DOI Self Governance Orientation

DOI Self Governance Orientation
April 22, 2018 Albuquerque, NM

Housekeeping Session Format: PowerPoints Question & Answer
Commercial Interruptions Discussion Quiz – Prizes!?!

What Language are you Speaking?

Indian Affairs Fed-Speak
Reference SGCE list of acronyms on tribalselfgov.org. We also have a handout for the participants.

Who is OSG?

AS-IA Organizational Chart
Assistant Secretary – Indian Affairs Office of Federal Acknowledgement Office of Public Affairs Principal Deputy Assistant Secretary Deputy Assistant Secretary Policy and Economic Development Deputy Assistant Secretary Management Director Bureau of Indian Affairs Director Bureau of Indian Education

AS-IA Organizational Chart
Deputy Assistant Secretary Policy and Economic Development Ex Dir to White House: OIEED: Jack Stevens Office of Self Governance Executive Director to the White House Council on Native American Affairs Office of Indian Energy and Economic Development

Office of Self Governance
Director Sharee Freeman Program Analyst Vickie Hanvey Management Analyst Tyler Scribner Financial Specialist Dan Santiago Senior Policy Analyst Ken Reinfeld NW Field Office Manager Matt Kallappa Financial Specialist Rufina Villicana Compact Negotiator Gordon Smith Financial Specialist Celeste Engles Program Assistant Maureen Marcellay Compact Negotiator Shaunna McCovey Financial Specialist Lance Fisher Financial Specialist Miles Reader Financial Specialist Thomas Gubatayao

Who and Where are the SG Tribes?

Created by: Brittni Kilborn, GIS Analyst II , BIA - Office of Trust Services and
Michaela Stroup-Madrid, Self-Governance Intern, DOI - Office of Self-Governance, Northwest Field Office

Number of SG Tribes (285) by Region (10)
Alaska – 190 Tribes 31 Funding Agreements Northwest – 26 Tribes Pacific – 22 Tribes Rocky Mountain – 1 Tribe Western – 7 Tribes Eastern – 2 Tribes East. Oklahoma – 12 Tribes Midwest – 12 Tribes Southern Plains – 8 Tribes Southwest – 5 Tribes

New SG Tribes for 2019 Chickaloon (Alaska) Klamath (Northwest)
Samish (Northwest) Kashia (Pacific) Trinidad (Pacific)

Self Governance Beginnings
Legislative Foundations and Regulations

Foundational Legislation
1921 – Snyder Act BIA…shall direct, supervise, and expend moneys…for the benefit, care, and assistance of the Indians throughout the United States for...purposes…(as stated) 1934 – Johnson O’Malley Act Authorized the DOI Secretary to enter into contracts with any State… for the education, medical attention, agricultural assistance, and social welfare, including relief of distress, of Indians in such State…

Indian Self Determination and Education Assistance Act of P. L
Established federal policy of Indian self-determination Title I – Directs the respective Secretaries of DOI and HHS, upon request, to enter into self-determination contracts

Indian Self Determination and Education Assistance Act of P.L. 93-638
Title III – Tribal Self Governance Demonstration Project (1988) directed the DOI Secretary to conduct the Tribal Self Governance Project Title IV – Tribal Self Governance Act (1994) directs the DOI Secretary to establish and carry out the Tribal Self Governance program 10 Tribes selected initially, 7 compacted in 1991, couple more in subsequent years, one declined altogether. 10 additional tribes in each 1992 and 1993, total 27 demonstration project tribes.

25 CFR Part 1000 Tribal Self Governance – Final Rule
Effected January 16, 2001 A sample of what Self-Governance Regulations address Application Process and Selection Criteria AFAs for BIA Programs Negotiation Process for AFAs AFAs for Non-BIA Programs

Application Process

Application Process March 1 deadline for submitting applications for the upcoming year. Ex. Apply before 3/1/2017 – begin SG in FY/CY 2018 Applications to become a member of the applicant pool accepted at any time to begin SG the following year. Ex. apply April 15, 2017 – begin SG in FY/CY 2019. Applications are sent to the Director, Office of Self Governance - Sharee M. Freeman

Application Process Contact Ken Reinfeld at OSG for information about the application process Ken can be reached: Phone - (703) Fax - (703) - Hello, this is Ken.

