMS employees, and posted on FMS’ intranet site, reminding employees to continue retaining records related to this litigation indefinitely and to continue utilizing the “Cobcll Archive” mailbox to retain all IIM- rclated e-mail July 1,2003 letter from the Director of the Federal Reserve Bank of Sail Francisco to the Commissioners of FMS and BPD, reporting finding one box of records previously reported missing August 8,2003 Thomas E. Mills Assistant Archivist for Regional Records Services National Archives and Records Administration Office of Regional Records Services 8601 Adelphi Road, Suite 3600 College Park, MD 20740 Dear Mr. Mills: Sincerely, The purpose of this letter is to remind you that Financiaf Management Service (FMS), a bureau of the U.S. Department of the Treasury, remains under court order to preserve records indefinitely for purposes of the Cobell, et a]. v. Norton, et al. litigation. Therefore, we request that the Federal Records Centers continue to iinpleriient the freeze on 3 records from FMS Kecord Groups 39, 50 and 425 and preserve all such records until further notice. If you have any qucstiuns, you m y contact Jean Sadlowe at (202) 874-8953. Tharik you for your cooperation in this matter. bkh[ aron M. King, Director 23- Administrative Programs Division Financia t Man agemen t Service memorandum Attachment A FMS - Qualit3)? People - Quality 4 Service Attachment B Attention; James Veach 8601 Adelphi Road College Pa&, MD 20740-6601 Re: Suspendiiig Destruction Dear Mr. Veach: As you are aware, the Bureau ofthe Public Debt (BPD), Department of the Treasury, has been under court order. since August 1999 to preserve all documents relating to the pending litigation, Cobell Y. Norton, ct a].. which challenges fhe government's managenlent of the hdividual hdim Monies (EM). The purpose of this letter is to remind you that BPD remains under court order to preserve records indefinitely for purposos of the Cobell litigation. Therefore, WG Tequest that the Federd Records Centers continue lo implement the freeze on aJ and 82 and preserve all such records until fiuther notice. Thank you for your cooperation in this matter. August 19, 2003 National A~~hives and Records Adm'inistration Life Cycle Management Division records from BPD Record Groups 53 S inccrc.1 y, Vicki Thorpe, Manager, Graphics, Printing, and Records Branch Records Officer Attachment C FINANCIAL MANAGEMENT SERVICE WASHINGTON, D.C. 20227 August 6,2003 Dear Ms. Hughes: DEPARTMENT OF THE TREASURY Didlake, Inc. Attn: Ethel Hughes, Project Manager, 3700 East-West Highway, Room B-014 Hyattsville, MD 20782 Re: FMS Contract Number FHQ99D5 1295 Please continue to ensure that appropriate personnel at your company who petform 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, original documents contained in such files (including original TFS 1133 claim forms), and any supporting information or docunientation associated with same. Our letter to you dated August 7, 2001 included a copy of the retention order issued August 12, 1999 in the Cobell, et al. v. Norton, et al. litigation. If you need another copy of the retention order, please let me know. Please make FMS aware of any concerns you may have regarding these instructions. You may contact the COTR, Marilyn Haynes, at (202) 874-8445 or me, at (202) 874- 727 1, if you have any questions. Thank you for your continued cooperation Sincerely, II James R. Hamrick Contracti tig Officer cc: Marilyn Haynes, COTR Beth Kramer, Ofice of Chief Counsel Attachment D DEPARTMENT OF THE TREASURY WASHINGTON, D.C. 20227 Dear Sir: FINANCIAL MANAGEMENT SERVICE August 11, 2003 Please continue to follow the instructions stated in FMS' letters to your financial institution dated July 9, 1999, August 2, 1999, December 16, 1999, September 7, 2000, February 15, 2001, August 17, 2001, February 15, 2002, August 15, 2002, and January 22, 2003 regarding document retention. Due to ongoing litigation [Cobell, et al. v. Norton, et al., Civ. No. 1- 96CV01285 (D. D . C . ) ] , your financial institution must retain, until further notice: Standard Form 215, Standard Form 5515 and any supporting documentation, IN ALL FORMS AND MEDIA, associated with transactions relating to deposits received from the Department of the Interior for credit to the Treasury's General Account (TGA) . This includes paper, electronic, microfilm, microfiche, or any other media. If you have not already done so, please designate a point of contact at your financial institution to disseminate these record retention instructions to appropriate personnel at your organization (including records management personnel). Please ensure that an appropriate dissemination process is in place and is being followed