IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA ELOUISE PEPION COBELL, et al., ) ) Plaintiffs, ) ) v. ) Case No. 1:96cv01285-JR ) KEN SALAZAR, Secretary of the ) Interior, et al., ) ) Defendants. ) _________________________________) NOTICE OF FILING OF INTERIOR DEFENDANTS’ THIRTY-SIXTH STATUS REPORT Interior Defendants hereby give notice of the filing of their thirty-sixth report due in accordance with the Order of December 21, 1999. A copy of the report is attached hereto. Dated: May 1, 2009 Respectfully submitted, TONY WEST Assistant Attorney General MICHAEL F. HERTZ Deputy Assistant Attorney General J. CHRISTOPHER KOHN Director /s/ Robert E. Kirschman, Jr. ROBERT E. KIRSCHMAN, Jr. Deputy Director (D.C. Bar No. 406635) JOHN R. KRESSE Trial Attorney Commercial Litigation Branch Civil Division P.O. Box 875 Ben Franklin Station Washington, D.C. 20044-0875 Phone (202) 616-2238 Fax (202) 307-0494 CERTIFICATE OF SERVICE I hereby certify that, on May 1, 2009 the foregoing Notice of Filing of Interior Defendants’ Thirty-Sixth Status Report was served by Electronic Case Filing, and on the following who is not registered for Electronic Case Filing, by facsimile: Earl Old Person (Pro se) Blackfeet Tribe P.O. Box 850 Browning, MT 59417 Fax (406) 338-7530 /s/ Kevin P. Kingston Kevin P. Kingston Status Report to the Court Number Thirty-Six For the Period January 1, 2009 through March 31, 2009 May 1, 2009 May 1, 2009 Table of Contents TABLE OF CONTENTS INTRODUCTION......................................................................................................................... 1 I. OFFICE OF THE SPECIAL TRUSTEE FOR AMERICAN INDIANS......................... 3 A. OFFICE OF HISTORICAL TRUST ACCOUNTING ................................................. 5 B. TRUST SERVICES – CURRENT ACCOUNTING.................................................... 11 C. OFFICE OF TRUST RECORDS .................................................................................. 15 D. TRUST ACCOUNTABILITY ....................................................................................... 17 1. TRUST BUSINESS PROCESS MODELING.......................................................... 17 2. TRUST DATA QUALITY AND INTEGRITY........................................................ 19 3. INDIAN FIDUCIARY TRUST TRAINING PROGRAM ...................................... 21 4. RISK MANAGEMENT.............................................................................................. 23 5. TRUST REGULATIONS, POLICIES AND PROCEDURES ............................... 25 E. TRUST REVIEW AND AUDIT .................................................................................... 27 F. OFFICE OF APPRAISAL SERVICES........................................................................ 29 II. INDIAN AFFAIRS.............................................................................................................. 31 A. TRUST REGULATIONS, POLICIES AND PROCEDURES ................................... 31 III. BUREAU OF INDIAN AFFAIRS ................................................................................. 33 A. FRACTIONATION ........................................................................................................ 33 B. PROBATE ....................................................................................................................... 35 IV. OTHER TOPICS ............................................................................................................ 37 A. INFORMATION TECHNOLOGY............................................................................... 37 B. CADASTRAL SURVEY ................................................................................................ 41 C. MINERALS MANAGEMENT SERVICE ................................................................... 43 ACRONYMS AND ABBREVIATIONS................................................................................... 45 May 1, 2009 THIS PAGE INTENTIONALLY BLANK May 1, 2009 Introduction INTRODUCTION This Status Report to the Court Number Thirty-Six (Report) represents the period from January 1, 2009, through March 31, 2009. The Report is presented for the purpose of informing the Court of actions taken since the issuance of the preceding quarterly report. The Report includes delays in and obstacles to trust reform activities. A report on the progress of the historical accounting of individual Indian beneficiary funds managed by Interior is a primary part of the Report.1 This Report is prepared in a manner consistent with previous reports to the Court. Managers from the Office of Historical Trust Accounting, Office of the Special Trustee for American Indians, Office of the Chief Information Officer, Bureau of Indian Affairs, Bureau of Land Management, and Minerals Management Service submit reports on the status of their respective Indian trust activities. A glossary of acronyms and abbreviations is included in this Report. The glossary is located at the end of the Report. This Report contains information on the broad trust reform efforts underway at Interior. Accordingly, it may include information on reform efforts that are not within the scope of the Cobell litigation. May 1, 2009 THIS PAGE INTENTIONALLY BLANK May 1, 2009 Office of the Special Trustee for American Indians I. OFFICE OF THE SPECIAL TRUSTEE FOR AMERICAN INDIANS This Report contains general information on the implementation of the many trust reform projects. Of particular interest to the Court may be the report from OHTA. In this report, the Court will find the work being done to resolve many special deposit accounts, the continued research into past paper records to support the ongoing accounting and the testing of systems to determine their accuracy. Assurance Statement The comments are provided by the Acting Special Trustee for American Indians and reflect the opinion of the Acting Special Trustee only. Date: April 22, 2009 Name: Signature on File Donna Erwin Acting Special Trustee for American Indians May 1, 2009 THIS PAGE INTENTIONALLY BLANK May 1, 2009 Office of Historical Trust Accounting A. OFFICE OF HISTORICAL TRUST ACCOUNTING Introduction OHTA’s historical accounting includes all transactions in IIM accounts open on or after October 25, 1994 (the enactment date of the American Indian Trust Fund Management Reform Act), through the earlier of the date of account closure or December 31, 2000. OST has regularly issued account statements to IIM account holders since the end of 2000. Current Status Electronic Ledger Era DCV tests and interest recalculation work, as described below, were completed on an additional 5,464 Land-Based IIM accounts, for a cumulative total of 169,259 Land-Based IIM accounts. Thus, in accordance with OHTA’s 2007 Plan, HSAs reflecting Electronic Ledger Era activity can now be prepared for 169,259 Land-Based IIM accounts from the Electronic Ledger Era (in addition to the 66,130 Judgment and Per Capita IIM accounts awaiting court approval) Data Completeness Validation: Confirming Completeness of Land-Based IIM Accounts Through System Tests DCV is a process consisting of multiple tests: Transaction and Disbursement Mapping, Balance Comparison, Account Number Review, and System Conversion Tests. Transaction Mapping: Confirms whether transfer and reversal transactions are correctly posted within the IIM accounting systems (i.e., that no transactions are missing from the electronic dataset). This test is 98.4% complete. During this reporting period, transaction mapping for approximately 1,798,000 transactions was completed. Of these, 122,240 were pre-December 31, 2000, transactions. The number of transactions that require mapping increases as IRMS transactions are restored to the dataset and current-period TFAS transactions are added to the dataset. Disbursement Mapping: Confirms the status of disbursements issued during the timeframes of the Treasury CP&R System for check payments and the Treasury PACER System for electronic payments. Additionally, this test is used to identify cancelled disbursements which should be re-credited to an IIM account. The mapping of the CP&R data through April 30, 2006, is 99.4% complete. The mapping of the PACER data through March 31, 2008, is 100% complete. Disbursement Mapping is updated as data are received from Treasury on current check and electronic disbursements. OHTA did not receive data from Treasury during