7*
5 U.S. ENVIRONMENTAL PROTECTION AGENCY
N ^ OFFICE OF INSPECTOR GENERAL
Status of Corrective Actions in
Response to 2008 Report,
"Framework for Developing
Tribal Capacity Needed in Indian
General Assistance Program"
Report No. 13-P-0057
November 27, 2012

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Report Contributors:
Patrick Gilbride
Erin Barnes-Weaver
Todd Goldman
Luke Stolz
Abbreviations
AIEO
American Indian Environmental Office
EPA
U.S. Environmental Protection Agency
FY
Fiscal Year
GAP
Indian General Assistance Program
MATS
Management Audit Tracking System
OIG
Office of Inspector General
PO
Project Officer
PPG
Performance Partnership Grant
TEA
Tribal Environmental Agreement
Cover photo: Image from EPA's AIEO tribal portal website.
Hotline
To report fraud, waste, or abuse, contact us through one of the following methods:
e-mail:	OIG Hotline@epa.gov	write: EPA Inspector General Hotline
phone:	1-888-546-8740	1200 Pennsylvania Avenue, NW
fax:	202-566-2599	Mailcode 2431T
online:	http://www.epa.gov/oiq/hotline.htm	Washington, DC 20460

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U.S. Environmental Protection Agency
Office of Inspector General
At a Glance
13-P-0057
November 27, 2012
Why We Did This Review
The Indian Environmental
General Assistance Program
Act of 1992 provides the U.S.
Environmental Protection
Agency (EPA) the authority to
award grants to tribal
governments to build capacity
to administer environmental
programs. The Act authorized
EPA to provide General
Assistance Program (GAP)
grants to federally recognized
tribes and tribal consortia. We
reviewed actions taken by EPA
to address a 2008 report by our
office on tribal capacity. The
2008 report contained three
recommendations to EPA on
developing a framework for
achieving capacity; developing
environmental plans; and
revising the grant funding
formula to better reflect prior
progress, needs, and long-term
goals.
This report addresses the
following EPA Goal or
Cross-Cutting Strategy:
 Strengthening state,
tribal, and international
partnerships
Status of Corrective Actions in Response to 2008
Report, "Framework for Developing Tribal Capacity
Needed in Indian General Assistance Program"
What We Found
EPA has taken a number of actions to address findings and
recommendations from the Office of Inspector General's 2008 report,
including developing the GAP Online database, drafting a GAP guidebook,
and revising GAP guidance. EPA is also engaging or will engage in tribal
consultation for both the guidebook and guidance. EPA said it intends to
finalize its revised GAP guidance, including the guidebook, by May 2013.
EPA has focused on ensuring that GAP work plans include intermediate and
long-term outcomes/goals. EPA said it has made an incremental shift in the
way it distributes GAP funding and said it will make additional changes
based on internal conversations and information in GAP Online.
Although EPA certified all actions as completed in its Management Audit
Tracking System, corrective actions are still in progress and we could not
test their effectiveness. EPA should have an implementation period
following issuance of the final GAP guidance and guidebook before we
evaluate how well tribes and EPA regions operate under the new guidance.
Recommendations and Planned Agency Corrective Actions
We recommend that the Assistant Administrator for International and Tribal
Affairs complete implementation of corrective actions initiated in response to
the 2008 report and denote May 2013 as the date to implement actions to
address the 2008 report recommendations. The Agency accepted this
recommendation and plans to complete corrective actions by May 2013.
Noteworthy Achievements
Since its launch in 2007, GAP Online has provided grantees and EPA
project officers with a centralized tool for creating work plans and reporting
progress. EPA also provided GAP Online training to each region.
For further information, contact
our Office of Congressional and
Public Affairs at (202) 566-2391.
