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Inspector General Division Central Audit Division
Conducting the Audit: Kansas City, Kansas
Region Covered: Region 8
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF INSPECTOR GENERAL (913) 551-7878
CENTRAL DIVISION FAX: (913) 551-7837
726 MINNESOTA AVENUE
KANSAS CITY, KANSAS 66101
January 23, 1995
MEMORANDUM
SUBJECT: Better Planning and Organizational Changes Could
Improve Region 8's Tribal Program
Report Number E1XMF4-08-0036-5100141
FROM: Nikki L. Tinsley C^x^L. V. •4J^^5U^/''
Divisional Inspector General \)
for Audit
TO: William P. Yellowtail
Regional Administrator
Region 8
Attached is our report entitled "Better Planning and
Organizational Changes Could Improve Region 8's Tribal Program."
The report contains recommendations on assessing Tribal
environmental needs, developing program plans, measuring
accomplishments, and effectively organizing the Tribal program.
We discussed our findings with you and your staff and issued a
draft report. We summarized your comments to the draft report
and included your complete response as Appendix II to the report.
Because your response to our draft report agreed with the
findings and recommendations and included an action plan with
milestone dates, we will close this report in our tracking system
upon issuance. Therefore, you need not respond to this final
report.
We appreciate the cooperation you and your staff provided
throughout the audit. We especially appreciate your personal
interest and timely action taken by the region to address many of
the issues raised during the audit. I believe the way our
offices worked together to identify problems and develop
realistic solutions demonstrates a shared commitment to improving
program operations and effectiveness.
The purpose of our audit was to determine if Region 8's
Tribal program effectively supported the Environmental Protection
Agency's (EPA) policy to enhance environmental protection on
Tribal lands. Our specific objectives were to determine whether
Region 8:
RECYCLED
COHTMHS KC1CIEO f«E(«
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and EPA Headquarters policies and goals were
consistent,
had an effective means of measuring program
accomplishments,
had provided adequate resources to protect the
environment on Tribal lands, and
was organized to efficiently and effectively
provide technical assistance and oversight of
Tribal environmental programs.
This audit report contains findings that describe problems
the Office of Inspector General (OIG) has identified and
corrective actions the OIG recommends. This audit report
represents the opinion of the OIG. Final determinations on
matters in this audit report will be made by EPA managers in
accordance with established EPA audit resolution procedures.
Accordingly, the findings described in this audit report do not
necessarily represent the final EPA position.
We have no objections to the release of this report to the
public.
If you or your staff have any questions, please contact me
at (913) 551-7824 or Jeff Hart, Audit Manager in our Denver
office, at 294-7520.
Attachment
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EXECUTIVE SUMMARY
PURPOSE
The Environmental Protection Agency (EPA) issued its Policy
for the Administration of Environmental Programs on Indian
Reservations (Indian Policy) in 1984. In 1991, Tribal
representatives in Region 8 were concerned that EPA had not
developed a road map to guide Tribal environmental program
implementation. In 1992, EPA's National Program Manager for
Tribal activities recognized the potential for problems with
EPA's Tribal program in his Federal Managers' Financial
Integrity Act Annual Assurance Letter. In 1992, Region 8
reported its Tribal program as vulnerable and in 1993 it
still had concerns because it could not provide Indian Tribes
(Tribes) with adequate technical assistance to manage their
environmental programs.
The purpose of our audit was to determine if Region 8's
Tribal program effectively supported EPA's policy to enhance
environmental protection on Tribal lands. Our specific
objectives were to determine whether Region 8:
and EPA Headquarters policies and goals were
consistent,
had an effective means of measuring program
accomplishments,
had provided adequate resources to protect the
environment on Tribal lands, and
was organized to effectively and efficiently
provide technical assistance and oversight of
Tribal environmental programs.
Region 8's Regional Administrator and program managers
supported our audit and have been enthusiastic about
improving the effectiveness of the Region's Tribal program.
They have worked with us to clarify issues and identify
reasonable and implementable solutions to improve the
program.
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BACKGROUND
There are 27 Indian reservations in Region 8 covering an
estimated 25 million acres, about 6.8 percent of Region 8's
total land area. In fiscal 1994, Region 8 invested an
estimated 26 staff years to implement Tribal programs. In
August 1994, the Regional Administrator established the
Region's Tribal program as one of the Region's top three
program priorities. The Regional Administrator and senior
managers are considering organizational options that would
focus staff resources on Tribal programs, consolidate staff
that work with Tribes into a single unit, and establish
overall program management responsibility. While detailed
planning for a Region-wide reorganization continued, the
Region created an interim work group headed by the interim
Regional Tribal Coordinator to implement the Tribal program.
Important underlying principles of EPA's Indian Policy are
the Federal Government's trust responsibility to Tribes, and
State and Tribal jurisdictional issues regarding authority to
implement environmental programs on Tribal lands. The
Federal Government's general trust relationship with Tribes
requires Federal agencies to consider the best interest of
Tribes when establishing policies and making decisions that
affect Tribes. Jurisdictional issues often require that EPA
work with States and Tribes in a mediative fashion for
environmental protection on reservations. EPA's Indian
Policy stated it would give special consideration to Tribal
interests in making EPA policy, and ensure the close
involvement of Tribal governments in making decisions and
managing environmental programs affecting Tribal lands.
RESULTS IN BRIEF
During our audit, EPA Headquarters and Region 8 took
significant steps toward implementing a Tribal program that
supported EPA's policy to enhance environmental protection on
Tribal lands. Appointing a Regional Tribal Coordinator,
establishing a Regional Tribal Work Group, initiating Tribal
policy papers, considering reorganization options, and
investing an estimated 26 staff years in Tribal environmental
programs indicated a serious commitment to improve Tribal
programs. However, Region 8's efforts were not as effective
as they could have been because it had not developed a
comprehensive Tribal environmental needs assessment or a
Regional workplan to address Tribal environmental needs,
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efficiently organized its Tribal staff, allocated adequate
travel or grant resources to support Regional priorities and
Tribal goals, or developed specific and quantifiable
performance measures to evaluate program accomplishments. As
a result, the Region did not have a road map for the
efficient and effective use of Regional resources. Also,
Region 8's organizational structure did not focus adequate
attention on Tribal issues or permit sufficient technical
assistance and oversight.
PRINCIPAL FINDINGS
REGION 8 SHOULD IDENTIFY ENVIRONMENTAL NEEDS. DEVELOP
PROGRAM PLANS. AND MEASURE ACCOMPLISHMENTS
Region 8's strategic plan and draft policy papers were
consistent with and supported EPA's Indian Policy but the
Region had not performed a comprehensive Tribal environmental
needs assessment, established a Regional workplan, provided
sufficient travel or grant resources, or developed meaningful
performance measures. Region 8's strategic plan and policy
papers were not supported by a workplan that described how it
would accomplish its goals for Tribal environmental programs.
Regional staff could not accomplish program goals because the
Region had not provided sufficient travel funds for technical
assistance and had not provided adequate grant funds. Also,
Region 8 had not identified time specific, quantifiable
performance measures. Without clear, measurable goals, the
Region could not effectively evaluate progress toward
protecting the environment on reservations.
ORGANIZATIONAL CHANGES COULD IMPROVE
TRIBAL PROGRAM EFFECTIVENESS
Organizational changes could improve the efficiency and
effectiveness of Region 8's Tribal program. Region 8's
organizational structure did not focus adequate attention on
Tribal issues or permit efficient and effective Tribal
program technical assistance and oversight. Even though the
Region appointed a Tribal Coordinator and established a
Regional Tribal Work Group, it had not clearly identified who
had responsibility to carry out EPA's Indian Policy. In
addition, the Region did not have a focal point for Tribes or
a central point of program and resource accountability that
was adequately familiar with Tribal issues, operations, and
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environmental needs. Tribal representatives were frustrated
with the Region's organization and the limited amount of time
Regional staff had to provide technical assistance.
RECOMMENDATIONS
Region 8's Tribal program requires improvements to more
effectively support EPA's policy to enhance environmental
protection on Tribal lands. The'Regional Administrator needs
to take steps to assess Tribal environmental needs, develop
Tribal workplans, and establish time specific and
quantifiable performance measures. The Regional
Administrator should allocate travel resources, grant funds,
and full-time staff to provide Tribal technical assistance
commensurate with the Region's priority for Tribes. Also,
the Regional Administrator needs to establish a central point
of management accountability for the Tribal program.
EPA COMMENTS AND PIG EVALUATION
The Region agreed with all our findings and had implemented
or had specific plans to implement all our recommendations.
The Office of Inspector General agreed with the Region's
response.
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TABLE OF CONTENTS
EXECUTIVE SUMMARY i
CHAPTERS
1 INTRODUCTION 1
PURPOSE ....... 1
BACKGROUND 2
SCOPE AND METHODOLOGY 5
PRIOR AUDIT COVERAGE 7
2 REGION 8 SHOULD IDENTIFY ENVIRONMENTAL NEEDS, DEVELOP
PROGRAM PLANS, AND MEASURE ACCOMPLISHMENTS 9
EPA HEADQUARTERS PROVIDED TRIBAL PROGRAM
DIRECTION 9
REGION 8 NEEDED TO DEVELOP A COMPREHENSIVE
TRIBAL ENVIRONMENTAL NEEDS ASSESSMENT ... 11
REGION 8 NEEDED A WORKPLAN AND SUFFICIENT
TRAVEL AND GRANT RESOURCES 12
REGION 8 NEEDED SPECIFIC AND QUANTIFIABLE
PERFORMANCE GOALS 16
CONCLUSIONS 17
RECOMMENDATIONS 18
EPA COMMENTS AND OIG EVALUATION 18
3 ORGANIZATIONAL CHANGES COULD IMPROVE TRIBAL PROGRAM
EFFECTIVENESS 20
EPA AND REGION 8 RECOGNIZED THE NEED FOR
ORGANIZATIONAL IMPROVEMENTS 20
REGION 8'S ORGANIZATIONAL STRUCTURE SHOULD FOCUS
ATTENTION ON TRIBAL ENVIRONMENTAL NEEDS . . 21
CONCLUSIONS 25
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RECOMMENDATIONS 26
EPA COMMENTS AND OIG EVALUATION 26
APPENDICES
APPENDIX I: EPA'S 1984 INDIAN POLICY 28
APPENDIX II: EPA COMMENTS 33
APPENDIX III: ESTIMATED TIME REGION 8 SPENT ON TRIBAL
ACTIVITIES IN FISCAL 1994 49
APPENDIX IV: ABBREVIATIONS 50
APPENDIX V: DISTRIBUTION 51
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CHAPTER 1
INTRODUCTION
PURPOSE
The Environmental Protection Agency's (EPA) Policy for the
Administration of Environmental Programs on Indian
Reservations (Indian Policy), issued on November 8, 1984, and
included as Appendix I, committed EPA to work with Indian
Tribes (Tribes) on a "government-to-government" basis. Even
so, progress on Tribal lands has been slow. In 1991, Tribal
representatives in Region 8 reported that they were concerned
about EPA's progress because EPA had not developed a road map
to guide environmental protection programs for Tribes. In
1992, both Region 8 and EPA's National Program Manager for
Tribal activities reported potential problems with EPA's
Tribal program in their Federal Managers' Financial Integrity
Act Annual Assurance Letters. In 1993, Region 8 again
reported it had concerns about its Tribal program because it
could not conduct management assistance reviews or provide
Tribes with adequate technical assistance to manage their
environmental programs. During our audit, EPA Headquarters
and Region 8 took significant steps toward improving Tribal
environmental protection.
