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-SEVENTH STATUS REPORT Interior Defendants hereby give notice of the filing of their thirty-seventh report due in accordance with the Order of December 21, 1999. A copy of the report is attached hereto. Dated: August 5, 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 August 5, 2009 the foregoing Notice of Filing of Interior Defendants’ Thirty-Seventh 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-Seven For the Period April 1, 2009 through June 30, 2009 August 3, 2009 August 3, 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 August 3, 2009 THIS PAGE INTENTIONALLY BLANK August 3, 2009 Introduction INTRODUCTION This Status Report to the Court Number Thirty-Seven (Report) represents the period from April 1, 2009, through June 30, 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. August 3, 2009 THIS PAGE INTENTIONALLY BLANK August 3, 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, regarding the progress and status of work on the 2007 Historical Accounting Plan. This report also describes the transition to in-house indexing of records at AIRR. 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: July 23, 2009 Name: Signature on File Donna Erwin Acting Special Trustee for American Indians August 3, 2009 THIS PAGE INTENTIONALLY BLANK August 3, 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. Accomplishment Issuance of Revised Accounting Standards Manual OHTA added procedures for the reconstruction of Paper Ledger Era accounts to the ASM during the current reporting period. This is the 10th revision of the ASM and the 3rd distributed on CD media. Current Status Electronic Ledger Era DCV tests and interest recalculation work, as described below, were completed on an additional 13,456 Land-Based IIM accounts, for a cumulative total of 182,715 Land-Based IIM accounts. Thus, in accordance with OHTA’s 2007 Plan, HSAs reflecting Electronic Ledger Era activity can now be prepared for 182,715 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 99.65% complete. During this reporting period, transaction mapping for 1,436,108 transactions was completed. Of these, 34,144 were pre-December 31, 2000, transactions. The numbers 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 99.73% August 3, 2009 Office of Historical Trust Accounting 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 met with Treasury during this reporting period to discuss additional data needs. OHTA expects to receive PACER and TCIS data from Treasury through June 30, 2009, by mid-July 2009. (TCIS is the system which replaced CP&R.) Once received, OHTA will extend its disbursement mapping through this date. OHTA anticipates that Treasury will provide OHTA with quarterly data updates in the future. 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 and 97.0% complete for IRMS data. During this reporting period, 17,125 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 56,769,630 transactions to date,2 including 340,280 restored transactions, of which 69 were restored during this reporting period. OHTA also has identified 3,446,639 IRMS account balance records, including 357,739 restored balances, of which 23,282 IRMS balances were restored during this reporting period. The foregoing tests were designed to and have identified transactions and balances that were in BIA’s original IRMS-IIM electronic dataset, but were not found in the copies of that dataset provided by BIA to OST and in turn 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. 2 Note, the total number of transactions in OHTA’s copy of the Electronic Ledger Era IRMS database decreased because OHTA found duplicate transactions during the QC process and removed them. August 3, 2009 Office of Historical Trust Accounting OHTA continued interest recalculation work for IIM accounts in all BIA regions. Interest recalculation was completed during this reporting period for 15,499 IIM Land-Based accounts, increasing the total of such tested accounts to 188,660 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. 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. OHTA’s Paper Ledger Era database contains 311,859 transactions to date, of which 9,022 were digitized (as explained below) during this reporting period. During a previous reporting period, a sample of 840 accounts was drawn from all Land-Based IIM accounts that are to receive an historical accounting under the 2007 Plan and are either known or believed likely to have transactions beginning in the Paper Ledger Era. Within this sample, OHTA has made progress reconstructing accounts in each of the 12 BIA regions. During this reporting period, OHTA reconstructed and analyzed 99 of those accounts from the Southern Plains Region. From those 99 accounts, OHTA randomly selected 28 accounts containing over 9,500 non-interest transactions to be further sampled for reconciliation. Reconciliation of Paper Ledger Era Transactions OHTA randomly selected 185 transactions from the 9,500 non-interest transactions for reconciliation. The previously reported “Proof-of-Concept” pilot sample of 35 non-interest transactions (also from the BIA Southern Plains Region) was added to the 185 transactions. Because the sample included six imputed transactions, five additional transactions were substituted for each imputed transaction. OHTA continues to reconcile these 250 transactions. 