The full report is at:
www.epa.qov/oiq/reports/2013/
20121127-13-P-0057.pdf

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<	5	UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
^	/	WASHINGTON, D.C. 20460
"^L PRO^
THE INSPECTOR GENERAL
November 27, 2012
MEMORANDUM
SUBJECT: Status of Corrective Actions in Response to 2008 Report,
"Framework for Developing Tribal Capacity Needed in Indian
General Assistance Program"
Report No. 13-P-0057
FROM: Arthur A. Elkins, Jr. /(jM^i ' (/ <
TO:	Michael Stahl
Deputy Assistant Administrator for International and Tribal Affairs
This is our report on the subject review conducted by the Office of Inspector General (OIG) of
the U.S. Environmental Protection Agency (EPA). This report contains findings that describe the
problems the OIG has identified and corrective actions the OIG recommends. This report
represents the opinion of the OIG and does not necessarily represent the final EPA position.
Final determinations on matters in this report will be made by EPA managers in accordance with
established audit resolution procedures.
Action Required
You are required to provide a written response to this report within 60 calendar days. You should
include planned corrective actions and completion dates for all unresolved recommendations.
Your response will be posted on the OIG's public website, along with our memorandum
commenting on your response. Your response should be provided as an Adobe PDF file that
complies with the accessibility requirements of Section 508 of the Rehabilitation Act of 1973, as
amended. The final response should not contain data that you do not want to be released to the
public; if your response contains such data, you should identify the data for redaction or removal
along with corresponding justification. We have no objections to the further release of this report
to the public. We will post this report to our website at http://www.epa.gov/oig.
If you or your staff have any questions regarding this report, please contact Melissa Heist,
Assistant Inspector General for Audit, at (202) 566-0899 or heist.melissa@epa.gov; or Patrick
Gilbride, Director for Risk and Program Performance, at (303) 312-6969 or
gilbride.patrick@epa.gov.

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Status of Corrective Actions in Response to 2008 Report,	13-P-0057
"Framework for Developing Tribal Capacity Needed in
Indian General Assistance Program"
		Table of 	
Purpose		1
Background		1
Noteworthy Achievements		3
Scope and Methodology		3
Results of Review		4
Status of Actions to Address Recommendation 2-1		4
Status of Actions to Address Recommendation 2-2		5
Status of Actions to Address Recommendation 3-1		7
Effectiveness of Corrective Actions		9
Recommendation		9
Agency Comments and OIG Evaluation		10
Status of Recommendations and Potential Monetary Benefits		11
Appendices
A Agency's Response to Draft Report	 12
B Distribution	 14

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Purpose
On February 19, 2008, the U.S. Environmental Protection Agency (EPA)
Office of Inspector General (OIG) issued Report No. 08-P-0083, Framework for
Developing Tribal Capacity Needed in the Indian General Assistance Program.
The report included three recommendations to EPA related to the Indian General
Assistance Program (GAP):
2-1 Require American Indian Environmental Office (AIEO) to develop and
implement an overall framework for achieving capacity, including valid
performance measures for each type of tribal entity, and provide
assistance to the regions for incorporating the framework into the GAP
work plans.
2-2	Require regions to:
a.	Negotiate with tribes to develop environmental plans that reflect
intermediate and long-term goals,
b.	Link those plans to annual GAP work plans, and
c.	Measure tribal progress in meeting plans and goals.
3-1	Revise how GAP funding is distributed to tribes to place more emphasis
on tribes' prior progress, environmental capacity needs, and long-term
goals.
On September 30, 2011, EPA's Office of International and Tribal Affairs, which
houses AIEO, certified in EPA's Management Audit Tracking System (MATS) that
it completed all corrective actions resulting from the 2008 report. This review
follows up on the 2008 report and EPA's corrective actions. The objectives of our
follow-up audit were to determine what corrective actions EPA has implemented to
address the findings from the prior audit report, and whether the corrective actions
were effective in addressing the findings from the previous report.
Background
Indian Environmental General Assistance Program Act
The Indian Environmental General Assistance Program Act of 1992 provides
EPA the authority to award grants to Indian tribal governments to build capacity
to administer environmental regulatory programs. The Act also provides for
technical assistance from EPA in developing multimedia programs to address
environmental issues on Indian lands. The purpose of GAP is to establish
administrative, legal, technical, and enforcement capability needed to implement
an environmental protection program. Since its inception 20 years ago, GAP has
become the largest single source of funding for tribal environmental programs at
over $640 million.