The purpose of our audit was to determine if Region 8's
Tribal program effectively supported EPA's policy to enhance
environmental protection on Tribal lands. Our specific
objectives were to determine whether Region 8:
and EPA Headquarters policies and goals were
consistent,
had an effective means of measuring program
accomplishments,
had provided adequate resources to protect the
environment on Tribal lands, and
was organized to efficiently and effectively
provide technical assistance and oversight of
Tribal environmental programs.
Report No. E1XMF4-08-0036-5100141
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BACKGROUND
EPA administers Federal statutes that provide for the
protection of public health, welfare and the environment on
all lands of the United States. Under major environmental
statutes, EPA has established a national system for pollution
prevention, abatement, and control. It has established
regulatory procedures for setting standards, permitting,
gathering information including inspections, and enforcement
for facilities and operations that may impact environmental
quality.
There are over 500 Tribes in the United States, including 226
Alaskan Tribes. Tribal governments have responsibility for
managing and/or regulating about 100 million acres of Tribal-
owned and individual trust land, about 4.4 percent of the
United States land area. In fiscal 1993, EPA expenditures to
implement its Tribal program totaled approximately $33
million.
There are 27 Indian reservations in Region 8 covering an
estimated 25 million acres, about 6.8 percent of Region 8's
total land area. In fiscal 1993, Region 8 invested about $4
million, in grant funds to implement Tribal programs. In
fiscal 1994, the Region invested an estimated 26 staff years
working with Tribes.
The purpose of Region 8's strategic plan is to identify the
Region's priorities, bring cohesion and common direction to
the programs the Region administers; and guide planning,
resource allocation, and decision making processes toward
achieving program goals. Building Tribal expertise was one
of the Region's fiscals 1992-1996 strategic plan priority
areas. Region 8's goal was to place a Tribal or Federal
environmental program at each reservation. In August 1994,
the Regional Administrator established the Region's Tribal
program as one of the Region's top three program priorities.
Region 8's work with Tribes has been guided by EPA's Indian
Policy and EPA's Indian Policy Implementation Guidance
(Implementation Guidance), both issued on November 8, 1984.
In carrying out its responsibilities on Tribal reservations,
the fundamental objective of EPA is to protect human health'
and the environment. The Indian Policy is based on the
principles of Indian "self-government" and "government-to-
government" relations between the Federal Government and
Tribal governments. The Indian Policy states that EPA will:
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work directly with Tribal governments and recognize
Tribal governments as the primary parties for
setting standards, making environmental policy
decisions, and managing programs for reservations;
and
take affirmative and appropriate steps to encourage
and assist Tribes in assuming regulatory and
program management responsibilities and to remove
legal and procedural impediments to working
directly with Tribal governments.
The Implementation Guidance established nine steps and
activities that regions and program offices should implement
to accomplish EPA goals. The Implementation Guidance
recognized that EPA must allocate resources to meet Tribal
environmental needs and encouraged Tribal involvement in
setting environmental standards, making policy, determining
Tribal environmental needs, and establishing long-term goals.
It stated that EPA must work cooperatively with Tribes to
achieve Tribal compliance with environmental laws and
regulations. The Implementation Guidance recognized that
much of the same work EPA did with States to create
regulatory and management capabilities must now be done with
Tribes.
Although EPA's Indian Policy recognized Tribal governments as
sovereign entities with primary authority and responsibility
for the reservation, environmental statutes in 1984 generally
did not explicitly address the role of Tribes in
environmental management. Subsequently, three of these
statutes (the Clean Water Act, the Safe Drinking Water Act,
and the Clean Air Act) had been amended to authorize Tribes
to manage environmental programs that affect the reservation
and its people. The Resource Conservation and Recovery Act
treats Tribes as municipalities while other environmental
statutes describe a limited Tribal role in environmental
management.
Federal Government's Trust Responsibility
The Federal Government has a general trust relationship with
Tribes that shapes Federal policy and requires that Federal
Government decisions consider the best interests of the
Tribes. EPA's responsibilities for Tribes are defined by the
statutes EPA administers, according to EPA's Office of
General Counsel. The statutes require that EPA ensure that
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Federal environmental programs are implemented and enforced
in a manner that will satisfy the statutory goals of
protecting public health and the environment.
Jurisdiction on Reservations
Both the Federal Government and the Tribal government have
jurisdiction on Tribal lands although Tribal governments are
commonly the governing authority. States generally have no
authority over Tribal governments unless expressly granted by
Congress and consented to by Tribes. However, jurisdiction
over non-Indians and non-Indian land within the boundaries of
reservations is a difficult political and legal issue.
Because many reservations contain parcels of land owned by
non-Indians, EPA recognized that jurisdictional disputes
between Tribes and States could be complex and difficult. In
some circumstances, EPA recognized it would need to address
disputes between Tribes and States by attempting to work with
the parties in a mediative fashion. Because most
environmental problems are mobile (e.g., air, water),
jurisdictional authorities are interdependent. As a result,
it is imperative that all parties work cooperatively for
environmental protection. Region 8 recognized the importance
of settling jurisdictional disputes and drafted a policy
defining the Region's position on these difficult
jurisdictional issues. At the conclusion of our audit, EPA
Headquarters, Tribes, States and other interested parties
were reviewing the draft policy.
Initiatives to Strengthen Tribal Environmental Protection
During 1994, EPA took significant steps toward improving
Tribal environmental protection and its communications with
Tribes. In February, EPA's Administrator directed a group of
senior EPA managers to work with Tribal representatives to
develop ways to strengthen EPA's Tribal environmental
programs and daily operations. In March, the Administrator
reaffirmed EPA's Indian Policy and made a commitment to fully
institutionalize the Indian Policy into EPA's planning and
management activities. In May, at the Second National Tribal
Conference on Environmental Management, the Administrator
announced her intent to create a new Office of Indian
Affairs. In July, the Administrator issued a Tribal
Operations Action Memorandum stating that each Assistant and
Regional Administrator needed to make difficult resource
allocation decisions in order to promptly implement the nine
actions outlined in the memorandum. In October, EPA
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Headquarters transferred Tribal program management to its new
Office of Indian Affairs located in the Office of Water.
Regional Tribal Program Structure
During our audit, Region 8 embarked on a plan to reorganize
the entire Regional office including a restructuring to
facilitate working with Tribes. The Region was considering
organizational options that would focus staff resources on
Tribal programs and align its Tribal program organization
better with that of EPA Headquarters. One of the options it
was considering consolidates personnel that work with Tribes
into a single unit with overall program management
responsibility.
Region 8's Tribal Coordinator and General Assistance Program
project officer are located in the Office of External
Affairs. Responsibility for administering specific programs
such as water, air, and waste are managed by Regional program
officials who provide technical assistance, direct Federal
implementation and program development, and oversee grants
Tribes use to develop and manage their own environmental
programs. In October 1994, while detailed planning for the
Region-wide reorganization continued, the Region created an
interim work group headed by an interim Regional Tribal
Coordinator. The group is responsible for implementing the
Tribal program until the Region makes final reorganization
decisions.
SCOPE AND METHODOLOGY
We performed our fieldwork from January 1994, through October
1994. We evaluated Region 8's Tribal program policies and
plans, organizational structure, Tribal resource commitment,
and general Tribal program management activities primarily
during fiscals 1991 through 1994.
To determine whether Region 8 and EPA Headquarters had
consistent policies and goals and a means for measuring
accomplishments, we compared EPA's Indian Policy with the
Region's fiscals 1992-1996 and fiscals 1995-1999 strategic
plans and three draft Tribal policy papers. We reviewed
strategic plans and draft policy papers to determine whether
the Region developed specific and quantifiable performance
measures based on goals and objectives. We interviewed
Region 8 managers and project officers with responsibilities
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related to Tribes to determine whether the Region had
conducted environmental assessments and prepared workplans to
address Tribal environmental needs.
To determine whether Region 8 provided adequate financial
resources to protect the environment on Tribal lands, we
obtained and consolidated data from Region 8's grants
administration personnel and project officers on the number,
type, and amount of environmental grants awarded to Tribes in
Region 8 for fiscals 1988 through 1994. We obtained some of
our information from the Grants Information Control System
and from the Integrated Financial Management System. We did
not assess controls over these automated systems because the
information obtained did not significantly impact our audit
results. We evaluated information from Region 8 project
officers on how Regional programs awarded grants and the
selection process that they used to distribute grant funds.
We interviewed EPA Headquarters and Regional budget staff to
obtain information on how the budget process worked including
limitations, restrictions, and options for the Regional
Administrator regarding distribution of travel, grant, and
personnel funds.
To determine whether Region 8 was organized to efficiently
and effectively provide technical assistance and oversight of
environmental programs on Tribal lands, we interviewed 8
Region 8 managers and 12 project officers to obtain
information on their duties and activities. We reviewed
fiscal 1994 performance agreements for 4 supervisors, 24
project officers, and 5 grants specialists to identify Tribal
activities for which these individuals were responsible and
accountable. We reviewed Region 8's and Tribes' performance
reports and evaluations to determine if Tribes were
accomplishing the goals and tasks set out in their grant
agreements.
We visited four reservations in Region 8 to obtain
information on Region 8's oversight and technical assistance.
We selected the four Tribes because together they included a
variety of grant types, were geographically dispersed, and
were at different stages of program development. We
interviewed Tribal representatives at the four reservations
and obtained information on their progress in
implementingenvironmental programs and the Region's efforts
to facilitate program development.
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We reviewed Regional project files and Tribal project files
to determine the effectiveness of communication with the
Region. We also reviewed Region 8 grants administration
files and project officers' files to obtain fiscals 1992
through 1994 Regional evaluations, and fiscals 1991 through
1994 Tribal status reports. We interviewed Tribal and Region
8 representatives and reviewed correspondence from Tribal and
Regional files to assess whether Tribes were obtaining
sufficient technical assistance, guidance, and feedback from
the Region. We surveyed Regional staff to determine the
number of staff that worked with Tribes and the amount of
time each spent on Tribal activities.
We reviewed Region 8's Federal Managers' Financial Integrity
Act documentation to determine whether the Region identified
any vulnerabilities or weaknesses with its Tribal program and
the actions it took to reduce vulnerabilities. We reviewed
the Region's fiscals 1992 and 1993 Reports on Management
Controls, fiscals 1992 and 1993 management control reviews,
and the Region's plan to conduct management assistance
program/oversight reviews of selected Tribes through fiscal
1995. We reviewed EPA's fiscal 1994 Management Integrity
Guidance to determine if Region 8 managers applied EPA's
Management Integrity Principles to the Region's Tribal
program. One of the Integrity Principles states that
managers should develop strategies, policies, guidance,
procedures, and performance measures. This report includes
recommendations directed toward weaknesses in Region 8's
plans, policies, and performance measures supporting Tribal
program implementation.
We conducted the audit in accordance with Government Auditing
Standards (1988 Revision) issued by the Comptroller General
of the United States. No other issues came to our attention
that we believed were significant enough to warrant expanding
the scope of the audit.
PRIOR AUDIT COVERAGE
Neither Office of Inspector General (OIG) nor the U.S.
