Grant Evaluation Oversight and Monitoring (HQ)Overview
Through oversight and monitoring, the Office of Native American Programs (ONAP) Grants Evaluation Division:
- ensures that programs are implemented in a timely manner in compliance with all applicable requirements;
- identifies instances and trends that indicate superior, satisfactory, or deficient performance;
- develops and implement actions to reinforce, improve, correct, or supplement recipient performance, as appropriate; and
- identifies technical assistance needs and provide pro-active support.
Monitoring
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.
Guidebooks
Self-Monitoring Guidebook (09/2018)
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
- 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
- Procurement and Contract Administration Monitoring Plan
- Relocation and Real Property Acquisition Monitoring Plan
- Section 504 Accessibility Monitoring Plan
- Self-Monitoring Plan
- Subrecipient Agreements Monitoring Plan
- Admissions and Occupancy Monitoring Plan
- Occupancy Review Form-Appendix 1
- Occupancy Tenant Files Review Forms-Appendix 2
- 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
- Title VI Monitoring Plan
- Tribal HUD VASH Monitoring Plan
Reporting Requirements
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 Financial Report - PDF
- Indian Housing Plan/Annual Performance Report (HUD-52737)
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:
- 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.
- Expenditure of funds. A breakdown of funds spent on each major project activity or category.
- 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.