Application Process Up to 50 additional Tribes per year may begin participation in Tribal Self-Governance

Application Process Governed by 25 CFR Parts 1000.10 to 1000.31
To be admitted to the Applicant Pool, a tribe must: Submit a planning report Submit a tribal resolution by Tribal Governing body Demonstrate financial stability and management for 3 previous fiscal years – (Single Audit Act Audits)

Financial Stability & Financial Management Capability
Single Audit Act audits for the previous three years of the tribe’s self-determination contracts These audits must not contain material audit exceptions A material audit exception deems the tribe ineligible until the eligibility criteria is met

Financial Stability & Financial Management Capability
Material audit exception: (1) Material weakness (2) Questioned, disallowed cost(s) exceeding $10,000

A HOW-TO APPLICATION AND INFORMATION GUIDE FOR PROSPECTIVE TRIBES
SELF-GOVERNANCE: A HOW-TO APPLICATION AND INFORMATION GUIDE FOR PROSPECTIVE TRIBES

Entering Self Governance
Planning, Self Evaluation

Self Evaluation Checklist
Things to Consider & Questions to Ask Why Self Governance? Form an Exploratory Committee (Tribal Leaders, Grants Management Rep, Finance Rep) Identify a Leader Attend Training Before Transition Assess Strengths, Weaknesses, Opportunities and Threats (SWOT Analysis) Assess Internal Systems Management Policies Internal Controls Assess Tribe’s Budget Management System Assess Program Dependence Level on BIA Assess Tribe’s Adaptability to Change How does Tribe communicate with its members? Prepare a Planning Report and Grade Your Tribe Organize this by order of importance (1,2,3) and consider sliding in bullets one at a time

Ready Not Ready Internal Controls Team Experience Established Systems Lack of Systems Averse to Change Inexperience

PLANNING, PLANNING, PLANNING
YDSP’S SELF GOVERNANCE JOURNEY

PLANNING REPORT REVELATIONS
STRATEGIC PLANNERS RESPONSIBLE CONTRACTORS EVIDENCE BASED FOCUS EXPERIENCED FORMAL SYSTEMS POLICIES BUDGET PRIORITIES SUPPORTIVE LEADERS INNOVATORS

Map Evidence of Readiness
Federal Restoration 1987 Tribal Court Established 1996 Self Governance Recognition 2012 I.H.S. Joint Venture Awardee 2015 Assess tribe’s development by identifying patterns of growth. Is tribe’s growth strategic? Is progress rooted in “people” or “systems”? Is tribe plagued and paralyzed by tribal politics? What is tribe’s administrative culture and is it conducive to Self Gov? Does tribe chase funding or does it align resource garnering with strategic goals and community needs? Map Evidence of Readiness

“It is the Pueblo’s vision to become a self-governed, self- sufficient, sovereign government with vibrant cultural practices and advanced educational, social and economic opportunities.” VISION

Self Governance Team Identify Lead Identify Roles Create Redundancy
TRIBAL OPS FINANCE PROGRAM DIRECTOR MGT INFO SYSTEMS HUMAN RES. Identify Lead Identify Roles Create Redundancy Set Internal Controls for Accountability Impose Self Monitoring/Compliance Report to Community Activity – Disseminate checklist to attendees. Encourage tribes to work in their respective teams. Report out to group at-large

YDSP’s Self Evaluation Process
DECIDE SET GOAL ID ASSETS MAP EVIDENCE Recommend tribe complete a Planning Report to Assess Readiness whether tribe submits application or not

BACKGROUND 23-year Service Career in Tribal Government
Budget Development, Program Planning, Development & Compliance Self Governance Coordinator National Workgroups—BIA & I.H.S. Contract Support Costs—Self Governance Advisory Committee Technical Rep for Southwest Region