General Accounting Office issued any reports addressing EPA's
Tribal program. However, a September 1994 OIG report
entitled, "Implementation of the Leaking Underground Storage
Tank Program on American Indian Lands," reported that EPA's
leaking underground storage tank program on Tribal lands had
not been effectively implemented on a nationwide basis. The
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report recommended that EPA establish a consistent leaking
underground storage tank program on Tribal lands that
included national goals, priorities, policies, and
performance measures.
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CHAPTER 2
REGION 8 SHOULD IDENTIFY ENVIRONMENTAL NEEDS. DEVELOP
PROGRAM PLANS. AND MEASURE ACCOMPLISHMENTS
Region 8's strategic plan and draft policy papers were
consistent with and supported EPA's Indian Policy but the
Region had not performed a comprehensive Tribal environmental
needs assessment, established a Regional workplan, provided
sufficient travel or grant resources, or developed meaningful
performance measures. The Region needed to identify Tribal
environmental problems so it could establish realistic
environmental goals and strategies for achieving goals.
EPA's Indian Policy and its Implementation Guidance provided
a basis for Region 8 to develop a workplan that would provide
a road map for the consistent and efficient implementation of
its Tribal program. However, Regional plans and policies
were not supported by a workplan that described how it would
accomplish its goals for Tribal environmental programs.
Regional staff could not accomplish program goals because the
Region had not provided sufficient travel funds for technical
assistance and had not provided sufficient grant funds.
Also, the Region had not identified time specific,
quantifiable performance measures. Without clear, measurable
goals the Region could not effectively evaluate progress
toward protecting the environment on reservations.
EPA HEADQUARTERS PROVIDED TRIBAL
PROGRAM DIRECTION
Both the Indian Policy and Implementation Guidance provided
clear principles and actions to address environmental
problems on Indian reservations. The Indian Policy
consolidated and expanded on existing EPA Indian policy
statements and required that managers work on priority
problems on reservations. The Implementation Guidance
required that Regional Administrators assist Tribal
governments in program development and to consider Tribal
concerns and needs. The Indian Policy stated that EPA would
incorporate Indian Policy goals into its planning and
management activities including its budget, operating
guidance, legislative initiatives, management accountability
system and ongoing policy and regulation development
processes. In order to implement the Indian Policy, each
Regional office needed to develop specific plans and
procedures to accomplish EPA goals for Tribes.
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The Administrator's Action Memorandum guides Tribal program
development. The Administrator's first action item requires
Regional Administrators to work with Tribes to:
establish a base description of the types of
environmental problems and priorities Tribes face
and then formulate specific workplans for
responding to the problems.
The second action item requires that Assistant and Regional
Administrators establish strategies for achieving the goals
outlined in the Tribal environmental workplans and that
workplans include "...specific program implementation and.
management activities, technical assistance and
education...."
COMPREHENSIVE
NEEDS
ASSESSMENT
REGIONAL
WORKPLAN
EPA's Management Integrity
Principles, dated June 6,
1994, require that each
National Program Manager
and Regional Administrator
develop written
strategies, policies,
guidance, procedures, and
performance measures to
reasonably assure the
integrity of EPA programs.
The figure depicts a three
step program management
process the Region could
follow to address Tribal
environmental protection.
First, the Region should
assemble a comprehensive
environmental needs
assessment to identify the extent of Tribal environmental
problems. Second, the Region should develop a workplan to
address solving the problems. The workplan should identify
priority areas and provide a road map to accomplish
environmental goals. Third, the Region should develop
specific performance measures to evaluate progress in
achieving goals.
PERFORMANCE
MEASURES
"WHAT"
IS
NEEDED
"HOW"
TO GET
THERE
"ARE"
YOU
THERE
PROGRAM MANAGEMENT PROCESS
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REGION 8 NEEDED TO DEVELOP A COMPREHENSIVE
TRIBAL ENVIRONMENTAL NEEDS ASSESSMENT
Neither Tribes nor Region 8 had an accurate assessment of
Tribal environmental needs. Region 8 had not developed a
comprehensive Tribal environmental needs assessment that
consolidated the environmental needs of all Tribes in the
Region. Some Tribal environmental needs have been identified
in several different assessments, studies, and reports; and
Regional project officers were knowledgeable of Tribal needs
within specific programs. However, prior assessments were
not complete, objective, up-to-date, or comprehensive and the
Region had not compiled the information into a comprehensive
environmental needs assessment.
Tribal representatives needed Region 8's help to determine
environmental priorities on reservations. Tribes needed the
Region's help to sort out issues and set priorities for
Tribal action on environmental matters, according to one
Tribal environmental needs assessment report. In another
evaluation report, the Tribe wrote that, "we need to sit down
with EPA officers and develop a broad scale strategic plan
for environmental protection...." A 1994 memorandum
summarizing comments to a draft Federal Register notice on
improving EPA's Tribal program operations identified that a
needs assessment would provide a foundation of information
upon which Tribal workplans could be built.
EPA's General Assistance Program provided a vehicle for
Tribes to conduct environmental needs assessments for their
reservations. Tribes can perform comprehensive assessments
with General Assistance Program funds (called the multi-media
assistance program prior to fiscal 1994). The General
Assistance Program's primary purpose was to provide funds to
help Tribes develop a core environmental program. One Tribe
used its multi-media program funds to conduct a comprehensive
assessment and begin a plan of action. The Tribe's
Comprehensive Environmental Protection Program report
identified its most significant environmental problems,
developed a plan to address them, and established timeframes
to accomplish its plan. Other Tribes could use General _
Assistance Program funds in a similar way to form the basis
for a comprehensive environmental needs assessment.
Region 8 acknowledged that it needed a comprehensive Tribal
environmental needs assessment and an action plan to estimate
future resource requirements. Project officers stated that
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to ensure Region 8 addressed the highest priorities first, it
needed to assess problems on reservations and develop action
plans to correct any problems found. The Regional Tribal
Coordinator acknowledged Region 8 did not have an accurate
inventory of environmental needs and priorities on
reservations.
REGION 8 NEEDED A WORKPLAN AND SUFFICIENT
TRAVEL AND GRANT RESOURCES
Without a comprehensive environmental needs assessment for
each reservation, the Region could not effectively develop a
workplan or determine its resource requirements. While the
Region established goals, objectives, and actions it had not
developed a workplan to address its Tribal program goals or
provided sufficient travel or grant resources to achieve its
goals. It needed a workplan that included specific program
implementation and management activities and established
strategies for achieving goals and addressing Tribal
environmental problems. Region 8's three draft policy papers
supported EPA's Indian Policy but did not provide a road map
describing how the Region would solve specific Tribal
environmental problems. Tribes did not receive adequate
technical assistance to build Tribal expertise because
Regional staff did not have sufficient travel funds to visit
reservations. The Region recognized that Tribes could not
adequately implement some environmental programs because the
Region did not provide sufficient grant funds.
Region 8 Needed a Workplan to
Implement Its Tribal Goals
While Region 8 did not have a workplan to direct how it would
build Tribal expertise, it did draft three policy papers to
provide consistency among the Regional program divisions and
office's for implementing the Indian Policy. According to the
Region 8 Senior Policy Analyst working on Tribal issues, the
draft policy papers were also intended to help coordinate
activities between the Regional Tribal Coordinator and the
program offices.. The policy papers did not alleviate the
need for a Regional workplan. While individual Tribal
projects addressed individual environmental concerns, this
approach was inefficient without comprehensive environmental
planning and coordination among program offices, according to
one project officer. A workplan should comprehensively
describe how to address environmental concerns at each
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reservation, prioritize tasks, and describe how program
managers would work efficiently as a team.
The Regional policy papers addressed three issues: (l)
building Tribal government capacity to manage environmental
programs, (2) protocol when working with Tribes, and (3)
environmental program responsibilities and jurisdiction. The
draft policy papers supported EPA'.s Indian Policy and were an
important step in providing effective overall program
management. However, the Region had not issued these policy
papers because it was awaiting review by EPA Headquarters,
Tribes, and States. As a result, Regional staff lacked
needed direction to implement Tribal programs. While issuing
the policy papers was necessary to clarify overall program
direction, the policy papers will not alleviate the need for
a Regional workplan.
Travel Resources Did Not Adequately Support
The Region's Goal to Build Tribal Expertise
The Region did not provide sufficient travel resources to
adequately support EPA or Regional priorities for building
Tribal expertise. Without a comprehensive environmental
needs assessment or a workplan, the Region could not
effectively allocate its travel resources to address the most
significant problems. Region 8 project officers and Tribal
representatives were concerned that travel funds were not
sufficient to permit travel to reservations to help Tribes
develop environmental programs Tribal activities. Tribal
status reports and Regional evaluations indicated that Tribes
needed project officers, technical advisors, and grants
specialists to visit the reservation to provide more
meaningful assistance.
Project officers were concerned that they did not have
sufficient funds to help Tribes develop environmental
programs. Site visits were necessary to provide technical
assistance to Tribes; however, site visits were "rare",
according to one project officer, because the Region
allocated inadequate travel resources. The greatest need was
for the Region to spend the time to properly train Tribal
staff and, according to another project officer, the greatest
successes came when they could work one-on-one with Tribal
environmental staff. A third project officer said that site
visits were done when travel funds were available, but her
program did not get travel funds specifically to work with
Tribes.
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Spending time in Tribes' offices and accompanying Tribal
environmental staff in the field was important to understand
and appreciate the difficult field conditions in which Tribal
staff worked, according to some Tribal officials. Only by
fully appreciating these factors could Regional staff help
determine needs, develop realistic workplans, and suggest
realistic solutions to problems. Without visiting the
reservation, project officers could not recognize all the
variables that affected the Tribes' performance. In a Tribal
year-end evaluation, one Tribe reported that the Region did
not realistically comprehend Tribal operations and needed to
spend some time on reservations. One Tribal official added
that mid-year reviews by telephone did not provide much value
or assistance to the Tribe. Another Tribal representative
stated that advice over the phone was good but what he needed
was "real help"--someone that could visit the Tribe and go
over a written product with him or get out in the field to
help resolve a problem.
To illustrate the Tribe's point, the Region helped write a
workplan for sampling lakes on a reservation that, according
to the Tribal Environmental Director, could not possibly be
completed within the grant period. According to the Tribe's
Environmental Specialist, the EPA project officer had not
visited the reservation and did not realize how difficult it
was to get to the lakes or how long the lakes remained
frozen. The Director stated that without Regional assistance
the Tribe worked on one grant for 2 years but did not
accomplish all workplan tasks. Stronger Regional assistance
would have ensured the Tribe met its goals, according to the
Director. He was concerned that the Tribe still had
important environmental work to do but minimal grant funds
left to accomplish remaining work.
Region 8 Could Better Meet Tribal Environmental Needs
EPA Headquarters, Region 8, and Tribes recognized that Tribes
have not received adequate grant funding to support Tribal
environmental program management. Because of inadequate
funding, the Region could not fulfill its strategic plan goal
to have a meaningful environmental presence on all
reservations. Region 8 did not fund all Tribes' grant
requests and discouraged Tribes from applying for some
program grants because it knew it would not fund the
requests. Although the Region had flexibility to reallocate
funds for some programs, it had not fully utilized its
authority. In some cases the Regional Administrator provided
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additional funds from the Region's discretionary fund. The
Region could provide even more grant funds to Tribes and
better reflect its strategic plan priority.
