U.S. Environmental Protection Agency
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EPA's Direct Implementation of
Federal Environmental Programs in
Indian Country
February 25, 2016

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Preface
This document was created to support United States Environmental Protection Agency (EPA) staff in
achieving EPA's objective to protect human health and the environment in Indian country through
EPA-led direct implementation activities. Direct implementation is the process by which EPA takes
action to carry out its programs in Indian country in the absence of an EPA-approved program. The
resulting document is intended to be used as a prioritization and planning tool by EPA program and
regional staff for assessing resource needs, assisting EPA in a comprehensive programmatic evaluation
of the scope and breadth of EPA's work in Indian country, and as a discussion tool with federally
recognized tribes across the country. This document will also help EPA work with individual tribes to
develop EPA Tribal Environmental Plans (ETEPs). ETEPs are long-term plans that describe how EPA
and a tribe will best implement federal environmental programs in particular areas of Indian country.
Because each tribe has a unique set of environmental conditions, facilities and land types, not all EPA
direct implementation activities will be applicable to every tribe.
This document describes EPA's direct implementation responsibilities and activities under nine major
federal environmental statutes, and includes an additional section on emergency response activities.
The statutes are the: Clean Air Act; Clean Water Act; Comprehensive Environmental Response,
Compensation, and Liability Act; Federal Insecticide, Fungicide, and Rodenticide Act; Federal Food,
Drug, and Cosmetic Act; Pollution Prevention Act; Resource Conservation and Recovery Act; Safe
Drinking Water Act; and Toxic Substances Control Act. Each section that follows describes the key
direct implementation responsibilities EPA maintains under an individual statute in the absence of an
EPA-approved program, followed by a description of the individual programs for which tribes may be
eligible to seek approval to administer themselves.

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Table of Contents
Introduction	1
Clean Air Act	3
Clean Water Act 	7
Comprehensive Environmental Response, Compensation, and Liability Act	11
Federal Insecticide, Fungicide, and Rodenticide Act 	13
Federal Food, Drug, and Cosmetic Act 	13
Pollution Prevention Act	16
Resource Conservation and Recovery Act 	17
Safe Drinking Water Act 	20
Toxic Substances Control Act 	23
Emergency Response	26

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Introduction
The mission of the EPA is to protect human health and the environment. EPA accomplishes this
mission through authorities provided to EPA under environmental statutes. Consistent with its
authorities, EPA largely implements its congressionally mandated responsibilities through cooperative
federalism approaches, such as through established partnerships with tribes, states, and other federal
agencies. As set forth in EPA's 1984 Indian Policy, EPA works with interested tribal governments in
developing environmental programs and in preparing tribes to assume regulatory and program
management responsibilities for Indian country.1 Where EPA's authorities provide, and where tribes
are eligible, willing, and able, and apply to EPA for such authority, EPA may approve tribes to assume
regulatory and program management responsibilities in Indian country through the treatment in a
similar manner as a state (TAS) process. However, until tribal governments are willing and able to
assume full responsibility for delegable programs, EPA generally retains responsibility for managing
federal environmental programs in Indian country. This responsibility of the EPA is known as direct
implementation.
Current EPA planning documents affirm the importance of direct implementation in fulfilling the
Agency's mission in Indian country. As stated in the Fiscal Year 2014-2018 EPA Strategic Plan
(Strategic Plan), "EPA will ensure that its environmental protection programs are implemented in
Indian country either by EPA or through implementation of environmental programs by tribes
themselves."2 To ensure environmental protection for tribes, the Strategic Plan states that the Agency
will "[ensure] that our national programs are as effective in Indian country as they are throughout the
rest of the nation."3 EPA's dedication to fulfilling this objective is further reflected in the Office of
International and Tribal Affairs' Fiscal Year 2016-2017 National Program Manager Guidance, which
lists implementation of federal environmental programs in Indian country, whether by EPA or tribes
themselves, as a national focus area for the Agency.4 Successful and efficient direct implementation of
environmental programs in Indian country is a priority for the Agency because EPA retains
responsibility for implementing the vast majority of federal environmental programs in Indian country.
In addition to the specific direct implementation activities listed in the sections that follow, EPA
regularly consults with federally recognized tribes under Executive Order 13175: Consultation and
Coordination with Indian Tribal Governments5 (Executive Order) and the EPA Policy on Consultation
and Coordination with Indian Tribes6 (Consultation Policy). EPA's direct implementation activities
oftentimes meet the threshold consultation criteria of the Executive Order and/or Consultation Policy.
1	Defined as Indian reservations, dependent Indian communities, and Indian allotments, 18 U.S.C. § 1151.
2	FY 2014-2018 EPA Strategic Plan, page 29. Available at http://www2.epa. gov/sites/production/files/2014-
09/documents/epa strategic plan IV14-18.pdf
3Id., at 49.
4	Office of International and Tribal Affairs (OITA) FY 2016-2017 National Program Manager Guidance, available at
http://www2.epa.gov/sites/production/files/2015-04/documents/oita IV16-17 npm guidance final april - for web.pdf
5	Available at http://www.gpo.gov/fdsvs/pkg/FR-2000-ll-09/pdf/00-290Q3.pdf
6	Available at http://www2.epa.gov/sites/production/files/2013-08/documents/cons-and-coord-with-indian-tribes-policv.pdf
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As a result, in fulfilling its direct implementation responsibilities EPA typically consults with tribes on
actions it is taking that may affect tribes or tribal interests. Additional information on the Executive
Order and Consultation Policy is available on EPA's tribal consultation website.7
7 Available at http://www2.epa.gov/tribal/forms/consultation-and-coordinatjon-tribes
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Clean Air Act
The Clean Air Act (CAA) protects and enhances the quality of the nation's air resources so as to
promote the public health and welfare. Under the CAA, EPA sets specific air quality standards, known
as the National Ambient Air Quality Standards (NAAQS), to help ensure public health and
environmental protection from pollution. The CAA requires states to adopt enforceable plans (state
implementation plans, or SIPs), which are overseen by EPA, to achieve and maintain ambient air
concentrations at or below the NAAQS. If EPA determines that a plan to achieve NAAQS is necessary
or appropriate, EPA will create a federal plan and directly implement CAA programs in Indian
country. EPA also limits emissions of air pollutants coming from stationary, mobile, and area sources.
The following are a few of the key provisions of the CAA for which EPA has direct implementation
responsibilities:
	EPA Direct Implementation Responsibility	
Section 107(d) National Ambient Air Quality Standards Designations (NAAQS)
Section 111 Standards of Performance	
Section 112 National Emission Standards for Hazardous Air Pollutants (NESHAP)
Federal Implementation Plans	
Permitting	
Air Mobile Sources Program	
Compliance Assurance and Enforcement	
Implementation of the Clean Air Act
Designations Under CAA Section 107(d), EPA is responsible for designating all areas of the nation
as meeting or not meeting the NAAQS for each of the six established common air pollutants, known as
"criteria pollutants." The six criteria pollutants are particle pollution (often referred to as particulate
matter), ground-level ozone, carbon monoxide, sulfur dioxide, nitrogen dioxide, and lead. Every five
years, EPA is required to review the science upon which the standards for a particular pollutant are
based and revise them, as necessary, to protect human health and the environment with an adequate
margin of safety.
Establishing an area designation is the first step in determining whether further emissions reductions
are needed in a particular area to attain or maintain the NAAQS. The CAA identifies three designation
categories: (1) nonattainment - air quality is worse than the level of the NAAQS; states with
nonattainment areas must include provisions in their SIPS that are designed to improve air quality and
attain the NAAQS within a certain period of time; (2) attainment - air quality is equal to or better than
the level of the NAAQS; SIPs covering attainment areas must contain provisions designed to maintain
air quality; and (3) unclassifiable - there is insufficient data on air quality for the area; the area is
treated as in attainment. Each area designation is for a specific standard and criteria pollutant. An area
can be in attainment for one standard and nonattainment or unclassifiable for another. EPA will create
a federal implementation plan (FIP) for areas of Indian country where there is no EPA-approved tribal
implementation plan (TIP) to improve air quality (in the case of nonattainment) or maintain air quality
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(in the case of attainment) without unreasonable delay when it determines that it is necessary or
appropriate to do so.