Self Evaluation Checklist
Things to Consider & Questions to Ask Why Self Governance? Form an Exploratory Committee (Tribal Leaders, Grants Management Rep, Finance Rep) Identify a Leader Attend Training Before Transition Assess Strengths, Weaknesses, Opportunities and Threats (SWOT Analysis) Assess Internal Systems Management Policies Internal Controls Assess Tribe’s Budget Management System Assess Program Dependence Level on BIA Assess Tribe’s Adaptability to Change How does Tribe communicate with its members? Prepare a Planning Report and Grade Your Tribe

Ready Not Ready Internal Controls Team Experience Established Systems Lack of Systems Averse to Change Inexperience

INTERNAL CONTROLS

Director of Operations
Management & Budget Human Resources Information Technology Self Monitoring & Evaluation Role in Data Improvement as TOPs

YDSP SELF MONITORING PROGRAM
Tribal Council authorized YDSP Self-Monitoring and Evaluation Policy in 2008 (Resolution No ) Sets internal financial and management controls Goals Minimize potential fraud, waste, or mismanagement Adherence to policies and procedures Compliance with federal and state agreements Optimal service delivery

SELF MONITORING POLICY ELEMENTS
Sets Authority Identifies Stakeholders & Roles Sets Objective Identifies Monitoring Activities Policy provides foundation for efforts

SELF MONITORING PLAN ELEMENTS
Outlines Process Describes Monitoring Cycle Sets Annual Monitoring Objective(s)

DATA MANAGEMENT

PERFORMANCE MEASURES / MINIMUM DATA COLLECTION2016_TribalDataRequestForm.doc

PERFORMANCE MEASURES / MINIMUM DATA COLLECTION DCD_Qtrly_Stats 2018
PERFORMANCE MEASURES / MINIMUM DATA COLLECTION DCD_Qtrly_Stats 2018.xlsx

COMMUNITY SOCIOECONOMIC PROFILE

PLANNING, PLANNING, PLANNING
YDSP’S SELF GOVERNANCE JOURNEY

PLANNING REPORT REVELATIONS
STRATEGIC PLANNERS RESPONSIBLE CONTRACTORS EVIDENCE BASED FOCUS EXPERIENCED FORMAL SYSTEMS POLICIES BUDGET PRIORITIES SUPPORTIVE LEADERS INNOVATORS

Map Evidence of Readiness
Federal Restoration 1987 Tribal Court Established 1996 Self Governance Recognition 2012 I.H.S. Joint Venture Awardee 2015 Assess tribe’s development by identifying patterns of growth. Is tribe’s growth strategic? Is progress rooted in “people” or “systems”? Is tribe plagued and paralyzed by tribal politics? What is tribe’s administrative culture and is it conducive to Self Gov? Does tribe chase funding or does it align resource garnering with strategic goals and community needs? Map Evidence of Readiness

“It is the Pueblo’s vision to become a self-governed, self- sufficient, sovereign government with vibrant cultural practices and advanced educational, social and economic opportunities.” VISION

Self Governance Team Identify Lead Identify Roles Create Redundancy
TRIBAL OPS FINANCE PROGRAM DIRECTOR MGT INFO SYSTEMS HUMAN RES. Identify Lead Identify Roles Create Redundancy Set Internal Controls for Accountability Impose Self Monitoring/Compliance Report to Community Activity – Disseminate checklist to attendees. Encourage tribes to work in their respective teams. Report out to group at-large

YDSP’s Self Evaluation Process
DECIDE SET GOAL ID ASSETS MAP EVIDENCE Recommend tribe complete a Planning Report to Assess Readiness whether tribe submits application or not

PLANNING REPORT OUTCOMES
STRATEGIC PLANNERS RESPONSIBLE PAARTNERS EVIDENCE BASED FOCUS EXPERIENCED FORMAL SYSTEMS POLICIES BUDGET PRIORITIES SUPPORTIVE LEADERS INNOVATORS

Negotiations

Negotiation Overview Tribe requests negotiations begin
Begin after final Guidance is issued – May OSG Negotiator will contact Tribe Face to Face negotiations upon Tribal request Tribe requests negotiations begin Talk about where Tribe sends signed original documents.