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Under the Act, EPA can award GAP grants to both Indian tribal governments and
inter-tribal consortia. The Act defines an Indian tribal government as any Indian
tribe, band, nation, or other organized group or community (including any Alaska
native village or regional or village corporation) recognized as eligible for the
special services provided by the United States to Indians. Some tribes have
jurisdiction over land and some do not. The Act defines inter-tribal consortia as a
partnership between two or more Indian tribal governments authorized by the
governing bodies of those tribes to apply for and receive GAP assistance.
EPA issued GAP guidelines in 1994 to provide national policy guidance and
criteria for awarding and administering GAP grants. EPA updated the guidelines
in 2000 and 2006 to address compliance with grant policies, accountability for
environmental results, and consistency with program requirements. The
guidelines state that the GAP work plan is the basis for the management and
evaluation of performance under grant agreements. EPA's guidelines include
standardized work plan formats that tribes use when they request GAP funding.
For purposes of tracking how grant recipients use GAP funds, recipients and EPA
regional offices categorize the range of activities into the following areas:
	Legal
	Enforcement and Compliance
	Technical and Non-Administrative
	Communications
	Administrative
	Solid and Hazardous Waste1
According to EPA, work plans should state the primary category addressed by
each work plan component and by each activity within each component.
EPA Policy on Consultation and Coordination with Indian Tribes
The White House issued Executive Order 13175, Consultation and Coordination
with Indian Tribal Governments, on November 6, 2000, to establish regular and
meaningful consultation and collaboration with tribal officials in the development
of federal policies that have tribal implications. On November 5, 2009, the
President directed each agency to submit a detailed plan of action to implement
the policies and directives of Executive Order 13175, as well as an annual
progress report on the status of each action included in its plan. EPA issued its
EPA Policy on Consultation and Coordination with Indian Tribes (consultation
policy) on May 4, 2011. EPA's policy outlines the key phases of the consultation
process and identifies general categories of EPA activities appropriate for
consultation, including policies and guidance documents. While the policy does
not set required comment periods for consultation, the policy does state that
1 GAP may not be used for the ongoing implementation of media-specific environmental programs once established
except as otherwise provided. Beyond capacity building, the only allowable implementation activities are for solid
and hazardous waste.
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consultation should occur early enough to allow tribes the opportunity to provide
meaningful input prior to EPA deciding on how to act on a matter under
consideration.
Noteworthy Achievements
Since its launch in 2007, GAP Online has provided grantees and project officers
(POs) with a centralized tool for creating work plans and reporting progress. The
Agency provides GAP Online to the tribes through AIEO, and AIEO provided
training to each region in 2007 and 2008. According to AIEO's senior advisor, the
system is a significant management tool that aids both EPA and tribes by
documenting program priorities and recipient performance. GAP Online facilitates
review of individual grant work plans and reporting at both the national and
regional level. It also facilitates the aggregation of information about funded
activities in active and expired grants to show overall program trends over time.
Before GAP Online, work plans varied from region to region. AIEO said that GAP
Online has allowed the work plan structure to evolve with some consistency.
Tribes are required to enter their final work plans into GAP Online unless the
grants are included in a Performance Partnership Grant (PPG), which is a single
grant combining funds from more than one environmental program. AIEO's senior
advisor said that approximately 20 percent of tribes receive GAP funding under a
PPG. A tribe can have multiple components in a work plan. GAP Online requires
each component to have both intermediate and long-term outcomes/goals, and
tribes are to enter an estimated cost for each component. Tribes are to report on
progress made in GAP Online, and regions are to monitor progress and either agree
or disagree with the progress reported. An AIEO tribal program operations staff
person said that GAP Online has established a clear chain of custody for tribes and
regions to manage work plans.
Scope and Methodology
We performed our review from March to September 2012 in accordance with
generally accepted government auditing standards. Those standards require that
we plan and perform our review to obtain sufficient, appropriate evidence to
provide a reasonable basis for any findings and conclusions based on our
objectives. We believe the evidence obtained provides a reasonable basis for the
observations presented in this report.