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. OHTA SDA Distribution Project – Undistributed SDA Balances OHTA’s work resulted in the distribution of $336,772 of SDA balances, raising the total dollars resolved and funds distributed as of June 30, 2009, to $52.8 million. As of June 30, 2009, a total of 10,595 SDA, involving $16,307,698 (plus approximately $7,003,389 in interest) remain to be resolved and distributed. One SDA with a balance of $1.9 million was added to OHTA’s August 3, 2009 Office of Historical Trust Accounting population. Of those SDA, 71.7% of the remaining SDA had balances as of January 1, 2003, of less than $500 each, involving 3.8% of the remaining 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 distributed as of March 31, 2009 $17,082,967 $17,439,355 $17,784,269 $52,306,591 Dollars distributed from March 31, 2009, through June 30, 2009 $287,861 $103,731 $80,035 $471,627 Percent of dollars distributed from March 31, 2009, through June 30, 2009 61.04% 21.99% 16.97% 100% Total dollars distributed as of June 30, 2009 $17,370,828 $17,543,086 $17,864,304 $52,778,218 Percent of dollars distributed to date 32.91% 33.24% 33.85% 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 915,748 IIM document pages, coding 119,038 IIM documents and loading 85,897 IIM documents into ART. As of June 30, 2009, ART contained 13.5 million coded IIM images and 10.9 million coded tribal images. The coded images to date, total 24.4 million, constituting 5.2 million IIM and tribal documents. Digitizing follows imaging and coding and involves adding the transaction data to the electronic dataset. OHTA digitized 1,376 Paper Ledger Era transactions that will be sampled for reconciliation. OHTA also digitized 4,928 Electronic Ledger Era transactions and 25,691 Electronic Ledger Era balance files that were found only in paper records. August 3, 2009 Office of Historical Trust Accounting Delays and Obstacles OHTA continued to respond to information needs of SOL and the Department of Justice in 94 tribal trust cases pending in multiple federal district courts and the Court of Federal Claims. As a result, IIM historical accounting work has received a lower priority through reallocation of resources. Specifically, OHTA has been forced to shift incremental amounts of funding from IIM to tribal historical accounting efforts. For example, contractor staff must be reassigned temporarily or indefinitely to deal with tribal litigation document research. Because funds are frequently being reallocated, the full impact on OHTA’s ability to complete the historical accounting activities within the time frames estimated in the 2007 Plan cannot be judged. 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-Seven. The information provided in this section is accurate to the best of my knowledge. Date: July 31, 2009 Name: Signature on File Bert T. Edwards, Executive Director Office of Historical Trust Accounting August 3, 2009 THIS PAGE INTENTIONALLY BLANK August 3, 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 seven receipt transactions posted to SDA that qualified in one of the exception categories. Decisions on appeals of range rates permitted the distribution of $77,919.43 during this reporting period. Remaining in current SDA are: $127,226.00 pending mineral lease appeals; $104,130.36 pending SOL opinions; and $7,044.45 pending cadastral surveys. All amounts reflect the amount of the original SDA deposit. Any interest earned is paid at the time of distribution. OST staff assisted BIA staff in performing work necessary to distribute all aged range receipts at the Northern Cheyenne 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, 17 of the top 100 WAU accounts, with combined account balances of approximately $1.5 million were updated with current addresses. During this reporting period, 7,616 accounts with a combined balance of $3.7 million were added to the WAU list, while 4,603 accounts with a combined balance of $6.7 million were updated with current addresses. As of June 30, 2009, there were 90,532 WAU accounts with a combined balance of $74.9 million. Currently there are 32 WAU accounts with balances greater than $100,000. The combined balance of these 32 WAU accounts makes up 6.4% of the current $74.9 million combined WAU account balance. IIM accounts coded as WAU earn interest in the same manner as all other IIM accounts. The following table illustrates the number of accounts stratified by account balance and WAU category. August 3, 2009 Trust Services – Current Accounting Account Balance Correspondence/ Check Returned Account Setup/No Address Awaiting Address Confirmation Refused/ Unclaimed Mail Total Equal to or over $100,000 18 14 0 0 32 Under $100,000 and equal to or over $50,000 40 21 1 1 63 Under $50,000 and equal to or over $5,000 2,299 