Standards of Performance CAA Section 111 directs EPA to establish pollution control
requirements for certain sources which cause or contribute significantly to air pollution which may
reasonably be anticipated to endanger public health or welfare. These requirements are known as new
source performance standards (NSPS) and regulate pollutants such as particulate matter, sulfur dioxide,
carbon monoxide, nitrogen oxides, volatile organic compounds, acid mist, total reduced sulfur and
fluorides. NSPS are detailed in 40 CFR Part 60, and are intended primarily to establish minimum
nationwide requirements for new and modified existing facilities. Section 111(d) may also apply to
existing facilities; for existing facilities EPA establishes Emissions Guidelines for which states develop
and implement plans. EPA (via a FIP) or a tribe (via a TIP) may also implement Section 111(d) for
existing sources in Indian country.
In addition, CAA Sections 111 and 112 allow EPA to transfer primary implementation and
enforcement authority for most of the federal standards to state, tribal, or local regulatory agencies.
This transfer of authority is called delegation. Upon delegation of a standard, sources must send any
required notifications or reports directly to the delegated agency. The delegated agency may also
receive authority to make certain source-specific decisions that reflect flexibility allowed by the
standard.
National Emission Standards for Hazardous Air Pollutants Under CAA Section 112, EPA is
responsible for developing National Emission Standards for Hazardous Air Pollutants (NESHAP) for
the control of Hazardous Air Pollutants (HAP) from both new and existing major or area sources in
various categories of sources. The CAA requires the standard to reflect the maximum achievable
reduction in HAP emissions, taking into consideration the cost of achieving the emission reduction,
and any non-air quality health and environmental impacts and energy requirements. This level of
control is commonly referred to as maximum achievable control technology (MACT). NESHAP apply
nationally and the owner/operator of a source subject to a particular NESHAP must ensure that the
source is operated in compliance with the requirements of the NESHAP without the need for an
implementation plan. Every eight years, EPA is required to review and revise as necessary standards of
performance in the NSPS program and emissions standards in the NESHAP program.
Federal Implementation Plans Under CAA Section 301(a), (d), EPA may promulgate and enforce a
FIP, as necessary or appropriate. FIPs are a regulation for a specific source of air emissions, or a
collection of regulations (including emission limits, monitoring requirements, compliance evaluations,
and enforcement programs) that are used to achieve and maintain NAAQS or implement other federal
regulations.
Permitting EPA issues preconstruction air permits in reservation areas of Indian country in the
absence of an EPA-approved permitting program. Under the New Source Review (NSR) program,
stationary sources of air pollution are required to get permits before they begin construction. These
permits focus primarily on the NAAQS six criteria pollutants. There are three types of NSR permits:
(1) Prevention of Significant Deterioration (PSD) permits which are required for new major sources or
major modifications at existing sources for pollutants where the area the source is locating or located is
in attainment or unclassifiable with the NAAQS; (2) Nonattainment NSR permits that are required for
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new major sources or major modifications at existing major sources located in nonattainment areas;
and (3) Minor source permits that are required to prevent the construction of sources that would
interfere with attainment or maintenance of a NAAQS.
In addition to preconstruction permits, Title V of the CAA requires that all major sources apply for an
operating permit (also known as a Title V permit) within a year of commencing operations or
becoming subject to a requirement triggering the need for such a permit. Operating permits contain all
the applicable requirements for a source, including NSR permit terms. These permits are designed to
improve compliance and must be renewed every five years. EPA generally issues Title V permits in
Indian country pursuant to 40 CFR Part 71.
Air Mobile Sources Program Under Title II of the CAA, EPA implements the air mobile sources
program and conducts inspections and takes enforcement as appropriate. This program mandates
emissions standards for all motor vehicles and mobile engines, and establishes formulation
requirements for the fuels that are used in vehicles and engines. The mobile source standards apply to
vehicles and engines of all sizes, and the fuels standards apply to all gasoline and diesel fuel used
nationwide. Vehicles and engines used in the United States must be manufactured under the terms
issued by EPA which are generally nationally enforced and not delegated to states or tribes.
Compliance Assurance and Enforcement Acting pursuant to its authority under CAA Section 114,
EPA conducts Full Compliance Evaluations (FCE), Partial Compliance Evaluations (PCE), and
investigations in Indian country to determine a facility's compliance status. EPA can provide
compliance assistance to help facilities understand the regulatory obligations and maintain compliance.
EPA takes appropriate civil or criminal enforcement action to address noncompliance.
Opportunities for Tribal Participation The CAA provides tribes with express authority to manage
air quality in reservation areas of Indian country and in other areas of Indian country over which a tribe
has jurisdiction. The Tribal Authority Rule (TAR), 40 CFR Part 49, identifies and defines the CAA
provisions that tribes can implement and participate in with EPA approval. Neither the CAA nor the
TAR, however, require tribes to adopt enforceable plans to achieve and maintain the NAAQS. Of the
EPA direct implementation responsibilities mentioned above, tribes may participate in the following:
•	Treatment in a Similar Manner as a State Under the TAR, tribes may apply to EPA for
treatment in a similar manner as a state (TAS) approval with respect to all provisions of the
CAA, except those provisions identified in 40 CFR § 49.4. As of February 2016, there are 45
individual TAS approvals for Sections 110, 126, 505, and Title V of the CAA.
•	Tribal Implementation Plans Under CAA Section 110(a) and the TAR, a tribe with TAS
may develop its own air quality control plan (TIP), for approval by EPA. A TIP is a set of
regulatory programs developed and adopted by tribes to help attain and/or maintain the
NAAQS.
•	Standards of Performance Tribes may implement and enforce new and existing standards
of performance by adopting regulations under their authority and upon approval from EPA, or
by being delegated the federal program.
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•	National Emission Standards for Hazardous Air Pollutants Tribes can implement and
enforce NESHAP by accepting delegation under the CAA (and/or by having an approved Title
V operating permit program). Section 112(1) allows for EPA to approve state, tribal, and local
programs to implement and enforce emission standards for pollutants subject to Section 112
regulations, such as the hazardous waste combustion NESHAP.
•	Permitting TAS-eligible tribes can apply for permitting authority under the CAA for the
Federal Minor New Source Review Program in Indian Country, the Federal Major New Source
Review Program for Nonattainment Areas in Indian Country, and the Federal Prevention of
Significant Deterioration Program. In addition, tribes may apply for permitting authority for
either Part 71 (Title V federal operating permits), which provides for delegation to eligible
tribes, or Part 70, to run their own program.
•	Compliance Assurance and Enforcement Tribes that implement the CAA under a TIP
conduct FCEs, PCEs, and investigations and take civil enforcement with EPA program
oversight. EPA may enter into written agreements with tribes to allow properly trained
employees to obtain and use a federal CAA credential to conduct inspections on behalf of the
Agency; inspection reports are sent to EPA and the Agency makes all compliance
determinations and initiates, if appropriate, any subsequent enforcement activity
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Clean Water Act
The Clean Water Act (CWA) establishes the basic structure for regulating discharges of pollutants into
the waters of the United States and regulating quality standards for surface waters (the CWA does not
deal directly with groundwater nor with water quantity issues). The CWA employs a variety of
regulatory and non-regulatory tools to reduce direct pollutant discharges into waterways, finance
municipal wastewater treatment facilities, and manage polluted runoff. These tools are employed to
achieve the broader goal of restoring and maintaining the chemical, physical, and biological integrity
of the nation's waters so that they can support the protection and propagation of fish, shellfish, and
wildlife and recreation in and on the water.
