Records Management Principles April 30 to May 1

Why Should I Attend?

Why I Should Attend?

A record is defined variously as: information created, received, and maintained as evidence and information by an organization or person, in pursuance of legal obligations or in the transaction of business. Records management is the management of information in an organization throughout its life cycle from the time of creation or inscription, to its eventual disposition. This includes identifying, classifying, storing, securing, retrieving, tracking and destroying or permanently preserving records. An organization’s records preserve aspects of institutional memory. In determining how long to retain records, their capacity for re-use is important. While there are many purposes of and benefits to records management, a key feature of records is their ability to serve as evidence of an event. Proper records management can help preserve this feature of records.

Tribal governments operate various programs funded by federal government agencies, state governments and other private foundations, where there are strict rules governing the management, protection, safekeeping and disposal of records created under the programs. Federal contract and grant rules require retention of records at least three years after the end of the federal award, unless certain situations warrant retention of the records for longer periods. The Indian Self-Determination Act protects tribal records from disclosure under the Freedom of Information Act. The new OMB Super Circular contains regulations that require proper management of records relating to federal awards. The May 2013 Executive Order on Making Open and Machine Readable the New Default for Government Information requires awardees to comply with the executive order. Tribal governments also have records management policies and procedures that govern the creation of records, storing and safekeeping of records, protection of records; and eventual disposition or retirement of records.

What Will I Learn?

What Will I Learn?

  • Records retention requirements under federal awards (Indian Self-Determination Act and OMB Super Circular)
  • Differences between records management requirements under Indian Self-Determination Act and Discretionary Grant Programs (OMB Super Circular)
  • Background and fundamentals of the Privacy Act of 1974
  • Freedom of Information Act and case studies (BIA vs. Klamath Water Users Protective Association, May 2001)
  • Federal Records Act of 1950 (background and its applicability to tribal governments)
  • Classification of records (permanent and temporary records, sensitive records, confidential records, vital records, proprietary records, physical records, electronic records)
  • Tribal land ownership records (tribal lands, individual allotments, tribal minerals inventory records, Office of Trust Records, American Indian Records Repository)
  • Tribal probate records (land ownership and heirship)
  • Records management policies and procedures requirements (best practices)
  • Managing and maintaining physical and electronic records; storage of records; records custodians
  • Records management best practices (defensible solutions; setting policies and procedures)
  • Electronic management systems (commercial records management centers)
  • Data collection requirements and retention of records
  • Executing a retention policy on the disposal of records no longer required for operational reasons
  • Current issues in records management
Who Should Attend?

Who Should Attend?

Tribal council members, tribal administrators, tribal attorneys, program directors and managers, tribal personnel directors and staff, tribal finance and accounting staff, tribal grants and contracts staff, school boards, health boards, enterprise boards, tribal consultants, federal awarding officials and subordinates, and federal line officers.

OMB Super Circular - April 29 to May 1

Why Should I Attend?

Why I Should Attend?

Indian tribes and tribal organizations operate two basic types of federally funded programs: (1) Discretionary Grant Programs; and (2) Entitlement Programs. Discretionary grants are one-time competitive grants. Entitlement Programs, such as Public Law 93-638 contracts and compacts, are recurring programs. Federal rules that apply to these programs differ in many respects, yet there are similarities in many respects.

The Office of Management & Budget (OMB) issued new regulations to consolidate several OMB Circulars into one set of regulations (2 CFR Part 200) that many refer to as the “Super Circular”. The intent of the Super Circular is to prevent waste, fraud, and abuse; and as such, it focuses on risks associated with the tribal capacity to operate these programs. It captures rules governing audits, grant proposals, cost principles, conflicts of interest, and grant performance. The Super Circular applies to Indian tribes, tribal organizations, states and local governments, non-profit organizations, hospitals, universities, etc.

KIVA provides a unique method of explaining the similarities and differences in OMB rules as they pertain to discretionary grant programs and entitlement programs (Indian Self-Determination Act programs). For example, the course covers the differences in rules covering cost principles, program income, indirect costs, carry over of savings, grant match requirements, recurring funds, disallowed costs.

 

Who Should Attend?

Tribal council members, chartered organizations school boards, health boards, tribal, program directors and managers; tribal grants/contracts staff, finance and accounting staff; tribal attorneys, tribal consultants. Federal officials and federal awarding officials, federal contracting officers and their subordinates should also attend.

 

What Will I Learn?