798 2 2 3,101 Under $5,000 and equal to or over $1,000 5,652 1,614 3 7 7,276 Under $1,000 and equal to or over $100 9,514 4,076 12 6 13,608 Under $100 and equal to or over $1 17,014 7,855 25 36 24,930 Under $1 13,658 27,758 75 31 41,522 Total 48,195 42,136 118 83 90,532 c. Small Balance Accounts Current Status As of June 30, 2009, there were 20,262 accounts with a $.01 -$1.00 balance and no activity for the previous 18 months. The total in those accounts was $5,750.84. Statements are sent to account holders for these accounts on an annual basis pursuant to direction from Congress. August 3, 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-Seven. The information provided in this subsection is accurate to the best of my knowledge. Date: July 20, 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-Seven, and this information is accurate to the best of my knowledge. Date: July 24, 2009 Name: Signature on File Margaret Williams Deputy Special Trustee, Trust Accountability Office of the Special Trustee for American Indians August 3, 2009 THIS PAGE INTENTIONALLY BLANK August 3, 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 2,347 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 192,895 boxes has been completed as of the end of this reporting period. 191,192 indexed boxes have been sent to AIRR for permanent storage. Training OTR provided records management training for 235 BIA and OST records contacts and 92 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 As expected, the indexing contract terminated on June 30, 2009, which included closure of the Lenexa Annex and moving the indexing operation to AIRR. OTR is using federal employees to continue indexing records. August 3, 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-Seven. The information provided in this section is accurate to the best of my knowledge. Date: July 21, 2009 Name: Signature on File Ethel J. Abeita Director, Office of Trust Records Office of the Special Trustee for American Indians August 3, 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. Accomplishments Reengineering staff: • Collaborated with MMS and implemented a file transfer protocol system for delivery of oil and gas financial information between MMS and OST Trust Services. • Developed an automated solution to ensure financial address updates initiated by BIA in TAAMS are consistent with TFAS. • Developed an automated solution for calculating Osage headright shares. Current Status Reengineering staff: • Continued to provide technical support for identifying system requirements for various TAAMS modules. • 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. • Began consolidating independent BIA LTRO procedures into a single standardized draft BIA LTRO Handbook. August 3, 2009 Trust Business Process Modeling 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-Seven. The information provided in this section is accurate to the best of my knowledge. Date: July 17, 2009 Name: Signature on File Margaret Williams Deputy Special Trustee, Trust Accountability Office of the Special Trustee for American Indians August 3, 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 Aleut Regional Corporation land tracts (99) for ARO LTRO. • Encoding forestry contracts/permits (54) for the Consolidated Salish-Kootenai Tribes (Flathead Agency). • Encoding landowner ID numbers (667) and probate orders (492) for PRO LTRO. • Encoding landowner ID numbers (24,878) for SWRO LTRO. • Researching landowner ID numbers for PRO LTRO (4,603) and SWRO LTRO (5,001). 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 12,301 (cumulative total 281,566) transactions encoded into TAAMS at the BIA LTROs and the contractor’s Albuquerque office. • Encoding 752 (cumulative total 2,440) variance sheets for SWRO LTRO. • Encoding 290 Sealaska Regional Corporation land tracts for ARO LTRO. • Encoding 395 realty documents for the Southern Pueblos Agency. • Researching and validating 141 (cumulative total 158) land tracts for the Consolidated Salish-Kootenai tribes (Flathead Agency). August 3, 2009 Trust Data Quality and Integrity • Resolved 728 (cumulative total 1,773) outstanding BIA Post-QA review variances for the various LTROs. • Inventoried and created 1,589 ROW files, 2,648 O&G Well Pad files, 778 O&G Lease files, 594 Communitization Agreement files, 295 surface lease files, and 271 company bond files for the Southern Ute Agency. TPMC’s contractor also assisted FIMO with distributing an additional $11,693.53 (cumulative total of $84,761.19) 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-Seven. The information provided in this section is accurate to the best of my knowledge. Date: July 27, 2009 Name: Signature on File John E. White Trust Reform Officer, Trust Accountability Office of the Special Trustee for American Indians August 3, 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 During this reporting period, Cannon Financial Institute presented the review and exam course to nine employees of OST and BIA who were seeking to complete the requirements for designation as a Certified Indian Fiduciary Trust