The Administrator's Action Memorandum required that Regional
Administrators allocate resources within their discretion and
authority to constitute a significant commitment to
strengthening Tribal environmental protection. EPA
Headquarters Budget Division policy provides Regional
Administrators the authority to use Regional discretionary
funds and reallocate other funds for Tribal programs. For
example, the 1994 General Assistance Program Guidance stated
that some program-specific funds and other discretionary
funds may be reprogrammed for the General Assistance Program.
The Region 8 fiscals 1992-1996 strategic plan committed that
the Region would increase funding to accomplish its Tribal
program goals. The Regional Administrator received $416,000
in fiscal 1994 discretionary funds and budgeted $148,000 for
Tribal related activities. The remainder of the
discretionary funds were spent on other Regional priorities.
In addition, the Region received about $1.2 million for
geographic initiatives. The Region could have used these
funds for qualifying Tribal projects.
Some Tribes' grant requests were not funded and other Tribes
did not apply for grants because the Region did not provide
sufficient grant resources to fund all programs. A Regional
air program project officer reported that the Region's air
program did not fund new Tribal assistance programs because
the air program budget had been constant for 10 years. In
the pesticides program, 5 of the 27 Tribes in the Region had
begun programs and 2 others that expressed interest had been
told that funding for additional Tribal pesticide programs
was not available. Another Tribe began a water quality
management program, but according to Tribal representatives,
the Region ended its' support because of a lack of funds. The
Tribe wrote in its year-end report that it was unfortunate
that it did not receive additional funding to continue this
important program. The Region's Tribal Environmental Liaison
wrote that as far as she knew, Region 8 was the only Region
that had discontinued funding Tribal water quality grantees.
The funding available to Tribes was an insult, according to
one Water Management Division project officer.
Region 8 received 18 applications for its General Assistance
Program in fiscal 1994 but could only fund 14 requests. To
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fund the 14 grants the Region funded some grants for less
than the Tribe had expected. One Tribe we visited expected
to receive and obtained approval from its Tribal Council to
accept a $75,000 General Assistance Program grant in fiscal
1994. However, without notifying the Tribe's Environmental
Director, the Region funded the grant at only $37,503. The
Region had reduced funding levels for continuing program
grants and shortened the grant period for the majority of
Tribes so General Assistance Program grants would end on the
same date. The Tribe's Environmental Director told us that,
because the grant amount changed, he had to rewrite his
workplan and again obtain approval from the Tribal Council to
accept the grant at a reduced funding level. Although Office
of Management and Budget's Circular A-ll, "Preparation and
Submission of Budget Estimates," prohibits the release of
budget development documentation, the Region could have
explained to the Tribes that their grant awards may be less
than their applications so Tribes would be better prepared to
rewrite their workplans and obtain additional Tribal Council
approval as necessary.
Some program discretionary funds were available to support
Tribal environmental programs. In fiscal 1994, the Hazardous
Waste Management Division expended about $2 million in
discretionary funds for its Resource Conservation and
Recovery Act program. It used $40,000 for grants to Tribes.
Similarly, the Water Management Division expended about $2
million in discretionary funds for fiscal 1994. It used all
of its discretionary funds for special projects and Senior
Environmental Employment program staff. Senior Environmental
Employment staff perform various duties, ranging from
clerical to professional and technical assistance, to support
EPA staff. Tribes did not directly receive any Water
Management Division discretionary funds in fiscal 1994 but
may have benefitted from the work of Senior Environmental
Employment staff.
REGION 8 NEEDED SPECIFIC AND QUANTIFIABLE
PERFORMANCE GOALS
Without a comprehensive assessment of Tribal environmental
needs and a workplan, the Region could not establish
quantifiable goals and develop meaningful performance
measures to know when Regional goals had been met. Although
Region 8 identified performance measures for building Tribal
expertise in its strategic plan, its measures were not time
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specific and quantifiable. As a result, these performance
measures did not help program managers evaluate progress in
achieving program goals, or help determine what program
adjustments might be necessary.
Performance measures should provide managers with information
to detect problems with program performance and a means to
determine when they have reached their goals. The Region
established two valuable performance measures--the number of
Tribes in Region 8 that have initiated the development of an
environmental program, and the number of Federal direct
implementation programs in place where Tribes have not yet
developed media specific programs. These performance
measures were good because they could be measured. However,
the Region had not identified a specific number of programs
as a goal because it had not assessed Tribal environmental
needs and could not determine how many Tribes required an
environmental presence. Also, neither performance measure
identified how many accomplishments the Region expected to
complete in a given time period.
Another Region 8 performance measure (improved health,
welfare, and environmental conditions) was not a time
specific or a quantifiable performance measure. The
strategic plan did not identify how such improvements could
be realistically measured. As a result, the measure-was of
little value in helping program managers evaluate the success
of their programs.
Region 8 project officers agreed that the Tribal program did
not have very good, if any, performance measures. In
general, they identified performance measures as they applied
to individual Tribal grants and indicated that they did not
track overall program success. For example, project officers
would measure a Tribe's success under a grant by how timely
the Tribe accomplished workplan goals or by comparing the
projections in the workplan to actual achievements, such as
number of inspections completed. Project officers could not
identify any measures used to assess the Region's success
regarding its overall Tribal program.
CONCLUSIONS
Region 8 has taken important first steps toward developing
goals, policies, and performance measures for implementing
EPA's Indian Policy. It established a goal of building
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Tribal expertise as one of its strategic priority areas,
initiated policy papers to guide its work with Tribes, and
established "measures of progress." However, Region 8 had
not developed a comprehensive assessment of Tribal
environmental needs or a Regional workplan. This adversely
impacted the Region's ability to adequately estimate and
allocate travel or grant resources to support Regional
priorities and Tribal goals. Also, the Region had not
developed specific and quantifiable performance measures to
evaluate program accomplishments. As a result, Regional
staff did not have a good road map for the efficient and
effective use of Regional resources or to determine the
success of their program.
RECOMMENDATIONS
We recommend that the Regional Administrator:
1. work with Tribes to conduct a comprehensive
assessment of Tribal environmental needs, develop
Tribal workplans, and formulate an overall Regional
strategy;
2. allocate travel funds for Regional project
officers, technical advisors, and Tribal liaison
staff to provide technical assistance consistent
with the overall Regional strategy;
3. evaluate Tribal grant funding options to determine
if the Region's resource commitment supports the
Region's priority for Tribes; and
4. establish quantifiable and time specific
performance measures that provide a means to
measure how well the Region's Tribal program is
operating.
EPA COMMENTS AND PIG EVALUATION
The Region agreed with all our findings and had implemented
or had specific plans to implement all our recommendations.
(See Appendix II for the Region's complete response.) OIG
agreed with the Region's response.
The interim Regional Tribal Program Coordinator has begun
working with Region 8 Tribes to develop an inventory of
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Tribal environmental needs. The Region expects to complete
the needs assessment by the end of January 1995. The Region
expects to complete Tribal and Regional workplans based on
the needs assessment by March 1995. The Region stated it
would identify the resources required by the workplans,
include the necessary resources in its strategic plan, and
allocate funding accordingly.
Also, the Region requested additional General Assistance
Program funds from Headquarters in November 1994 to meet
growing Tribal environmental program demands. The Region
stated it would evaluate the use of Regional discretionary
funds, geographical initiative funds, and other funding
sources to supplement the Tribal program.
The Region plans to complete a draft Tribal program strategic
plan by February 1995 including mission, scope, goals,
objectives, workplan, and performance measures.
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CHAPTER 3
ORGANIZATIONAL CHANGES COULD IMPROVE
TRIBAL PROGRAM EFFECTIVENESS
Organizational changes could improve the effectiveness of
Region 8's Tribal program. Since 1984, EPA's policy has been
to remove procedural impediments to working with Tribes.
EPA's Implementation Guidance states that EPA should
undertake extensive outreach programs and assist Tribes as it
had States in the past. In 1994, the Administrator announced
the creation of an Office of Indian Affairs and instructed
Assistant and Regional Administrators to reevaluate their
organizational structures to strengthen Tribal programs.
Region 8's organizational structure did not focus adequate
attention on Tribal issues or permit efficient and effective
Tribal program development. Even though the Region appointed
a Tribal Coordinator and established a Regional Tribal Work
Group, it had not clearly identified who had responsibility
to carry out EPA's Indian Policy. In addition, the Region
did not have a focal point for Tribes or a central point of
management accountability for the Region's Tribal
expenditures. Tribal representatives were frustrated with
the Region's organization and the limited amount of time
Regional staff had to provide technical assistance. As a
result, internal and external communication was poor and
Regional staff could not gain a comprehensive understanding
of Tribal environmental needs and operations. In October
1994, Region 8 implemented interim improvements to
consolidate Tribal program responsibilities.
EPA AND REGION 8 RECOGNIZED THE NEED
FOR ORGANIZATIONAL IMPROVEMENTS
The Administrator's July 14, 1994, Action Memorandum
specifically directed Regional Administrators to review, and
where necessary, modify their organization to strengthen
Tribal programs. Also, organizational improvements will
permit Region 8 to improve the field assistance it provides
Tribes, focus training its staff in Tribal matters, and
improve communication with Tribes--three other action items
in the Administrator's memorandum.
Region 8 recognized the need to make organizational changes
to improve the Region's Tribal program. The Regional Tribal
Work Group developed options for reorganizing the Region to
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allow a portion of the Region's staff to devote full-time
attention to Tribes. The Region could then provide more
training and technical assistance to Tribes, and improve
communication and working relationships. In October 1994,
the Region created a work group that is responsible for
implementing the Tribal program until the Region makes
decisions about overall Regional reorganization. The work
group's team leader is the interim Regional Tribal
Coordinator. As of January 1995, each program division or
office had appointed a primary Tribal coordinator to work on
the group. The group is responsible for implementing the
Administrator's memorandum, coordinating internal and
external communication, and developing the Region's strategic
plan for Tribal programs.
REGION 8'S ORGANIZATIONAL STRUCTURE SHOULD FOCUS
ATTENTION ON TRIBAL ENVIRONMENTAL NEEDS
Region 8 had not designated who was responsible to ensure it
effectively implemented EPA's Indian Policy. The Region's
organization did not focus attention on Tribal environmental
needs, permit efficient and effective oversight of Tribal
program development, or provide a point of contact for Tribes
and Regional staff. The Regional Tribal Coordinator's
responsibilities exceeded the time she had available to
effectively perform those duties. We surveyed Regional staff
and found responsibility for managing Tribal programs during
fiscal 1994 was spread throughout the Region and involved
over 100 Region 8 staff who spent an estimated 26 staff years
on the Tribal program. (Appendix III provides detailed
information concerning how many staff in each division worked
on Tribal issues, how much time they spent, and the number of
staff years invested working with Tribes.) Most Region 8
staff spent only a fraction of their time on Tribal issues
and felt they did not have sufficient time to devote to
Tribes. The organization did not facilitate effective
communication within the Region or between the Region and
Tribes, and there was no single point of contact that was
familiar with Tribes' governmental structures and needs.
Competing Demands Drew Attention
Awav From the Tr-ibal Program
The Regional Tribal Coordinator was responsible for
communicating and coordinating information between senior-
Regional managers and the staff and assisting in developing
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Regional Tribal policies, plans, and guidance. Her
responsibilities included developing guidance, policies,
program initiatives, and an internal administrative
management system for Regional Tribal program information;
conducting customer surveys on Tribal environmental needs;
and keeping all appropriate parties informed on a timely
basis. However, the Regional Tribal Coordinator was unable
to effectively carry out these duties because she spent a
significant amount of her time participating on a national
task force on improving Tribal operations.