  • Purpose of the OMB Super Circular
  • Effects of Super Circular on tribes
  • Comparison of discretionary grant programs vs. entitlement programs
  • Pre-award requirements (federal merit reviews, tribal capacity issues, risk assessments)
  • Impacts on “High Risk” tribes
  • Conflicts of interest, required certifications and disclosures
  • Post-award requirements (performance management requirements)
  • Advances & payments
  • Cost sharing and matching requirements
  • Budgets & program plans
  • Program income rules
  • Grant administration and closeout rules
  • Cost Principles – Select Items of Cost (discretionary grants and entitlement program differences)
  • Audit Requirements (major program determinations, high risk determinations, sanctions for non-compliance)
What Will I Learn?

What Will I Learn?

  • Purpose of the OMB Super Circular
  • Effects of Super Circular on tribes
  • Comparison of discretionary grant programs vs. entitlement programs
  • Pre-award requirements (federal merit reviews, tribal capacity issues, risk assessments)
  • Impacts on “High Risk” tribes
  • Conflicts of interest, required certifications and disclosures
  • Post-award requirements (performance management requirements)
  • Advances & payments
  • Cost sharing and matching requirements
  • Budgets & program plans
  • Program income rules
  • Grant administration and closeout rules
  • Cost Principles – Select Items of Cost (discretionary grants and entitlement program differences)
  • Audit Requirements (major program determinations, high risk determinations, sanctions for non-compliance)
Who Should Attend?

Federal Awarding Officials, AOTRs, SAOTRs, Federal Contracting Officers, Federal Line Officers, Tribal Council Members, Tribal Officials, School Boards, Health Boards, Education Boards, Tribal Chartered Organizations, Program Directors, Managers; Finance and Accounting Staff, Grants and Contracts Staff; Tribal Attorneys; and Tribal Consultants.

Indian Self-Determination Act - May 2 to May 3

Why Should I Attend?

Why I Should Attend?

Public Law 93-638, the Indian Self-Determination Education & Assistance Act is about Tribal Sovereignty. It is about the tribes’ right to self-determination and self-sufficiency. It is about the tribes’ right to assume direct control and operation of federal programs, and reshape the programs to meet their needs. The Act is a unique law that has been in place for over 40 years. This course will provide in-depth coverage of the law, regulations, and program administration (implementation, oversight and other requirements).

Attendees will receive special insight interpreting the law and regulations under the Act.  It includes special presentation on the Evolution of Federal Indian Law, and an analysis of the Act and implementing regulations to highlight tribal rights. Tribal rights and the responsibilities of the federal goverment are covered in detail with specific references to the statutes.

KIVA provides the most comprehensive training on the Indian Self-Determination Act not found anywhere else in Indian Country, bringing its unique, unmatched knowledge and expertise about the Indian Self-Determination Act. KIVA’s founder and president, Ben Nuvamsa was directly involved on the technical amendments to the law; and leading the development of the implementing regulations. He played a key role in developing the Department of Interior’s Indian Self-Determination policies, including the Awarding Officials’ Delegation of Authority and is our instructor for this course.

KIVA guarantees its courses and provides follow-up support and assistance to all who attend KIVA’s classes, at no additional cost.

What Will I Learn?

What Will I Learn?

  • Records retention requirements under federal awards (Indian Self-Determination Act and OMB Super Circular)
  • Differences between records management requirements under Indian Self-Determination Act and Discretionary Grant Programs (OMB Super Circular)
  • Background and fundamentals of the Privacy Act of 1974
  • Freedom of Information Act and case studies (BIA vs. Klamath Water Users Protective Association, May 2001)
  • Federal Records Act of 1950 (background and its applicability to tribal governments)
  • Classification of records (permanent and temporary records, sensitive records, confidential records, vital records, proprietary records, physical records, electronic records)
  • Tribal land ownership records (tribal lands, individual allotments, tribal minerals inventory records, Office of Trust Records, American Indian Records Repository)
  • Tribal probate records (land ownership and heirship)
  • Records management policies and procedures requirements (best practices)
  • Managing and maintaining physical and electronic records; storage of records; records custodians
  • Records management best practices (defensible solutions; setting policies and procedures)
  • Electronic management systems (commercial records management centers)
  • Data collection requirements and retention of records
  • Executing a retention policy on the disposal of records no longer required for operational reasons
  • Current issues in records management
Who Should Attend?

Who Should Attend?

Tribal council members, tribal administrators, tribal attorneys, program directors and managers, tribal personnel directors and staff, tribal finance and accounting staff, tribal grants and contracts staff, school boards, health boards, enterprise boards, tribal consultants, federal awarding officials and subordinates, and federal line officers.