Specialist. All were successful and were awarded their certifications. Current Status Cannon Financial Institute presented one course in Indian Trust Fiduciary Principles to 19 employees of OST, BIA and Tribes and seven other specialty courses to 129 employees of OST, BIA and Tribes. OST training staff conducted nine training sessions for 84 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 48 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. August 3, 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-Seven. The information provided in this section is accurate to the best of my knowledge. Date: July 16, 2009 Name: Signature on File Jackie Arviso Acting Director, Office of Trust Training Office of the Special Trustee for American Indians August 3, 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 completed assisting with the Interior Office of Financial Management-led intra-bureau testing of key internal controls for OST, BIA, MMS and BLM for FY2009. Risk Management staff completed their OST site visits for OMB Circular A-123, Appendix A internal controls testing at OST field locations. Current Status Risk management staff are monitoring the self-assessments that OST program managers are conducting that will provide the basis for OST’s interim and annual statements of assurance. Staff also continued to perform Appendix A and FMFIA internal controls testing throughout OST to provide additional support for the statements of assurance. As a result of the FY2008 self-assessments, 23 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-Seven. The information provided in this section is accurate to the best of my knowledge. Date: July 16, 2009 Name: Signature on File John Constable Program Analyst, Trust Accountability Office of the Special Trustee for American Indians August 3, 2009 THIS PAGE INTENTIONALLY BLANK August 3, 2009 Trust Regulations, Policies and Procedures 5. TRUST REGULATIONS, POLICIES AND PROCEDURES Introduction The Office of Trust Regulations, Policies and Procedures was established within OST 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 As previously reported, 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 was implemented during the reporting period. Eleven 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 Eighteen new or revised policies, procedures, and handbooks were completed. These will become effective upon publication during the next reporting period. As previously reported, an OTP team developed a new electronic database to track the status of directives throughout their lifecycle. During the reporting period, OTP extensively tested the database. Final modifications will be incorporated by a contractor before release to production. Upon release, OTP 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. As previously reported, OTP staff flowcharted each OTP process and authored a new set of internal procedures for each process. During this reporting period, OTP completed drafting the remaining chapters addressing the revised surnaming process, user instructions for the new tracking database and quality control. The procedures are circulating for user review and final edits, which should be completed during the next reporting period. OTP continued to update the Interagency Handbook. During the reporting period, the existing document was reformatted according to current guidelines and the first four sections were revised. The TBCC directives continue in the surnaming process while revisions are incorporated to accommodate recent process changes. August 3, 2009 Trust Regulations, Policies and Procedures Three programmatic delegations of authority for OAS drafted and placed in the surnaming process during the last reporting period were withdrawn pending necessary revisions to the Departmental Manual. 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-Seven. The information provided in this section is accurate to the best of my knowledge. Date: July 17, 2009 Name: Signature on File John Marshall, Director Office of Trust Regulations, Policies and Procedures Office of the Special Trustee for American Indians August 3, 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 15 Indian trust examinations. OTRA issued seven draft reports, and 15 final Indian trust examination reports. In the 15 Indian trust examination reports issued, 14 offices were rated “satisfactory,” and one office was rated “in need of improvement.” For the office in need of improvement, OTRA reported two findings – one finding in compliance relating to supervised accounts and one finding in operations relating to records management. Records Assessments The records assessment is a focused evaluation of records maintenance and security. OTRA conducted four records management assessments and 13 records assessment follow-up reviews on the status of corrective action implementation. OTRA issued four final records management assessment reports and 15 final records assessment follow-up reports. Compliance/Investigative Reviews OTRA conducted two investigative reviews relating to trust operations by BIA agency offices. OTRA issued