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.
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Monitoring and Technical Assistance
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.
Guide to Self-Monitoring
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.
- IHP and APR 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 Monitoring Plans ICDBG ROSS
- 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 - Internal 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
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All Grants:
- Federal Financial Reports (SF-425) - SF-425 forms are required to be submitted via GEMS for all open grants. Contact your local Area ONAP office for due dates. SF-425.
- Fiscal Audit- Your organization’s fiscal audit is required to be submitted directly to the Federal Audit Clearinghouse (FAC) no later than nine months after fiscal year end, or within 30-calendar days after receipt of the auditor's report, whichever is earliest. New FAC website www.fac.gov.
Indian Housing Block Grant (IHBG):
- Indian Housing Plan (IHP) - The Indian Housing Plan portion of the combined IHP/APR form is required to be submitted via GEMS, 75-days prior to the beginning of the grantee’s program year start. HUD-52737.
- Annual Performance Report (APR) - The Annual Performance Report portion of the combined IHP/APR form is required to be submitted via GEMS, no later than 90-days after your program year end. HUD-52737.
- ARP & CARES Abbreviated Annual Performance Report (APR) - The Annual Performance Report portion of the combined Abbreviated IHP/APR PDF form is required to be submitted to your local ONAP office no later than 90-days after your program year end, for each IHBG-CARES and IHBG-ARP grant. HUD-52737.
- IHBG Competitive Annual Performance Report (APR) - The IHBG Competitive Annual Performance Report is required to be submitted to your local ONAP office no later than 90-days after your program year end, for each open IHBG Competitive Grant. HUD-53248.
Indian Community Development Block Grant (ICDBG):
- Annual Status and Evaluation Report (ASER) - Grantees shall submit to your local Area ONAP office a status and evaluation report on previously funded open ICDBG grants 45-days after the end of the Federal fiscal year and at the time of grant close-out. The report shall be in a narrative form addressing the following areas: Progress, Expenditure of Funds, Program Performance, and if the project has been completed, a Grantee Assessment.
- Contract and Subcontract Activity (MBE Report) - Contract and Subcontract Activity are required to be submitted to your local Area ONAP office no later than October 10th annually for each open ICDBG grant. HUD-2516.
Available Reports