23 rd annual bia alaska region tribal providers conference office of the special trustee for...

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:

(Pictured left to right: Elizabeth Wells, Harvey Gates, John White, Karen Foster, Nolan Solomon)

Office of Trust Records

Office of Risk Management

Office of Trust Review and Audit


DEPUTY SPECIAL TRUSTEE FOR PROGRAM MANAGEMENT

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)

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)

Office of Trust RecordsOperational Responsibilities

DST-PM Office of Trust RecordsOperational 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


*


(Pictured left to right John Constable, Bonnie Winters, Michelle Yazzie, Harvey Gates)

The Office of Risk Management under the

direction of Harvey Gates, Supervisory Program Analyst,

reports to the Deputy Special Trustee for

Program Management.

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.

Office of Risk Management Operational Responsibilities

Office of Trust Review and AuditThe Office of Trust Review and Audit (OTRA) under the

direction of Elizabeth Wells-Shollenberger, Director, reports to the Deputy Special Trustee for Program Management.



Operational ResponsibilitiesOffice 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 AuditIndian 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.


TOTAL390

Entities Reviewed1-5 Year Cycles

Indian Trust Examinations at

99 BIA Agencies/Regional

Offices3-4 year cycle

Annual Tribal Trust Evaluations at 105

P.L. 93-638COMPACT TRIBES

1- 3 year cycle

Trust Records Management

Assessments at186 BIA/OST

sites3 year cycle

Special Reviews(As requested)

OTRA EXAMINATION UNIVERSE

Office of Trust Review and AuditIndian 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 & AuditITE Accomplishments

Performed 23 Indian Trust Examinations (ITE)

Identified 46 findings in the ITEs

Issued 25 final ITE reports

Total Number of Indian Trust Examinations (ITE) in FY 2013

Performed 397 Indian Trust Examinations and issued 368 ITE reports

Identified 1106 issues in the ITEs

Resolved 513 findings or implemented corrective actions to address trust management deficiencies via response or follow-up (47%)

Since 2004Cumulative as of 9/30/2013

Office of Trust Review and AuditAnnual 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 AuditTrust Records Management

AssessmentsOTRA 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

Total Number of Records Management Assessments

in FY 2013

Performed 58 Records Management Assessments

Issued 57 Records Assessment reports

Identified 256 deficiencies in the Records Management Assessment reports

Since 2004Cumulative Records Management

Assessments as of 9/30/2013

Performed 368 Records Management Assessments

Issued 359 Records Assessment reports

Identified 3,767 records management deficiencies and 168 records in jeopardy.

Officially closed 2,305 deficiencies (61%)

Records Management Assessment Accomplishments

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.


Special Reviews

Program PrioritiesFiscal Year 2014-2015


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 ITE Client Location RegionRegion/

Agency/TribeFW Time

frame

Dec/2013 Makah Tribe of the Makah Indian Reservation Neah Bay, WA Northwest Tribe 1 wk

Dec/2013 Quinault Tribe of the Quinault Reservation 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


Agency/TribeFW Time

frame

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

Apr/2014 Fond du Lac Band (Minnesota Chippewa Tribe) Cloquet, MN Midwest Tribe 2 wks*

Apr/2014 Leech Lake Band (Minnesota Chippewa Tribe) Cass Lake, MN Midwest Tribe 2 wks*

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



Agency/TribeFW 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



Agency/TribeFW 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 MANAGEMENTSTRATEGIC PLANS

GOING FORWARD

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



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





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 Self-Assessment Tool

Enhance the existing risk management tool (RM-Plus) 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 MANAGEMENTContact 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]

mailto:[email protected]





23 rd annual bia alaska region tribal providers conference office of the special trustee for...

Documents

office of management

office of trust records

indian trust records

ost trust records

office of hearings

following office operations

records administration

audit slide