December 3, 2013

1. 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

2. OST Organization Chart

3. Organization Chart

4. 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)

5. 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)

6. Office of Trust Records Operational Responsibilities

7. DST-PM Office of Trust Records Operational Responsibilities

8. 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. *

9. Office of Risk Management Operational Responsibilities

10. 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.

11. Office of Trust Review and AuditOperational 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:

12. Office of Trust Review and AuditIndian Trust Rating System (ITRS)

13. Office of Trust Review and Audit OTRA EXAMINATION UNIVERSE

14. Office of Trust Review and AuditIndian Trust Examination Process • The Indian Trust Examinations (ITE’s) are performed at 99Bureau 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.

15. Office of Trust Review & Audit ITE Accomplishments

16. 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)

17. Office of Trust Review and AuditTrust 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.

18. Office of Trust Review & Audit Records Management Assessment Accomplishments

19. Office of Trust Review and AuditSpecial 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.

20. Program PrioritiesFiscal 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.

21. Upcoming FY 2014 Trust Examination Schedule

22. FY 2014 Trust Examination Schedule

23. FY 2014 Trust Examination Schedule

24. FY 2014 Trust Examination Schedule

25. PROGRAM MANAGEMENTSTRATEGIC PLANS GOING FORWARD

26. Program PrioritiesFiscal Year 2014-2015 • Office of Trust Records

27. Program PrioritiesFiscal Year 2014-2015 • Office of Trust Records

28. Program PrioritiesFiscal Year 2014-2015 • Office of Risk Management

29. PROGRAM MANAGEMENTContact Information John E. White, Deputy Special Trustee, (505) 816-1328 John_White@ost.doi.gov Nolan Solomon, Management and Program Analyst, (505) 816-1257 Nolan_Solomon@ost.doi.gov Elizabeth Wells Shollenberger, OTRA Director, (505) 816-1286 Elizabeth_Wells@ost.doi.gov Karen Foster, OTR Director, (505) 816-1065 Karen_Foster@ost.doi.gov Harvey Gates, ORM Supervisor, (202) 208-4518 Harvey_Gates@ost.doi.gov