We reviewed relevant laws, regulations, policies, procedures, and guidance
governing tribal capacity, including the GAP Act of 1992, EPA's GAP Guidelines
from 2000 and 2006, and EPA's August 2011 consultation draft Guidebook for
Building Tribal Environmental Capacity. We also reviewed the May 2011 EPA
Policy on Consultation and Coordination with Indian Tribes and AIEO's timeline
on developing the GAP guidebook to comply with the policy.
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To understand the status of corrective actions taken to address recommendations
from the 2008 OIG report, we interviewed the 2008 report team and reviewed the
Agency's corrective action plan. We interviewed tribal staff in EPA Regions 5, 6,
9, and 10 on their process in reviewing GAP grants and work plans and measuring
tribal progress in light of recommendations from the 2008 report. We focused on
EPA Regions 5, 6, 9, and 10 because the 2008 report included them and because
they represent the four regions with the largest number of tribes. In addition, the
four regions received the largest amounts of funding for fiscal year (FY) 2012.
We also met with AIEO, who provided us a demonstration of GAP Online and
clarified the GAP funding formula. We also held several discussions with AIEO
and the four regions to ensure our understanding of the status of actions taken to
address recommendations from the 2008 report.
Results of Review
EPA has taken a number of actions to address recommendations from the 2008
report, as cited in the Agency's MATS certification memo, which include the
GAP Online database, GAP guidebook, and GAP guidance. In addition, EPA is
engaging in tribal consultation consistent with the consultation policy for both the
GAP guidebook and GAP guidance. While MATS lists all corrective actions as
completed as of September 30, 2011, the Deputy Assistant Administrator for
International and Tribal Affairs said EPA does not anticipate full implementation
of corrective actions until May 2013. The following sections summarize our
observations on corrective actions EPA has taken to date to address the
recommendations from the OIG's 2008 report.
Status of Actions to Address Recommendation 2-1
Require AIEO to develop and implement an overall framework for achieving
capacity, including valid performance measures for each type of tribal entity,
and provide assistance to the regions for incorporating the framework into
the GAP work plans.
According to AIEO staff, EPA's framework includes the GAP Online database
(described under "Noteworthy Achievements" above), GAP guidebook, and GAP
guidance. AIEO's audit liaison said that AIEO released a draft GAP guidebook to
the entire Agency in April 2011. In May 2011, the Agency issued its consultation
policy. EPA is currently in the process of consulting with tribes on the GAP
guidebook in accordance with the consultation policy. This process gives
tribes the opportunity to provide input on the draft guidebook. EPA released the
consultation draft GAP guidebook to tribes in August 2011, and the first round of
consultation ended in January 2012. The second round of consultation will run
from November 2012 through January 2013. The Agency plans to update the draft
guidebook at the close of the second round of consultation and issue the final
version by May 2013. AIEO's audit liaison provided the following timeline
showing past and planned key milestones for the draft guidebook:
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Table 1: Key milestones for draft guidebook
Key Milestones
Date
Tribal Environmental Management Guidebook released
04/2011
EPA Policy on Consultation and Coordination with Indian Tribes takes
effect; published in the Federal Register
05/04/11
Guidebook for Building Tribal Environmental Capacity circulated internally
to EPA regions and headquarters
06/29/11
Consultation and coordination notification letter sent to tribes
07/22/11
Consultation Draft Guidebook for Building Tribal Environmental Capacity
released to tribes; consultation and coordination process begins
08/01/11
First consultation and coordination extension letter sent to tribes
08/15/11
Consultation and coordination reminder letter with project summary sent to
tribes
10/28/11
Second consultation and coordination extension letter sent to tribes
11/28/11
Tribal comments due on guidebook
01/30/12
Broad-based Agency-wide revision to proposed guidebook (based on
comments received from tribes and tribal organizations)
02/01/12
Proposed final guidance and guidebook released for 90-day tribal review
and comment
11/02/12
EPA incorporates final round of tribal comments and finalizes guidance
and guidebook
01/11/13 
04/30/13
Guidance and Guidebook take effect (according to EPA, the Guidance will
be applied to the grant process for FY 2014)
05/01/13
Source: Guidebook timeline provided by AlEO's audit liaison to OIG on March 30, 2012. The
timeline was modified based on AlEO's response to our draft report.