this reporting period. Balance Comparison: Confirms whether transactions that would be included in an HSA correspond to the December 31, 2000, TFAS balance. This test is 100% complete for TFAS data May 1, 2009 Office of Historical Trust Accounting and 94.6% complete for the IRMS data. During this reporting period, 5,007 out-of-balance accounts were resolved so that the December 31, 2000, balance and the transactional data now agree. Account Number Review: Ensures that OHTA provides the appropriate transactions to each IIM account holder who would receive an HSA regardless of whether the account number was reused or changed historically. This test is 99.9% complete. During this reporting period, work continued on identifying new accounts and identifying when an account number has been reused historically and/or an account has multiple names but was owned by a single individual. The number of transactions reviewed increases as IRMS transactions are restored to the dataset and current period TFAS transactions are added to the dataset. System Conversion Test: During this reporting period, the preliminary listing of IIM accounts open during the pre-1985 Paper Ledger Era continued to be updated for testing the conversion from paper ledgers to IRMS. The OHTA copy of the Electronic Ledger Era IRMS database contains 56,769,636 transactions to date, including 340,286 restored transactions, of which approximately 14,950 were restored during this reporting period. OHTA also has identified 3,423,368 IRMS account balance records, including 334,468 restored balances, of which approximately 2,300 IRMS balances were restored during this reporting period. The foregoing tests were designed to and have identified transactions and balances which were in the original IRMS electronic dataset but were not available in the electronic database provided by OST to OHTA. Interest Recalculation for Land-Based IIM Accounts The objective of interest recalculation is to provide a detailed estimate of the interest that should have been posted to an account, applying the same interest distribution policies that BIA and OST used historically. The interest recalculation also serves as an additional data completeness test since missing transactions in the dataset would cause an exception in the interest recalculation. The recalculated interest is then compared to the actual posted interest to identify variances. OHTA continued interest recalculation work for IIM accounts in all BIA regions. Interest recalculation was completed during this reporting period for 5,343 IIM Land-Based accounts, increasing the total of such tested accounts to 173,161 within all 12 BIA Regions. The accuracy of interest postings is quality-control checked by a professional accounting firm contractor not involved in the interest recalculation effort. May 1, 2009 Office of Historical Trust Accounting Paper Ledger Era Reconstruction of Paper Ledger Era IIM Accounts OHTA continues to research and examine IIM records from the Paper Ledger Era to determine the accuracy and reliability of transactions that should be included in HSAs for Cobell class members. During a previous reporting period, a sample was drawn from the subpopulation of accounts either known or believed likely to have transactions beginning in the Paper Ledger Era and continuing into the Electronic Ledger Era. The search to locate the paper ledgers for these accounts continued during the current reporting period. Additionally, OHTA continued to review account jacket files and paper ledgers to assess when each sampled IIM account opened. OHTA reviewed 28 reconstructed accounts from the BIA Southern Plains Region containing approximately 9,500 non-excluded transactions in preparation for reconciliation testing. OHTA completed its review of draft procedures for the reconstruction of Paper Ledger Era accounts, which OHTA expects to add to the ASM during the next reporting period. Reconciliation of Paper Ledger Era Transactions As previously reported, to conduct a “Proof-of-Concept,” a pilot sample of 35 non-interest transactions was drawn from reconstructed Land-Based IIM accounts in the BIA Southern Plains Region. OHTA continued to reconcile these sampled transactions in accordance with the ASM throughout this reporting period. As a result of the reconciliation activities, seven selected transactions were determined to be out-of-scope. Reconciliation and quality assurance procedures were completed for two sampled non-interest transactions from the BIA Alaska Region and 11 sampled non-interest transactions from the BIA Southern Plains Region. As previously reported, a sample was drawn from the subpopulation of accounts either known or believed likely to have transactions beginning in the Paper Ledger Era and continuing into the Electronic Ledger Era. The search to locate the paper ledgers for these accounts continued. Additionally, OHTA continued to review account jacket files and paper ledgers to assess when the reconstruction of Paper Ledger Era account activity has been completed. Judgment and Per Capita IIM Accounts Results to date are summarized in Status Report to the Court Number Twenty-Nine. No further work was conducted on these accounts during this reporting period. OHTA still awaits approval from the Court to mail 66,130 HSAs to Judgment and Per Capita IIM account holders. May 1, 2009 Office of Historical Trust Accounting OHTA SDA Distribution Project – Undistributed SDA Balances OHTA’s work resulted in the distribution of $373,254 from SDA, raising the total distributed as of March 31, 2009, to $52.3 million. As of March 31, 2009, 10,639 SDA totaling $14,660,568 (plus $5 million in interest) remain to be resolved and distributed. Of those remaining SDA, 71.5% have balances of less than $500 each, involving 4.2% of the residual dollars. As reflected in the table below, OHTA’s distribution of residual SDA balances continues to show that only about one-third of undistributed SDA funds belonged to IIM account holders. OHTA’s work has also confirmed that, historically, Interior credited monies into the IIM accounting systems that were never intended for individual Indians. OHTA SDA DISTRIBUTION PROJECT (1) SDA Resolved Dollars Transfer to Tribal Accounts Transfer to IIM Accounts Paid to Non-Indian, Third Party and Other (2) Total Dollars resolved as of December 31, 2008 $16,773,583 $17,314,268 $17,705,265 $51,793.116 Dollars resolved from January 1, 2009 through March 31, 2009 $309,384 $125,087 $ 79,004 $513,475 Total Dollars Distributed as of March 31, 2009 $17,082,967 $17,439,355 $17,784,269 $52,306,591 Percent of Dollars Distributed 32.66% 33.34% 34.00% 100% Note (1) Includes historic SDA principal and interest postings through the date of distribution (i.e., total distribution amounts). Note (2) Includes transfers to Treasury, account reclassifications, transfers to non-Indian parties and transfers to Interior’s Federal Finance System. Imaging, Coding and Digitizing Individual Indian Trust Documents OHTA completed imaging 977,588 IIM document pages, coding 214,122 IIM documents and loading 212,012 IIM documents into ART. As of April 1, 2009, ART contained 13.1 million coded IIM images and 10.6 million coded tribal images. The coded images to date total approximately 23.7 million, constituting 4.9 million IIM and tribal documents. Digitizing follows imaging and coding and involves adding the transaction data to the electronic dataset. OHTA digitized 4,487 Paper Ledger Era transactions that will be sampled for reconciliation. OHTA also digitized 14,966 Electronic Ledger Era transactions and 2,372 Electronic Ledger Era balance files that were found only in paper records. May 1, 2009 Office of Historical Trust Accounting Delays and Obstacles OHTA responds to information needs of SOL and the Department of Justice in the Cobell v. Salazar litigation and 94 tribal trust cases pending in multiple federal district courts and the Court of Federal Claims. As a result, other OHTA work has received lower priority and fewer resources. Specifically, OHTA now expects to complete the final 45,000 HSAs for Electronic Ledger Era transactions in land-based accounts during FY2010, rather than by the end of FY2009 as initially estimated in the 2007 Plan. Assurance Statement I concur with the contents of the information contained in the Office of Historical Trust Accounting section of the Status Report to the Court