one investigative report. Follow-up Inquiries OTRA completed two inquiries seeking the status of corrective actions recommended in previous reporting periods. August 3, 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-Seven. The information provided in this section is accurate to the best of my knowledge. Date: July 20, 2009 Name: Signature on File Larry Morrin Director, Office of Trust Review and Audit Office of the Special Trustee for American Indians August 3, 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 generally accepted valuation methodology is used to determine fair market value of Indian lands. Accomplishments OAS transmitted 1,665 real estate appraisals to clients; of these, 104 were completed using the U/FAS in the Great Plains Region. OME evaluated 136 parcels in support of ILCO and 2 parcels in support of probate. Current Status OAS and BIA anticipate testing the ARRTS program during the next reporting period. OAS and BIA expect to determine what, if any, changes and or additions need to be made in order for the ARRTS program to work effectively for Indian appraisals. OAS, in conjunction with the OST Office of External Affairs, has initiated a project to revise the funding methodology for determining tribal shares and residual amount for the inherent federal functions. The revised methodology is intended to provide uniformity and transparency. A series of six tribal consultations began in June and is expected to conclude during the next reporting period. OAS developed and implemented standard appraisal statements-of-work and appraisal business workflows for in-house, third party and tribal contracted/compacted appraisals. These standard SOWs are expected to expedite the appraisal review process, ensure that requirements are consistent with policy, and improve quality control in appraisal preparation and review. In February 2009, OAS initiated a project to clean up the appraisal backlog by July 1, 2009. Over the past few months, OAS sent teams to those locations with high numbers of backlogged requests to focus on eliminating the backlog. OAS staff resolved 95% of the identified backlog (see table below) by preparing and reviewing appraisals (877), as well as negotiating appropriate due dates for all remaining appraisal requests (327). The deadline is negotiated between the regional supervisory appraiser and the “client,” which is typically a BIA superintendent or similar official, OHA deciding official, tribal official or ILCO manager. In the past, deadlines were routinely set at 90 days regardless of the required timeframe. As in previous reporting periods, the “appraisal backlog” includes appraisal requests that contained 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, based on this definition, and pending work as reported by the regions are as follows: August 3, 2009 Office of Appraisal Services Region Appraisals Completed This Quarter Pending Work As of 06/30/09 (includes backlog) Appraisal Backlog As of 03/31/09 Appraisal Backlog As of 06/30/09 Northwest 502 167 341 0 Rocky Mountain 183 261 144 58 Midwest 93 74 54 0 Western 70 71 22 0 Southwest 33 11 27 6 Eastern Oklahoma 121 105 39 0 Navajo 28 66 1 0 Pacific 55 8 3 0 Alaska 214 166 280 0 Eastern 0 42 0 0 Southern Plains 75 379 4 1 Great Plains 291 73 5 0 TOTAL 1,665 1,423 920 65 Effective July 1, 2009, OAS is implementing a new definition of “backlog” as “an appraisal request pending past the negotiated due date agreed to by the client and OAS.” Assurance Statement I concur with the content of the information contained in the Appraisal section of the Status Report to the Court Number Thirty-Seven. The information provided in this section is accurate to the best of my knowledge. Date: July 31, 2009 Name: Signature on File Eldred F. Lesansee Deputy Chief Appraiser Office of Appraisal Services August 3, 2009 Trust Regulations, Policies and Procedures II. INDIAN AFFAIRS A. TRUST REGULATIONS, POLICIES AND PROCEDURES Introduction The Office of Regulatory Affairs and Collaborative Action 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. The office has undergone a name change during this reporting period, from Office of Regulatory Management to Office of Regulatory Affairs and Collaborative Action, as a result of the assumption of additional duties. RACA 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 – During this reporting period, RACA briefed the Deputy Assistant Secretary for Policy and Economic Development and the Director of the Office of Hearings and Appeals regarding updates to the recently finalized regulations related to probate, probate hearings and appeals, tribal probate codes, and life estates and future interests in Indian land. See 73 Fed. Reg. 67256 (November 13, 2008). Updates to these regulations are necessary because, a few weeks following their publication, Congress amended the authorizing statute, the American Indian Probate Reform Act. RACA and subject matter experts have drafted the regulatory changes and anticipate publishing them in the next reporting period, following SOL input. RACA continues to work with SOL and subject