The following are a few of the key provisions of the CWA for which EPA has direct implementation
responsibilities:
	EPA Direct Implementation Responsibility	
Section 303(c) Water Quality Standards	
Section 303(d) Impaired Water Listing and Total Maximum Daily Loads (TMDLs)
Section 309 Compliance Assurance and Enforcement	
Section 401 Water Quality Certification	
Section 402 National Pollutant Discharge Elimination System (NPDES) Permitting
Section 404 Permitting for Dredged or Fill Material	
Implementation of the Clean Water Act
Water Quality Standards Under CWA Section 303(c), EPA is responsible for overseeing the
efforts of states and authorized tribes to set water quality standards (WQS) for all waters of the United
States. WQS consist of designated uses for waters, water quality criteria to protect the uses, and
antidegradation requirements. WQS establish water quality goals for specific water bodies and provide
the regulatory basis for establishing certain treatment controls and strategies under the CWA. WQS
establish the environmental baselines used for adequate protection of fish and wildlife, recreational
uses, and sources of drinking water. The CWA requires EPA to review new and revised state or tribal
standards, and approve or disapprove them. EPA's oversight role can lead to direct implementation if
EPA decides to correct deficiencies in the state or tribal standards by issuing federal replacement
standards where necessary.8
Impaired Water Listing and Total Maximum Daily Loads Under CWA Section 303(d), EPA
supports and oversees the efforts of states and authorized tribes in developing and implementing
Section 303(d) listing and total maximum daily load (TMDL) requirements. Under CWA Section
303(d), authorized states and tribes develop lists of impaired waters for which technology-based
o
For further discussion of EPA's authority to promulgate water quality standards, see CWA Section 303(a)(2)(C), Final
Guidance on Awards of Grants to Indian Tribes under Section 106 of the Clean Water Act, EPA Office of Wastewater
Management, October 2006, p. 7-3; and Plan EJ 2014: EJLegal Tools, EPA Office of General Counsel, December 2011,
pp. 28-29.
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limitations and other required controls are not stringent enough to meet applicable WQS. A TMDL is
the calculation and allocation to point and nonpoint sources of the maximum amount of a pollutant that
a water body can receive and still meet applicable WQS, with a margin of safety.
EPA reviews and approves/disapproves CWA Section 303(d) lists and TMDLs. Once EPA receives a
list or TMDL, it must either approve or disapprove the list or TMDL within thirty days.9 EPA's
oversight role can lead to direct implementation if EPA disapproves the list or TMDL. If EPA
disapproves the list or TMDL, EPA must establish a replacement list or TMDL within thirty days of
disapproval.10
Water Quality Certification Under CWA Section 401, states or authorized tribes are responsible
for issuing water quality certifications. In any case where a state, interstate agency, or tribe has no
authority to give such a certification, EPA issues the water quality certification. CWA Section 401
requires any applicant for a federal license or permit to conduct an activity that may result in a
discharge into navigable waters to obtain certification from the state in which the discharge originates
or will originate that such discharge will comply with the applicable provisions of the CWA, including
EPA-approved WQS and federally issued NPDES, Section 404, or other federal permits or licenses.
These conditions become part of the federal permit or license.
EPA may determine that a discharge subject to CWA Section 401 certification "may affect" the water
quality of other states or tribes. If EPA makes such a determination, EPA is required to notify those
jurisdictions whose water quality may be affected. Section 401(a)(2) provides an opportunity for such
jurisdictions to raise objections to, and comment on, the federal permit or license.
National Pollutant Discharge Elimination System (NPDES) Individual and General Permits
Under CWA Section 402, EPA is responsible for developing and issuing NPDES permits for point
sources discharging pollutants into surface waters. In general, NPDES permits are required for point
sources discharging pollutants into surface waters. These permits typically include effluent limitations,
facility operational requirements, and monitoring and reporting requirements. A NPDES permit can
apply to an individual discharger, or cover multiple dischargers via a general permit (40 CFR § 122.28)
for specific categories of discharges or for sludge disposal practices. NPDES permits have, at most,
five-year terms.
Compliance Assurance and Enforcement of NPDES Permits EPA is responsible for evaluating
compliance with NPDES permits through reviews of discharge monitoring reports (DMRs),
inspections, and other compliance monitoring activities that verify that permit requirements are met.
EPA may also conduct inspections at unpermitted facilities in Indian country to determine if the
facility must seek permit coverage. EPA's Clean Water Act National Pollutant Discharge Elimination
System Compliance Monitoring Strategy sets forth national compliance monitoring goals, including
goals for EPA direct implementation in Indian country. Unless and until a tribe has primacy for the
inspection and enforcement program, EPA makes compliance determinations for facilities in Indian
country, and, if appropriate, initiates subsequent enforcement actions.
9	33 U.S.C. 1313(d)(2)
10	40 CFR § 130.7(d)(1)
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Dredge and Fill Permits
Under CWA Section 404, a permit is required for all discharges of dredge or fill material to all waters
of the United States, including adjacent wetlands. The Army Corps of Engineers (Corps) is the federal
permitting authority for Section 404. In this process, EPA, in coordination with the Corps, is
responsible for reviewing and providing comments on proposed Section 404 permits. EPA's review
includes a CWA Section 401 certification determination that such a discharge will comply with the
applicable provisions of the CWA (see Water Quality Certification above).
Compliance Assurance and Enforcement of 402 and 404 Permits Unless and until a tribe has
primacy for the inspection and enforcement program, EPA makes compliance determinations for
facilities in Indian country, and, if appropriate, initiates subsequent enforcement actions when there is
noncompliance with CWA Section 402 and/or 404 permits.
Spill Prevention, Control, and Countermeasure Plans Under CWA Section 311, a Spill
Prevention, Control and Countermeasure (SPCC) Plan is required if a facility has aggregate oil storage
capacity equal to or greater than 1,320 gallons and there is a reasonable expectation that an oil spill at
the facility could reach waters of the United States. The Oil Pollution Prevention regulations set forth
requirements for prevention of, preparedness for, and response to oil discharges at specific non-
transportation-related facilities.
Compliance Assurance and Enforcement of SPCC Plans EPA is responsible for inspections and
taking enforcement action in Indian country, as appropriate, when there is noncompliance with the
SPCC regulations. This is a federal-only program and is not delegated to tribes or states. EPA may
enter into written agreements with tribes to allow properly trained employees to obtain and use a
federal credential to conduct inspections on behalf of the Agency; inspection reports are sent to EPA
and the Agency makes all compliance determinations and initiates, if appropriate, any subsequent
enforcement activity.
Opportunities for Tribal Participation Under CWA Section 518(e), tribes may apply to EPA for
treatment in a similar manner as a state (TAS) approval to administer the following programs of the
CWA in lieu of, or in coordination with, EPA:
•	Section 303(c) Water Quality Standards Program A tribe may apply for TAS to seek EPA
approval to administer their own WQS program and establish their own WQS under the CWA.
As of February 2016, EPA has approved 50 tribes for TAS to administer a WQS program, and
42 of those tribes have adopted EPA-approved WQS.
•	Section 303(d) Impaired Waters Listing and Total Maximum Daily Load Program A
tribe may apply for TAS to seek EPA approval to administer an Impaired Waters Listing and
Total Maximum Daily Load program under the CWA. As of February 2016, no tribes have
TAS for the 303(d) program. EPA proposed a rulemaking in January 2016 to provide more
opportunities for tribes to participate in the Section 303(d) Impaired Water Listing and TMDL
Program, primarily by clarifying the process for tribes to obtain TAS approval for Section
303(d).
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•	Section 401 Water Quality Certification A tribe approved by EPA to administer the Section
303(c) WQS program is simultaneously approved for the Section 401 certification program. As
of February 2016, 50 tribes have TAS for 401 Water Quality Certification. Where a tribe has
TAS for Section 401, the tribe prepares its own Section 401 Water Quality Certifications or
waivers for federal permits or licenses discharging into reservation waters.
•	Section 402 National Pollution Discharge Elimination System Individual and General
Permits A tribe may apply for TAS for the NPDES program. As of February 2016, no tribes
have TAS for the NPDES program. If a tribe seeks to obtain partial authorization (e.g., only
seeks authorization to administer the Base NPDES program), EPA would implement the other
NPDES program components, which may include activities such as issuing a separate NPDES
permit or negotiating with a tribe on joint issuance of NPDES permits.
