Providers Office of the Special Trustee for American Indians

Report
23rd Annual BIA Alaska Region Tribal
Providers Conference
Office of the Special Trustee for American Indians (OST)
Deputy Special Trustee for Program Management
December 3, 2013
OST Organization Chart
Organization Chart
Deputy Special Trustee - Program Management
(DST-PM)
Program Management, under the
Direction of Deputy Special
Trustee, John E. White,
is responsible for the following
office operations:
Office of Trust Records
Office of Risk Management
Office of Trust Review and Audit
(Pictured left to right: Elizabeth Wells, Harvey Gates, John White,
Karen Foster, Nolan Solomon)
DEPUTY SPECIAL TRUSTEE FOR
PROGRAM MANAGEMENT
Office of Trust Records
The Office of Trust Records
(OTR) under the direction of
Karen Foster, Director, reports to
the Deputy Special Trustee for
Program Management.
Pictured left to right: Yolanda Montoya (Program Analyst), Michelle
Tenorio (DRMPPT Division Chief), Karen Foster (OTR Director),
Benedict David (Northern and Southern Field Staff Supervisor)
Office of Trust Records
Operational Responsibilities
Managing Indian Affairs (IA) (Assistant Secretary for Indian
Affairs (ASIA), Bureau of Indian Affairs (BIA), Office of
Justice Services (OJS), Bureau of Indian Education (BIE)),
and OST records programs consistent with requirements set
forth in 44 U.S.C. Chapter 31
Develop and manage fiduciary trust program records in
concert with other offices in OST, IA (ASIA, BIA, OJS and
BIE), Bureau of Ocean Energy Management (BOEM),
Bureau of Land Management (BLM), and the Office of
Hearings and Appeals (OHA)
Coordinate activities with offices and agencies such as the
Office of the Solicitor, the National Archives and Records
Administration (NARA), the Department of Justice, and the
Office of Management and Budget
Serve as the Department’s designated official (OTR
Director) responsible for authorizing access to Indian trust
records at the American Indian Records Repository (AIRR)
DST-PM Office of Trust Records
Operational Responsibilities
OTR manages BIA and OST trust records in a unique
partnership with the National Archives and Records
Administration facility in Lenexa, Kansas.
OTR is responsible for 246,719 boxes of inactive trust
records stored at the American Indian Records Repository.
These boxes contain approximately 617 million pages of
documents
DEPUTY SPECIAL TRUSTEE FOR
PROGRAM MANAGEMENT
Office of Risk Management
The Office of Risk
Management under the
direction of Harvey Gates,
Supervisory Program
Analyst, reports to the
Deputy Special Trustee for
Program Management.
(Pictured left to right John Constable, Bonnie Winters,
Michelle Yazzie, Harvey Gates)
*
Office of Risk Management
Operational Responsibilities
Ensures compliance with the Federal Managers Financial Integrity Act
(FMFIA), OMB Circular A-123, with Appendices, and Departmental
guidance issued on internal controls. Specifically, Risk Management:
Monitors internal controls to support management’s assertions of reliable
financial reporting, efficient and effective operations, and compliance with
laws and regulation.
Maintains an automated tool, RM-Plus, used to conduct internal control
self-assessments.
Tests design and operating effectiveness of internal controls within OST
programs and processes.
Ensures the submission of the interim Statements of Assurance on
Internal Controls and Financial Reporting and the end of year Statement
of Assurance on Internal Controls.
Develops and maintains risk management documents which identify
objectives, risks, and internal controls designed to mitigate those risks.
DEPUTY SPECIAL TRUSTEE FOR
PROGRAM MANAGEMENT
Office of Trust Review and Audit
The Office of Trust Review and Audit (OTRA) under the
direction of Elizabeth Wells-Shollenberger, Director, reports
to the Deputy Special Trustee for Program Management.
Office of Trust Review and Audit
Operational Responsibilities
Office of Trust Review & Audit (OTRA) is responsible for identifying weaknesses
in fiduciary trust operations, rating performance, reporting findings and making
corrective action recommendations. To accomplish this, OTRA performs the
following activities:
Indian Trust Examinations (ITEs)
Tribal Trust Evaluations
Trust Records Assessments
Special Reviews
Office of Trust Review and Audit
Indian Trust Rating System (ITRS)
INDIAN TRUST
RATING SYSTEM
EXAMINATIONS
• The Indian Trust Rating
System (ITRS) was
designed and developed
by OTRA as a tool to
measure and assess the
operational performance
of Indian fiduciary trust
programs and activities.