The draft guidebook describes pathways for a core environmental protection
program and media-specific programs. The draft also identifies measurable
indicators to help track progress toward building tribal capacity. According to
AIEO staff, the updated guidebook will be an appendix to a revised GAP guidance
document. AIEO staff said the revised guidance will also undergo consultation in
accordance with the consultation policy.
Status of Actions to Address Recommendation 2-2
Require regions to: (a) negotiate with tribes to develop environmental
plans that reflect intermediate and long-term goals, (b) link those plans to
annual GAP work plans, and (c) measure tribal progress in meeting plans
and goals.
According to AIEO staff, the draft GAP guidebook and revised GAP guidance
will address the development and use of GAP work plans and include information
on EPA-tribal environmental plans. AlEO's Deputy Director said the Agency
believes that it has implemented this recommendation through oversight of the
GAP work plans. The Deputy Director added that they have focused on ensuring
that GAP work plans include intermediate and long-term outcomes/goals, and
they have also focused on developing and implementing GAP Online. GAP
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Online requires tribes to enter intermediate and long-term outcomes/goals and
allows both the tribes and regions to track progress. Tribal staff in the four regions
we spoke with said the majority of tribes report on GAP progress quarterly.
AIEO's Deputy Director said the use of EPA-tribal environmental plans is a long-
term goal and the Agency is moving in that direction. EPA included information
on the development of EPA-tribal environmental plans in the draft guidebook,
including suggested components for a comprehensive EPA-tribal environmental
plan. AIEO's Deputy Director and a senior advisor said that while EPA-tribal
environmental plans are not currently required, the updated guidebook will
establish the expectation that EPA-tribal environmental plans will be developed.
AIEO staff also said the updated guidebook would identify required components
of each agreement but allow for flexibility in the format of the plans to reflect the
variation that exists from one tribe to another.
Regional staff said that all tribes not funded under a PPG use GAP Online to enter
work plans for approval by the region. Each region provided additional
information on work plans and monitoring progress.
	Region 5 Indian Environmental Office staff said that tribes funded under a
PPG are still required to develop a GAP work plan in the same format as
those entered in GAP Online. The region has been using Tribal
Environmental Agreements (TEAs)2 since 1995. TEAs are not required to
get GAP funding, but 31 of 35 tribes agreed to TEAs in the last 3-year
period and the region anticipates that all tribes will agree to TEAs in the
next round. Regional staff said that TEAs link to the GAP work plans. The
most recent funding announcement recommended that tribes consider
including some activities outlined in their TEA when they develop their
GAP work plan. The region looks at whether tribes meet commitments
included in the TEAs as well as GAP work plans.
	Region 6 Office of Environmental Justice and Tribal Affairs staff said that
tribes funded under a PPG are still required to develop a GAP work plan in
the same format as those entered in GAP Online. The region is not requiring
tribes to develop EPA-tribal environmental plans, but does allow grant
distributions to tribes to help them develop environmental plans. Regional
staff also said they follow the process outlined in the draft guidebook to
work in partnership with tribes in developing EPA-tribal environmental
plans. The region anticipates using a similar template to Region 5's TEAs.
Regional staff said that POs review reporting by tribes to determine
progress made under GAP work plans. POs review what tribes report versus
work approved in the work plan.
2 According to Region 5, each TEA is comprised of an introduction describing the purpose and use of the document,
tribal background information, environmental program priorities of the tribe, and an outline of the federal
environmental programs that apply to the tribe.