Number Thirty-Six. The information provided in this section is accurate to the best of my knowledge. Date: April 22, 2009 Name: Signature on File Bert T. Edwards, Executive Director Office of Historical Trust Accounting May 1, 2009 THIS PAGE INTENTIONALLY BLANK May 1, 2009 Trust Services – Current Accounting B. TRUST SERVICES – CURRENT ACCOUNTING Introduction Current accounting activities focus on: (a) special deposit accounts; (b) whereabouts unknown accounts; and (c) small balance accounts. a. Special Deposit Account Activity Current Status BIA has the responsibility for distribution of SDA funds received since January 1, 2003 (prospective receipts). Current SDA are those which cannot be distributed due to pending appeals of range rates and mineral leases, SOL opinions and cadastral surveys. During this reporting period, there were 28 receipt transactions posted to SDA that qualified in one of the exception categories. Decisions on appeals of range rates permitted the distribution of $156,260.51 (principal)2 and are expected to permit the distribution of $77,919.43 during the next reporting period. Remaining in current SDA are: $95,208.26 pending mineral lease appeals; $94,721.56 pending SOL opinions; and $7,044.45 pending cadastral surveys. In addition, the SDA non-trust receipt ($176.00) that had been erroneously deposited was resolved. OST staff has assisted BIA staff in performing work necessary to distribute aged range receipts at the Blackfeet Agency. b. Whereabouts Unknown Accounts Current Status OST continues to secure current addresses for account holders of the rolling top 100 highest dollar balance WAU accounts. During this reporting period, 15 of the top 100 WAU accounts, with combined account balances of approximately $1.6 million were updated with current addresses. During this reporting period, 6,652 accounts with a combined balance of $3.3 million were added to the WAU list, while 4,674 accounts with a combined balance of $7.2 million were updated with current addresses. As of March 31, 2009, there were 87,619 WAU accounts with a combined balance of $74.2 million. Currently there are 29 WAU accounts with balances greater than $100,000. The combined balance of these 29 WAU accounts makes up 6.6% of the current $74.2 million combined WAU account balance. IIM accounts coded as WAU earn interest in the same manner 2 All amounts reflect the amount of the original SDA deposit. Any interest earned is paid at the time of distribution. May 1, 2009 Trust Services – Current Accounting as all other IIM accounts. The following table illustrates the number of accounts stratified by account balance and WAU category. Account Balance Correspondence/ Check Returned Account Setup/No Address Awaiting Address Confirmation Refused/ Unclaimed Mail Total Equal to or over $100,000 18 11 0 0 29 Under $100,000 and equal to or over $50,000 44 20 1 1 66 Under $50,000 and equal to or over $5,000 2,292 808 3 2 3,105 Under $5,000 and equal to or over $1,000 5,629 1,604 0 8 7,241 Under $1,000 and equal to or over $100 9,461 3,989 10 6 13,466 Under $100 and equal to or over $1 16,631 7,343 23 30 24,027 Under $1 13,274 26,317 71 23 39,685 Total 47,349 40,092 108 70 87,619 c. Small Balance Accounts Current Status As of March 31, 2009, there were 19,907 accounts with a $.01 - $1.00 balance and no activity for the previous 18 months. The total in those accounts was $5,660.01. Statements are sent to account holders for these accounts on an annual basis pursuant to direction from Congress. May 1, 2009 Trust Services – Current Accounting Assurance Statements I concur with the content of the information contained in the Whereabouts Unknown Accounts subsection of the Current Accounting Activities section of the Status Report to the Court Number Thirty-Six. The information provided in this subsection is accurate to the best of my knowledge. Date: April 15, 2009 Name: Signature on File Bryan Marozas Program Manager, Trust Beneficiary Call Center Office of the Special Trustee for American Indians I express no opinion on the content of the Whereabouts Unknown Accounts subsection, above. I concur with the content of the information contained in the balance of the Current Accounting Activities section of the Status Report to the Court Number Thirty-Six, and this information is accurate to the best of my knowledge. Date: April 23, 2009 Name: Signature on File Margaret Williams Deputy Special Trustee, Trust Accountability Office of the Special Trustee for American Indians May 1, 2009 THIS PAGE INTENTIONALLY BLANK May 1, 2009 Office of Trust Records C. OFFICE OF TRUST RECORDS Introduction The Office of Trust Records was established in 1999 to develop and implement a program for the economical and efficient management of trust records, consistent with the 1994 Act, the Federal Records Act and other statutes and implementing regulations. The OTR records management program has been developed and implemented, and continues to evolve, to ensure that necessary Indian records are maintained, records retention schedules are consistent with retention needs, and records are safeguarded throughout their life-cycles. The American Indian Records Repository, located in Lenexa, Kansas, was built by Interior in collaboration with NARA for the purpose of consolidating and preserving Indian records at one NARA regional records center. Accomplishments American Indian Records Repository Approximately 2,126 boxes of inactive records were moved from BIA and OST field locations to the Lenexa Annex for indexing during this reporting period. Indexing of approximately 188,770 boxes has been completed as of the end of this reporting period. 178,749 indexed boxes have been sent to AIRR for permanent storage. Training OTR provided records management training for 190 BIA and OST records contacts and 82 tribal employees during this reporting period. OTR provides records management training to Tribes as they request training. Current Status Records Retention Schedules As previously reported, several records retention schedules for BIA electronic records systems remain at NARA for review. AIRR OTR anticipates that it will terminate its indexing contract on June 30, 2009. OTR will use federal employees to continue indexing records. May 1, 2009 Office of Trust Records Delays and Obstacles Court orders in tribal litigation cases continue to restrict movement of records to AIRR, which limits Interior’s ability to consolidate Indian records in a central location, thus hindering its ability to provide records to parties in litigation. Assurance Statement I concur with the content of the information contained in the Office of Trust Records section of the Status Report to the Court Number Thirty-Six. The information provided in this section is accurate to the best of my knowledge. Date: April 21 2009 Name: Signature on File Ethel J. Abeita Director, Office of Trust Records Office of the Special Trustee for American Indians May 1, 2009 Trust Business Process Modeling D. TRUST ACCOUNTABILITY 1. TRUST BUSINESS PROCESS MODELING Introduction Interior is working to build a highly effective fiduciary trust services organization by implementing the business objectives contained in the Comprehensive Trust Management Plan. The CTM laid the groundwork for the development of the Fiduciary Trust Model. The FTM is being implemented to transform the current trust business processes into more efficient, consistent, integrated and fiscally responsible business processes that meet the needs and priorities of the beneficiaries. Implementation of the FTM is a collaborative effort of BIA, OST, BLM, MMS and OHA, and is integrated with Interior’s other trust reform initiatives. Current Status Reengineering staff: • Continued to provide technical support for identifying system requirements for various TAAMS modules. • Continued to perform UAT of TAAMS, which included the financial module during this reporting period. • Continued to provide technical support for conversion of RDRS to an oil and gas royalty management module within TAAMS. • Continued to provide support to the BIA Ft. Berthold Agency by researching oil and gas development activities. • Continued to provide the Ft. Berthold Agency with updated maps identifying new well site locations. • Received comments from BIA on the draft LTRO handbook. BIA requested that reengineering staff assume the project lead to finalize the handbook. The