Most Regional staff that worked with Tribes spent less than
50 percent of their time working on Tribal related
activities. One hundred three of the 116 Regional staff
(about 90 percent) that indicated they worked with Tribes
spent 50 percent or more of their time working in other
areas. Even though the Region invested an estimated 26 staff
years in Tribal programs, only 5 Region 8 staff (4 percent)
worked full-time on Tribal issues. With their primary job
duties in other areas, the majority of Region 8 staff were
unable to adequately monitor Tribal programs or provide the
specialized technical assistance Tribes wanted and needed.
Project officers were frustrated because competing priorities
made it difficult to provide adequate Tribal technical
assistance. Project officers' performance agreements
indicated that project officers had clear objectives,
individual performance measures, and specific duties related
to Tribes. Project officers knew how to develop an
environmental program on reservations and understood their
roles and responsibilities for the Tribal program. However,
they expressed frustration over not having the time to
provide the technical assistance that they believed Tribes
needed. Working with Tribes required a huge time commitment;
yet, Tribes were squeezed into everybody's existing work and
were not a priority, according to one project officer.
Another project officer stated that assistance was very brief
and shallow. Project officers monitored performance through
monthly and quarterly Tribal grant performance reports,
telephone calls, and rare site visits.
Recognizing the vulnerability of Tribal programs, the Grants,
Audits and Contracts Branch developed a plan to increase
oversight of Tribal grant management. In its fiscal 1994
third quarter priorities review proposal, the Branch Chief
explained that Tribal program management was declared a
potential material weakness by the Region largely because the
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Region was not able to conduct management assistance reviews
and provide the Tribes with technical assistance to better
manage their EPA grants. The proposal identified a
timeframe, staff, and resource requirements necessary to
address potential material weaknesses in Tribal grant program
oversight and technical assistance.
Tribes had difficulty managing environmental programs because
Regional staff did not provide sufficient technical
assistance. Tribal status reports, Regional evaluations, and
our discussions with Tribal representatives indicated the
need for increased assistance. For example, one report
stated that the Tribe had problems accomplishing what the
Region expected under the grant because the Tribe was not
receiving the amount of technical assistance it needed. In
another report a Tribe reported that it had difficulty
accomplishing its tasks under its Clean Water Act grants
because it was confused about what a water quality management
program consisted of and needed the Region's assistance. The
Tribal Environmental Director added that the Region did not
provide comments and guidance to establish realistic t
workplans, did not monitor grant activity, and did not
provide enough hands-on technical assistance. The Director
would rather have additional technical assistance than
additional funding. He explained that without the technical
assistance, he could not effectively use additional funds.
Although Regional staff visited Tribes, they did not provide
sufficient technical assistance. One Tribal Environmental
Coordinator told us that the Region would try to work with
the Tribes if it had the time, but Tribes were not a high
priority. Another Tribe was struggling to develop a report
for 2 years and did not request help from the Region.
However, the Region did not ask for status reports or
question why the Tribe had not developed the report during
the 2 years, according to the Tribe's Environmental Director.
Still another Tribal representative told us that he relied on
contractors to provide technical assistance because he could
not depend on the Region to be there when needed. One Tribal
official said that Region 8 staff were very helpful when they
visited but were not available as often as needed.
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Region 8 Needed Centralized Tribal Program Accountability
Region 8 did not have a single point of contact for Tribes or
a central point of management accountability for the Region's
Tribal expenditures. With more than 100 Region 8 staff
working with the Tribal program, Tribes were frustrated and
confused about who could provide assistance or respond to
their questions, and wanted their contact to be familiar with
Tribal operations. When they contacted the Region, they had
to repeatedly explain who they were, what their questions
were, and who they had talked to in prior contacts with the
Region. As a result, the Region and the Tribes did not
communicate well.
Tribes had to contact several individuals before reaching
someone who could answer their questions. In a 1994 Tribal
evaluation of the Region's performance, one Tribal
representative rated EPA's technical assistance low because
the Tribe's needs were not met. The Tribal representative
wrote that it often took 5 to 10 phone calls to reach EPA
staff and few had more than 5 to 10 minutes to spare to
answer questions. Other Tribal representatives said that
they had to contact three to four people before they could
get to the "right person." In addition, they had to leave
messages and explain the entire situation to each person they
talked to which consumed additional time.
At the Region's Annual Tribal Air Programs conference in
1993, Tribal representatives specifically identified that
each Tribe needed one EPA contact person who is familiar with
all of their programs and can help them coordinate and work
more effectively with EPA. The Tribal representatives also
identified that, at the very least, they needed an EPA
liaison to help coordinate every program on each reservation
and requested that project officers play a greater role in
coordinating and assisting Tribal programs. They also
requested a mechanism to improve Regional and Tribal
communication and a liaison that understood a Tribe's
government structure, Tribal processes, the needs of the
Tribe, and viable options for meeting those needs.
Because Region 8 staff were not always aware of Tribal
political structures and sovereignty issues, they sometimes
made suggestions that Tribal staff could not implement. For
example, one Tribal official stated that a Region 8 project
officer advised him to call a State official that had a
similar program and could help solve a problem. The official
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said that while that the project officer's suggestion may
have seemed like a logical approach, if he called the State
without obtaining Tribal Council approval (a potentially
lengthy process), he would probably be fired.
Regional program divisions and offices could not readily
identify funds spent on Tribal activities and the Region did
not have a central point of accountability for Tribal
programs. Region 8, through its budget and accounting data,
could not identify its investment in Tribal programs or make
informed decisions about future resource requirements.
In some respects it was advantageous that the Region had many
staff from every division working with Tribes. Having a
broad employee awareness of Tribal issues and involving all
divisions in Tribal matters helps institutionalize the Tribal
program and ensures that the protection of Tribal
environments is not at one person's discretion. However,
without a focal point that effectively coordinated Tribal
issues, Region 8's Tribal program became disjointed and was
not as effective as it could have been.
CONCLUSIONS
Region 8's organizational structure did not focus adequate
attention on Tribal issues or permit efficient and effective
technical assistance. Although the Region appointed a Tribal
Coordinator and established a Regional Tribal Work Group, the
Region did not have adequate management accountability over
its Tribal program. About 90 percent of the 116 Regional
staff that worked with Tribes estimated that they spent less
than 50 percent of their time working on Tribal environmental
protection. Cumulatively, the 116 staff spent an estimated
26 staff years on Tribal issues. However, because of the way
the Region was organized, it could not effectively implement
important provisions of EPA's Indian Policy or the Region's
strategic plan. Without organizational changes, the Region
will have difficulty implementing the Administrator's Action
Memorandum.
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RECOMMENDATIONS
We recommend that the Regional Administrator:
1. assign a single Tribal program manager the
responsibility and authority to implement the
Tribal policies and monitor the program to ensure
that the Region accomplishes the action items in
the Administrator's July 1994 memorandum;
2. provide the Tribal program manager with sufficient
staff to establish a small core Tribal program
office responsible for developing Regional
policies, goals, and an action plan for
coordinating work with Tribes; monitor program
implementation to ensure Tribes receive adequate
technical assistance; maintain data on Tribal
environmental needs, the status of Tribal programs,
and Regional expenditures for Tribal activities;
and coordinate other aspects of the Region's Tribal
program; and
3. identify primary Tribal coordinators within each
Regional program division or office and require
each office to provide sufficient staff resources
to adequately address Tribal issues.
EPA COMMENTS AND PIG EVALUATION
The Region agreed with our findings and had implemented or
had specific plans to implement all our recommendations.
(See Appendix II for the Region's complete response.) OIG
agreed with the Region's response.
The Region selected an interim Regional Tribal Program
Coordinator in October 1994, and planned to select a
permanent Coordinator by the end of March 1995. The Region
is reorganizing the entire Regional office and the model
organization includes a Tribal Operations Office to
centralize Tribal program responsibilities. The
reorganization plan will be completed by March 1995, and
implemented in fiscal 1996.
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The Region is developing a Management Assistance Program
review plan for Tribes and OIG has agreed to assist the
Region in planning these reviews. The Region plans to
conduct eight reviews this fiscal year and OIG has agreed to
assist the Region in conducting at least one review.
As of January 1995, each Regional program division or office
had consolidated staff so that a minimum of one person was
identified to attend to Tribal program requirements.
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DEC I
Page 1 of 5
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
MAR M 1994
MEMORANDUM
SUBJECT: EPA Indian Policy THE ADMINISTRATOR
TO: All Employees
In 1984, EPA became the first Federal agency to adopt a formal Indian Policy (copy
attached). EPA is proud of that Policy, which has provided the framework for our
developing partnership with Tribes. Since 1984 Agency programs have changed and several
of our statutes have been amended to address Tribal needs. Nevertheless, the core principle
of the Policy, a commitment to working with Federally recognized tribes on a government-
to-government basis to enhance environmental protection, has been reaffirmed by President
Clinton and remains the cornerstone of EPA's Indian program. Accordingly, therefore, I
formally reaffirm the EPA Indian Policy.
The challenge for EPA today is to implement its Policy effectively. Previous
administrations have addressed implementation, both in a 1984 Policy Implementation
Guidance and a 1991 Concept Paper. We must now update and strengthen these documents
and our implementation programs to reflect the goals and values of our long-term vision and
strategic agenda. A key element for successfully implementing the Indian Policy must be a
commitment to fully institutionalize the Policy into the Agency's planning and management
activities.
On March 7, Martha Prothro, formerly Deputy Assistant Administrator for Water,
joined my staff to assist in developing our Tribal Programs. I have asked Martha and Bill
Yellowtail, Regional Administrator, EPA Region vm, to form a team of Agency leaders to
make recommendations on EPA/Tribal relations and the implementation of the Policy. The
work of this group should help the Agency develop the best structure and adopt the best
strategies for implementing the goals of the Policy. The team will work with Tribal
representatives, including the Tribal Operations Committee and others, in drafting new
implementation guidance. This guidance will provide a blueprint for transforming the
Policy's vision into a reality for federally recognized Indian Tribes, including Alaskan
Tribes.
This is an exciting opportunity for us to develop a stronger partnership with Tribal
governments in protecting the environment. I ask all of you to help make this effort a great
success.
Carol M. Browner
Attachment
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-------
APPENDIX i
11/8/84
Page 2 of 5
EPA POLICY FOR THE ADMINISTRATION OF ENVIRONMENTAL
PROGRAMS ON INDIAN RESERVATIONS
INTRODUCTION
The President published a Federal Indian Policy on January 24 1983
supporting the primary role of Tribal Governments in matters affecting
American Indian reservations. That policy stressed two related themes:
(1) that the Federal Government will pursue the principle of Indian
"self-government" and (2) that it will work directly with Tribal
Governments on a "government-to-government" basis.
The Environmental Protection Agency (EPA) has previously issued general
statements of policy which recognize the importance of Tribal Governments
in regulatory activities that impact reservation environments. It is the
purpose of this statement to consolidate and expand on existing EPA Indian
Policy statements in a manner consistent with the overall Federal position
in support of Tribal "self-government" and "government-to-government" rela-
tions between Federal and Tribal Governments. This statement sets forth
the principles that will guide the Agency in dealing with Tribal Governments
and in responding to the problems of environmental management on American
Indian reservations in order to protect human health and the environment.