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	Region 9 Tribal Program Office staff said that tribes funded under a PPG
are still required to develop a GAP work plan that meets requirements of
40 CFR Part 35.3 Regional staff said nearly all tribes funded under a PPG
are using the work plan template produced prior to GAP Online. The
region encourages tribes to create EPA-tribal environmental plans and
update them as needed. It also encourages tribes to include the
development of an EPA-tribal environmental plan in their GAP work
plans. In its most recent funding notification, the region listed creating an
EPA-tribal environmental plan as a one-time mandatory task. Regional
staff said that many tribes have environmental plans but many have not
been recently updated, and that tribes are hesitant to create new EPA-
tribal environmental plans until EPA finalizes the draft guidebook. The
region does provide an EPA-tribal environmental plan template to
interested tribes but does not require tribes to use this template. The region
encourages tribes with environmental plans to reference them when
creating GAP work plans. POs perform year-end evaluations to compare
negotiated GAP work plans to actual products in the final report. POs also
do 4-year summary reports when they close out GAP grants.
	Region 10 Tribal Trust and Assistance Unit staff said that tribes funded
under a PPG are still required to develop a GAP work plan. Regional staff
said POs assist tribes in developing new GAP work plans on an annual or
semiannual basis and negotiate these to reflect capacity building endeavors
with distinct outputs toward the tribe's intermediate and long-term
environmental goals. The region encourages tribes to discuss long-term
environmental goals, as well as how their GAP work plan components and
commitments will support them, in their project narratives. The region is
involved with tribes in environmental planning, but it does not require tribes
to develop an EPA-tribal environmental plan. Regional staff said it made
tribes aware that the draft guidebook discusses EPA-tribal environmental
plans. The region's funding announcements list developing an EPA-tribal
environmental plan as a one-time mandatory activity for all grantees.
Regional staff said that POs monitor, on a regular basis, each tribe's
progress in accomplishing GAP work plan commitments in producing
outputs and deliverables and in achieving anticipated outcomes.
Status of Actions to Address Recommendation 3-1
Revise how GAP funding is distributed to tribes in order to place more
emphasis on tribes' prior progress, environmental capacity needs, and
long-term goals.
In response to the 2008 report, EPA said it would develop adjustments to the
funding formula, allocations, distributions, and award decisions as appropriate
3 Title 40, "Protection of Environment," Part 35, "State and Local Assistance," covers environmental program grants
for tribes, including GAP.
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based on its revised GAP guidance. AIEO allocates the annual GAP funds to each
region that has federally recognized tribes. Each region then distributes its
allocation to eligible applicants.
AIEO's Deputy Director said AIEO made an incremental shift in how it
distributed GAP funds to the regions in FY 2012, explaining that they factored in
the number of actual GAP recipients rather than just the number of eligible
recipients. AIEO (a) multiplied the number of federally recognized tribes in each
region by $110,000 to determine the base level of funding for each region,
(b) subtracted the total amount of the base level of funding from the total FY 2012
appropriation for the GAP program, and (c) distributed the remainder to the
regions based on the number of GAP recipients in the region. AIEO staff said it
set aside $300,000 for headquarters-selected projects in FY 2012. AIEO's Deputy
Director said that additional changes will be made to the formula in future years
based on internal conversations as well as information that is being entered into
GAP Online. As more data becomes available through GAP Online regarding
individual grantee progress, AIEO will consider additional modifications.
However, as this data is currently unavailable, AIEO does not anticipate making
large changes to the funding allocation formula at a national level for a few years.
After AIEO distributes funding to the regions, the regions distribute funding to
eligible recipients. In its FY 2012 GAP funding allocation memo to the regions,
AIEO said it expected regions to continue to take into account grant applicants'
prior progress, environmental capacity needs, and long-term goals when making
grant funding decisions. Each region distributes funding differently.
	Region 5 Indian Environmental Office staff said they use a base funding
level of $110,000 per tribe per year to allocate all the money the region
receives from AIEO, and use excess funds for special projects.
	Region 6 Office of Environmental Justice and Tribal Affairs staff said
they have a base level of $75,000-$l 15,000 per tribe per year listed in the
region's most recent GAP funding announcement. The region distributes
funds based on the tribes' negotiated allocations in their requests for
funding. The region bases funding on need, priorities, and past
performance. The region also targets different priority areas each year to
address concerns in Indian country and will award additional funding to
tribes to address these areas.
