23 rd 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 RecordsOffice of Risk ManagementOffice of Trust Review and Audit

Office of Trust Records 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 Records Operational Responsibilities

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 (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 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. 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 TOTAL 390 Entities Reviewed 1-5 Year Cycles Indian Trust Examinations at 99 BIA Agencies/Regional Offices 3-4 year cycle Annual Tribal Trust Evaluations at 105 P.L COMPACT TRIBES 1- 3 year cycle Trust Records Management Assessments at 186 BIA/OST sites 3 year cycle Special Reviews (As requested) OTRA EXAMINATION UNIVERSE

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 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 2004 Cumulative as of 9/30/2013

Office of Trust Review and Audit Annual Tribal Trust Evaluations  OTRA is responsible for performing Annual Tribal Trust evaluations for approximately Tribes operating under P.L 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  Guidance and Criteria for conducting the evaluations are provided in 25 CFR  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 Total Number of Records Management Assessments in FY 2013 Performed 58 Records Management AssessmentsIssued 57 Records Assessment reports Identified 256 deficiencies in the Records Management Assessment reports Since 2004 Cumulative 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. Office of Trust Review and Audit Special Reviews

Program Priorities Fiscal Year 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

FY 2014 Trust Examination Schedule

PROGRAM MANAGEMENT STRATEGIC 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 Program Priorities Fiscal Year 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 Office of Trust Records

Program Priorities Fiscal Year 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 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 MANAGEMENT Contact Information John E. White, Deputy Special Trustee, (505) Nolan Solomon, Management and Program Analyst, (505) Elizabeth Wells Shollenberger, OTRA Director, (505) Karen Foster, OTR Director, (505) Harvey Gates, ORM Supervisor, (202)