• Organizations subject to
the examinations
include Compacted
Tribes, the Bureau of
Indian Affairs(BIA),
Bureau of Land
Management (BLM),
Office of Natural
Resource Revenue
(ONRR), and the Office
of the Special Trustee
for American Indians
(OST).
RATING
• ITRS is designed to
assess, measure and rate
fiduciary trust activities
and trust program
performance.
• Specifically, the ITRS
measures trust
performance in 4
component areas:
• MANAGEMENT
• ASSET
MANAGEMENT
• OPERATIONS
• COMPLIANCE
• Each component area
is rated, and an overall
composite score of
Superior, Satisfactory,
Needs Improvement or
Non-Compliant is
assigned.
REPORTING
• OTRA reports the
results of the exam
providing findings,
observations, and
recommendations for
corrective action or
suggested best practices.
• A written report is
drafted discussing the
details of the findings
and recommendations
along with the overall
composite rating.
• A final reports is
provided to OST Senior
Managers, Government
and Tribal Officials, as
appropriate.
Office of Trust Review and Audit
OTRA EXAMINATION UNIVERSE
Indian Trust
Examinations at
99 BIA
Agencies/Regional
Offices
3-4 year cycle
Special Reviews
(As requested)
TOTAL
Annual Tribal Trust
Evaluations at 105
390
P.L. 93-638
Entities Reviewed
COMPACT TRIBES
1-5 Year Cycles
1- 3 year cycle
Trust Records
Management
Assessments at
186 BIA/OST
sites
3 year cycle
Office of Trust Review and Audit
Indian Trust Examination Process
The Indian Trust Examinations (ITE’s) are performed at 99 Bureau of Indian Affairs
(BIA) Regional Offices & Agency locations located within the greater United States
and Alaska.
OTRA performs up to 25 Agency or Regional Office examinations per year.
The examinations are conducted in accordance with the OTRA Examiners Guidebook
and Generally Accepted Government Auditing Standards (GAGAS) for the quality of
work. The Exams are performed on a 3-4 year cycle and/or by rating score or risk
assessment.
A 30-day comment period is given for a response to the deficiencies and
recommendations and to provide a corrective action plan.
Office of Trust Review & Audit
ITE Accomplishments
Total Number of Indian Trust
Examinations (ITE) in FY 2013
Since 2004
Cumulative as of 9/30/2013
Performed 23 Indian Trust Examinations (ITE)
Identified 1106 issues in the ITEs
Identified 46 findings in the ITEs
Performed 397 Indian Trust Examinations and
issued 368 ITE reports
Issued 25 final ITE reports
Resolved 513 findings or implemented
corrective actions to address trust management
deficiencies via response or follow-up (47%)
Office of Trust Review and Audit
Annual Tribal Trust Evaluations
 OTRA is responsible for performing Annual Tribal Trust evaluations for approximately 90-105 Tribes operating
under P.L. 93-638 compacts for trust programs for the Department of the Interior. The Tribes are located within the
greater United States and Alaska.
 OTRA’s authority and mandate to perform these evaluations is pursuant to the Tribal Self-Governance Act of 1994 1
 Guidance and Criteria for conducting the evaluations are provided in 25 CFR 1000.355
 OTRA performs up to 20 tribal Annual Trust Evaluations per year.
 The Tribal Annual Trust Evaluations are performed on a 1- 3 year cycle.
 These evaluations are performed in accordance with the OTRA Indian Trust Examiners Guidebook and Government
Auditing Standards for quality work.
______________________________________________
1
25 USC 458cc(d)
Office of Trust Review and Audit
Trust Records Management Assessments
 OTRA performs Indian Trust Records Management Assessments for both the BIA and OST offices,
at approximately 198 offices located across the greater United States and Alaska.
 The scope of the OTRA records assessments are to assess trust records management practices to
ensure the safeguarding, protection and preservation of Indian Trust Records in accordance with
laws, regulations, Executive Directives and court orders.
 The records management assessments are performed by OTRA Program Analyst’s and are conducted
in accordance with the criteria and policy as established in the American Indian Records
Management Manual (AIRMM).
 OTRA performs up to 40 Records Assessments annually.
 OTRA’s trust records assessments identify records management program deficiencies, records in
jeopardy, and issue corrective actions. OTRA closely monitors, tracks, and closes the corrective
actions.
Office of Trust Review & Audit
Records Management Assessment
Accomplishments
Total Number of Records
Management Assessments
in FY 2013
Performed 58 Records Management Assessments
Since 2004
Cumulative Records Management
Assessments as of 9/30/2013
Performed 368 Records Management
Assessments
Issued 359 Records Assessment reports
Issued 57 Records Assessment reports
Identified 3,767 records management deficiencies
and 168 records in jeopardy.