	Region 9 Tribal Program Office staff said they base funding levels to
tribes on past performance, work plan complexity, and demonstrated need.
To support core GAP work, the PO reviews the tribe's request, what was
requested/awarded the prior year, the tribe's performance, the tribe's
draws, and the complexity of the work proposed. Regional staff said there
is no minimum or maximum funding amount but the region's most recent
funding announcement indicated that most awards range from $75,000-
$120,000 per tribe per year. Regional staff said it puts any funds
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remaining after addressing core program needs toward supplemental
projects, which may include cleanup of open dumps, purchase of
equipment to support the program, or hiring a contractor to perform a one-
time activity. Regional staff said they evaluate each supplemental project
to determine that it is eligible, reasonable, and allocable to GAP, and then
funds as many projects as possible. The region said that for FY 2012 over
90 percent of the region's GAP funds will go to tribes' base funding for
core GAP needs.
 Region 10 Tribal Trust and Assistance Unit staff said that the maximum
base level funding that tribes can apply for is $125,000 per year, although
there are a few tribes who, due to their size, can apply for up to $175,000
in base funding. Regional staff said that POs assess the tribe's needs in
each new assistance agreement negotiation. POs review the tribe's
application, current performance, current financial information, and
complexity of work proposed. If the tribe's proposal supports the amount
requested, that is what the region will fund. Regional staff said that it has a
three-tiered GAP funding approach: (a) funds are applied to tribes' base
needs, (b) funds left over after funding base needs are put toward funding
tribal consortia base needs, and (c) any funds left over after funding
consortia are put toward special projects.
Effectiveness of Corrective Actions
Even though EPA listed all actions as completed in MATS, we could not test
effectiveness of corrective actions because the draft GAP guidebook and revised
guidance are still undergoing consultation in accordance with the consultation
policy. While the Agency has made progress, we believe EPA should have some
time following full implementation of the final GAP guidance and guidebook
(planned for May 2013) before we evaluate how regions/tribes operate under the
updated guidance. AIEO staff said FY 2014 will be the first year for the program
to fully benefit from the implementation of these corrective actions.
Recommendation
We recommend that the Assistant Administrator for International and Tribal
Affairs:
1. Complete implementation of corrective actions initiated in response to the
2008 report and update MATS to denote May 2013 as the date to complete
implementation of actions to address recommendations 2-1, 2-2, and 3-1
from the 2008 report (EPA OIG Report No. 08-P-0083).
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Agency Comments and OIG Evaluation
The Office of International and Tribal Affairs accepted our recommendation and
plans to update MATS with the May 2013 date upon issuance of this final report.
Appendix A contains the Agency's full response to our draft report and planned
actions by the Office of International and Tribal Affairs to address our
recommendation, which we believe addresses the intent of our recommendation.
Our recommendation remains open pending the planned completion date on
actions to address our report recommendation as well as recommendations from
our 2008 report (EPA OIG Report No. 08-P-0083).
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Status of Recommendations and
Potential Monetary Benefits
RECOMMENDATIONS
POTENTIAL MONETARY
BENEFITS (In $000s)
Rec.
No.
Page
No.
Subject
Status1
Action Official
Complete implementation of corrective actions
initiated in response to the 2008 report and update
MATS to denote May 2013 as the date to complete
implementation of actions to address
recommendations 2-1, 2-2, and 3-1 from the 2008
report (EPA OIG Report No. 08-P-0083).
Assistant Administrator
for International and
Tribal Affairs
Planned
Completion
Date
May 2013
Claimed
Amount
Ag reed-To
Amount
1 O = recommendation is open with agreed-to corrective actions pending
C = recommendation is closed with all agreed-to actions completed
U = recommendation is unresolved with resolution efforts in progress
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Appendix A
Agency's Response to Draft Report
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460

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OFFICE OF
INTERNATIONAL AND
TRIBAL AFFAIRS
October 26, 2012
MEMORANDUM
SUBJECT: Response to Office of Inspector General Project Draft Report No. OA-FY12-
0333, "Status of Corrective Actions in Response to 2008 Report, 'Framework for
Developing Tribal Capacity Needed in Indian General Assistance Program',"
October 1, 2012
FROM: Michael Stahl /s/
Acting Assistant Administrator
TO:	Arthur Elkins, Jr.