matter experts to revise the CFR part regarding conveyances of trust and restricted interests; however, publication of these regulations is not planned until the probate updates have been finalized. Interior is planning to begin the consultation process 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. RACA, in conjunction with SOL, briefed the Indian Energy & Mineral Steering Committee on June 10, 2009. Based on IEMSC discussions and information provided by SOL at that time, a complete draft of these regulations is now not expected until CY2010. August 3, 2009 Trust Regulations, Policies and Procedures 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-Seven. The information provided in this section is accurate to the best of my knowledge. Date: July 28, 2009 Name: Signature on File Michele F. Singer Director, Regulatory Affairs and Collaborative Action Office of the Assistant Secretary – Indian Affairs August 3, 2009 Fractionation III. 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, and 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. ILCO operates several acquisition projects which purchase interests in fractionated tracts and transfers title to the Tribes. A total of 20 reservations located in seven BIA Regions have participated in ILCP. ILCP was not funded in the current Interior budget and is using FY2008 carry-over funds this fiscal year. ILCO had expected to end its operations at the end of FY2009. However, ILCP funding is included in the President’s 2010 budget request. Accomplishments During this reporting period, ILCP acquired 9,950 fractional interests and 52,002 acre-equivalents. Of the total interests acquired, 84% were interests of less than 2% ownership in the respective tracts of land. Tribes acquired majority ownership in 110 tracts during this reporting period (7,934 total tracts). As a result of ILCP purchases, Tribes now have 100% ownership of 445 total tracts since the beginning of the program. ILCO completed its internal audit of all acquired fractionated interests. The audit verified landowner intent and sales information. ILCO continues to work with the LTROs to validate the results of the internal audit. August 3, 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-Seven. The information provided in this section is accurate to the best of my knowledge. Date: July 16, 2009 Name: Signature on File Brenda Walhovd Acting Director, Indian Land Consolidation Office Bureau of Indian Affairs August 3, 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, 7,481 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, 5,945 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, 4,193 cases are pending decision. OHA also reported that deciding officials received 1,831 cases and decided 1,760 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, which may entail preparing supporting documentation for distribution and closure of the estate account. According to ProTrac, 2,585 cases were pending in the case closure stage. BIA closed 2,215 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 2,337 accounts in TFAS during this reporting period representing 2,281 estates. As of June 30, 2009, TFAS contained 32,026 open estate accounts, which is a decrease of 281 from the 32,307 open estate accounts at the end of the last reporting period. August 3, 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-Seven. The information provided in this section is accurate to the best of my knowledge. Date: July 20, 2009 Name: Signature on File Adelita Guerue, Director Special Projects Chief, Probate Division Office of Trust Services Bureau of Indian Affairs August 3, 2009 Information Technology IV. 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. Accomplishment Encryption Software Deployment: NBC deployed new enterprise rights management encryption software throughout its desktop computer environment. The software enhances email security by allowing end-users the option to encrypt email attachments when mailing them to each other in the NBC environment. NBC determined that the software did not disrupt or inhibit the capability to recall email items previously archived by ZANTAZ. Current Status Prevention and Monitoring: ESN perimeter security controls, which are the first line of defense, blocked over one million network attacks during this 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 68 weaknesses were eliminated and 143 new weaknesses were identified and added for trust systems. • At the end of this reporting period, there were 828 weaknesses associated with trust systems. Of the 828 open weaknesses, 125 (15%) are rated high, 409 (49%) are rated medium and 294 (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 continued the 2009 Role-Based Security Training and Security Awareness Training as required by FISMA. August 3, 2009 Information Technology Reports: DOI OIG issued the following report on DOI information security: “Evaluation of the Department of the Interior’s Accountability of Desktop and Laptop Computers and their Sensitive Data,” examining Interior’s physical controls to protect desktop and