handbook will establish a core set of standardized policies, procedures and business rules for BIA LTRO operations. Assurance Statement I concur with the content of the information contained in the Trust Business Process Modeling section of the Status Report to the Court Number Thirty-Six. The information provided in this section is accurate to the best of my knowledge. Date: April 23, 2009 Name: Signature on File Margaret Williams Deputy Special Trustee, Trust Accountability Office of the Special Trustee for American Indians May 1, 2009 THIS PAGE INTENTIONALLY BLANK May 1, 2009 Trust Data Quality and Integrity 2. TRUST DATA QUALITY AND INTEGRITY Introduction The success of trust reform depends, in part, on the accuracy of data generated from the maintenance of trust assets, ownership of trust assets, distribution of trust income, and management of trust accounts. The DQ&I project focuses on three primary initiatives. The first initiative is assisting BIA with document encoding into TAAMS leasing and title modules. The second initiative involves the validation and correction of CDE to their respective source documents. CDE are those trust data elements that are needed to provide: (1) timely and accurate payments to beneficiaries; (2) timely and accurate periodic statements of performance to beneficiaries; and (3) effective management of the assets. CDE include, but are not limited to, beneficiary name, account number, tract identification number, and land ownership interests. The third initiative is implementation of a Post-QA review process, which helps ensure ongoing accuracy of CDE by comparing TAAMS document encoding to the respective source input document. Accomplishments During this reporting period, TPMC's contractors completed: • Encoding Ahtna Regional Corporation land tracts (193) for ARO LTRO. • Encoding Cook Inlet Regional Corporation land tracts (155) for ARO LTRO. • Encoding Bering Straits Regional Corporation land tracts (891) for ARO LTRO. • Encoding legal land descriptions (56) for the NWRO LTRO. • Encoding lease documents (270) and legal document expiration dates (790) for Palm Springs Agency. • Researching and updating contractor addresses (669) for Palm Springs Agency. Current Status TPMC’s contractors continued to assist BIA and Tribes with TAAMS Leasing post-conversion and TAAMS Title cleanup efforts by: • Conducting Post-QA review of 14,122 (cumulative total 269,265) transactions encoded into TAAMS at the BIA LTROs and the contractor’s Albuquerque office. • Encoding 53 (cumulative total 667) ID numbers and 61 (cumulative total 457) probate orders for PRO LTRO. • Encoding 856 (cumulative total 1,688) variance sheets and 7,253 (cumulative total 18,295) landowner ID numbers for SWRO LTRO. May 1, 2009 Trust Data Quality and Integrity • Encoding 36 Aleut Regional Corporation land tracts for ARO LTRO. • Researching 830 (cumulative total 4,603) landowner ID numbers for PRO LTRO and 133 (cumulative total 4,866) for SWRO LTRO. • Researching and validating 17 land tracts and encoding 49 forestry contracts/permits for the Consolidated Salish-Kootenai tribes (Flathead Agency). TPMC’s contractor also assisted FIMO with distributing an additional $16,785.94 (cumulative total of $73,064.66) to IIM account holders affected by FIMO’s oil and gas lease re-numbering issue, as previously reported. Assurance Statement I concur with the content of the information contained in the Trust Data Quality and Integrity section of the Status Report to the Court Number Thirty-Six. The information provided in this section is accurate to the best of my knowledge. Date: April 22, 2009 Name: Signature on File John E. White Trust Reform Officer, Trust Accountability Office of the Special Trustee for American Indians May 1, 2009 Indian Fiduciary Trust Training Program 3. INDIAN FIDUCIARY TRUST TRAINING PROGRAM Introduction Interior has a continuing responsibility to provide adequate staffing, supervision and training for trust fund management and accounting activities. Fiduciary trust training is essential to the success of Interior’s trust reform efforts and forms an integral part of all training for Interior employees who are involved in the management of Indian trust assets. Accomplishment Canon Financial Institute presented the updated Trust Investment course for the first time to 21 employees of OST. OST expects to incorporate the course on an on-going basis as part of the Certified Indian Fiduciary Trust Specialist program. Current Status During this reporting period, Cannon Financial Institute presented seven specialty courses to 124 employees of OST, BIA and Tribes. The specialty courses, Asset Management, Fiduciary Behaviors, Guardianship, Trust Principles, Probate, Risk Management, and Trust Accounting are part of the Certified Indian Fiduciary Trust Specialist program. During this reporting period, OST training staff conducted four training sessions for 27 employees and contractors from OST and BIA on the use of TFAS and related systems and reporting programs that include: • CSS – used to enter, approve and post cash transactions; • Stratavision – contains daily, weekly and monthly reports from OST systems for viewing by OST and BIA staff; • Historical Query Database – contains account transaction history going back to 1985; and • TAAMS invoicing and distribution module – used for tracking lockbox receipts. OST and BIA staff presented one Trust Fundamentals course to 26 employees and contractors of OST, BIA, and OSM. This course includes such topics as the history and policy of Indian trust, current trust reform activities, job roles and responsibilities, and organization and working relationships. May 1, 2009 Indian Fiduciary Trust Training Program Assurance Statement I concur with the content of the information contained in the Indian Fiduciary Trust Training Program section of the Status Report to the Court Number Thirty-Six. The information provided in this section is accurate to the best of my knowledge. Date: April 17, 2009 Name: Signature on File Ratana Butler Acting Director, Office of Trust Training Office of the Special Trustee for American Indians May 1, 2009 Risk Management 4. RISK MANAGEMENT Introduction The Deputy Special Trustee-Trust Accountability is responsible for overseeing OST’s risk management program, which is implemented by the Trust Program Management Center. TPMC risk management staff identify and document OST programs, policies, procedures and processes, both trust and administrative activities. TPMC staff also develops, operate and maintain risk-based management tools to support and monitor the risk levels and implementation of corrective actions. In addition, TPMC staff facilitates program reviews, which include testing of program operations, financial reports, and compliance with the law. These tests and reviews provide the basis for OST’s interim and annual statements of assurance. Accomplishments OST evaluated changes to risk management content for various programs and updated all program content. This content will be utilized for FY2009 self-assessments and testing that provide the basis for OST’s interim and annual statements of assurance. Current Status Risk management staff participated in the Interior Office of Financial Management-led intra-bureau testing of key internal controls for OST, BIA, MMS and BLM for FY2009. As a result of the FY2008 self-assessments, 29 RM-PLUS corrective action plans remain open. Assurance Statement I concur with the content of the information contained in the Risk Management section of the Status Report to the Court Number Thirty-Six. The information provided in this section is accurate to the best of my knowledge. Date: April 17, 2009 Name: Signature on File John Constable Program Analyst, Trust Accountability Office of the Special Trustee for American Indians May 1, 2009 THIS PAGE INTENTIONALLY BLANK May 1, 2009 Trust Regulations, Policies and Procedures 5. TRUST REGULATIONS, POLICIES AND PROCEDURES Introduction The Office of Trust Regulations, Policies and Procedures was established on April 21, 2003, to assist Interior in establishing “consistent, written policies and procedures for trust fund management and accounting,” as stated in the 1994 Act. OTP oversees and facilitates the development, promulgation and coordination of trust-related regulations, policies, procedures and other materials to guide the proper discharge of Interior’s