•	Section 404 Dredge and Fill Permitting A tribe may apply for TAS for the Dredge and Fill
permitting program (40 CFR § 233.61). As of February 2016, no tribes have TAS for the
Section 404 program. If a tribe assumes administration of the Section 404 program, the Corps
no longer processes Section 404 permits for those waters for which the tribe has assumed
permitting authority.11 EPA maintains oversight responsibilities for all approved CWA Section
404 programs to ensure program consistency with the CWA and applicable laws and
regulations. This oversight includes review of a subset of permits which generally includes
larger discharges with serious impacts or those which may affect threatened or endangered
species. EPA and other federal agencies review individual permit applications and general
permits. EPA provides comments to the administering tribe on the permit application; if EPA
objects to or places conditions on the permit, the tribe cannot issue the permit.
•	Compliance Assurance EPA may enter into written agreements with tribes to allow properly
trained employees to obtain and use a federal credential to conduct CWA inspections on behalf
of the Agency; inspection reports are sent to EPA and the Agency makes all compliance
determinations and initiates, if appropriate, any subsequent enforcement activity.
11 Even where a tribe has an approved tribal Section 404 program, pursuant to CWA Section 404(g)(1), the Corps always
retains permitting authority under Section 10 of the Rivers and Harbors Act of 1899 for dredge and fill activities into tidal
waters and their adjacent wetlands, and in waters presently used, or susceptible to use in their natural condition or by
reasonable improvement as a means to transport interstate or foreign commerce and their adjacent wetlands.
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Comprehensive Environmental Response, Compensation, and Liability Act
The Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA),
commonly referred to as Superfund, authorizes the federal government to respond to releases and
threats of releases into the environment of hazardous substances or pollutants or contaminants. EPA
does so by taking response measures, generally consistent with the National Oil and Hazardous
Substances Pollution Contingency Plan (NCP), deemed "necessary to protect the public health or
welfare or the environment." All response activities, which include removal actions and remedial
actions, must be generally consistent with the NCP.
The following are a few of the key provisions of CERCLA for which EPA has direct implementation
responsibilities:
	EPA Direct Implementation Responsibility	
Superfund Enterprise Management System Database and the National
Priorities List	
Removal Actions	
Remedial Actions
Implementation of the Comprehensive Environmental Response, Compensation, and Liability
Act
Superfund Enterprise Management System Database and the National Priorities List Under
CERCLA Section 116, EPA is responsible for collecting, reporting and tracking locations where
hazardous wastes are believed to have been released or represent a risk of release. EPA places this
inventory of information in the Superfund Enterprise Management System database, formerly known
as CERCLIS. Under CERCLA Section 116(b), EPA evaluates, on the basis of a site inspection or
preliminary assessment, each site in the database for potential placement on the National Priorities List
(NPL). The NPL is the list of sites in the United States and its territories with known releases or
threatened releases of hazardous substances, pollutants, or contaminants. In general, the NPL
represents sites that are priorities for long-term remedial evaluation and potential response. EPA has
multiple direct implementation responsibilities regarding the NPL: for example, under CERCLA
Section 105(a)(8)(B), EPA determines which sites to place on the NPL.
Removal Actions Under CERCLA Section 104, EPA may conduct removal actions at Superfund
sites to address a release or threat of release of hazardous substances, or a release or threat of release of
a pollutant or contaminant which may pose an imminent and substantial danger to public health. In
most cases the tribe, county, or state is the first responder. EPA may participate in the removal if a
state or tribe requests assistance, although the response authority is not dependent on a request. EPA
may take command of a removal should the responsible party, state or tribe lack the ability and
resources to carry out the appropriate action.
Remedial Actions Under CERCLA Section 104, EPA has discretionary response authority to
conduct long-term remedial actions to address a release or threat of release of hazardous substances, or
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a release or threat of release of a pollutant or contaminant which may pose an imminent and substantial
danger to public health. CERCLA Section 121(a) includes a number of provisions related to selection
of cleanups that ensure protection of human health and the environment. Under CERCLA Section
121(c), EPA reviews no less often than every five years any remedial action previously taken where
contamination remains on site, to assure human health and the environment continue to be protected.
Opportunities for Tribal Participation CERCLA Section 126 provides for a tribal role in
Superfund actions for certain purposes. It specifies that "[t]he governing body of an Indian tribe shall
be afforded substantially the same treatment as a State" with respect to various provisions of
CERCLA, including Section 103(a) (notification of releases), Section 104(c)(2) (consultation on
remedial actions), Section 104(e) (access to information), Section 104(i) (health authorities) and
Section 105 (roles and responsibilities under the NCP and submittal of priorities for remedial action).
CERCLA also authorizes tribes to enter into cooperative agreements and receive financial assistance to
carry out response actions, if the tribe has the appropriate expertise, pursuant to Section 104(d).
Specifically, regarding the CERCLA cleanup process, tribes may participate in the following activities:
•	National Priority List Listings Tribes can identify sites they believe EPA should investigate
for possible NPL listing, and if necessary, submit a petition that would generally require EPA
to conduct a preliminary assessment (PA) of the potential hazard and determine whether listing
is appropriate.
•	Preliminary Assessments and Site Inspections Tribes may be able to perform PAs and Site
Inspections (Sis) and provide the information obtained to EPA for NPL consideration if the
tribe has the appropriate expertise.
•	Site Cleanups Tribes may participate in the site cleanup process, including review of
documents and commenting to EPA regarding response selection. Tribes may also perform
CERCLA cleanup actions pursuant to a Section 104(d) cooperative agreement with EPA if they
have the appropriate expertise.
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Federal Insecticide, Fungicide, and Rodenticide Act and the
Federal Food, Drug, and Cosmetic Act
EPA regulates the use of pesticides under the authority of two federal statutes: the Federal Insecticide,
Fungicide, and Rodenticide Act (FIFRA) and the Federal Food, Drug, and Cosmetic Act (FFDCA).
These statutes have been amended by the Food Quality Protection Act and the Pesticide Registration
Improvement Act.
FIFRA requires all pesticides imported, sold or distributed in the United States to be registered
(licensed) by EPA. Pesticidal devices do not require EPA registration but must be labeled in
accordance to FIFRA prior to importation, distribution or sale. EPA also has the authority to suspend
or cancel the registration of a pesticide if subsequent information shows that continued use would pose
unreasonable risks. EPA must review each pesticide registration at least once every 15 years. The
FFDCA requires EPA to set pesticide residue tolerances for all pesticides used in or on food or in a
manner that will result in a residue in or on food or animal feed. A tolerance is the maximum
permissible level for pesticide residues allowed in or on human food and animal feed.
Under the Food Quality Protection Act of 1996, which amended both FIFRA and FFDCA, EPA must
find a "reasonable certainty of no harm" from a pesticide's residues before such residues can be
permitted on food or feed.
The following are a few of the key provisions of FIFRA for which EPA has direct implementation
responsibilities:
EPA Direct Implementation Responsibility
Section 3 Pesticide Registration and Use	
Section 8 Registration of Pesticide Producing Establishments	
Section 8, 9, 12, 13 and 14 Compliance Assurance and Enforcement	
Section 11 and 23(a)(2) Certification of Restricted Use Pesticide Applicators
The following is a key provision of the FFDCA for which EPA has direct implementation
responsibilities:
EPA Direct Implementation Responsibility
Section 408 Tolerances and Exemptions for Pesticide Chemical Residues
Implementation of the Federal Insecticide, Fungicide, and Rodenticide Act
Pesticide Registration and Use Under FIFRA Section 3, EPA has the responsibility to register
pesticide products before they can be imported, distributed, or sold in the United States. EPA follows a
scientific, legal, and administrative procedure when registering pesticides. Data provided by the
registrant must include the ingredients, the particular site or crop where it is to be used, the amount,
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frequency, and time of use, and storage and disposal practices. A variety of potential human health and
environment effects associated with the product are evaluated. Once the pesticide is registered, FIFRA
also imposes reporting and recordkeeping requirements.
Registration of Pesticide Producing Establishments Any establishment that produces a pesticide
or pesticide active ingredient must be registered with EPA under FIFRA Section 7, and must record
and report annual production to EPA.