at your financial institution. If these retention instructions create a problem for your operations, please send your concerns in writing to Manager, Banking Operations Branch at 401 14th Street, S.W., Room 436, Washington, DC 20227, as soon as possible. Thank you for your continuing cooperation in this matter. If you have any questions, you may contact Doris Hyman at (202) 874-7132 or m e at (202) 874-6762. Alexa Urban, Director Financial Services Division A/C Federal Finance Attachment E 1 of2 FINANCIAL MANAGEMENT SERVICE WASHINGTON, D.C. 20227 Dear Ms. Friedman: DEPARTMENT OF THE TREASURY Ms. Elaine Friedman, Vice President Mellon Bank Mellon Client Service Center Suite 1260 Pittsburgh, PA 15262-00 D I Re: Minerais Management Service Lockbox Account Agency Location Code 14 17000 1, Lockbox Number 9 1 1-4258 As you know, FMS remains under a continuing court order in Cobell, et al. v. Norton, et - al. to preserve, indefinitely, all records relating to Individual Indian Money (IIM) trust funds and trust assets. Accordingly, please continue to retain all documentation pertaining to the above-referenced lockbox account until further notice. You have confirmed that the records for this account include: Standard Fomi 2 15 Standard Fomi 55 15 ACH Receiving Rernittance/Paynient Report Demand Deposit Account Activity Statements Any forms uscd to facilitate internal processing, such as the CA$H-LINK Deposit Report Forni You must retain the records for this account IN ALL FORh4S AND MEDIA generated for the account. This includes paper, electronic, microfilm, microfiche, or any other media. If you create the same record in multiple media, you must retain the record in all media. Please distribute this letter to the appropriate bank personnel, including records management personnel. If you have any questions regarding these retention instructions, please contact me at (202) 874-6762. Thank i ~ u for your continued cooperation. Sincerely, Alma I Jrhan, Director Financial Seniccs Di\ision Federal linance DEPARTMENT OF THE TREASURY Attachment E 2 o f 2 FINANCIAL MANAGEMENT SERVICE WASHINGTON. D.C. 20227 Dear Mr. Henidon: AUG 2 6 2003 Mr. Stephen C. I-Ierndon, Senior Vice President Bank of America Federal Government Banking Division 600 Peachtree Street, NE Atlanta, GA 30308-2214 Re: Bureau of Indian Affairs - Palm Springs Lockbox Account Agency Location Code 00004844, Lockbox Number 72758 As you know, FMS remains under a continuing court order in Cobell, et al. v. Norton, et - al. to preserve, indefinitely, all records relating to Individual Indian Money (IIM) trust funds and trust assets. Accordingly, please continue to retain all documentation pertaining to the above-referenced lockbox account until further notice. You have confirmed that the records for this account include: Standard Form 2 1 5 Standard Form 55 15 Check copies Monthly Account Activity Reports (MAAR) Monthly Account Analysis Statements (MA AS) Standard Listing Any forms used to facilitate internal processing, such as the Daily Balance Shcet You must retain the records for this account IN ALL FORMS AND MEDIA generated for the account. This includes paper, electronic, microfilm, microfiche; or any other media. If you create the same record in multiple mcdia. you must retain the record in all media. As of this time, the Court still has not acted on Treasury’s July 9, 200 1 Motion to replace the existing August 12, 1999 retention order in this case. Accordingly, notwithstanding that you began generating photocopies of checks associated with this account on October 1, 2001, you must continue retaining any duplicate copies on microfilm, unless and until FMS obtains court approval to retain only pre-October 2001 microfilm copies and post- September 2001 photocopies. Page 2 Please distribute this letter to the appropriate bank Dersonnef, including records manamment personnel. If you have any questions regarding these retention instructions, please contact me at (202) 874-6762. Thank you for your continued cooperation. Sincerely, Alexa IJrban, Director Financial Services Division Federal Finance cc: Linda S. Corbett; Senior Vice President, Bank of' Arnerica FINANCIAL MANAGEMENT SERVICE HYATTSVILLE, MD 20782 Brian K. Nagel Assistant Director, Office of Investigations U S . Secret Service 950 H Sh-eet, N.W. Washington, D.C. 20223 Dear Mr. Nagel: Attachment F This is a reminder that Treasury remains subject to a continuing court order in the above- referenced lawsuit to retain, indefinitely, “all documents and data relating to Individual Indian Money trust funds and Individual Indian trust assets.’’ Copies of the document retention order entered in the case on August 12, 1999 and Treasury’s Stipulation filed with the court on July 6, 1999 were provided with some of our previous reminder letters to Secret Service, but I am enclosing copies again for your ease of reference. As stated in our previous letters to Secret Service dated January 14, 2000, October 13, 2000, February 28,2001, August 29,2001, August 28,2002, and February 12,2003, among the types of records that ‘l‘rcasury must preserve to comply with the court order and Stipulation are checks and check-related records. Accordingly, please continue to preserve, until fiirther notice, all checks that FhlS forwards to your bureau foi investigation and all information and records your bureau maintains relating to those checks. Please continue to take all steps necessary to determine and dogment that all such records in the possession of Secretservice are being preserved indefinitelu. If you have any questions concerning the Cobell document retention order and Stipulation, please contact Beth Kramer in the FMS Chief Counsel’s office, at (202) 874-7036, or me, at (202) 874- 7913. DEPARTMENT OF THE TREASURY August 26,2003 Re: Document Retention Order in Cobell, et al. v. Norton, et al. Civ. No. 1-96CVO1285 (D.D.C.) Thank you for your continued coopcration and assistance. Sincerely, Ro Id G. C or, Director @.* Financial PricVsssing Division cc: Thomas Ilougherty, Office of Chief Counsel, U S . Secret Service - Fax #202/406-6544 Anne Meister To: All - BPD (Business use only!) cc: 08113/2003 PM Subject: Litigation reminder Attachment G Once again, many thanks for all your diligence in preserving records that could potentially contain information relevant to the Cobell litigation. You've seen the Important Reminder below before, but I am asking you to please take a few minutes once again to refresh yourselves on our obligations to preserve records. The rule of thumb here is -- when in doubt, 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 IIM-related records: All 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 (IIM) trust monies. I 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: ftp://ntpdweb/occ/litigation/cobelI/cobmem3.pdf To further emphasize, instructions to preserve IlM-related e-mails also remain in effect. Please continue to send a "cc" (not a "bcc") of all e-mails (including attachments) that you initiate where they relate in any way to the Cobell litigation, Individual Indian Monies or Department of lflterior investments on behalf of individual Indians to "IIM Mailbox." Also, forward all e-mails that you receive (including attachments and retaining forwarding history) that relate in any way to the Cobell litigation, Individual Indian Monies or Department of Interior investments on behalf of individual Indians, to "IIM Mailbox" unless you can tell from the message that the initiator of the e-mail has already copied the "IIM Mailbox." 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 FRB personnel related to this issue immediately refer the inquiry to Jimmy Phillips at (202) 691 -3683. Do not attempt to give guidance on document retention matters to any FRB 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 litigation-related responsibility. Anne {
] To: Date: From: Subject: Date: To : From : Subject: All FMS employees are again reminded that FMS remains subject to a continuing court order, requiring us to retain and safeguard all records that relate to the Individual Indian Money (IIM) trust fund and IIM trust assets, indefinitely. Do not destroy any 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 Cobell-related e-mail to the dedicated "Cobell ArchiveQfms" mailbox in accordance with the memoranda identified below. I appreciate your continued compliance with these instructions and encourage you to review the pertinent memoranda and e-mails, which are described below and posted on FMS' intranet under "News" or "Hot Topics" and "Cobell Litigation." p p endin litiaationk The internal process for reviewing and approving non-litigation-related records for disposition is outlined in a memorandum issued March 7, 2000 by Chief Counsel Debra 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 t o dispose of any records, by submitting a memorandum to the Chief Counsel through the Assistant Commissioner for Management. I w r o c e s s is not to be used for IIM records or any other liticlation-related records. I f you have any questions about the process, or need assistance to determine whether particular records are litigation-related, please contact Beth Kramer in the Office of Chief Counsel, a t (202) 874-7036, fax number (202) 874-6627. U s e of E-Mail Mailbox: Please continue copying or forwarding all Cobell-related e-mail and other electronic documents to the dedicated "Cobell Archive@fms" mailbox, i n accordance with the guidance issued by the Deputy Chief Information Officer on July 2, 1999 and May 30, 2000. To insert the mailbox address on an e-mail, simply type "Cobell" and press the "Enter" key. I f you need additional guidance on this, please contact Beth Kramer. Archivina Electronic Records: As provided in a memorandum entitled "Maintenance of Data on FMS Systems" issued by Deputy Commissioner Kenneth R. Papaj on March 3, 2000 (revised and reissued March 24, 2000), no IIM data or other litigation-related data is to be removed from any FMS electronic production system, except pursuant to an approved archive plan and schedule that ensures the data's Attachment H Kansas City Philadelphia San Francisco 0811 4/2003 William Higgins August 12, 2003 All FMS Employees Richard L. Gregg Commissioner Official FMS Business Office of the Commissioner Agency Services Debt Management Services Federal Finance Financial C Governmentwide Accounting Information Resources Management Regional Operations HQ Austin Bir important message about Cobell to all FMS employees from the Commissioner Cobell Litigation - Records Retention Requirements preservation and retrievability. Proposed archive plans should be submitted to the Commissioner's Office for approval, through the Assistant Commissioner for Management and the Chief Counsel. Federal Reserve Bank Records: The Federal Reserve Banks have been instructed not t o destroy any fiscal agency records unless they have received specific permission in writing from FMS or the Bureau of the Public Debt authorizing the destruction. Please refer any record retention-related inquiries from FRB personnel to Beth Kramer at (202) 874-7036, fax number (202) 874-6627. Do not attempt to give guidance on record retention matters to any FRB employee. Pertinent Memoranda and E-mails Available on FMS' Intranet: The following memoranda and e-mails describe the types of records FMS must retain indefinitely for the Cobell litigation, the processes for requesting approval t o dispose of records and to archive data from electronic production systems, and the requirements for using the "Archive Cobell" mailbox t o preserve Cobell-related electronic records: 1. 5. litigation. To locate these documents, double click on the icon for Netscape Navigator. This moves you to FMS' Intranet. Under "News" or "Hot Topics," click on "Cobell Litigation." If you have any questions, please contact Debra Diener, Chief Counsel, at (202) 874-6824 or Beth Kramer at (202) 874-7036. Thank you. Commissioner Richard L. Gregg's August 30, 1999 memorandum directing all 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 fist of the types of records FMS must preserve. Note that the records FMS must retain for the Cobell litigation include not only IIM-related records but certain entire categories of records that FMS agreed to retain, regardless of whether they are IIM-related (for example, all Treasury checks). 2. The Deputy Chief Information Officer's July 2, 1999 guidelines for utilizing the 'Archive Cobell" mailbox. 3. The Deputy Chief Information Officer's May 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. Deputy Commissioner Kenneth R. Papaj's March 3, 2000 memorandum (revised and reissued March 24, 2000) t o Assistant Commissioners, entitled "Maintenance of Data on FMS Systems." 4. Chief Counsel Debra N, Diener's March 7, 2000 memorandum to Assistant Commissioners, outlining the requirements for seeking approval to dispose of documents not pertinent to pending Click here for more information on Cobell Litigation *** END OF ANNOUNCEMENT *** Attachment I 77085756 Federal Reserve Bank of San Francisco Fiscal Agent of the United States San Francisco, CA 94120 July 1, 2003 Mr. Richard L. Gregg Commissioner Department of the Treasury Financial Management Services Washington, DC 20227 Mr. Van Zeck Commissioner Department of the Treasury Bureau of Public Debt 999 E Street Washington, DC 20239-0001 Dear Mr. Gregg and Mr. Van Zeck: This fetter is to update you on our list of boxes that were reported missing in our letter to you dated May 16, 2001. The following box has been found in the San Francisco Office: 1 111 7/97 Govt Tran 5285-86 HSR BX Our Audit Department has examined and cleared this box and it will be returned to storage. A report of the missing and destroyed material is enclosed. If you have any questions, please feei free to contact me at (415) 974-2389. Sincerely, p a d u Paulette Wallace Director Federal Reserve Bank of San Francisco Enclosure C: , Robert Parry, President John Moore, First Vice Pbesident Robert Wiley, Group Vice President Susan Sutherland, Seniob Vice President John Parrish, General Auditor Lee