Identified 256 deficiencies in the Records
Management Assessment reports
Officially closed 2,305 deficiencies (61%)
Office of Trust Review and Audit
Special Reviews
 OTRA performs special audits, reviews, or evaluations as requested by the
Special Trustee, Indian Beneficiaries, Tribes and other governmental entities
related to the management of Indian trust assets, Indian trust resources, and
Indian trust funds.
 OTRA reports findings and results and makes recommendations or referrals to
the Office of the Inspector General if appropriate.
 OTRA performs up to 2 – 3 special reviews per year.
Program Priorities
Fiscal Year 2014-2015
Office of Trust Review and Audit
OTRA plans to continue to streamline the ITRS process as follows:
 Utilize newly implemented audit automation software to gain efficiencies in report writing, work paper
documentation, quality assurance process, statistical reporting accuracy, strategic planning and exam scheduling,
cost accounting, and to improve corrective action tracking, follow-up and monitoring.
 Expand OTRA universe to include other offices and organizations responsible for or performing Indian fiduciary
trust activities, such as, BLM. And ONRR.
 Implement the 5 year strategic plan.
 Narrow the exam cycle for Tribal evaluations from 2 – 3 years to annually.
 Revise and update the Examiners Guide book to improve the exam processes and provide value-added feedback to
Tribes and Governmental entities.
 Collaborate with external offices, Tribes and governmental organizations.
Upcoming FY 2014 Trust Examination Schedule
Month
Dec/2013
Dec/2013
ITE Client
Makah Tribe of the Makah
Indian Reservation
Quinault Tribe of the
Quinault Reservation
Location
Region
Region/Agency/
Tribe
FW Time
frame
Neah Bay, WA
Northwest
Tribe
1 wk
Taholah, WA
Northwest
Tribe
1 wk
Jan/2013
Fort Yuma Agency
Yuma, AZ
Western
Agency
1 wk
Jan/2014
Truxton Canon Agency
Valentine, AZ
Western
Agency
2 wks
Jan/2014
Crow Creek Agency
Fort Thompson, SD
Great Plains
Agency
2 wks
Jan/2014
Ely Shoshone Tribe of Nevada
Ely, NV
Western
Tribe
1.5 wks
Jan/2014
Concho Agency
El Reno, OK
Southern Plains
Agency
2 wks
Jan/2014
Sac & Fox Nation of Oklahoma
Stoud, OK
Southern Plains
Tribe
3 days
Jan/2014
Eastern Navajo Agency
Crownpoint, NM
Navajo
Agency
1 wk
Feb/2014
Southern Paiute Agency
St. George, UT
Western
Agency
2 wks
Feb/2014
Suquamish Tribe Indian Tribe of
the Port Madison Reservation
Suquamish, WA
Northwest
Tribe
1 wk
Feb/2014
Port Gamble Indian Community of
the Port Gamble Reservation
Kingston, WA
Northwest
Tribe
1 Wk
Feb/2014
Quapaw Tribe of OK
Quapaw, OK
Eastern Oklahoma
Tribe
1 wk
Feb/2014
Wyandotte Nation
Wyandotte, OK
Eastern Oklahoma
Tribe
1 day
FY 2014 Trust Examination Schedule
Month
ITE Client
Location
Region
Region/Agency/
Tribe
Feb/2014
Ramah Navajo Agency
Ramah, NM
Southwest
Agency
1wk
Mar/2014
Chippewa Cree Indians of the
Rocky Boy’s Res
Box Elder, MT
Rocky Mountain
Tribe
2 wks
Mar/2014
Northern California Agency
Redding, CA
Pacific
Agency
2 wks
Mar/2014
Absentee Shawnee Tribe of OK
Shawnee, OK
Southern Plains
Tribe
1 wk
Mar/2014
Citizen Potawatomi Nation
Shawnee, OK
Southern Plains
Tribe
3 days
Mar/2014
Lummi Tribe of the Lummi Res
Bellingham, WA
Northwest
Tribe
3 days
Mar/2014
Puget Sound Agency
Everette, WA
Northwest
Agency
1 wk
Apr/2014
OAS - Southwest Region
Albuquerque, NM
Southwest
Region
2 wks
Cloquet, MN
Midwest
Tribe
2 wks*
Cass Lake, MN
Midwest
Tribe
2 wks*
Apr/2014
Apr/2014
Fond du Lac Band (Minnesota
Chippewa Tribe)
Leech Lake Band (Minnesota
Chippewa Tribe)
FW Time
frame
Apr/2014
Central California Agency
Sacramento, CA
Pacific
Agency
2 wks
Apr/2014
Wind River Agency
Ft. Washaki, WY
Rocky Mountain
Agency
1.5 wks
Apr/2014
Duck valey Shoshone Paiute
Tribes
Owyhee, NV
Western
Tribe
1 wk
Apr/2014
Duckwater Shoshone Tribe
Duckwater, NV
western
Tribe
3days
FY 2014 Trust Examination Schedule
Month
ITE Client
Location
Region
Region/Agency/
Tribe
FW Time
frame
May/2014
Confederated Salish & Kootenai
Tribes of the Flathead Res.