Compliance Assurance and Enforcement Under FIFRA Sections 8 and 9, EPA is responsible for
conducting inspections at producing and retail establishments, and any other establishment that
distributes pesticides, to ensure proper registration, labeling, formulation, reporting, and
recordkeeping, and for taking appropriate enforcement action under FIFRA Sections 12, 13 and 14.
EPA is responsible for enforcing when pesticides are not used in accordance with their labels. If states
have adopted adequate pesticide use laws and regulations, FIFRA Section 26 gives primary
enforcement responsibility for such use violations to states. In Indian country, EPA generally has
pesticide program implementation and enforcement responsibility and seeks tribal partnerships to
support such work.
Certify Applicators of Restricted Use Pesticides If a product is classified as a restricted use
pesticide (RUP) under FIFRA Section 11, applicators must be certified as competent to apply RUPs in
a manner that will not harm human health or the environment. EPA has developed a plan to certify
RUP applicators in Indian country12 and is responsible for assuring that RUP applicators in Indian
country are certified where no other EPA-approved certification mechanism exists.
Opportunities for Tribal Participation (FIFRA) EPA's direct implementation responsibilities
cannot be delegated to states or tribes. However, all states and some tribes regulate pesticides through
state or tribal laws issued under their own authorities. Under FIFRA Section 23, EPA is authorized to
enter into cooperative agreements with states and tribes to cooperate in the enforcement of FIFRA in
the following ways:
•	Cooperative Agreements EPA may enter into cooperative agreements with tribes to allow
properly trained employees to obtain and use a federal credential to conduct FIFRA inspections
on behalf of the Agency; inspection reports are sent to EPA and the Agency makes all
compliance determinations and initiates, if appropriate, any subsequent enforcement activity.
•	Training and Certification of RUP Applicators A tribe can certify RUP applicators under
an EPA-approved certification plan. As of February 2016, four tribes have received EPA
approval for plans for certification of applicators of RUPs. In addition, a tribe can enter into
agreements with states that are operating certification programs to utilize the state program for
certification of applicators who will apply RUPs in Indian country.
•	Pesticide Program Development and Implementation EPA provides wide-ranging support
for tribes in the form of technical assistance, education and outreach on the safe use of
12 See http://www.epa.gov/pesticide-applicator-ceitificatioii-iiidiaii-couiitrv/about-epa-plaii-certifv-applicators-iiidiaii-
country
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pesticides and pest-control alternatives. EPA-tribal cooperative agreements can support tribes'
development of their own pesticide programs and may provide for technical assistance,
education and outreach on the safe use of pesticides and pest-control alternatives in Indian
country.
Implementation of the Federal Food, Drug, and Cosmetic Act
Tolerances and Exemptions for Pesticide Chemical Residues FFDCA Section 408 authorizes
EPA to set tolerances, or maximum residue limits, for pesticide residues on foods. In the absence of a
tolerance for a pesticide residue, a food containing such a residue is subject to seizure by the United
States Food and Drug Administration or the United States Department of Agriculture. Once a tolerance
is established, the residue level in the tolerance is the trigger for enforcement actions. That is, if
residues are found above that level, the commodity will be subject to seizure. In setting tolerances,
EPA must make a finding that the tolerance is "safe." Safe is defined as meaning that there is a
"reasonable certainty that no harm will result from aggregate exposure to the pesticide residue." To
make the safety finding, EPA considers, among other things: the toxicity of the pesticide and its break-
down products, aggregate exposure to the pesticide in foods and from other sources of exposure, and
any special risks posed to infants and children. Some pesticides are exempt from the requirement to
have a tolerance. EPA may grant exemptions in cases where the pesticide residues do not pose a
dietary risk under reasonably foreseeable circumstances. These responsibilities cannot be delegated to
tribes.
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Pollution Prevention Act
The Pollution Prevention Act (PPA) requires EPA to establish a source reduction program, which,
among other things, collects and disseminates information and implements various activities. The PPA
defines "source reduction" to mean: (1) any practice which reduces the amount of hazardous substance,
pollutant, or contaminant entering any waste stream or otherwise released into the environment
(including fugitive emissions) prior to recycling, treatment or disposal; and (2) any practice which
reduces the hazard to human health and the environment associated with the release of such
substances, pollutants or contaminants.
The following are a few of the key provisions of the PPA for which EPA has direct implementation
responsibilities:
	EPA Direct Implementation Responsibility
Section 6604 EPA Activities	
Section 6606 Source Reduction Clearinghouse	
Section 6607 Source Reduction and Recycling Data Collection
EPA Activities EPA implements a strategy to promote source reduction and established standard
methods of measurement of source reduction. EPA continues to coordinate source reduction activities;
develop improved methods of coordinating, streamlining and assuring public access to data; facilitate
the adoption of source reduction techniques by business; and establish training programs.
Source Reduction Clearinghouse Under PPA Section 6606, EPA is required to establish a Source
Reduction Clearinghouse to compile information, including a computer database which contains
information on management, technical, and operating approaches to source reduction. The
clearinghouse serves as a center for source reduction technology transfer; supports outreach and
education programs to further the adoption of source reduction technologies; collects and compiles
information reported by entities receiving grants under Section 6605 on the operation and success of
source reduction programs; and ensures such information is made available to the public.
Opportunities for Tribal Participation Under PPA Section 6605, pollution prevention grants are
available to tribes to support projects under the sector focus areas in EPA's Pollution Prevention
Strategic Plan. Grant opportunities encompass efforts targeting specific pollution prevention
opportunities; efforts targeting specific pollution prevention opportunities for small business,
communities, and tribes that can be scaled up to statewide, regional or national levels; and support
programs or projects that promote product redesign, green product standards, environmentally
preferable purchasing, or green chemistry with potential to influence regional or national markets.
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Resource Conservation and Recovery Act
The Resource Conservation and Recovery Act (RCRA) is designed to ensure the safe management and
cleanup of solid and hazardous waste, and includes programs that encourage source reduction and
beneficial reuse. Subtitle C of RCRA focuses on hazardous solid waste and Subtitle D of RCRA is
dedicated to non-hazardous solid waste requirements. Solid waste includes solids, liquids and gases,
and must be discarded to be considered waste. Subtitle I of RCRA is dedicated to regulating
underground storage tanks (USTs).
The following are a few of the key provisions of RCRA for which EPA has direct implementation
responsibilities:
	EPA Direct Implementation Responsibility
Subtitle C Reporting and Notification	
Subtitle C Permitting	
Subtitle C Compliance Assurance and Enforcement	
Subtitle D Site-specific Rules (some facilities)	
Subtitle D Compliance Assurance and Enforcement	
Subtitle I Compliance Assurance and Enforcement	
Subtitle I Corrective Action and Oversight	
Implementation of the Resource Conservation and Recovery Act
Subtitle C - Hazardous Waste
Reporting and Notification Under RCRA Sections 3002-3003, EPA is responsible for maintaining
a database of hazardous waste management facilities. Facilities that manage (ex: generate, store,
transport) hazardous wastes must notify EPA and receive a RCRA identification number. Under EPA's
Subtitle C regulations, a waste is regulated as hazardous if it possesses at least one of four
characteristics (ignitability, corrosivity, reactivity, or toxicity), or EPA has included it in its list of
hazardous wastes.
Permitting Under RCRA Section 3005, facilities that treat, store, or dispose of hazardous waste are
responsible for obtaining operating permits which specify requirements for, among other things,
operating conditions, closure, post-closure, financial responsibility, and necessary corrective action.
EPA issues these permits in Indian country.
Compliance Assurance and Enforcement Under RCRA Section 3007, EPA is authorized to
conduct inspections, obtain samples, and review records to verify that generators and other waste
management facilities are meeting RCRA requirements. EPA can offer assistance to help facilities
understand the regulatory obligations and maintain compliance. Under RCRA Section 3008, EPA is
authorized to take appropriate civil and criminal enforcement action to address noncompliance with
RCRA requirements. EPA can also issue orders requiring corrective action at non-permitted "interim
status" treatment, storage or disposal facilities. Under Section 3013, EPA can require monitoring,
testing, analysis, and reporting in situations that may present a substantial hazard to human health or
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the environment. EPA can also take action under RCRA Section 7003 to respond to situations that may
present an imminent and substantial endangerment.