fiduciary responsibilities. OTP is separate from the Office of Regulatory Management, AS-IA. ORM activities are reported in the Indian Affairs section of the report to the Court. Accomplishments Seventeen new or revised policies, procedures, and handbooks were completed and published during the reporting period. Nine new accounting forms for use by Trust Services and Field Operations were edited, converted into electronically fillable documents and published to the trust portal. Current Status A meeting of the OTP Liaison Group was held on March 12, 2009. Group participants include representatives from each Interior agency with trust responsibilities. Each agency reported on inter-agency initiatives related to trust regulations, policies and procedures and also described respective agency fiduciary trust priorities. The group’s goal is to establish consistency and to eliminate conflicting regulations, policies, and procedures. OTP and senior OST management developed a revised directives surnaming process to help reduce the time required for document review and revisions. This new process is expected to be implemented during the next reporting period. An OTP team developed a new electronic database to track the status of directives throughout their lifecycle. After the database is tested for functionality, staff will begin creating individual records for work-in-progress directives, standing directives and historical directives. The data load is expected to be completed by the end of FY2009. OTP staff flowcharted each OTP process and authored a new set of internal procedures for each process. During the next reporting period, OTP expects to complete the chapters addressing the revised surnaming process, user instructions for the new tracking database and quality control. OTP initiated an update of the Interagency Handbook, which covers more than 30 trust accounting processes that require input by both BIA and OST staff to complete. The handbook describes each agency’s responsibilities for completing the various steps in each process. Input from subject matter experts in both agencies will be required. May 1, 2009 Trust Regulations, Policies and Procedures The draft TBCC directives were further refined by the originating program office. The directives advanced to the surnaming process, which is expected to be completed during the next reporting period. Three programmatic delegations of authority for OAS were drafted and advanced to the surnaming process. Assurance Statement I concur with the information contained in the Office of Trust Regulations, Policies and Procedures section of the Status Report to the Court Number Thirty-Six. The information provided in this section is accurate to the best of my knowledge. Date: April 15, 2009 Name: Signature on File John Marshall, Director Office of Trust Regulations, Policies and Procedures Office of the Special Trustee for American Indians May 1, 2009 Trust Review and Audit E. TRUST REVIEW AND AUDIT Introduction OTRA reports directly to the Special Trustee for American Indians. OTRA was created by OST as a response to trust initiatives developed during the tribal consultation process of 2002. OTRA conducts performance audits, examinations and reviews of Interior entities as well as Tribes that perform fiduciary trust activities. Examinations are routinely conducted at locations that perform trust operations, resulting in a performance rating. Also, compliance reviews are undertaken in response to information and complaints received from beneficiaries, employees and the public. Current Status Indian Trust Examinations OTRA conducted 24 Indian trust examinations. OTRA issued seven draft reports, 12 final Indian trust examination reports, and three final follow-up corrective action reports. Of the 12 Indian trust examination reports issued, all offices were rated “satisfactory.” Records Assessments The records assessment is a focused evaluation of records maintenance and security. OTRA completed 11 records assessment follow-up reviews on the status of corrective action implementation. OTRA issued seven final records management assessment follow-up reports. Compliance/Investigative Reviews OTRA conducted two investigative reviews relating to trust operations by contracting and compacting Tribes. OTRA issued three final investigative reports and one special review draft report. One of the final investigative reports requires a corrective action plan and OTRA follow-up. Follow-up Inquiries OTRA completed eight inquiries seeking the status of corrective actions recommended in previous reporting periods. May 1, 2009 Trust Review and Audit Assurance Statement I concur with the content of the information contained in the Trust Review and Audit section of the Status Report to the Court Number Thirty-Six. The information provided in this section is accurate to the best of my knowledge. Date: April 22, 2009 Name: Signature on File Larry Morrin Director, Office of Trust Review and Audit Office of the Special Trustee for American Indians May 1, 2009 Office of Appraisal Services F. OFFICE OF APPRAISAL SERVICES Introduction The Office of Appraisal Services is responsible for Indian land valuations required by various regulations governing Indian trust lands. To meet these requirements, an appraisal or other valuation method is used to determine fair market value of Indian lands. Accomplishments OAS transmitted 2,903 real estate appraisals to clients; of these, 1,445 were completed using the U/FAS in the Great Plains Region. OME evaluated 95 parcels in support of ILCP and 38 parcels in support of probate. Current Status OAS continues to work with NBC to establish training and implementation schedules for OAS use of the ARRTS program. As in previous reporting periods, the “appraisal backlog” includes appraisal requests that contain all required supporting documentation and are more than 90 days old. The backlog also includes requests for review of appraisals performed by compacted and contracted Tribes that are more than 30 days old. The appraisal backlogs as reported by the regions are as follows: Region Appraisal Backlog As of 12/31/08 Appraisal Backlog As of 03/31/09 Northwest 434 341 Rocky Mountain 278 144 Midwest 39 54 Western 17 22 Southwest 31 27 Eastern Oklahoma 58 39 Navajo 1 1 Pacific 1 3 Alaska 186 280 Eastern 0 0 Southern Plains 3 4 Great Plains 58 5 TOTAL 1,106 920 May 1, 2009 Office of Appraisal Services Assurance Statement I concur with the content of the information contained in the Appraisal section of the Status Report to the Court Number Thirty-Six. The information provided in this section is accurate to the best of my knowledge. Date: April 16, 2009 Name: Signature on File Debra J. Meisner Director, Administrative Operations Office of Appraisal Services May 1, 2009 Trust Regulations, Policies and Procedures I. INDIAN AFFAIRS A. TRUST REGULATIONS, POLICIES AND PROCEDURES Introduction The Office of Regulatory Management in the Office of the Assistant Secretary – Indian Affairs is responsible for review and revision of all regulations governing Interior’s management of the Indian trust. ORM is separate from OST's Office of Trust Regulations, Policies and Procedures, whose activities are reported in the OST section of the Status Report to the Court. Current Status Regulatory Initiative – In November 2008, Interior published final regulations related to probate, probate hearings and appeals, tribal probate codes, and life estates and future interests in Indian land. However, updates to these regulations are now necessary because, shortly after publication, Congress amended the authorizing statute, the American Indian Probate Reform Act. ORM anticipates publishing updated regulations in the next reporting period. ORM also continues to work with SOL and subject matter experts to revise the CFR part regarding conveyances of trust and restricted interests. Interior is planning to begin consultation with Tribes on preliminary drafts of regulations affecting leasing, grazing, rights-of-way, trespass and land title and records in August 2009. 