Negotiation Process Tribe can requests Pre-negotiation meeting, if necessary Subsequent meetings held Lead negotiators must be authorized to negotiate on behalf of their government Lead negotiators are: authorized Tribal rep, the OSG negotiator, and the BIA Regional Director.

Negotiation Process Federal Team
OSG negotiator - Lead negotiator for the Assistant Secretary – Indian Affairs BIA Regional Director - Lead negotiator for BIA programs BIA Regional Director - Responsible for coordinating with and notifying pertinent BIA program offices BL1: issued by the Director, BIA for non base programs. BL2: regarding dates and locations of the negotiations to support the timely completion of negotiations. BL3:Affairs and coordinates with the BIE Education Line Officer, Special Agent in charge of law enforcement, OST and others as needed

Negotiation Process Negotiations must address:
Specific intentions of the Tribe (programs to be included) Legal or program issues identified as concerns by the BIA or Tribe Options for negotiating programs and related budget amounts Dates for conducting and concluding negotiations Protocols for conducting negotiations Who will prepare an initial draft of the Compact/Funding Agreement We have a model compact and an FA.

Negotiation Process Both parties sign the Funding Agreement
A second set of originals is returned to the Tribe Copies are sent to appropriate Congressional Committees Each Tribe served by the BIA Agency gets a copy Talk about why we do two sets of originals.

What Exactly is Negotiated?

Self Governance Compact
A compact should generally include: The authority and purpose Terms, provisions, and conditions of the compact Obligations of the Tribe and United States Other provisions Appenix A of Part 1000 of the regulations outlines the terms of the Compact.

Self Governance Compact - Trust Evaluations
Trust Evaluations – included in Obligations of the Untied States Performed by the Office of Special Trustee (OST) annually Monitor performance of trust functions by the Tribe What is being evaluated? Trust Resources – property interest held in trust Trust Assets – trust revenue, royalties, rental assets, etc. Trust evals are a provision contained in the Compact. OST is having a break out session at 1:00 pm on Tuesday if they need more information.

Self Governance Compact – Trust Evaluations
If there is a finding: The Tribe is primarily responsible for identifying and implementing corrective actions More info in 25 CFR § 1000 Subpart O – Trust Evaluation Review A finding of imminent jeopardy triggers the Federal reassumption process - 25 CFR Part 1000 Subpart M Reassumption process not triggered if OST determines that the Tribe can cure the conditions causing jeopardy within 60 days A finding of imminent jeopardy triggers the Federal reassumption process - 25 CFR Part 1000 Subpart M. Reassumption process not triggered if OST determines that the Tribe can cure the conditions causing jeopardy within 60 days AND will not cause significant loss, harm, or devaluation of a trust asset, natural resources, or the public health and safety

Annual Funding Agreement (AFA)
AFAs are legally binding and mutually enforceable written agreements negotiated and entered into annually between a self-governance Tribe/Consortium and the BIA.

Annual Funding Agreements (AFAs)
The AFA must specify the programs that are included It must also specify the applicable funding: Retained by the BIA for “inherently federal functions” identified as “BIA residuals” To be transferred to the Tribe/Consortium Retained by the BIA to carry out functions that the Tribe/Consortium could have assumed but elected to leave with the BIA (“Retained Tribal Share”) Example of programs left with the BIA or services bought-back: Agency perform CDIB with $ left with BIA; Tribe performs the portion of Real Estate Services for tribal lands, BIA performs the portion of Real Estate Services for individual Indian allotments.

Multi-Year Agreement (MFA)
At the option of the Tribe/Consortium, and subject to the availability of Congressional appropriations, a FA may exceed one year (“Multi-year Funding Agreement” or MFA) Talk about the benefits of a Multi-Year Funding Agreement.