Subtitle D - Solid Waste
Permitting Under RCRA Subtitle D, state and local governments have primary planning, regulating,
and implementing responsibilities for the management of nonhazardous solid waste. EPA does not
issue permits for Subtitle D facilities. However, EPA does set national minimum facility standards.
These regulations apply to facilities directly, including to facilities in Indian country. By their terms,
EPA's regulations for certain types of facilities (those taking conditionally-exempt small quantity
generator waste and municipal solid waste landfills) can apply more flexibly where the facility is
subject to an EPA-approved state permit program. EPA lacks statutory authority to approve a tribal
permit program as it does state programs. Instead, EPA can issue site-specific rules that allow owners
or operators of solid waste facilities located in Indian country to achieve similar flexibility.13
Compliance Assurance and Enforcement RCRA Section 4005(c)(2) allows EPA to use inspection
and administrative enforcement authorities under RCRA Sections 3007 and 3008 to address
uncontrolled waste dumps in Indian country, in limited circumstances. EPA can offer assistance to help
facilities understand their regulatory obligations and maintain compliance. EPA can also take action
under RCRA Section 7003 to respond to situations that may present an imminent and substantial
endangerment.
Subtitle I - Underground Storage Tanks
Compliance Assurance and Enforcement Under RCRA Subtitle I, EPA implements and enforces
requirements concerning USTs located, among other places, in Indian country. Under Section 1523 of
the Energy Policy Act, EPA is required to inspect each UST in Indian country at least once every three
years. EPA provides compliance assistance to owners and operators of USTs to increase their
understanding of applicable requirements and maintain compliance. When necessary and appropriate
EPA takes civil and criminal enforcement actions to address noncompliance.
Corrective Action (Cleanup) and Oversight Under RCRA Subtitle I, EPA oversees the cleanup of
UST petroleum contaminated sites by owners and operators in Indian country. EPA also cleans up sites
(i.e., performs "corrective action") when the UST owner or operator is unknown, unwilling, or unable
to perform corrective action or when prompt action is necessary to protect human health and the
environment. "Corrective action" refers to the cleanup process or program and all activities related to
the investigation, characterization, and cleanup/remediation, monitoring and closure of a release.
Subtitles C, D, and I - Opportunities for Tribal Participation While other federal environmental
statutes may provide treatment in a similar manner as a state (TAS) authority for Indian tribes to
implement programs, RCRA lacks such a provision. Therefore, EPA implements RCRA Subtitle C, D
and I programs in Indian country. However, under all three subtitles tribes are able to enter into
13 See Site-Specific Flexibility Requests for Municipal Solid Waste Landfills in Indian Country, Draft Guidance, available at
http://www3.epa. gov/epawasle/nonhaz/municipal/landfill/indiari/siteflex.pdf
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cooperative agreements with EPA to help implement these programs. EPA may enter into written
agreements with tribes to allow properly trained employees to obtain and use a federal credential to
conduct RCRA C and I inspections on behalf of the Agency; inspection reports are sent to EPA and the
Agency makes all compliance determinations and initiates, if appropriate, any subsequent enforcement
activity.
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Safe Drinking Water Act
The Safe Drinking Water Act (SDWA) protects public health by regulating the nation's public
drinking water supply and drinking water sources. Under the SDWA, EPA sets nationally-applicable
federal standards for drinking water quality, oversees public water system (PWS)14 drinking water
providers, and works collaboratively with tribes, states, and PWS providers to ensure drinking water is
safe and surface and underground sources of drinking water are protected.
The following are the key provisions of SDWA for which EPA has direct implementation
responsibilities:
	EPA Direct Implementation Responsibility
Section 1401 Public Water System Supervision Program
Section 1421 Underground Injection Control Program	
Implementation of the Safe Drinking Water Act
Public Water System Supervision Under SDWA Section 1412, EPA promulgates the National
Primary Drinking Water Regulations (NPDWRs) that are the basis of the Public Water System
Supervision (PWSS) program. NPDWRs are legally enforceable standards that apply to all public
drinking water systems throughout the country (regardless of ownership, agency with enforcement
authority, or geographical location), and protect public health by limiting the levels of contaminants in
drinking water. Under SDWA Section 1413, EPA has primary enforcement authority (known as
primacy) to directly implement the PWSS program in Indian country in the absence of an EPA-
approved program. As the primacy agency, EPA acts to:
•	Provide Training and Technical Assistance for Capacity Development of Water Systems
EPA provides compliance guidance and other tools to help the owners and operators of PWSs
meet environmental regulatory requirements. In addition, EPA implements the National Tribal
Drinking Water Operator Certification program to train and certify staff operating tribally
owned and operated PWSs. In conjunction with the Tribal PWSS program, EPA implements
the Drinking Water Infrastructure Grant Tribal Set-Aside Program (DWIG-TSA), which
provides financial support for infrastructure projects to help PWSs comply with the NPDWRs.
•	Compliance Assurance and Enforcement EPA provides compliance assistance to help
tribes meet the federal standards, including conducting on-site visits by qualified experts,
maintaining drinking water compliance data (such as water samples collected by PWSs), and
analyzing the data to determine tribal PWS compliance.15 As the primary enforcement authority
14	Public water systems are defined as public systems that regularly serve (at least 60 days a year) at least 15 service
connections or 25 persons. The SDWA does not regulate private wells that serve fewer than 25 individuals.
15	EPA stores drinking water compliance information in the Safe Drinking Water Information System (SDWIS) for the
approximately 1,000 PWSs that EPA oversees on Indian lands.
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for most public water systems in Indian country, EPA is responsible for taking enforcement
actions against those systems that do not comply with federal drinking water regulations.
•	Conduct Sanitary Surveys and Source Water Assessments for Public Water Systems
Sanitary surveys are required on-site reviews of a PWS's source, facilities, equipment,
operation and maintenance, and administration. Sanitary surveys are compliance assistance
visits that can reveal deficiencies and technical needs, assess a system's capacity and structural
integrity, and identify actions that must be taken to lower the risk of contamination and
waterborne disease. EPA regulations require sanitary surveys for all PWSs. Where EPA is the
primary enforcement authority, the Agency is responsible for performing sanitary surveys for
PWSs. Source water assessments are another integral part in ensuring that a water system is
providing safe drinking water to the community. These assessments analyze existing and
potential threats to the quality of PWS drinking water sources, and identify protective measures
to address them. EPA Regions may perform a source water assessment or help establish Source
Water Assessment Programs (SWAPs) for a tribal PWS.
Underground Injection Control Program SDWA Section 1423 gives EPA primacy and
responsibility to implement the Underground Injection Control (UIC) provisions of the SDWA in
Indian country in the absence of an EPA-approved program. Underground injection is the technology
of placing fluids underground through wells or similar conveyance systems for storage or disposal. The
UIC program regulates the construction, operation, permitting and closure of injection wells. It is
designed to ensure that underground injection wells do not endanger any current and future
underground sources of drinking water (USDWs). The program does this by requiring all injection
wells to be either authorized by permit or rule, setting requirements for injection wells, and enforcing
program requirements.
As the agency with primacy for the UIC program in most of Indian country, EPA acts to:
•	Implement Permitting Programs for Underground Injection Control Wells EPA reviews
and issues injection permits, issues rules and guidance on well construction and operation,
inspects for compliance with permit conditions on-site at UIC facilities, and provides technical
assistance to injection well operators. EPA maintains compliance data systems and inventories
of wells.
•	Compliance Assurance and Enforcement EPA is generally responsible for reviewing
reports and initiating enforcement/compliance assistance activities. EPA's compliance
assurance actions include inspecting and testing injection wells, notifying injection well
operators of violations, issuing administrative orders, and assisting the Department of Justice in
civil and criminal enforcement activities.
