Overview

Two of the goals of the U.S. Department of Housing and Urban Development (HUD) are to empower communities and restore public trust. The overall objective of the Grants Evaluation Division of the Office of Native American Programs (ONAP) is to assist tribes and/or Tribally Designated Housing Entities (TDHE) in accomplishing their housing and community development objectives, thereby empowering Native American communities. Through oversight and monitoring, the ONAP Grants Evaluation Division builds public trust. The purpose of oversight and monitoring is to:

• ensure that programs are implemented in a timely manner in compliance with all applicable requirements;
• identify instances and trends that indicate superior, satisfactory, or deficient performance;
• develop and implement actions to reinforce, improve, correct, or supplement recipient performance, as appropriate; and
• identify technical assistance needs and provide pro-active support.

HUD reviews the performance of recipients to determine whether they:

• have carried out their eligible activities in a timely manner,
• have eligible activities and certifications in accordance with the individual program requirements and with other applicable laws, and
• have a continuing capacity to carry out those activities in a timely manner.

HUD monitoring consists of on-site review and off-site (or remote) review of records, reports, and audits. On-site reviews are conducted at the grant recipients' offices and may include visits to housing sites. Grant recipients may be requested to provide additional information to the Area ONAP after completion of the on-site visit and before completion of HUD's review. Unusual situations aside, the Area ONAP will provide written notice and details of the monitoring visit at least 30 days in advance. A remote review consists of a thorough review of all information available in the Area ONAP's files concerning a grant recipient. The Area ONAP may request submission of information from the grant recipient to supplement information available in HUD's records prior to the completion of the review.

Upon completion of either type of review, a draft report will be provided to the grant recipient for comment, per 24 CFR ? 1000.528. Once the comment period has expired, HUD will issue a final report that addresses any comments received.

At this website you can find links to:

Guidebooks Reporting Requirements
Available Report Forms
Current Year Monitoring Schedule
Access to all monitoring reports issued since 2000 HUD
Inspector General Audit Reports

Guidebooks

Grants Evaluation Guidebook (Adobe PDF, 112 pages)
Provides general processing requirements, guideline procedures, and tools for Grants Evaluation staff. (Updated Monthly)

Self-Monitoring Guidebook (Adobe PDF, 177 pages)
Developed by ONAP to assist Indian Housing Block Grant (IHBG) recipients meet their self-monitoring responsibilities under NAHASDA. This Guidebook is presented in chapters which address various organizational components of a recipients operation. While the Guidebook is developed for the IHBG program, it can be useful to any grant recipient in establishing a self-monitoring program.

Monitoring Plans for Recipients

ONAP provides IHBG recipients with sample monitoring plans that they may use when conducting self-monitoring, as required under NAHASDA.  Use of these sample monitoring plans is optional; however, the plans are designed to provide tribes and tribally designated housing entities (TDHE) with an effective, structured approach to evaluate performance and determine compliance with program requirements.  The sample monitoring plans can also be used to conduct similar reviews of the Indian Community Development Block Grant (ICDBG), Rural Housing and Economic Development/Rural Innovation Fund (RHED/RIF), and Resident Opportunity and Self-Sufficiency (ROSS) programs.  The plans are “living” documents and may change over time.  Always use the plans available at this location.  See Program Guidance 2012-03 for more information.

	APR and IHP Compliance Monitoring Plan
	Draft Lead-Based Paint Monitoring Plan
	Environmental Review Compliance Monitoring Plan
	General Instructions to Monitoring Plans
	Labor Standards Monitoring Plan
	Maintenance and Inspection Monitoring Plan
	Organization and Structure Monitoring Plan
	Other Programs (ICDBG, ROSS & RHED/RIF) Monitoring Plan (Grantee)
	Procurement and Contract Administration Monitoring Plan
	Relocation and Real Property Acquisition Monitoring Plan
	Section 504 Accessibility Monitoring Plan
	IHBG Self-Monitoring Plan
	Subrecipient Agreements Monitoring Plan
	Admissions and Occupancy Monitoring Plan
	Occupancy Review Form
	Occupancy Tenant Files Review Forms
	Financial and Fiscal Management Monitoring Plan
	Financial and Fiscal Management: Appendix 1 - Finance System Controls
	Financial and Fiscal Management: Appendix 2 - Cash Management
	Financial and Fiscal Management: Appendix 3 - Indirect Costs Cost Allocation
	Financial and Fiscal Management: Appendix 4 - Reserve Balances
	Financial and Fiscal Management: Appendix 5 - TDCs
	Financial and Fiscal Management: Appendix 6 - Program Income
	Financial and Fiscal Management: Appendix 7 - Investments
	Financial and Fiscal Management: Appendix 8 - Insurance

Reporting Requirements

Reporting requirements for each of the HUD programs currently or previously available to Indian tribes or other Indian entities are somewhat different based upon the applicable statutory authorities and program regulations. The reporting requirements for each HUD ONAP grant program can be found in Guidance No. 2001-04, Reporting Requirements for Programs Administered by ONAP.

Available Report Forms

	SF 425 Federal Finanacial Report - MS-Excel, Fillable PDF
	HUD 52735 Indian Housing Plan (MS-Word)
	HUD 52735-AS Annual Performance Report (MS-Word)
	HUD 52837 Annual Statement/Performance and Evaluation Report

Recipients of Indian Community Development Block Grant (ICDBG) funds are required to submit an annual status and evaluation report (ASER) on previously funded open grants 45 days after the end of the Federal fiscal year and at the time of grant close out. No standard format is required. The report is in narrative form, addressing the following areas:

1. Progress. A description of the progress made in completing approved activities. This description should include a listing of work remaining, as well as a revised implementation schedule, if necessary.
2. Expenditure of funds. A breakdown of funds spent on each major project activity or category.
3. Grantee Assessment. If the project has been completed, an evaluation of the effectiveness of the project in meeting the community development needs of the grantee.

	Current Year Monitoring Schedule
	Access to all monitoring reports issued since 2000
	HUD-Inspector General Audit Reports