Reprogramming Request Worksheet
Aka “Reprogramming Request” and/or “FA Online” Key financial document to be completed at negotiations Specifies funding amounts Specifies the sources of funding to be transferred Footnotes identify unique factors concerning programs and/or amounts

Worksheets / Reprogramming Requests / Funding Agreement Online

What Resources are Available for SG Negotiations?

Federal Law… Statutes Snyder Act Johnson O’Malley Act
Indian Self Determination and Education Assistance Act (P.L , as amended) Title I – (25 USC 5301 et seq) Title IV – (25 USC 5361)

…and Regulations 25 CFR Part 1000 Subpart E for BIA Programs
Subpart G – Negotiation Process for AFAs Subpart Q (miscellaneous) Appendix A – Model Compact Subpart Q – Miscellanous: FOIA, Privacy Act, Audits, OMB Circs, Mgmt Systems, Use of funds, Savings and Carryover, Matching, Indian Pref, Supply Sources, Prompt Payment Investment and restrictions on AFA funds.

OSG Negotiation Guidance
February - President’s Budget Request (Green Book) published in e-form March - Draft circulated to feds April - Draft released for Tribal comment Spring - SG Annual Conference May - Final version posted on OSG website Green Book available on OSG website and BIA website Feds: BIA - OJS, Indian Svc, Trust Svc, DOT; OST; SOL.

Guidance to federal negotiators Programs Requiring Special Attention Trust Programs Contract Support Transportation Program Law Enforcement

Guidance to federal negotiators Process Checklist Anticipated Data Calls Model AFA Model Addenda

Green Book (President’s BIA Budget Request to Congress)
Organization Charts, Maps Executive Summary Tribal Priorities Program Changes Summary Tables BIA Programs Budget Tables Program Overview (program descriptions) There will be more detailed information on the Greenbook in the SG 101 presentation.

Green Book (President’s BIA Budget Request to Congress)
Appendix Tribal Priority Allocation (TPA) tables Bureau Regional Allocations Self Governance Compact Participation Self Governance Compact by Tribe/Consortium (SG Tribes’ Base funding) Consolidated Tribal Government Program

Financial Processes of Self Governance Compact Funding

Finance Overview Funding Advantages Self Governance Database
Support Assistance Contacts

Funding Distributions
CONTRACTING COMPACTING One time processing – FA (Funding Agreements) Obligation is processed and available in total No reoccurring Financial reporting Access to SGDB (Self Governance Database) Paperwork – Mods. Progressive payments – SF 425 Scheduled program reporting Unavailable access to Financial information

Self Governance Database Website www.osgdb.org
Headline News File Library General Info One Login ID per Tribe Prior Year Info. Available – i.e. Negotiation Guidance, ATOs (Authority to Obligate)

Authority to Obligate (ATO)
Fiscal Year Award No. - corresponds with ASAP Acct. ID Detail Description of obligation

SGDB Reports

Support Assistance Northwest Field Office (NWFO)
Tom Gubatayao and Miles Reader CONTRACT SUPPORT AUDITS

Additional Finance Sessions
SG Finance 101 – Thurs, 8:30 am, Mesilla Room SG Finance 201 – Thurs, 10:30 am, Mesilla Room Self Governance in the Greenbook Tribal Priority Allocation (TPA) SG Base SG Financial Operations Self Governance Database (SGDB) Budget Status (FY2018) Base Transfers SGDB Reports Pay Costs Contract Support Costs Administration of Audits

Self Governance Finance
Dan Santiago – Financial Specialist Rufina Villicaña – Financial Specialist Celeste Engles – Financial Specialist Lance Fisher – Financial Specialist

Self Governance Finance 1-1 Training
Acoma Room One-on-One: Self-Governance Database Training Financial Training Contract Support Cost Calculation Training (Appointment schedule posted in room)