Opportunities for Tribal Participation Tribes may apply to EPA for TAS approval to administer
the following programs of the SDWA:
•	Public Water Supervision System Under SDWA Section 1451 and applicable regulations,
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an eligible tribe may seek TAS for primary enforcement authority for the PWSS program. As
of February 2016, the only tribe with primacy for the drinking water PWSS program is the
Navajo Nation. Where a tribe has primacy, EPA is still responsible for developing national
drinking water regulations, overseeing the approved tribal primacy program, providing
enforcement oversight, and implementing programs for tribes without primacy. EPA provides
financial assistance to tribes with primacy to carry out their PWSS program. EPA also allocates
PWSS funding among EPA regions for direct implementation activities based on SDWA
criteria, with a focus on addressing the highest risks in order to achieve the maximum level of
public health protection. EPA can also use Direct Implementation Tribal Cooperative
Agreements (DITCAs) for tribal PWSS programs to build capacity. Either through a DITCA or
other written agreement, EPA may allow properly trained employees to obtain and use a federal
credential to conduct SDWA inspections on behalf of the Agency; inspection reports are sent to
EPA, and the Agency makes all compliance determinations and initiates, if appropriate, any
subsequent enforcement activity.
• Underground Injection Control Program Under SDWA Sections 1451, 1422(e), and 1425,
and applicable regulations, an eligible tribe may seek TAS approval for primary enforcement
authority for the UIC permitting program. As of February 2016, two tribes have primacy for the
UIC program: the Navajo Nation and the Assiniboine and Sioux Tribes of the Fort Peck Indian
Reservation. EPA provides financial assistance to tribes with primacy to carry out their UIC
Program. EPA also allocates UIC funding among EPA regions for direct implementation
activities based on SDWA criteria, with a focus on addressing the highest risks in order to
achieve the maximum level of public health protection. EPA can also use DITCAs for tribal
UIC programs to build capacity. Either through a DITCA or other written agreement, EPA may
allow properly trained employees to obtain and use a federal credential to conduct SDWA
inspections on behalf of the Agency; inspection reports are sent to EPA, and the Agency makes
all compliance determinations and initiates, if appropriate, any subsequent enforcement
activity.
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Toxic Substances Control Act
The Toxic Substances Control Act (TSCA) provides EPA with authority to collect or require the
development of data to assess the hazards, exposures, and risks of new and existing chemical
substances or mixtures and, where necessary, to regulate the manufacture, importation, processing,
distribution in commerce, use, or disposal of chemical substances and mixtures that present
unreasonable risks to human health or the environment.
TSCA provides EPA with authority to require reporting, record-keeping and test requirements, and
restrictions relating to chemical substances and/or mixtures. TSCA addresses the production,
importation, use and disposal of specific chemicals including polychlorinated biphenyls (PCBs),
asbestos, radon and lead-based paint. Certain substances are generally excluded from TSCA, including,
among others, food, drugs, cosmetics and pesticides.
The following are a few of the key provisions of TSCA for which EPA has direct implementation
responsibilities:
	EPA Direct Implementation Responsibility	
Section 4 Testing	
Section 5 Reviewing New Chemicals and New Uses	
Section 6(a) Regulation of Hazardous Chemical Substances and Mixtures
Section 6(e) Polychlorinated Biphenyls (PCBs)	
Section 8 Recordkeeping and Reporting	
Section 203 Asbestos Hazardous Emergency Response Act (AHERA)
Section 303-305(a) Indoor Radon Abatement	
Section 402 Lead Exposure Reduction	
Implementation of the Toxic Substances Control Act
Testing TSCA Section 4 gives EPA authority to require manufacturers, importers, and processors of
chemicals to test them for health and environmental effects. EPA uses this authority when it can make
certain findings about the substance involved, including: (1) there is insufficient data available to
determine the effects of the substance on health and/or the environment; (2) testing is necessary to
provide such data; and (3) (a) the chemical may present an unreasonable risk of injury to health or the
environment and/or (b) the chemical is or will be produced in substantial quantities and it enters or
may be anticipated to enter the environment in substantial quantities, or there may be significant or
substantial human exposure to the substance.
Reviewing New Chemicals and New Uses In order to address potential health and environmental
considerations before a chemical is commercially manufactured, TSCA Section 5 requires
manufacturers (including importers) to give EPA a 90-day advance notice of their intent to
manufacture or import a new chemical. Chemicals not listed on the TSCA Inventory of Chemical
Substances are considered "new" for purposes of this premanufacture (PMN) notice requirement. In
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addition to reviewing new chemicals, EPA may designate a specific use of an existing chemical as a
"significant new use" through a significant new use rule (SNUR). If EPA determines that the PMN or
SNUR notice contains insufficient information to evaluate potential risk, the Agency may prohibit the
manufacture or importation of the chemical until adequate data are developed. If EPA determines that
the notice contains sufficient data and that the new chemical or use presents or will present an
unreasonable risk of injury to health or the environment, the Agency can take a variety of actions to
protect against that risk, including prohibiting the manufacturing, processing, or distribution in
commerce of that chemical.
Regulation of Hazardous Chemical Substances and Mixtures Under TSCA Section 6(a), EPA has
authority to regulate the manufacture, distribution, use, and/or disposal of a chemical substance if there
is a reasonable basis to conclude that regulation will prevent unreasonable risk of injury to health or
environment. Section 6(a) includes a menu of possible regulatory options, ranging from a total ban of a
chemical substance to requiring notices and warnings. TSCA requires that the Administrator find that a
substance presents or will present an unreasonable risk and that the Agency impose the least
burdensome regulatory measure that provides adequate protection.
Polychlorinated Biphenyls Under TSCA Section 6(e), EPA has a responsibility to promulgate rules
(see 40 CFR Part 761) for the marking, storage, use, and disposal of PCBs. No person may
manufacture, process, or distribute in commerce, or use any PCBs in any manner other than a totally
enclosed manner, except as provided for in TSCA Section 6(e)(2)(B). EPA also has a responsibility to
issue regulations for the proper disposal of PCB material and to promulgate regulations regarding the
remediation of PCBs that are improperly disposed of or spilled. EPA may conduct inspections and take
enforcement to ensure compliance with regulations governing bans on the manufacture, processing,
and distribution in commerce of specified PCBs, as well as requirements for proper use, storage,
cleanup, disposal, recordkeeping, and labeling of PCBs.
Recordkeeping and Reporting Under TSCA Section 8(b), EPA has the authority to compile an
initial inventory of existing chemical substances and to supplement the inventory with additional
information. TSCA Sections 8(a),(c)-(e) provide various means to EPA to acquire information on the
manufacture, use, release, or distribution of chemical substances and information concerning
substantial risks to health or the environment associated with such chemicals.
Asbestos Hazardous Emergency Response Act TSCA Title II: Asbestos Hazard Emergency
Response Act (AHERA) requires EPA to promulgate regulations requiring local educational agencies
to inspect their school buildings for asbestos-containing building materials, prepare asbestos
management plans and perform asbestos response actions to prevent or reduce asbestos hazards.
Under TSCA Section 203, EPA is responsible for issuing regulations requiring that: (1) schools are
inspected for asbestos-containing building materials; (2) schools have developed asbestos management
plans; and (3) appropriate asbestos response actions are carried out in K-12 schools. EPA oversees
compliance with AHERA via compliance assurance and appropriate enforcement action.
Under EPA's asbestos in schools regulations, 40 CFR Part 763, EPA approves programs providing
accreditation and training for all person who inspect and who design and conduct response actions
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regarding asbestos-containing building materials in schools. Training and accreditation can be obtained
through multiple sources: EPA-approved tribal accreditation program, EPA-approved state
accreditation program, and EPA-approved accreditation program administered by private companies.
EPA conducts inspections and enforces AHERA and its implementing regulations.
Indoor Radon Abatement Under TSCA Sections 303, 304, and 305(a), EPA is directed to publish
an updated version of its document A Citizen's Guide to Radon. EPA is also responsible for developing
model construction standards and techniques for controlling radon levels in new buildings. EPA
develops and implements activities to assist state, tribal and local radon programs, including
establishing a radon information clearing house, designing and implementing training seminars for
state, tribal and local officials, and developing and demonstrating radon measurement and mitigation
techniques.