The Policy is intended to provide guidance for EPA program managers in the
conduct of the Agency's congressionally mandated responsibilities. As
such, it applies to EPA only and does not articulate policy for other
Agencies in the conduct of their respective responsibilities.
It is important to emphasize that the implementation of regulatory
programs which will realize the*, principles on Indian Reservations cannot
be accomplished immediately. Effective implementation will take careful
and conscientious work ty EPA, the Tribes and many others. In many cas.es,
it will require changes in applicable statutory authorities and regulations.
It will be necessary co proceed in a carefully phased way, to learn from
successes and failures, and to gain experience. Nonetheless, by beginning
work on the priority proolems that exist now and continuing in the direction
established under these principles, over time we can significantly enhance
environmental quality on reservation lands.
POLICY
In carrying out our responsibilities on Indian reservations, the
fundamental objective of the Environmental Protection Agency is to protect
human health and the environment. The keynote of this effort will be to
give special consideration to Tribal interests in making Agency policy,
and to insure the close involvement of Tribal Governments in making
decisions and managing environmental programs affecting reservation lands.
To meet this objective, the Agency will pursue the following principles:
29
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rax i
Page 3 of 5
1. THE AGENCY STANDS READY TO WORK DIRECTLY WITH INDIAN TRIBAL GOVERNMENTS
ON A ONE-TO-ONE BASIS (THE "GOVERNMENT-TO-GOVERNHENT" RELATIONSHIP), RATHER
THAN AS SUBDIVISIONS OF OTHER GOVERNMENTS.
EPA recognizes Tribal Governments as sovereign entitles with primary
authority and responsibility for tne reservation populace. Accordingly,
EPA will work directly with Tribal Governments as the independent authority
for reservation affairs, and not as political subdivision: of States or
other governmental units.
2. THE AGENCY WILL RECOGNIZE TRIBAL GOVERNMENTS AS THE PRIMARY PARTIES
FOR SETTING STANDARDS, MAKING ENVIRONMENTAL POLICY DECISIONS AND MANAGING
PROGRAMS FOR RESERVATIONS, CONSISTENT WITH AGENCY STANDARDS AND REGULATIONS.
In keeping with the principle of Indian self-government, the Agency
will view Tribal Governments as the appropriate non-Federal parties for
making decisions and carrying out program responsibilities affecting
Indian reservations, their environments, and the health and welfare of
the^ reservation pooulace. Just as EPA's deliberations and activities have
traditionally involved the interests and/or participation of State Govern-
ments, EPA will look directly to Tribal Governments to play this lead role
for matters affecting reservation environments.
3. THE AGENCY WILL TAKE AFFIRMATIVE STEPS TO ENCOURAGE AND ASSIST
TRIBES IN ASSUMING REGULATORY AND PROGRAM MANAGEMENT RESPONSIBILITIES
FOR RESERVATION LANDS.
The Agency will assist interested Tribal Governments in developing
programs and in preparing to assume regulatory and program management
responsibilities for reservation lands. Within the constraints of EPA's
authority and resources, this aid will include providing grants and other
assistance to Tribes similar to that we provide State Governments. The
Agency will encourage Tribes to assume aelegable :'asponsi bi 1 i ties , (i.e.
responsibilities which the Agency has traditionally delegated to State
Governments for non-reservation lands) -under terms similar to those
governing delegations to States.
Until Tribal Governments are willing and able to assume full responsi-
bility for delegable programs, the Agency will retain responsibility
for managing programs for reservations (unless the State has an express
grant of jurisdiction from Congress sufficient to support delegation to
tne State Government). Where EPA retains such responsibility, the Agency
will encourage the Tribe to participate in policy-making and to assume
appropriate lesser or partial roles in the management of reservation
programs.
30
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APPENDIX I
Page 4 of 5
4. iHE AGiHCY WILL TAKE APPROPRIATE STEPS TO REMOVE EXISTING L?GAL AND
PROCEDURAL IMPEDIMENTS TO WORKING DIRECTLY AND ELECTIVEWITH TR'3AL
GOVERNMENTS ON RESERVATION PROGRAMS. rECTIVELY WITH TR.3AL
A number of serious constraints and uncertainties 1n the language
of our statutes and regulations have limited our Ability to work directly
and effectively with Tribal Governments on reservation problems. As
impediments in our procedures, regulations or statutes are identified
which limit our ability to work effectively with Tribes consistent with
this Policy, we will seek to remove those Impediments.
5. THE AGENCY, IN KEEPING WITH THE FEDERAL TRUST RESPONSIBILITY, WILL
ASSURE THAT TRIBAL CONCERNS AND INTERESTS ARE CONSIDERED WHENEVER E?VS
ACTIONS AND/OR DECISIONS MAY AFFECT RESERVATION ENVIRONMENTS.
EPA recognizes that a trust responsibility derives from the His-
torical relationship between the Federal Government and Indian Tribes
as expressed in certain treaties and Federal Indian Law. In keeping
with that trust responsibility, the Agency will endeavor to protect
the environmental interests of Indian Tribes when carrying out its
responsibilities that may affect the reservations.
6. THE AGENCY WILL ENCOURAGE COOPERATION BETWEEN TRIBAL, STATE AND
LOCAL GOVERNMENTS TO RESOLVE ENVIRONMENTAL PROBLEMS OF MUTUAL CONCERN.
Sound environmental planning and management require the cooperation
and mutual consideration of neighboring governments, whether those
governments be neighboring States, Tribes, or local units of government.
Accordingly, EPA will encourage early communication and cooperation
among Tribes, States and local governments. This 1s not intended to
lend Federal support to any one party to the jeopardy of the interests
of the other. Rather, it recognizes that in the field of environmental
regulation, problems are often shared and the principle of ccmuy
between equals and neighbors often serves the best interests of both.
7 THE AGENCY WILL WORK WITH OTHER FEDERAL AGENCIES WHICH HAVE RELATED
RESPONSIBILITIES ON INDIAN RESERVATIONS TO ENLIST THEIR INTEREST AND
SUPPORT IN COOPERATIVE EFFORTS TO HELP TRIBES ASSUME ENVIRONMENTAL
PROGRAM RESPONSIBILITIES FOR RESERVATIONS.
EPA will seek and promote cooperation between Federal agencies to
protect human health and the environment on reservations. We will
work with other agencies to clearly identify and delineate the roles,
responsibilities and relationships of our respective organizations and
to assist Tribes in developing and managing environmental programs for
reservation lands.
31
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IX I
5 of 5
8. THE AGENCY KILL STRIVE TO ASSURE COMPLIANCE WITH ENVIRONMENTAL STATUTES
AND REGULATIONS ON INDIAN RESERVATIONS.
In those cases where facilities owned or managed by Tribal Governments
are not in compliance with Federal environmental s'.atutes, E?A will work
cooperatively with Tribal leadership to develop means to achieve compliance,
providing technical support and consultation as necessary to enable Tribal
facilities to comply. Because of the distinct status of Indian Tribes and the
complex legal Issues Involved, direct EPA action through the judicial or
administrative process will be considered where the Agency determines, in its
judgment, that: (1) a significant threat to human health or the environment
exists, (2) such action would reasonably be expected to achieve effective
results in a timely manner, and (3) the Federal Government cannot utilize
other alternatives to correct the problem in a timely fashion.
In those cases where reservation facilities are clearly owned or managed
by private parties and there is no substantial Tribal interest or control
involved, the Agency will endeavor to act in cooperation with the affected
Tribal Government, but will otherwise respond to noncompl iance by orivate
parties on Indian reservations as the Agency would to noncompliance by the
private sector elsewhere in the country. Where the Tribe has a substantial
proprietary interest in, or control over, the privately owned or managed
facility, EPA will respond as described in the first paragraph above.
9. THE AGENCY WILL INCORPORATE THESE INDIAN POLICY GOALS INTO ITS PLANNING
AND MANAGEMENT ACTIVITIES, INCLUDING ITS BUDGET, OPERATING GUIDANCE, LEGISLA-
TIVE INITIATIVES, MANAGEMENT ACCOUNTABILITY SYSTEM AND ONGOING POLICY AND
REGULATION DEVELOPMENT PROCESSES.
It is a central purpose of this effort to ensure that the principles
of this Policy are effectively institutionalized by incorporating them into
the Agency's ongoing and long-term planning and management processes. Agency
managers will include specific programmatic actions designed to resolve prob-
lems on Indian reservations in the Agency's existing fiscal year and long-term
planning and management processes.
William D. Ruckelshaus
32
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
REGION VIII
999 18th STREET - SUITE 500
DENVER, COLORADO 80202-2466
JAN - 9 I995
APPENDIX II
1 of 16
Ref: 8PM-GAC
MEMORANDUM
SUBJECT: Draft Report Number E1XMF4-08-0036-
Better Planning and Organizational Changes Could
Improve Region 8's Tribal Program
FROM: William P. Yellowtail
Regional Administrator
TO: Nikki Tinsley
Divisional Inspector General
Central Audit Division
/
Thank you for the opportunity to review and comment on the
findings and recommendations contained in the draft report on,
"Better Planning and Organizational Changes Could Improve Region
VIII's Tribal Program." As we have stated previously in our
comments to your position papers and in our discussions with
Jeff Hart and his staff regarding this draft report, we agree
with your findings as described in this draft report.
Response and Action Plans
REGION VIII SHOULD IDENTIFY ENVIRONMENTAL NEEDS, DEVELOP PROGRAM
PLANS, AND MEASURE ACCOMPLISHMENTS
Recommendation ftl: The Regional Administrator should work
with Tribes to conduct a comprehensive assessment of Tribal
environmental needs, develop Tribal workplans, and formulate an
overall Regional strategy that fulfills the requirements of the
Administrator's Action Memorandum.
Region's Response: We agree with this recommendation and
have been actively working towards this goal with the
establishment of a Regional Tribal Program Coordinator position.
The Coordinator is working with Region 8's Tribes to complete an
inventory of tribal environmental needs. Preliminary results
will be available by the end of December 1994, with final results
compiled by January 15, 1995.
Tribal and Regional Workplans are being developed, as
outlined in the Administrator's Announcement of Actions
memorandum dated July 14, 1994, based on the direction of the
33
Printed on Recycled Paper
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APPENDIX II
Page 2 of 16
Senior Leadership Team (SLT) by the Interim Team for organizing
the region's Tribal Environmental Program Implementation Plan.
Organization of the Tribal Program is occurring in conjunction
with the overall redesign of Region VIII. These workplans are
projected to be completed by March 1995.
This workplan development is reliant on the needs
assessment. The SLT has directed each division and office
program to consolidate FTE's so that a minimum of one person is
identified to attend to tribal program requirements. This action
was accomplished at the end of November 1994, they now constitute
the Interim Team for organizing the Region's Tribal Program.
They meet weekly with regular work assignments on the Strategic
Plan and the Region's response to the Administrators Memorandum.
The Strategic Plan is in development with a draft expected by
March 1995.
Recommendation #2: The Regional Administrator should
allocate sufficient travel funds for Regional Project Officers,
Technical Advisors and Tribal Liaison Staff to provide adequate
technical assistance and oversight.
Region's Response: The planning process identified in our
response to recommendation #1 above should allow the interim team
to identify resource requirements. These requirements will be
identified in the Strategic Plan, which the SLT will then
allocate based on needs. With the Region's reorganization and
development of a Tribal Office (see responses to chapter 3,
Organizational Changes) these requirements will be more readily
identifiable with funding allocated accordingly.
