Reporting

Reporting

Baseline Measures

Baseline Measures means the basis or standard of comparison of the provision of programs before and after Self-Governance implementation.

During the Planning Phase, Tribes who are interested in becoming Self-Governing, should identify baseline measures of the performance of both Tribal and Federal governments, agencies, programs, services, functions and activities towards meeting the needs of Tribal membership and the capabilities and abilities of Tribal governments to effectively meet the needs of its membership. The establishment of baseline measures should be a part of the planning activity is required of all Tribes seeking Self-Governance status. These measures are crucial to the Tribe’s ability to make informed decisions concerning the development and implementation of its capacity to become Self-Governing. Baseline measures provide the federal agencies, Congress and most importantly the Tribe with a basis for measuring the progress towards the development and operational goals established by the Tribe for itself.

Self-Governance Annual Assessment Report

Section 405 P.L. 103-413 lists the reports that are required of the Secretary of the Interior to the Congress concerning Self-Governance. The reporting requirements are summarized below:

By January 1, of each year the Secretary will submit to Congress a written report regarding the administration of Title IV (Tribal Self-Governance Act of 1994). The report contents will include the following:

identify the relative costs and benefits of Self-Governance;
identify with particularity, all funds that are specifically or functionally related to the provision by the Secretary of services and benefits to Self-Governance tribes and their members;
identify the funds transferred to each Self-Governance tribe and the corresponding reduction in federal bureaucracy;
include the separate views of the tribes; and
include the funding formula for individual tribal shares of Central Office funds, together with the comments of the affected Indian Tribes.

Self-Governance Tribes should be prepared to provide the Secretary with Tribal specific information related to each of the requirements listed above in order to ensure that information provided by the Secretary to Congress accurately represents the experience of the Tribe and not the experience of the Secretary and his/her staff.

In addition to this overall report, the Secretary will provide the following reports:

Non-BIA Programs Report

Within 90 days of the enactment of PL 103-413 and by January 1 of each year thereafter, the Secretary is required to develop a list of the non-BIA program, services, functions and activities, or portions thereof operated by the Department of the Interior that can be included in agreements with tribes participating in Self-Governance under Title IV of P.L. 103-413. In addition to the list of non-BIA programs, the Secretary is required to establish programmatic targets, after consultation with Self-Governance Tribes, to encourage bureaus of the Department to assure that a significant portion of such programs, services, functions, and activities are actually included in the agreements negotiated.

Self-Governance Tribes need to generate the information needed to complete this annual report from the Secretary to ensure that the information presented to Congress accurately represents the experience of the tribe in seeking to include non-BIA Department of the Interior programs in their compacts and annual funding agreements.

Trust Evaluation, Annual Assessments

An annual evaluation of the activities of both the Self-Governing Tribes and the Federal Government to protect the trust resources of each tribe will be conducted by the Department of the Interior, Office of American Indian Trust and each Tribe. Trust resource evaluations are required by Law to include an evaluation of activities of the federal government to fulfill its continuing responsibility to protect the trust resources.

Internal Reporting

As a practical matter, although not required by law, Self-Governance Tribes must develop internal reporting systems so Tribal Councils can be informed about programmatic activities. The information collected is utilized for both internal evaluation and external reports.

It is important for Self-Governance Tribes to develop an internal activities reporting system. This system should provide sufficient information to Tribal government, to manage the development and implementation of Self-Governance Policies and Procedures. These will enable staff to manage the development and operation of Tribal government programs, services, functions and activities.

To measure progress towards Tribal goals and objectives.
To evaluate performance of staff assigned to operate program.
To determine appropriate development of Self-Governance
To support budget justifications to Tribal Councils

Annual Report

The Self-Governance Tribes should include in their internal reporting system a requirement to develop an annual report describing the programs, services, functions and activities supported by funding received through the Annual Funding Agreement, under the Self-Governance Compact with the United States to the Tribal Council and other appropriate Tribal organizations, agencies and institutions.

Internal Education, Coordination and Review

Self-Governance Tribe have found it necessary to develop internal education systems for Tribal Staff, decision makers, and Tribal members in order to implement the internal re-organization plans that they have developed. These systems will help facilitate the development of the capacity and ability of Tribal Government to be Self-Governing.

Review of Annual Funding Agreements Programs (Assumption, Re-Design, Operation)

Self-Governance Tribes should, on an ongoing basis, or at least periodically, review their Annual Funding Agreement to identify the following and take appropriate action:

Operational problems and strengths that provide the basis for future development and operational activities.
Adjustments in funds that need to be developed and submitted to the OSG/DOI or the IHS/OTSG.
Additional BIA/IHS non-BIA DOI programs and non-IHS DHHS programs for Tribal assumption and operation.
Program re-design planning needs to assume additional BIA/IHS/Non-BIA DOI programs and non-IHS DHHS programs.

Internal Evaluation

Each Self-Governance Tribe needs to develop an internal evaluation system that employs the basic evaluation concepts presented below in order to identify its own progress towards its own goals. Performance of this internal evaluation should be consistently scheduled and include all participants.

Basic Performance Evaluation Concepts:

The process of evaluating the performance of any activity requires the following:

Identify the activity to be evaluated
Establish baseline measures for the activity to be evaluated.
Performing the service or activity including new services or activities.

Describing the actions which are both new and existing services or activities.

Performing an analysis of the differences in outcomes that could be attributed to the new activities and services.

Developing a written document describing the results or findings.

Conclusions

Implementation of Tribal Self-Governance demands careful and ongoing assessment of the organization of the Tribal government and the Tribal budgeting process. This assessment and refinement of the organization of Tribal government and budgeting process does not end with the planning and research activities in preparation for Tribal Self-Governance. It is during the implementation stage that Tribes learn whether the procedures and organizational structure which looked good on paper beforehand actually worked and whether changes are needed. Tribal Self-Governance is a learning experience.

Internal Tribal government reorganization and development of budget procedures are critical activities of Self-Governance. Participating Tribes will address these activities in their own individual ways. The objectives can be effective operations, cost efficiencies, and Tribal stability. Tribal stability in the political, administrative, and programmatic arenas is the foundation for success for Tribal Self-Governance.

Tribes should not overlook the need for continuing education for Tribal membership regarding the activities taking place within Tribal government. Self-Governance is about managing our own affairs. The more people understand the Self-Governance process and Tribal Council decisions, the more likely they will support Tribal operations.

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