Inspector General
Thank you for the opportunity to respond to the issues and recommendation in the draft report.
Following is a summary of the agency's overall position, along with its position on the draft
report's recommendation.
AGENCY'S OVERALL POSITION
The Agency accepts the recommendation in the draft report. Over the last several years we
have been developing and implementing an improved internal control structure for GAP, which
we believe satisfies the recommendations of the original audit. As such, we listed our
corrective actions as completed in MATS and proceeded with our implementation strategy.
A phased approach to implementing the corrective actions was decided as most effective for
complying with the requirements of the Agency's Consultation Policy. Given the broad nature
and importance of the program there was an extremely high level of interest from tribal
governments in the implementation of the changes to the program. As a result, OITA has led
an extensive, multi-phased implementation approach to allow for two rounds of consultation
with tribes. The last phase of this implementation will end by May 2013.
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OITA takes our responsibilities related to the GAP audit very seriously and remains committed
to improving operations of the GAP program and accountability for measuring program
performance. Of significant importance to us is determining the effectiveness of the corrective
actions. Given the GAP grant award and performance cycles, testing the effectiveness of the
corrective actions before FY 2016 would yield limited information resulting in an inefficient
use of resources. As previously discussed with both the original Audit Team and the Status
Review Team, OITA expects to make further modifications to the funding distribution after
sufficient data exists under the revised program framework. We strongly recommend that the
OIG consider allowing the program to fully integrate the changes, through at least two award
and performance cycles, prior to conducting further follow-up reviews.
We have included a Technical Comments Attachment to supplement this response.
AGENCY'S RESPONSE TO REPORT RECOMMENDATIONS
Agreements
No.
Recommendation
High-Level Intended
Corrective Action(s)
Estimated
Completion by
Quarter and FY
1
Complete implementation of
corrective actions initiated in
response to the 2008 report
and update MATS to denote
May 2013 as the date to
complete implementation of
actions to address
recommendations 2-1, 2-2, and
3-1 from the 2008 report (EPA
OIG Report No. 08-P-0083).
EPA will update MATS to
denote May 2013 as the date,
reflecting input from the
consultation process, to
complete implementation of
actions that address
recommendations from the
2008 report.
May 2013
CONTACT INFORMATION
If you have any questions regarding this response, please contact Karin Koslow, Deputy
Director of the American Indian Environmental Office on 202-564-0303 or Teresa Ruppe,
Audit Follow-Up Coordinator, Office of International and Tribal Affairs at 202-564-6619.
Attachment
cc:
JoAnn Chase, Director, AIEO
Teresa Ruppe, Audit Follow-Up Coordinator, OITA
Karin Koslow, Deputy Director, AIEO
Luke Jones, Senior Advisor, Grant and Technical Assistance Team, AIEO
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Distribution
Office of the Administrator
Assistant Administrator for International and Tribal Affairs
Agency Follow-Up Official (the CFO)
Agency Follow-Up Coordinator
General Counsel
Associate Administrator for Congressional and Intergovernmental Relations
Associate Administrator for External Affairs and Environmental Education
Regional Administrator, Region 5
Regional Administrator, Region 6
Regional Administrator, Region 9
Regional Administrator, Region 10
Deputy Assistant Administrator for International and Tribal Affairs
Director, American Indian Environmental Office
Deputy Director, American Indian Environmental Office
Audit Follow-Up Coordinator, Office of International and Tribal Affairs
Audit Follow-Up Coordinator, Region 5
Audit Follow-Up Coordinator, Region 6
Audit Follow-Up Coordinator, Region 9
Audit Follow-Up Coordinator, Region 10
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