25 CFR 200 to 207 – Minerals Leasing, Development, Exploration and Reclamation – These new CFR parts will reorganize and update current provisions related to leasing, development and exploration of minerals to increase user friendliness. A complete draft of these regulations is not expected until mid to late CY2009. Assurance Statement I concur with the content of the information contained in the Trust Regulations, Policies and Procedures – Indian Affairs section of the Status Report to the Court Number Thirty-Six. The information provided in this section is accurate to the best of my knowledge. Date: April 15, 2009 Name: Signature on File Michele F. Singer Director, Office of Regulatory Management Office of the Assistant Secretary – Indian Affairs May 1, 2009 THIS PAGE INTENTIONALLY BLANK May 1, 2009 Fractionation II. BUREAU OF INDIAN AFFAIRS A. FRACTIONATION Introduction Fractionation of Indian trust and restricted land results from the federal Indian policy of the 19th century. Fractionation occurs as land passes from one generation to the next, an increasing number of heirs or devisees acquire an undivided interest in the land. This is a complex and potentially emotion-charged issue, due primarily to cultural differences, historical legacy and family associations of the present owners with the original Indian owners of those lands. Efforts to address this complex issue have been coordinated primarily through the BIA Indian Land Consolidation Office, which has sought to help Tribes make use of the opportunities offered by the Indian Land Consolidation Act, as amended in 2004. Although ILCO operated several acquisition projects that purchased undivided interests in highly fractionated tracts and transferred title to the Tribes, ILCP is expected to end during FY2009. ILCP was not funded in the current Interior budget and is using FY2008 carry-over funds to close-out its operations. Accomplishments A total of 20 reservations located in seven BIA Regions have participated in ILCP. During this reporting period, ILCP acquired 2,781 fractional interests and 5,213.74 acre-equivalents. Of the total interests acquired, 85% were interests of less than 2% ownership in the respective tracts of land. Tribes acquired majority ownership in 53 tracts during this reporting period (7,824 total tracts). As a result of ILCP purchases, Tribes now have 100% ownership of 434 total tracts since the beginning of the program.3 Current Status ILCO continued to audit all acquired fractionated interests. The audit is verifying landowner intent and sales information, and confirming that ownership changes have been made in TAAMS Title. The audit is now expected to be completed by the end of the third quarter of FY2009. 3 Through auditing, ILCO found that it had over-counted by two the number of 100% tribal ownership tracts. May 1, 2009 Fractionation Assurance Statement I concur with the content of the information contained in the Fractionation section of the Status Report to the Court Number Thirty-Six. The information provided in this section is accurate to the best of my knowledge. Date: April 15, 2009 Name: Signature on File Brenda Walhovd Acting Director, Indian Land Consolidation Office Bureau of Indian Affairs May 1, 2009 Probate B. PROBATE Introduction BIA, OHA and OST must coordinate their work to complete the probates of Indian estates. Information on the status of probates is contained within the ProTrac system. Each BIA regional office and corresponding agency is responsible for encoding new cases, examining “initial load” cases and making corrections. Current Status Case Preparation Case preparation is the initial stage of the probate process. During this stage information is researched and gathered regarding the identity and whereabouts of potential heirs, and an inventory of the trust assets of an estate is prepared. According to ProTrac, 7,584 probate cases are in the case preparation stage. Case Adjudication Depending on the complexity of the case or the tribal affiliation of decedents and location of trust lands, probates are adjudicated by ALJs, IPJs or ADMs, or by the District Courts in the State of Oklahoma for estates of the Five Civilized Tribes of Oklahoma and Osage Indians. According to ProTrac, 5,387 probate cases are pending in the case adjudication stage, which includes cases decided by OHA that are within the 45 day appeal period and cases pending in the Eastern Oklahoma state district court. As reported by OHA, 4,122 cases are pending decision. OHA also reported that deciding officials received 1,546 cases and decided 1,261 cases. Case Closure – BIA Cases in the closing stage have been adjudicated. During this stage, if land is part of the estate, BIA updates land ownership information in TAAMS. According to ProTrac, 2,944 cases were pending in the case closure stage. BIA closed 2,689 cases. Financial Case Closure – OST Financial case closure is the distribution of assets after the case been adjudicated and land ownership information updated by BIA if necessary. OST reported that it distributed funds and closed 2,196 accounts in TFAS during this reporting period representing 2,155 estates. As of the end of March 31, 2009, TFAS contained 32,307 open estate accounts, which is a decrease of 295 from the 32,602 open estate accounts at the end of the last reporting period. May 1, 2009 Probate Delays and Obstacles The following obstacles have been identified as having an impact on the progress of the probate program: • Continued fractionation of ownership of Indian lands; • Cultural differences regarding the subject of death and funerals; and • Loss of case preparation personnel/contractors. Assurance Statement I concur with the content of the information contained in the Probate section of the Status Report to the Court Number Thirty-Six. The information provided in this section is accurate to the best of my knowledge. Date: April 20, 2009 Name: Signature on File Adelita Guerue, Director Special Projects Chief, Probate Division Office of Trust Services Bureau of Indian Affairs May 1, 2009 Information Technology III. OTHER TOPICS A. INFORMATION TECHNOLOGY Introduction This section describes the status of Interior IT systems, particularly trust systems. In addition, this section describes various efforts being made to improve IT security within Interior, pursuant to OMB Circular A-130 Appendix III. Accomplishments Policies and Guidance: • On January 27, 2009, the Interior CIO issued “Fiscal Year 2009 (FY09) Annual End-User Federal Information Systems Security Awareness Training” to assistant secretaries, heads of bureaus and offices, and bureau and office CIOs. This memo requires all users of Interior IT systems to complete annual security awareness training no later than July 31, 2009. • On February 3, 2009, the Interior CIO issued “Fiscal Year 2009 (FY09) Information Technology (IT) Security Role-Based training” to assistant secretaries, heads of bureaus and offices, and bureau and office CIO. This memo requires all users with significant IT Security related responsibilities for Interior IT systems to complete the training no later than July 31, 2009. • On February 5, 2009, the Interior CIO issued “Internal Control Review (ICR) Guidance for Fiscal Year (FY) 2009” to the heads of bureaus and offices and to bureau and office CIO. This directive provides specific guidance for IT system owners and BCISOs for conducting annual assessments of system security controls in accordance with OMB Circular A-123 and FISMA. • On February 6, 2009, the Interior CIO issued “Population and Maintenance of the Departmental Enterprise Architecture Repository (DEAR)” to the heads of bureaus and offices and to bureau and office CIOs. This directive establishes DEAR as the official inventory of all Interior IT assets. • On February 17, 2009, the Interior CIO issued “Information Technology Capital Planning and Investment Control Schedule for Fiscal Year 2009” to the heads of bureaus and offices and to bureau and office CIOs. This directive details “the governance roles, timeframes and high-level tasks necessary to develop an IT portfolio recommendation in time for 2011 budget formulation to begin in the Spring of 2009,” and includes all DOI information technology acquisitions. • On September 23, 2008 the Interior CIO (acting) issued “Mandatory Use of the Cyber Security Assessment and Management (CSAM) Solution” to the heads of bureaus and offices and to bureau and office CIOs. This directive states that CSAM superseded DEAR for the purpose of acting as Interior’s official C&A repository. May 1, 2009 Information Technology Current Status Prevention and Monitoring: ESN perimeter security controls, which are the first line of defense, typically block over