Tribal Implementation

YDSP—Journey to Self Governance

1 of 3 Federally Recognized Tribes in Texas and ONLY Pueblo
Meet the Tiguas Ysleta del Sur Pueblo –Southwest Region— Albuquerque Area—Southern Pueblo’s Agency served 10 Pueblos 1 of 3 Federally Recognized Tribes in Texas and ONLY Pueblo Pueblo Revolt of 1680 forced Tiguas out of modern day Albuquerque Area

Established in El Paso—Ysleta in 1682
Meet the Tiguas Established in El Paso—Ysleta in 1682 Land Base: Approx 74,000 acres—3,000 in Trust Checkerboard reservation spans three main counties Enrollment: 4,033 Members

Why Self Governance for YDSP?
Restored decision-making authority to the Pueblo Established control of federal funding available for programs, services, functions, and activities Pueblo is accountable to its people for resource management, service delivery and development

Why Self Governance for YDSP?
Not dependent on BIA for direct services Mature contractors w/ BIA–24 years w/ ‘638 Contracts Systems Oriented Innovative

YDS Self Governance Transition Timeline
Fall 2008—Self Governance Exploratory Committee Formulated –YDS & BIA Officials convene to review SG transition and requirements March 2012—YDS submits SG application April 2012— OSG approves YDS application July 23-24th SG Negotiations take place Jan 1, 2013 Year 1 of SG

YDSP Becomes Self Governance Tribe
YDS joined 251 other tribes (out of 566 federally recognized) and only one of four in the Southwest Region Only 5 Southwest Region Pueblos in Self Governance (Jemez, Ohkay Owingeh, Santa Clara, Taos & YDS) YDS transitioned the following programs: CTGP—Planning, Economic Development, Social Services, Higher Education, Enrollment, Tribal Court, JOM, and Law Enforcement

Self Governance Changes
From an administrative standpoint, Self Governance will reduce administrative requirements and give tribe direct access to its funding Scopes of Work are not required Fewer Reports—GIS will be provided for all programs in Self Governance Funding is transferred directly to YDSP Layer of bureaucracy eliminated with BIA Agencies (Ex. SPA) Internal Controls become more important Reprogramming can be made at tribal level

Self Governance Expectations
Identify programs tribe wants included in the SG Compact Identify a funding base Inquire into funding for other BIA programs not currently in ‘638 contracts (Fire, Environmental) Decide on type of funding agreement (AFA or MYFA) Maintain Current Indirect Cost Rates Meet Contract Support Costs Data Call from OSG to ensure timely payments (August) DOI Interior Business Center

Lessons Learned Close out title I contracts
Cannot have compact and ‘638 contract running concurrently Understand funding from reprogramming request vs actual award Much more reconciliation required to determine annual funding Get involved in Self Governance Advisory Committee / Meetings

COMMUNICATE, COMMUNICATE, COMMUNICATE

What are OSG’s Responsibilities?

What Can Tribes Expect From OSG?
Select tribes to participate in Tribal Self Governance Complete Funding Agreement negotiations: Fiscal year FAs by June 30 Calendar year FAs by October 1 Award funding

Assist with negotiations for non-BIA programs Administer Single Audit Act compliance Regulation waiver requests within 60-day time frame Annual Report to Congress by each January 1

Provide information to tribes, tribal members, other Federal agencies and the public regarding Self Governance Work with tribes and BIA to resolve issues related to implementation of Funding Agreements

I Used to Work With __________ at BIA, Now Who Do I Work With at OSG?
SG Application: Ken Funding Agreement negotiations: Assigned negotiator (Matt, Gordon, Shaunna, Ken, or Vickie) Fund awards/EFTs/drawdowns: OSG Finance (Dan, Fina, Celeste, Lance) Contract Support: Tom, Miles

I Used to Work With __________ at BIA, Now Who Do I Work With at OSG?
Single Audit Act compliance: Tom, Miles Programmatic implementation: Assigned negotiator (possible participation from BIA region or agency) Trust programs/transactions: BIA residual locale with participation from assigned negotiator

Visit the OSG Website www.osgdb.org Headline News Announcements
File Library Reprogramming Request Other important financial information SGCE: tribalselfgov.org

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