Recommendation #3: The Regional Administrator should
evaluate Tribal grant funding options and ensure the Region's
resource commitment supports the Region's priority of Tribes.
Region's Response: Grant Flexibility and Streamlining is
step number 8 in the Administrators Actions Memorandum. This
action is under review and evaluation by the Regional Tribal
Workgroup and the Interim Team. A proposal for streamlining the
Grants Administration process will be completed by February 1995.
Regional resource commitments will be identified during the needs
assessment phase, which will be presented to the SLT by
March 1995.
For the General Assistance Program (GAP), the Region
submitted a funding plan to Headquarters in November 1994. This
plan requests additional funds to meet growing Tribal
Environmental Program demands, which included three funding
options (see attachment I, memo dated 11/23/94);
34
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APPENDIX II
Page 3 of 16
1. Maintain FY-94 funding levels
2. Increase funding levels by making an allowance for
indirect costs as example by Department of Indian
Affairs.
3. Funding three new tribes over the FY-94 level.
Media specific programs (CAA, CWA, RCRA, etc.) may not be able to
increase funding levels or add new tribes due to statutory
constraints. The CWA 106 Program already has experienced a
decrease. The Regional Administrator and the SLT will need to
evaluate on a program needs bases, if the use of other funding
sources (Regional Discretionary, Geographical Initiative, etc.)
will be used to supplement these tribal needs.
Recommendation #4: The Regional Administrator should
establish quantifiable and time specific performance measures
that provide a means to measure how well the Region's Tribal
Program is operating.
Region' s ^ Response: By the end of February 1995, the Tribal
Program Coordinator, the Interim Team and the Tribal Workgroup
will have a Strategic Plan to present to the SLT inclusive of a
program mission scope, goals, objectives and workplan. The plan
will contain quantifiable measures to be implemented by the new
Tribal Environmental Office, (see regional reorganization plan)
ORGANIZATIONAL CHANGES COULD IMPROVE TRIBAL PROGRAM EFFECTIVENESS
Recommendation #1: The Regional Administrator should assign
a single Tribal program manager the responsibility and authority
to implement the Tribal policies and ensure that the Region
accomplishes the action items in the Administrator's July 1994
memorandum.
Region's Response: An interim Regional Tribal Program
Coordinator was selected in October 1994. The responsibilities
of the Coordinator include response to the Administrator's
Memorandum and to organize the Region's Tribal Environmental
Program. (see attachment II, objectives)
Recommendation 32: The Regional Administrator should
provide Tribal Program Manager with sufficient staff to establish
a small core Tribal Program office responsible for developing
Regional policies, goals, and an action plan for coordinating
work with Tribes; ensure Tribes receive adequate oversight and
technical assistance; maintain data on Tribal environmental
needs, the status of Tribal programs, and Regional expenditures
for Tribal activities; and coordinate other aspects of the
Region's Tribal program.
35
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APPENDIX II
Page 4 of 16
Region's Response: Region VIII is currently undergoing a
reorganization to handle more effectively the ecological problems
of today. The proposed change (see attachment III, model) will
help the Region fulfill is mission to restore and protect the
ecological integrity of the Rocky Mountains and Plains along with
the health of its inhabitants. The model is set up to establish
a Pollution Prevention, State, and Tribal Operations Office that
will incorporate and centralize the Tribal Program
responsibilities and activities. This will ensure that we will
be able to coordinate the oversight and technical assistance,
manage data and track expenditures for Tribal activities in one
location within the Region. This plan will be available for
review by the SLT by March 1995 for implementation in FY-96.
The Region is also working on a project to evaluate and
design a more effective and efficient Management Assistance
Program (MAP) review structure for Tribal Governments. This
project is being conducted with the joint cooperation of
Inspector General's Office, Office of Policy and Management, and
the Program Offices to develop a system to provide a more
economical and equitable assistance program to the Tribes. Under
the present system and structure, we have only been able to offer
assistance to five of twenty-seven tribes over a period of five
years. To get the Tribes up to full capacity this service needs
to be done annually. The project is funded through FY-95 with
the reviews beginning January 1995, there will be eight reviews
with an evaluation, analysis and recommendations being presented
to the SLT September 1995.
Recommendation #3: The Regional Administrator should
identify primary Tribal Coordinators within each Regional Program
Division or Office and require each office to provide sufficient
staff resources to adequately address Tribal issues.
Region's Response: The SLT directed each division/program
office to consolidate FTE's so that a minimum of one person is
identified to attend to Tribal program requirements. This
directive was accomplished November 1994.
The Region requests an exit conference after your staff has
had an opportunity to review our response to the findings and
recommendations. Please contact Phillip Elbeck at 293-1671 to
schedule the meeting or if you have any questions or concerns
regarding this response.
Attachments
cc: Division/Office Directors
Jeff Hart, OIG
Al Vigil, 8PM-GAG
Paul Riederer, 8PM
36
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ATTACHMENT I APPENDIX II
STATES ENVIRONMENTAL PROTECTION AGENCY
REGION VIII
999 18th STREET - SUITE 500
DENVER, COLORADO 80202-2466
Kef: 80EA NOV 23 1994
SUBJECT: General Assistance Program
Regional Funding Plan
FROM: William P. Yellowtail LiF^ / J &
Regional Administrator ^
TO: Terrence R. Williams, Director
American Indian Environmental Office
Region VIII requests approval of the following Funding Plan
for General Assistance Program (GAP) cooperative agreements for
its Indian tribes in FY95. Three options are shown because
distribution of all available FY95 GAP funds are undetermined.
The tribes have expressed concern for significant reductions
that are taken out of the award funds because of required
negotiated indirect costs (IDC) . The American Indian
Environmental Office should recognize and address this problem.
Pertinent information is indicated in three attachments:
Attachment 1A is the GAP Funding Chart showing spreadsheet
funding for FY94 (existing) and FY95 (proposed) showing
three options (A, B and C) .
Option A is a request for funds totaling $700,000
whereby each continuing GAP tribe is awarded $50,000.
IDC deductions (up to 27.4% from the award) may leave
as little as $36,300 for an operational yearly budget.
Funding for new tribes is not included in Option A.
Option B is a request for funds totaling $843,158
whereby each continuing GAP tribe is awarded funds to
allow credit for Indirect Costs with a remaining, but
equitable, $50,000 for an operational yearly budget.
Funding for new tribes is not included in Option B.
Option C la the preferred request for funds totaling
$1,143,158 and is Option B with the addition of funding
for four new tribes without IDC.
Attachment IB is the GAP Funding Chart showing Region VIII
spreadsheet funding for fiscal years FY94 (existing) ,
requested FY95 (Option C) and proposed FY96, FY97 and
FY98 not including IDC for new tribes.
37 t t3""*™* on Rieyclid Papir
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APPENDIX II
Page 6 of 16
Attachment 2 provides Che detailed information necessary to
issue a commitment: notice for each of 14 existing
tribal GAP cooperative agreements for FY95, Bunded on
an anticipated"$50,000 (IDC added on) annual
cooperative agreement.
Attachment 3 provides the detailed information necessary to
issue commitment notices for funding four new tribes at
$75,000 (not including IDC).
This funding plan includes the following considerations:
1. funding for the General Assistance Program will
increase annually, to meet the $15 million
authorization by the U.S. Congress. Although Region
VIII may not be able to recommend any new tribes for
FY95 funding, it will attempt to secure relief from the
impact of Indirect Costs;
2. all Region VIII awards will be made as cooperative
agreements rather than "grants" in order to meet the
spirit of the General Assistance Program legislation,
which is to work cooperatively with Indian tribes in
developing technical, administrative, and fiscal
environmental capacity;
3. Region VIII has given priority consideration to
currently funded tribes that are making satisfactory
progress toward development of an environmental
management program, and these existing grantees will be
funded before new grantees (if any) are considered;
4. funding/project periods for cooperative agreements will
be April l to March 31 to insure that funding is
provided through the end of the second quarter of each
fiscal year.
In order to insure that GAP funds are used effectively and
efficiently in helping additional tribes receive new awards while
maintaining a functional level of funding for continuing tribal
programs, Region VIII has made a decision to provide annual funds
to new tribes (if any) at the required $75,000 minimum and on-
going programs at a $50,000 minimum. The start up costs
associated with developing a program and establishing an
environmental office should be absorbed in the first year of
funding. Major costs for continuing programs are focused on
personnel and contractual services. Region VIII will advise
tribes to seek program specific funding for implementing
environmental protection and abatement projects, on a media-by-
media basis.
38
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APPENDIX II
Page 7 of 16
If the GAP program appropriation reaches the authorization
level anticipated by Congress, we believe that this approach to
funding provides a realistic opportunity to have an environmental
program initiated on each reservation in Region VIII by 1998.
Thank you for the opportunity to participate in this
innovative program. By providing Indian tribes with a flexible
and substantial approach to establish strong environmental
programs, we can work together in partnership to see that all the
lands of the U.S. are included in our mission to protect the
environment and human health.
Please feel free to contact Gary Davis at 303/294-7094 if
you have questions or concerns about this Regional Funding Plan.
attachments(3)
cc: Nola Y. Cooke, OEA
Wanda Taunton, OEA
Lee Roberts, OEA
Gary Davis, OEA
Alfred Vigil, PM-GAC
Vickie Wilson, PM-GAC
39
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Region VIII GAP Funding Chart
Region VIII GAP FY 94 & FY 95
Reservations/Tribes
75,000
75,000
Standing Rock Sioux Triba
Crow Craak Sioux
75,000
50,004
Lowar Brula Bioux
Platbaad Confad. Salian t Kootanai
37,503
37,503
89,503
Turtla Mt. Band of Chippaw*
Chayanna Mirer Sioux
Pin* Ridg* OglBl* Sioux Trlb*
Yuiktoo Sioux
Bl«ckf««t Tribal Builn«»
Port Pack Aaainlbolna * Sioux
Soutbarn Dta Indian Triba
Port Tottan DaTili Laka Sioux
33 10% \
~aoo%
Port Bartbold Thraa Affiliatad Tribal
Option A
50.000
50,000
50.000
50,000
50,000
50,000
50,000
50,000
50.000
50,000
50,000
50.000
50.000
50,000
6,550
13,700
6,800
1 3,750
5,000
6,375
8.150
/ 3,650
I0~500
4,500_
8.850
0
9,200
700.000 114,125
75.000
75.000
I 7,250
I 0
WOO.QOO
0
43,450
36,300
43,200
3b,350
^39,5:00
45,500
41,150
50..000
40,800
585,875
57,750
757000
75,000
843,800
•Note: FY 05 funding begins \ April '85 tor all GAP tribes In Region VIII whereas previous funding schedule WM not consolidate)
U
s
7,537
18,871
7,870
18,966
8,275
5,556
7,307
9,737
1 8,776
4,945
10,753
0
1 1.275
143,158
0
0
"~Q~~~"
0
143.158
1
„,.. iitl.«<,'iy!;v;'..