Dwyer, Vice President Jimmy Kamada, Director Response t o FMS and BPD Questions May 16, 2001 4 . A description of the records that were destroyed both as to the content and time period with as much specificity as possible; Following a detailed, day-by-day review of the materials in the Twelfth District's offices, we have determined that some materials for the following specific dates are missing or were destroyed, as follows: Missing Material Dates ,ocation 3ancisco =orm/Document 31 Box 69937483 -Treasurer of USA Bank Entries a) 5/11 - 5/18/98 ,j Box 69943$03 - PO 5174 30 Yr Bond b) 2/16-81 16/94 ;) Box 77077052 -Treasure of USA 8ank Entries C) a/14-m1/96 2) Box 77078323 - LL532 Securities Surrendered d) 7/1-8/15/96 e) I /I D O - 1 213 1 I93 3) Box 771 33569 - Savings Bonds for Redemption or Exchange Correspondence t) Box 771 33592 - Treasurer of USA Bank Entries 9) 4/6-4/14/9a f) 6/168/24/98 g) Box 77133598 -Treasurer of USA Bank Entries h) 911 -10/30/96 i) 1/3-2/25/94 j) 3/9/99 h) Box 80493676 - (AS Entries i) Box77135512- LA Roll Film ff.1823-1860 i) Box 093925650 - Govt BIMfO681-0682 Control k) 7/21/98 Box k) Box 093942997 - Govt Blk#2021-2024 Control Box I) 11/17/97 m) 811 4/31 /99 I) Box 77084756 - Govt Tran5285-86 HSR BX m) Box 50822,488 - Daily Work Folders n) Box 80508295 - Bank Entries - IAS entries 0) Box I 1670,0977 - Checks RSTL records p) Box 128384351 - Checks RSTL records q) Checks Fine Sort box - EZ entries r) Checks RCPC Settlement (RSTL) box (form 215) s) Checks RCPC Settlement (RSTL) box (box found, but forms 21 5's not enclosed) t) Box 77075738 -Treasurer of the USA Bank Entries' 1 u) FMS 62 fodms ;an Portland a) PD.5270 1 b) SF5515 1 c) SF215 j n) I / I -U28/99 0) 3/3/00 p) 8/9/00 q) 10/10/00 r) 41/3/00 s) 8/16/00 t) ' I /2-9/97 u) 418-12/93 and 4/22/93 a) 4/14/00, 12/27/00 b) 4/14/00, 6/8/00, 12/27/00 c ) 6/16/00, 12/4/00 This box was located and examined as part of the audit review process; however, the vendor wa5 unable to locate the box when it was requested at a later date. Response to BPD and FMS Questions May 16,2001 I Missing Material Dates Fo rmlD o cum en t .ocation ;cattle a) Bills (PD5176-I 13-week Tender; PO51 76-2 26- a) 7/92-7193 b) 7192-1 2/92 C) 7/92" I 1/92 d) 7192-12/92 week Tender; PD5176-3 52-week Tender) b) NotesIBonds (PD 5174-1 213 Note Tender; PO 5174-3 5/10 Note Tender; PO 51 74-4 Bond Tender; PD 5381 rev 10/98 Bill, Note & Bond) c) PD5178 Transaction Request e ) 7192-1 2/92 f) 7192-12/94 9) 7197-1 2/97 - 1994: 6f7, 618, 911 3, - 1995: 116, 411 1, 4/25, 10126 10/12, lOl17, ll/l - 1996: 2/14, 4/4,4122, 4123, 819, 8112, 8/15, 8/30, 9/19, 12/27 - 1997: 5/12, 7f2, 811 - i 998: 4/23, 511 8,9125 __I 1999: 515, 12/23. - 2000: 1/28,2/18, 3/27, 5/17, 5/18, 5/19, 7117, 911 9 a) 411 1/95 and 5/28/98 b) 8/21/98 1 1/1/92 to 12/31/93 9/1/96 to 10/31/96 I San Supporting documentation for government agency Francisco deposits of cash (list of currency by den~rnination)~ and 2. When the destruction took place, who authorized the destruction and the basis f o r that authorization df destruction; I I d) PO5179 Security Transfer Request e) PD5180 Reinvestment Request f) PD5182 New Account Request g) PARS Activity Report' SF 215 and SF 5515 forms and supporting docurnentation for government agency deposits of cash (list of currency by den~mination)~ a) SF 215,5515, PO 5270 b) FMS62 Destroyed Material 1 PARS reports are generated/fcorn a Treasury application and used to balance securities holdings at the aggregate leve'l. The reports do not provide information at the transaction level. It is rare that a government a'gency provide supporting documentation with a deposit of currency. This documentation may be a listing of the cash deposit by denomination (k, the number of $1 bills, $5 bills, etc.). Response to BPD and FMS Questions May 16, zoo1 CERTIFICATE OF SERVICE I declare under penalty of perjury that, on September 2,2003 I served the foregoing Notice of Filing of the Fifteenth Quarterly Report for the Department of Treasuly by facsimile in accordance with their written request of October 3 1, 200 1 upon: Keith Harper, Esq. Native American Rights Fund 1712 N Street, N.W. Washington, D.C. 20036-2976 (202) 822-0068 Per the Court’s Order of April 17,2003, by facsimile and by U.S. Mail upon: Earl Old Person (Pro se) Blackfeet Tribe P.O. Box 850 Browning, MT 59417 (406) 338-7530 By Hand Delivery upon: Alan L. Balaran, Esq. Special Master 1 7 1 7 Pennsylvania Avenue, N. W. 13 th Floor Washington, D.C. 20006 (202) 986-8477 Dennis M Gingold, Esq. Mark Kester Brown, Esq. 607 - 14th Street, NW Box 6 Washington, D.C. 20005 (202) 3 18-2372 By U.S. Mail upon: Elliott Levitas, Esq 1 100 Peachtree Street, Suite 2800 Atlanta, GA 30309-4530