Lead Exposure Reduction Under TSCA Title IV, EPA has multiple direct implementation
responsibilities in Indian country associated with the dangers posed by lead-based paint. Under TSCA
Sections 402(a)-(c), EPA has the responsibility to issue and enforce regulations to ensure that
individuals and firms conducting lead-based paint activities (inspections, risk assessments and
abatement), as well as renovation and remodeling, in Indian country have the required training and
certification and follow work practice standards for performing such activities. Under TSCA Section
406(b), EPA has the responsibility to issue and enforce regulations to ensure that compensated
renovators distribute information on lead-based paint and lead-based paint hazards to owners and
occupants of most pre-1978 residential housing before beginning renovations. In addition, under
Section 1018 of the Residential Lead-Based Paint Hazard Reduction Act of 1992, (42 U.S.C. Section
4851), EPA and HUD issue regulations requiring the disclosure of known information on lead-based
paint and/or lead-based paint hazards by persons selling or leasing housing constructed before 1978
and enforce this requirement under TSCA.
Opportunities for Tribal Participation Tribes, if authorized by EPA, may directly implement
TSCA Title II (Asbestos Hazardous Emergency Response) and TSCA Title IV (Lead Exposure
Reduction). EPA may enter into a written agreement with tribes to allow properly trained employees to
obtain and use a federal credential to conduct inspections on behalf of the Agency; inspection reports
are sent to EPA and the Agency makes all compliance determinations and initiates, if appropriate, any
subsequent enforcement activity.
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Emergency Response
The Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), the
Emergency Planning and Community Right-to-Know Act (EPCRA), the Oil Pollution Act of 1990
(OPA), the Clean Water Act (CWA), and the Clean Air Act (CAA) each contain provisions designed
to prevent, prepare for and respond to releases of oil and hazardous substances. Under each statute,
EPA implements the emergency prevention, preparedness, and response activity. EPA works with
tribes to increase compliance at regulated facilities, improve local emergency response plans and
increase chemical and oil spill prevention awareness and preparedness for response.
The following are several of the key emergency response direct implementation responsibilities of
EPA under the various environmental statutes:
	EPA Direct Implementation Responsibility
CERCLA Emergency Response	
EPCRA Emergency Planning	
EPCRA Facility Reporting	
EPCRA Toxics Release Inventory	
OPA Area Contingency Planning	
CWA Compliance Assurance and Enforcement	
CWA Oil Spill Response	
CAA Risk Management Plan Oversight	
Implementation of the Comprehensive Environmental Response, Compensation, and Liability
Act
Emergency Response As stated in the CERCLA section above, EPA may coordinate an immediate
response to clean-up and/or contain hazardous substances releases. In most cases the tribe, county, or
state is the first responder. EPA may participate in the response if a state or tribe requests assistance,
although a request is not required to exercise this authority. EPA may take command of a response
should the responsible party, state or tribe lack the ability and resources to carry out the appropriate
response.
Implementation of the Emergency Planning and Community Right-to-Know Act
Emergency Planning Emergency Planning and Community Right-to-Know Act (EPCRA) Sections
301-303 require local governments to prepare chemical emergency response plans and to review plans
at least annually. Tribes are the implementing authority in Indian country. Tribes can establish Tribal
Emergency Response Commissions (TERCS) and appoint Tribal Emergency Planning Committees
(TEPCs), allowing for the development of an emergency planning and implementation structure
attuned to community needs. A tribe may choose to sign a cooperative agreement authorizing the state
to conduct emergency planning in Indian country. If a TERC is not established and a tribe does not
enter into a cooperative agreement with the state, the tribal executive branch operates as the TERC and
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is responsible for the planning committee's function.
Facility Reporting EPA may take an enforcement action against a facility for failure to notify or
submit reports required under EPCRA. EPCRA Section 312 requires certain facilities to report certain
chemicals held on-site, via either a Tier I or Tier II inventory from, and notify TERCs and the local fire
departments of chemical releases (40 CFR Parts 355, 370). Tier I inventory forms provide local
officials and the public with information on the general hazard types and locations of hazardous
chemicals present at regulated facility during the previous calendar year. Tier II inventory forms
contain similar information as Tier I, but also provide specific information about each listed hazardous
chemical.
Toxics Release Inventory EPA conducts inspections and issues enforcement actions to ensure
compliance with EPCRA Section 313 (the Toxics Release Inventory (TRI) program). The TRI
program tracks the management and release of certain toxic chemicals that may pose a threat to human
health and the environment. Section 313 requires an owner or operator of a facility to submit a TRI
report if a business meets three criteria in a calendar year: (1) the facility is in a covered industry; (2)
the facility has 10 or more full-time employees; and (3) the facility has manufactured, processed, or
otherwise used a toxic chemical in excess of the threshold quantity. Such a facility must report to EPA
and the appropriate state or tribal official on environmental releases to air, land, and water, off-site
transfers, and other information, including certain information required by the Pollution Prevention
Act. Such reports must be filed by July 1st for the preceding calendar year.
Implementation of the Oil Pollution Act of 1990
Area Contingency Planning Under the OPA and the National Contingency Plan, EPA is the
designated lead agency for environmental emergencies for inland areas. EPA also has a role in the
coastal zone, particularly regarding oil spill counter-measure concurrence and approvals. In planning
for environmental emergencies, EPA will chair an Area Committee (AC), comprised of members from
qualified personnel of federal, state, tribal, and local agencies.
Implementation of the Clean Water Act
Compliance Assurance and Enforcement Under CWA Section 311, EPA is responsible for
verifying that applicable oil storage facilities prepare a Spill Prevention, Control and Countermeasures
(SPCC) plan and, if required, a Facility Response Plan (FRP). EPA has the authority to inspect SPCC
and FRP facilities, verify that the SPCC plans are adequate and contain the necessary components, and
has the responsibility to verify that FRPs are adequate and contain the necessary components,
including consistency with relevant Area Contingency Plans (ACPs). EPA conducts inspections and
may take appropriate civil and criminal enforcement action. EPA may enter into written agreements
with tribes to allow properly trained employees to obtain and use a federal credential to conduct
inspections on behalf of the Agency; inspection reports are sent to EPA and the Agency makes all
compliance determinations and initiates, if appropriate, any subsequent enforcement activity.
Oil Spill Response Under CWA Section 311, EPA or the Coast Guard is required to ensure effective
and immediate removal of a discharge, and mitigation or prevention of a substantial threat of a
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discharge, of oil or a hazardous substance into navigable waters and adjoining shorelines, and other
jurisdictional waters under the CWA. On-Scene Coordinators are the federal officials responsible for
monitoring, assessing and/or directing responses for all oil spills and hazardous substance releases
reported to the federal government in Indian country.
Implementation of the Clean Air Act
Compliance Assurance and Enforcement for Risk Management Plans Under CAA Section
112(r), EPA is responsible for verifying that facilities with more than a threshold quantity of any
covered regulated substance have implemented a risk management program and submitted a risk
management plan (RMP) to EPA. EPA has the responsibility to verify that RMPs contain the
necessary components. To determine compliance, EPA conducts audits of RMPs and performs
inspections of regulated facilities.
Opportunities for Tribal Participation in Emergency Response Tribes can take on key roles in
several aspects of emergency planning and emergency response. Tribes may be the first responders for
emergency response actions under CERCLA. Tribes also establish TERCs and TEPCs under EPCRA.
In addition to these roles described above, tribes may participate in the following actions:
•	Clean Water Act, as amended by the Oil Pollution Act of 1990 Tribes may be given co-
chair roles and voluntarily participate in an Area Committee and/or Regional Response Teams.
Tribal environmental staff may receive federal accreditations to perform inspections, and if
violations are found may forward information to the EPA to take enforcement action. In case of
an oil discharge (spill) or chemical release, trained tribal members may participate in spill
management as part of the incident's Unified Command.
•	Clean Air Act A tribe may be delegated authority to oversee Section 112(r) requirements,
provided they meet the requirements of CAA Section 112(1) and 40 CFR §§ 63.91 and 63.95.
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