one million network attacks during any given reporting period. As previously reported, DOI-CIRC continues to adhere to US-CERT incident reporting requirements and procedures. Plan of Action and Milestones: Interior continues to identify, prioritize, track and correct security weaknesses using the POA&M process. This process includes the proactive identification of weaknesses through self-assessments, independent financial audits and findings based on OIG reports. In order to prioritize resources and remediation efforts, the risk level of each weakness is rated as high, medium or low. • During the reporting period, Interior reported to OMB that 20 weaknesses were eliminated and 230 new weaknesses were identified and added for trust systems. • At the end of this reporting period, there were 753 weaknesses associated with trust systems. Of the 753 open weaknesses, 95 (13%) are rated high, 387 (51%) are rated medium and 271 (36%) are rated low. A-130 Certification and Accreditation: All trust systems that are currently tracked in CSAM have full ATO status. Training and Awareness: Interior began the 2009 Role-Based Security Training and Security Awareness training as required by FISMA. Reports: The following report was among those government reports related to IT security issued during this reporting period. • GAO issued the following report that relates to information security across all federal agencies: “National Cybersecurity Strategy: Key Improvements Are Needed to Strengthen the Nation's Posture.” On April 1, 2009, the plaintiffs in Cobell v. Salazar filed Interior OIG report number ISD-EV­OSS-0017-2008, “Compilation of Information Technology Challenges at DOI - A Blueprint for Change.” This report addresses Interior’s management of information technology. It does not specifically address trust systems or IIM. The report made the following recommendations: • Realign Bureau-specific IT personnel under the purview of the Department CIO. • Realign all IT funding under the purview of the Department CIO. • Organize the IT program along technology and security boundaries rather than along organization boundaries. For example, create a Deputy CIO for infrastructure rather than a Deputy CIO for Bureau A. • Manage all IT projects under the purview of the Department CIO. May 1, 2009 Information Technology The Secretary is working with the bureau and office CIOs to review the report and recommend any opportunities for improvement. Delays and Obstacles Staffing: During this reporting period, the Interior CIO no longer served simultaneously as the acting BIA CIO. Until a replacement BIA CIO is hired, the AS-IA Deputy CIO is acting in that capacity. Assurance Statement I concur with the content of the information contained in the Information Technology section of the Status Report to the Court Number Thirty-Six. The information provided in this section is accurate to the best of my knowledge. Date: April 24, 2009 Name: Signature on File Sanjeev (Sonny) Bhagowalia Department of the Interior Chief Information Officer May 1, 2009 THIS PAGE INTENTIONALLY BLANK May 1, 2009 Cadastral Survey B. CADASTRAL SURVEY Introduction Cadastral surveys provide assurance that land boundaries for individual Indian and tribal trust and restricted lands are identified appropriately. By federal law, surveys of Indian lands are to be performed under BLM’s direction and control and in conformity with the rules and regulations under which other public lands are surveyed. Official surveys, whether preexisting or new, identify the location of land boundaries of Indian trust assets and determine official acreage. The official surveys are integral to realty transactions, resource management activities, litigation support and the federal system of patent, allotment and land tenure records maintained by BLM, BIA and local governments. Ownership information, distribution of land-based trust assets, and management of land-based trust accounts may be related to or based upon the information recorded in official surveys. Accomplishments Survey Production BLM approved a total of 18 completed survey projects in Indian Country during this reporting period. These surveys produced 38 plats, 476 miles of survey line and an additional 1,134 survey monuments in Indian Country. Certified Federal Surveyor Program The BLM Cadastral Program deployed the CFedS program in FY2007. During this reporting period: • There were 741 professional land surveyors enrolled in the CFedS training program, and 233 CFedS certified. There were 48 states represented with licensed surveyors either enrolled or certified in the program. • The CFedS web site had approximately 20,862 visits and the “Finding a CFedS” page received 15,352 inquiries. • Seventy-five new professional land surveyors started the program. Implementation of the FTM OIG initiated field visits and interviews with BLM and BIA personnel related to Interior “Boundary Management” business processes, including cadastral FTM. The TAAMS Spatial Pilot Project, a key element of the FTM, remains under consideration by the OCIO as previously reported. This OIG survey may result in an audit. May 1, 2009 Cadastral Survey Delays and Obstacles Funding of the FTM Proper planning, scheduling and implementation of future FTM work are dependent on funding. The reduced level of funding and delay in enacting Interior’s FY2009 appropriation continued to impact negatively the implementation of the FTM initiatives. Planning survey projects involves long-term commitment of professional services. Uncertainty of funding impacts the planning for resources, which increases overall costs. Assurance Statement I concur with the content of the information contained in the Cadastral Survey section of the Status Report to the Court Number Thirty-Six. The information provided in this section is accurate to the best of my knowledge. Date: April 20, 2009 Name: Signature on File Donald A. Buhler Chief Cadastral Surveyor Bureau of Land Management May 1, 2009 Minerals Management Service C. MINERALS MANAGEMENT SERVICE Introduction Minerals Revenue Management, an MMS program, is responsible for collecting, accounting for, and distributing mineral revenues from both federal and Indian mineral leases, and for evaluating industry compliance with laws, regulations and lease terms. MRM maintains reported information and distributes revenues at the lease level. BIA maintains individual Indian ownership records that are used to provide information to OST for disbursement of the lease revenues to individual Indian beneficiaries. Current Status Indian Oil Valuation Rule After review by the new administration of the Negotiated Rulemaking Committee Charter and membership nominations, MMS expects to address issues regarding the “major portion” calculation for oil produced from Indian leases. Overpayments to Allottees As previously reported, Interior overpaid certain Navajo individual Indian mineral owners. OST, MMS, FIMO and BIA have established procedures and controls to mitigate the risk of this type of error occurring again. BIA, working with FIMO, has recouped most of the overpayments from the owners. Assurance Statement I concur with the content of the information contained in the Minerals Management Service section of the Status Report to the Court Number Thirty-Six. The information provided in this section is accurate to the best of my knowledge. Date: April 22, 2009 Name: Signature on File Jennifer Goldblatt Chief of Staff Minerals Revenue Management Minerals Management Service May 1, 2009 THIS PAGE INTENTIONALLY BLANK May 1, 2009 Acronyms and Abbreviations ACRONYMS AND ABBREVIATIONS 1994 Act (or Act) American Indian Trust Fund Management Reform Act of 1994 2007 Plan Plan for Completing the Historical Accounting of Individual Indian Money Accounts A-123 Office of Management and Budget Circular A-123, Management’s Responsibility for Internal Control A-130 Office of Management and Budget Circular A-130 Appendix III ACSM American Congress on Surveying and Mapping ADM Attorney Decision Makers AFMSS Automated Fluid Mineral Support System AIMS ActivCard Identity Management System AIPRA American Indian Probate Reform Act AIRR American Indian Records Repository ALIS Alaska Land Information System ALJ Administrative Law Judges ARO Alaska Region office ARRTS Appraisal Request and Review Tracking System ART Accounting Reconciliation Tool AS-IA Assistant Secretary-Indian