£5
ro
oo
o
T)
»
U.S.E.P.A. Raglan VIII OMea o» Extarnal AHmlr*
Attachment #1A
-------
Region VIII GAP Funding Chart
Region VIII GAP FY 94 - FY 9B
Reservations/Tribes
$0.000
50.000
50.000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
50,000
700,000
75,000
75,000
75,000
75,000
1.000,000
75,000
75.000
75,000
50,00*
*/,670
J7.50J
J7,50J
•tending toe!, lloux Txib*
ow CT**k aloui
LOME trul* Itotui
rort B*>llui.>p
ri*tb«kd ConC*>4. ••lt*h ft KootVDi.1
Cxow Trlb*
Mt. k*nd OC Cl»ipi>*w»v
271.770
259.725
2bb.729
27b.p«ba ft Rioiliaal
255.835
27
Fort ••rtbold Tbr*« *.f(lll*t.»d Tcib**
Rocky •toy'* Oitppawm Cx««
/ 75,000
/ 75,000
175.Hob
to I GO lota HouataiB Dt*
») MT
125.000
125.000
125,000
UT |«ortBMv m* Dintah • Ow
Iff M Mud of •bachoni Moti
UT S *<(iilntna taiutn
UT l«m.ll V>ll«y tonntin
SD rlnAdKO«ii ••ata* lloua Bxao
J»
(W
n>
Attachment #1B
Off«;« of tMttmil
-------
OBJECTIVE:
Page 1
(1) By the end of 11/94, the Interim Tribal Program Coordinator will have reactivated
the Regional Tribal Workgroup for organizing the ROB Tribal Environmental Program.
TASKS
ACTIVITIES
LEAD
RESP.
BY
EVALUATION
(Products)
1. Redefine the role of the RTWG.
N>
a. Meetings/discussions with Nola & Wanda.
b. Review transition file.
c. Develop discussion papers.
d. Arrange facilitator
e.. Arrange/hold meetings.
f. Summarize results.
g. Request Senior Staff action, as needed.
Lee
Lee
11/30/94
RTWG/IT Meetings.
Follow-up with IT.
Bert Garcia
Met on 11/311/17 11/23
Minutes prepared at each mtg.
Met with Senior Staff on
Interim team.
2. Define the role of the
Interim Team
a. Encourage Senior Staff to make selections.
b. Integrate Interim Team into RTWG.
c. Arr./hold IT organizing meeting.
d. Set working schedule and workplan.
e. Interaction with Design Team, as needed.
f. Define work products and schedule.
g.. Brief Senior Staff on progress as needed.
h. Review final workplan with Interim Team.
Lee/Noli
Lee
11/28
11/28
Lee
IT
IT
Lee
12/5
as
needed
12/15
12/15
All divisions execpt Air.
Meeting set for every
Monday morning.
Met 11/28 12/1
Draft workplan for
discussion with IT.
Workplan was discussed
with IT; Lee given go-
ahead to make assignmgnts^
n>
IO IT
8 Eg
i-h »-
-------
OBJECTIVE:
. Provide support to the
OST-ROC* inventory.
TASKS
2. Attend OST-ROC meeting
in Rapid City.
Page a
(2) By the end of 12/94, the Interim Team will have completed an inventory of Region
^LlH^ari reservation envirojimjintcrip^rggra^rn recju[rements_. _ _
"'"ACTIVITIES LEAD BY EVALUATiON
RJESP.
Gary
a. Complete GAP Grant workplan approval
b. Inventory in-house data.
c. Construct data collection instrument.
-Meet with OST consultant
-Conference call with OST-ROC
reps.
d. Confer with OST on Rapid City agenda.
a. Arrange travel.
b. Get commitments from EPA Senior
and program staff to attend meeting.
c. Preparations for meeting presentations.
d. Preparation for technical assistance
e. EPA staff participate in the Rapid
City meetings.
f. Feedback to RTWG, Design team, others.
3. Provide analytical support to
OST followinc] the meeting^
a. Define products that will be expected.
* ROC - Region 8 Operations Committee.
Gary/
Barbara
Lee
Gary/Lee
Carole
Lee/
Nola
EPA mtc]
partici-
pants
IT mtg.
Gary
11/15
12/31
11/23
11/29
12/7
11/23
Workplan approved for
Rapid City meeting.
Data colection instrument
completed-OST sent to tribes
Agenda out to Tribal meeting
on 12/6-7/94.
Kerry Clough to represent
Bill Yellowtail.
Met with OST consultant.
OST consultant identified
Emma Featherman-Sam.
Meetings, as needed.
1) Summary report from
cr<
-------
OBJECTIVE:
(2) CONTINUED
Page 3
TASKS
ACTIVITIES
4. Assist OST-ROC with
inventory summary.
5. Write assessment report.
LEAD BY EVALUATION
RESR (Products)
b. Write workplan for intern from OST.*
c. Define level of analysis needed for ROB
response to B-9.
d. Volunteers to work with OST consultant.
e. Complete analysis.
This should be on IT effort, dividing the work
as seem fit. Also, the intern from OST can
assist as needed.
a. Obtain guidance from headquarters.
b. Brief design team and Senior Staff.
c.. Draft report/reviews.
d. Finalize report.
5T.*
rROB
sultant.
the work
3T can
3rs.
ff.
see
footnote
Lee
See
note on
page 2
Lee
Interim
team
1/95
12/95
a) TOC purposes.
b) ROB purposes.
i
2) This task will requirre follow-
up. G. Davis to initiate as P.O.
i
Coordinate with Wanda.
i
i
Dave LJvermont was scheduled to be aboard in January '95. This may not happen since there is a possible
disciplinary action against him._Wejwi|| be informed by John Mousseau of the outcome & possible alternatives.
'd >
to -d
to
O
-------
t-n
OBJECTIVE: (3) By mid -January 1995, the interim team will have met the reporting requirements as stated
in the July 1994 memorandum of the Administrator.
TASKS ACTIVITIES LEAD BY EVALUATION
RESP. (Products)
. Evaluate the content of the
memorandum.
2. From task 2 above, design ROB
response to the Browner memo.
a
3. Write Region 8 report to
Administrator.
a. Interim team review.
b. Secure HQs guidance.
c. Develop format & substance requirements
or 1/95 report.
-TOC interactions
-Rapid City meeting
-NIWG interactions
a. Identify writing team.
b. Develop writing "action plan"
c. Write draft response.
d. Elicit input
-Senior Staff
-RTWG
e. Integrate input into final response.
f. Concurrence chain.
a. Form writing team
b. Writing team action plan.
c. Develop draft strategy report using
information from preceding tasks.
Eric/Lee
Barbara
Lee/
Larry
vols.
Lee
Lee
Lee/Teri
Larry
Lee
team
membs.
team
membs.
12/21
1/95
1/95
1/95
1/95
2/95
2/95
12/94
12/94
1/95
Partially done. Need to put
into shell to illustrate
duplications.
-
.
.....
X
-------
CT.
OBJECTIVE:
(3) CONTINUED
Page 5
TASKS
4. Region 8 Tribal Environmental
Strategy
ACTIVITIES
d. Circulate for review and input.
e. Finalize for submission to the Administrator.
a. Supplementry piece on how RO8
implements Tribal Workplan.
LEAD
RESP.
Gary
Lee/
Larry
team
membs.
BY
2/95
EVALUATION
(Products)
T) >
fa T)
W T)
n>
-------
PageS
f ^*M ** ** .. . _
(4) By mid-February 1995, the IT will have completed a draft strategic plan for Region 8 entitled,
Indian Country Environmental Priority Implementation Plan."
ACTIVITIES LEAD BY
RESP.
OBJECTIVE:
TASKS
. RTWG/IT review and
ntegration of prior work products.
a. Consider tribaf expressions under task 2,
b. Consider consultation with design team,
c. Consider RIWG options papers (2a & 2b)
d. Complete RTWG/IT subgroup reviews.
—Govt to Govt relations.
-Tribal capacity building
-Grant simplification
-Direct implementation
—Affirmative action
Barbara
IT
Lee
Larry
Vicki
Barbara
Gary
1/95
"EVLUATION
(Products)
Organize at 12/14 meeting.
2. Refine format and substance
requirements.
a. RTWG/IT meeting
b. Brief Senior Staff and Design Team.
c. Assign writers, reviewers, editors.
Lee
Lee
1/6
12/14
3. Write the strategic plan.
a. Interim team work as a group with
frequent reviews/checks.
b. Follow agreed upon format.
c. Circulate completed products -
reviews/edits.
d. Present completed package to design team
writing
team
Lee
Lee
1/31
2/10
2/15
-------
oo
Region VIII Interdependence Model
All Can Succeed Together; Nobody Succeeds Alone
P2, State, and
Tribal Programs
optimizes pollution
prevention, slate and
tribal program capacity
Public Affairs &
Communication
optimizes quality and
consistency of
external communications <
Enforcement,
and Env. Justice
optimizes compliance,
equal protection
and timely, appropriate
enforcement
each organizational unit
depends on all others to
successfully optimize its goals;
RA/DRA ensure
mutual accountability
DRA
Montana Operations
(State offices)
optimizes Region VIII
goals within the bounds
of the State
Ecosystems
Protection and
Remediation
optimizes ecosystem
protection and cleanup
of contaminated areas
•••••••••MftMMMMMHMBIMM
Regional
Counsel
optimizes legality
and defensibility
of decisionmaking
(non -enforcement)
•MMMMMMMMMMHBMMMMIMHMM
Technical and
Management
Services
optimizes quality
assurance, adminslrative
management, and
fiscal responsibility
00
cr.
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APPENDIX III
ESTIMATED TIME REGION 8 fiPRTJT nu
TRIBAL ACTIVITIES IN FISCAL 1 QQ4
DIVISION/OFFICE
"•
Air, Radiation,
and Toxics
Hazardous Waste
Management
Montana Operations
External Affairs
Policy- and
Management
Regional Council
Water Management
Total
NUMBER OF
EMPLOYEES WHO SPENT:
Over 50
Percent of
Their ' Time
0
1
2
2
0
1
7
13
Under 50
Percent of
Their Time
•17
16
•• 13
- 0
i
12
N/A1
45
103
ESTIMATED
STAFF YEARS
2.65
2.87
3.61
1.95
1.44
2.00
11.57
26.09
1 Not Available: Regional Council estimated that its full-
time Tribal staff member and "others" invested a total of 2
staff years in Tribal issues but did not estimate how many
"other" staff worked on Tribal issues. . Total staff who
worked less than 50 percent on Tribal issues does not include
Regional Council staff.
Source: OIG survey of Region 8 staff estimates of time
spent working on Tribal programs.
49
Report No. E1XMF4-08-0036-5100141
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APPENDIX IV
ABBREVIATIONS
EPA Environmental Protection Agency
OIG Office of Inspector General
Indian Policy EPA Policy for the Administration of
Environmental Programs on Indian Reservations
Implementation
Guidance EPA Indian Policy Implementation Guidance
Tribes Indian Tribes
50
Report No. E1XMF4-08-0036-5100141
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APPENDIX V
DISTRIBUTION
Office of Inspector General
Inspector General (2410)
Deputy Assistant Inspector General for Acquisition
and Assistance Audits (2421)
Headquarters Office
Associate Administrator for Regional Operations and
State/Local Relations (1501)
Director, American Indian Environmental Office
Headquarters Library (3304)
Regional Office
Regional Administrator
Assistant Regional Administrator, Office of Policy and
Management
Director, Office of External Affairs
Director, Water Management Division
Director, Air, Radiation and Toxics Division
Director, Hazardous Waste Management Division
Director, Montana Operations Office
Regional Counsel, Office of Regional Counsel
Audit Followup Coordinator
Regional Interim Tribal Coordinator
Regional Library
51
Report No. E1XMF4-08-0036-5100141
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