Pablo, MT
Northwest
Tribe
1.5 wks
May/2014
Pine Ridge Agency
Pine Ridge, SD
Great Plains
Agency
2wks
May/2014
Oneida Tribe of Indians of
Wisconsin
Oneida, WI
Midwest
Tribe
1.5 wks
May/2014
Sisseton Agency
Agency Village, SD
Great Plains
Agency
2 wks
May/2014
White Earth Band of Chippewa
Indians
White Earth, MN
Midwest
Tribe
1 wk
May/2014
Rocky Mountain Region LTRO
Billings, MT
Rocky Mountain
Agency
1 wk
Jun/2014
Mille Lacs Band of Ojibwe
Onamia, MN
Midwest
Tribe
2 wks
Jun/2014
Minnesota Agency
Bemidji, MN
Midwest
Agency
2 wks
Jun/2014
Osage Agency
Pawhuska, OK
Southern Plains
Agency
1 wk
Jun/2014
Blackfeet Agency
Browning, MT
Northwest
Agency
1 wk
Jul/2014
Uintah & Ouray Agency
Duchesne, UT
Western
Agency
2 wks
Jul/2014
Fairbanks Agency
Fairbanks, AK
Alaska
Agency
1.5 wks
Jul/2014
Red Lake Band of Chippewa
Indians
Red Lake, MN
Midwest
Tribe
1 wk
Jul/2014
Northern Idaho Agency
Lapwai, ID
Northwest
Agency
1.5 wks
FY 2014 Trust Examination Schedule
Month
ITE Client
Location
Region
Region/Agency/
Tribe
FW Time
frame
Jul/2014
Fort hall Agency
Fort Hall, ID
Northwest
Agency
2 wks
Aug/2014
Great Lakes Agency
Ashland, WI
Midwest
Agency
2 wks
Aug/2014
Chugachmuit Inc.
Anchorage, AK
Alaska
Tribe
2 wks*
Aug/2014
OAS - Alaska Region
Anchorage, AK
Alaska
Region
2 wks*
Aug/2014
S. Pueblos Agency
Albuquerque, NM
Southwest
Agency
2 wks
Aug/2014
Shiprock Agency
Shiprock, NM
Navajo
Agency
1 wk
Aug/2014
Cherokee Nation
Tahlequah, OK
Eastern Oklahoma
Tribe
1 wk
Aug/2014
Navajo Regional Office
Gallup, NM
Navajo
Region
1.5 wks
PROGRAM MANAGEMENT
STRATEGIC PLANS
GOING FORWARD
Program Priorities
Fiscal Year 2014-2015
Office of Trust Records
On Going Technical Assistance, Records Management
Review and Updating
Electronic Records Departmental Management System
(eERDMS)
• Conversion from paper to electronic
• Open-Text searchable Records
• Storage of Records
Program Priorities
Fiscal Year 2014-2015
Office of Trust Records
Reengineering of Trust Records Processes
• Duplicative Processes
• Reduction of Backlogs
• Increase efficiency of Research Requests
• Box Criteria
• Greater Inventory control at AIRR
• Reduction of Backlogs
• Increase efficiency of Research Requests
Program Priorities
Fiscal Year 2014-2015
Office of Risk Management
Improve OST staff
expertise by publishing
and Implementing Risk
Management Handbook
Develop, offer, and conduct
computer based training or
mandatory online training
on internal controls using
the newly developed
Handbook as source
document.
Updates of SelfAssessment Tool
Enhance the existing risk
management tool (RMPlus) to facilitate more
efficient assessing and
reporting.
Continuous Monitoring of
Management & Internal
Controls
Continue proactive
identification of risk
associated with program
activities and
implementation of controls
to mitigate identified risk.
PROGRAM MANAGEMENT
Contact Information
John E. White, Deputy Special Trustee, (505) 816-1328
[email protected]
Nolan Solomon, Management and Program Analyst, (505) 816-1257
[email protected]
Elizabeth Wells Shollenberger, OTRA Director, (505) 816-1286
[email protected]
Karen Foster, OTR Director, (505) 816-1065
[email protected]
Harvey Gates, ORM Supervisor, (202) 208-4518
[email protected]

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