Affairs ASD Appraisal Services Directorate ASM Accounting Standards Manual ATLAS AgWare Trust Land Appraisal System ATO Authority to Operate BCISO Bureau Chief Information Security Officer (formerly BITSM) BIA Bureau of Indian Affairs BIAM Bureau of Indian Affairs Manual BILS BLM Indian Lands Surveyors BISS Box Index Search System BITSM Bureau Information Technology Security Manager BLM Bureau of Land Management BOR Bureau of Reclamation BPA Blanket Purchase Agreement BRM Business Reference Model C&A Certification and Accreditation CARS Cadastral Automated Request System CBS San Carlos Irrigation Continental Billing System CDE Critical Data Elements CFedS Certified Federal Surveyor CFI Continuous Forest Inventory CGI Software vendor successor to TAAMS vendor CGIS Cadastral Geographic Information Systems CI Manual Coding and Imaging Manual CIFTA Certified Indian Fiduciary Trust Analyst CIFTS Certified Indian Fiduciary Trust Specialist May 1, 2009 Acronyms and Abbreviations CIO Chief Information Officer CIRC Computer Incidents Response Center CISO Chief Information Security Officer CISSP Certified Information System Security Professional CITE Certified Indian Trust Examiners CMS Credential Management System COTS Commercial off-the-shelf CP&R Check Payment and Reconciliation CPIC Capital Planning and Investment Control CREUMS Colorado River Electrical Utility Management System CSAM Cyber Security Assessment and Management CSIRC Computer Security Incident Response Capability CSIRT Computer Security Incident Response Team CSS Customer StrataStation CTM Comprehensive Trust Management Plan DAA Designated Approving Authority DCV Data Completeness Validation DEAR DOI Enterprise Architecture Repository DDoS Distributed Denial of Service DLRM DOI Land and Resource Management DM Departmental Manual DMZ De-Militarized Zone DNS Domain Name Server DOI Department of the Interior DOP Desk Operating Procedure DoS Denial of Service DQ&I Data Quality and Integrity DRM Data Reference Model EA Enterprise Architecture ENA Eastern Navajo Agency EORO Eastern Oklahoma Region office ERA Electronic Records Era ERO Eastern Region office ESN Enterprise Services Network ETP Enterprise Transition Plan FAMS Facilities Asset Management System FAR Federal Acquisition Regulation FBMS Financial Business Management System FFMIA Federal Financial Management Improvement Act FIMO Farmington Indian Minerals Office FIPS Federal Information Processing Standards FISMA Federal Information Security Management Act FMFIA Federal Managers’ Financial Integrity Act FOIA Freedom of Information Act FRC Federal Records Center May 1, 2009 Acronyms and Abbreviations FRD Functional Requirements Document FTM Fiduciary Trust Model FTO Fiduciary Trust Officer FWS U.S. Fish and Wildlife Service GAO Government Accountability Office GCDB Geographic Coordinate Data Base GIS Geographic Information System GLO General Land Office GLADS Great Lakes Agency Database System GPRO Great Plains Region office GPS Global Positioning System GSA General Services Administration GSS General Support Systems HSA Historical Statement of Account HSPD-12 Homeland Security Presidential Directive 12 IAM Indian Affairs Manual IATO Interim Approval to Operate ICR Internal Control Review ICRs Information Collection Requests IEA Interior Enterprise Architecture IFTR Indian Fiduciary Trust Records IG Inspector General IIM Individual Indian Money IITD Individual Indian Trust Data ILCA Indian Land Consolidation Act ILCO Indian Land Consolidation Office ILCP Indian Land Consolidation Project IM Instruction Memorandum IMDA Indian Mineral Development Act InfoDat Indian Forestry Database Interior Department of the Interior IP Internet Protocol IPJ Indian Probate Judges IPS Intrusion Protection System IPv6 Internet Protocol Version 6 IQCS Incidence Qualification and Certification System IRM Information Resources Management IRMS Integrated Records Management System IRN Isolated Realty Network IRS Internal Revenue Service ISSDA Indian Service Special Disbursing Agents ISA Information Security Assessment ISIT Internal Security Improvements Team IT Information Technology ITARS Indian Trust Appraisal Request Tracking System May 1, 2009 Acronyms and Abbreviations ITIMS Integrated Transportation Information Management System ITRS Indian Trust Rating System IV&V independent verification and validation LAN Local area network LCTS Land Consolidation Tracking System LMS Learning Management System LR2000 Legacy Rehost 2000 System LRIS Land Records Information System LTIC Land Tenure in Indian Country LTRO Land Titles and Records Office MA Major Application MAD/LCP Management Accounting Distribution/Land Consolidation Program MADS Management Accounting Distribution System MMD Missing Mandatory Documents for Unrestricted Accounts MMS Minerals Management Service MOU Memorandum or Memoranda of Understanding MRM Minerals Revenue Management MRMSS Minerals Revenue Management Support System MWRO Midwest Region office NARA National Archives and Records Administration NBC National Business Center NFR Notice of Findings and Recommendations NILS National Integrated Lands System NIPTC National Indian Programs Training Center NIRMC National Information Resource Management Center NIST National Institute of Standards and Technology NORC National Opinion Research Center NPS National Park Service NRO Navajo Region office NWRO Northwest Region office O&G Oil and Gas OAS Office of Appraisal Services OCIO Office of the Chief Information Officer OHA Office of Hearings and Appeals OHTA Office of Historical Trust Accounting OIG Office of the Inspector General OIP Office of Information Policy OISP Office of IT Security and Privacy OME Office of Minerals Evaluation OMB Office of Management and Budget ORM Office of Regulatory Management OSM Office of Surface Mining OST Office of the Special Trustee for American Indians OTFM Office of Trust Funds Management OTP Office of Trust Regulations, Policies and Procedures May 1, 2009 Acronyms and Abbreviations OTR Office of Trust Records OTRA Office of Trust Review and Audit PACER Payments, Accounting, Claims and Enhanced Reconciliation System PAR Performance and Accountability Report PII Personally Identifiable Information PIV Personal Identity Verification PLSS Public Land Survey System PMB Policy, Management and Budget PMSO Project Management Support Office POA&M Plans of Actions and Milestones Post-QA Post Quality Assurance PPA Office of Planning and Policy Analysis PRIS Production and Response Information System PRO Pacific Region office ProTrac Probate Case Management and Tracking System QA Quality Assurance QC Quality Control RAF Recommended Action Forms RAS Rangeland Administration System RDRS Royalty Distribution and Reporting System REM Real Estate Module RFP Request for Proposal RM-PLUS Risk Management Assessment/Evaluation tool RMRO Rocky Mountain Region office ROCIS Regulatory Information Service Center/Office of Information Regulatory Affairs Consolidated Information ROW Rights-of-Way SANS SysAdmin, Audit, Network, Security SCADA Supervisory Control and Data Acquisition SDA Special Deposit Accounts SDLC System Development Life Cycle SMEs Subject Matter Experts SMS System Management Servers SOL Office of the Solicitor SPRO Southern Plains Region office SSA Social Security Administration SSAS Social Services Automated System SSM System Security Manager SSP System Security Plan ST&E Security Test and Evaluation Statements Historical Statements of Account STIGs Security Technical Implementation Guides SUS System Update Servers SWRO Southwest Region office TAAMS Trust Asset and Accounting Management System May 1, 2009 Acronyms and Abbreviations TAP Technical Architecture Profile TBCC Trust Beneficiary Call Center TESC Trust Executive Steering Committee TFAS Trust Fund Accounting System TFR Trust Fund Receivable TPMC Trust Program Management Center TRAC Trust Tracking and Coordination Treasury Department of the Treasury TRM Technical Reference Model TRO Temporary Restraining Order TSPP TAAMS Spatial Pilot Project U/FAS Undivided/Fractionated Appraisal System UAT User Acceptance Testing US-CERT United States Computer Emergency Readiness Team USGS United States Geological Survey USPAP Uniform Standards of Professional Appraisal Practice VBNS Very High Performance Backbone Network Service VPN Virtual Private Network WAN Wide area network WAU Whereabouts Unknown WRO Western Region office