4-30-040 Program Evaluation and Monitoring

(1) The purpose of program evaluation and monitoring is to provide a means of assessing the performance of the grant or contract to determine whether or not the stated objectives are being met. Evaluation and monitoring also provide a basis for the periodic reporting of performance. Supervisors are ultimately responsible for monitoring programs for compliance of programmatic and reporting requirements.

(a) The program evaluation procedure may include the following types:

(i) Needs assessment: the means whereby the Nation determines which services are of the greatest need.

(ii) Periodic program monitoring: the process whereby the unit costs and performance units of programs are regularly checked against the original objectives of performance criteria.

(iii) Annual performance evaluation: the year-end assessment of existing programs and services.

(b) Federal, State or other requirements for evaluation generally focus on the reporting of program performance and cost data. The evaluation criteria are normally set forth in the Scope of Work or Plan of Operations by the Supervisor.

(a) Contracts may require specific reporting to both the funding agency and/or other stakeholders depending on funding requirements as spelled out by the funding agency.

(b) The contractor, as a recipient of Federal, State or other financial assistance, shall make reports and information available to the people serviced or represented by the contractor. Such reports will reflect how the funds were utilized to benefit the participants served or represented. Specific reporting requirements, formats, and methods shall be prescribed in the scope of the contract.

(c) For each year during which a Nation receives or expends funds pursuant to a contract, the Supervisor must submit required reports to the Controller. The report shall include all pertinent information as described by the grantee. The report shall include any other information required by the request of the Controller.

(d) In the event that the program does not submit their reports in a timely manner, the Controller is responsible for notifying the General Manager or Tribal Administrator of the problem and he or she is responsible for appropriate follow-up with the Supervisor.

(a) The Controller reports directly to the Council on the financial management of grants and contract administration. The Controller may assign any, or all, of the grant and contract management functions to other Finance Department personnel. However, the responsibility of the functions remains with the Controller.

(b) Grants and contracts have become the basic operating procedure for most Federal and State agencies in working with tribal governments. For this reason, it is essential that tribal governments have on staff a person knowledgeable in all phases of grant and contract management.

(5) Prior to submitting the grant application to the Tribal Council for approval, the General Manager, Tribal Administrator and Controller will review the grant or contract application to ensure that the application is complete, that the activities funded by the grant are within the program’s areas of responsibilities and the Nation’s Strategic Plan and accurate budget information is provided. If the General Manager, Tribal Administrator and Controller approve the grant application, the General Manager, Tribal Administrator will submit the application to Council for approval of the application and authority to submit the grant. The Supervisors will be responsible for assuring that the requirements of the grant or contract are met after it has been awarded.

(6) After the award has been made by the funding agency, the General Manager or Tribal Administrator will correspond with the Supervisor to check on reports, deliverables, and requirements which must be met to satisfy the terms of the grant or contract. The General Manager or Tribal Administrator will review dates and time frames to be sure the Supervisor is aware of them and that they can be met. Programs may not begin grant-funded activities or expenditures until the grant award letter has been received by the Nation and the budget has been entered by the Controller.

(7) The Controller will ensure that the monitoring and reporting process is consistent with the Nation’s financial reporting process. The Controller will be responsible for setting up a meeting with the Supervisor and the General Manager or Tribal Administrator to review and resolve any questions pertaining to the purchase or use of equipment, property and supplies. This will assure that the terms of the grant or contract will be complied with, and that no confusion exists as to what is considered “allowable costs” under the applicable grant or contract. If there is any difference of opinion as to what is allowable under the terms and conditions of the grant or contract, the General Manager or Tribal Administrator will require the Supervisor consult with the funding agency for a final determination.

(8) The General Manager or Tribal Administrator will be responsible for ensuring that the time frames for reporting under the terms and conditions of the grant or contract are met in a timely manner.

(9) The General Manager or Tribal Administrator will be responsible for furnishing all necessary technical assistance to the Supervisor as needed to meet required due dates. The Controller will also provide technical assistance, if required, in seeking an exception or extension to a due date.

(10) The Controller will be responsible for assuring that proper invoicing is made for each grant or contract, and that proper requests for payment are made from each funding agency. [Res. 2021-02-015 § 2 (Att. 1), 2021.]