laptop computers from loss and misuse. This report addressed Interior’s management of information technology, and made specific mention of Indian Trust matters as an impetus to implement the report's recommendations: • Establish a uniform, Department-wide, system-controlled, chain-of-custody property system for computers. • Incorporate information sanitization procedures in conjunction with property disposal procedures. • Require that the loss or theft of all computers be reported to the Department's Computer Incident Response Center. • Take immediate action to encrypt all portable computers throughout the Department. The following government reports issued during this reporting period related to information security across all federal agencies: • GAO report “INFORMATION SECURITY: Cyber Threats and Vulnerabilities Place Federal Systems at Risk.” • GAO report “INFORMATION SECURITY: Agencies Make Progress in Implementation of Requirements, but Significant Weaknesses Persist.” Incident: BIA reported that a box of microfiche records was inadvertently left on a BIA loading dock for several hours on May 5, 2009. DOI-CIRC, OIG, and US-CERT were notified. OHTA sampled the microfiche, and initial results show that no IIM or tribal trust data were contained in the box. The sample indicated that the box contained only high-level BIA budgetary information. BIA determined that none of the information was disclosed. On June 11, OIG referred investigative activities back to BIA and requested a response within 90 days. Delays and Obstacles Staffing: During this reporting period, the AS-IA Deputy CIO continued to serve as the acting BIA CIO until a replacement BIA CIO is hired. The Deputy Interior CIO and OHTA BCISO positions are now vacant. August 3, 2009 Information Technology 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-Seven. The information provided in this section is accurate to the best of my knowledge. Date: July 30, 2009 Name: Signature on File Sanjeev (Sonny) Bhagowalia Department of the Interior Chief Information Officer August 3, 2009 THIS PAGE INTENTIONALLY BLANK August 3, 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 25 completed survey projects in Indian Country during this reporting period. These surveys produced 31 plats, 558 miles of survey line and an additional 961 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 763 professional land surveyors enrolled in the CFedS training program, and 271 CFedS certified. There were 48 states represented with licensed surveyors either enrolled or certified in the program. • The CFedS web site had approximately 25,000 visits and the “Finding a CFedS” page received approximately 19,000 inquiries. • Twenty-two new professional land surveyors started the program. Implementation of the FTM The CGIS, as described in the TAAMS Spatial Pilot Project, is a key element of the FTM for enhanced management of Indian lands. The CGIS has not been implemented throughout Indian country because of a lack of resources; however, OST and BIA are exploring options to fund the CGIS initiative in FY2011. August 3, 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-Seven. The information provided in this section is accurate to the best of my knowledge. Date: July 21, 2009 Name: Signature on File Donald A. Buhler Chief Cadastral Surveyor Bureau of Land Management August 3, 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 As previously reported, MMS expects to address issues regarding the “major portion” calculation for oil produced from Indian leases in a Negotiated Rulemaking Committee following review and decision by the new administration. 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-Seven. The information provided in this section is accurate to the best of my knowledge. Date: July 16, 2009 Name: Signature on File Shirley M. Conway Special Assistant to the Associate Director Minerals Revenue Management Minerals Management Service August 3, 2009 THIS PAGE INTENTIONALLY BLANK STATUS REPORT TO THE COURT NUMBER THIRTY-SEVEN August 3, 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 August 3, 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 August 3, 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 IEMSC Indian Energy & Mineral Steering Committee 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 August 3, 2009 Acronyms and Abbreviations ITARS Indian Trust Appraisal Request Tracking System 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 August 3, 2009 Acronyms and Abbreviations OTP Office of Trust Regulations, Policies and Procedures 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 RACA Regulatory Affairs and Collaborative Action 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 SOW Statement-of-Work 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 August 3, 2009 Acronyms and Abbreviations SUS System Update Servers SWRO Southwest Region office TAAMS Trust Asset and Accounting Management System TAP Technical Architecture Profile TBCC Trust Beneficiary Call Center TCIS Treasury Check Information System 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