OITA-AIEO-GAP-2013 -001
INDIAN ENVIRONMENTAL
GENERAL ASSISTANCE PROGRAM
Guidance on the Award and Management of
General Assistance Agreements
for Tribes and Intertribal Consortia
May 15,2013
U.S. Environmental Protection Agency
Office of International and Tribal Affairs
American Indian Environmental Office
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This Guidance identifies Agency policies and recommended procedures for
coordinating activities related to assistance agreements awarded under the
Indian Environmental General Assistance Program (GAP). The statutory
provisions, EPA regulations, and other legally binding documents described
in this Guidance contain legally binding requirements that govern the use
and management of GAP resources. This Guidance document does not
substitute for other binding requirements and it does not expressly or
implicitly create, expand, or limit any legal rights, obligations,
responsibilities, expectations, or benefits to any person. In the event of a
conflict between the discussion in this Guidance and any legally binding
requirement, this Guidance document would not be controlling.
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^£Dsr"%
A t> UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
1 OFFICE OF INTERNATIONAL AND TRIBAL AFFAIRS
^1^/ 1200 PENNSYLVANIA AVENUE NW
% PRo^ WASHINGTON, DC 20460
REPLY TO THE ATTENTION OF: 261 OR
May 15,2013
SUBJECT: Final Guidance on the Award and Management of General
Assistance Agreements for Tribes and Intertribal Consortia
FROM: Michelle DePass, Assistant Administrator
TO: Tribal Leaders
Regional Administrators
Assistant Administrators
The U.S. Environmental Protection Agency (EPA) is pleased to release new guidance for the
Indian Environmental General Assistance Program (GAP) and to acknowledge the input and
collaboration we received from our tribal government partners in the guidance development process.
Since the program began in 1993, GAP resources have enabled tribes to achieve significant progress
in establishing their environmental programs and have facilitated productive government-to-
government partnerships for tribes and EPA. GAP has made it possible for most tribes to establish
baseline technical, administrative, and legal capacity for tribal environmental protection programs
that respond to environmental issues affecting tribal lands.
GAP resources have allowed tribes to strengthen or increase their involvement in
environmental management decisions, design projects and programs that respond to environmental
threats, and to access other funding sources. This guidance enhances the successful EPA-tribal
partnership by identifying a means for joint strategic planning, documenting mutual responsibilities
for program development and implementation, targeting resources to build tribal environmental
program capacities that are aligned with the tribe's long-term goals, and measuring environmental
program development progress over time. Implementing this guidance will enable EPA and tribes to
allocate GAP resources to the most pressing program development priorities and improve our ability
to demonstrate progress as we establish and grow successful tribal environmental protection
programs with GAP for more than 520 tribal governments.
Historically, EPA has not provided a nationally consistent approach for building tribal
environmental protection program capacity under GAP or a mechanism to measure the progress
tribes are making toward their defined program development goals. This led EPA's Office of
Inspector General (OIG) to conclude that the Agency had "not provided a framework for tribes to
follow or adapt as they develop their capacity to implement environmental programs" and that "it is
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not clear whether GAP funding will result in tribes being able to operate their own environmental
programs." 1 The OIG recommended that EPA:
(1) Require the American Indian Environmental Office 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 IGAP work plans.
(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 IGAP work plans, and (c)
measure tribal progress in meeting plans and goals.
(3) Revise how IGAP funding is distributed to tribes to place more emphasis on tribes' prior
progress, environmental capacity needs, and long-term goals.
EPA concurred with all OIG recommendations and noted in the Agency's response: "The
critical importance of relating GAP funding to long-term and interim goals against which progress
can be measured is a shared concern that we plan to address. The negotiation of goals by tribes and
EPA, the measurement and assessment of progress against those goals, and EPA's evaluation of
funding requests are all inextricably linked."2 Through this new GAP Guidance, we have established
a framework that links these important components of building tribal environmental program
capacity.
In the development of this GAP Guidance, EPA first consulted and coordinated with dozens
of tribes on the "Guidebook for Building Tribal Environmental Capacity" (Guidebook) between
August 1, 2011 and January 30, 2012. In addition to participating in numerous meetings, we
received extensive written comments from 52 tribes and 10 tribal organizations. As a result, EPA
made significant revisions to the Guidebook, and we conducted a second consultation and
coordination process with tribes on the Guidebook, as part of the new GAP Guidance, between
November 16, 2012 and February 22, 2013. During this second round, EPA participated in numerous
meetings with tribal leaders and received written comments from 23 tribes and 6 tribal organizations.
The robust discussions with tribes substantially improved the new GAP Guidance.
Importantly, tribes requested that the guidance contain sufficient flexibility for GAP resources to be
tailored to the needs of individual tribes, and to avoid unnecessary additional procedures. We have
structured this final Guidance to provide maximum flexibility within a consistent national framework
for building tribal capacity that assures continued improvement and efficiencies in the management
of GAP resources.
GAP assistance agreements have played a major role in the successful development of tribal
environmental protection programs. We look forward to building on that success and working with
tribes and tribal organizations to implement this new GAP Guidance. EPA will provide tribes and
intertribal consortia with training and technical assistance as we implement the new GAP Guidance.
Thank you in advance for your active participation in this important effort as together, we continue to
protect human health and the environment through the GAP program.
1 U.S. EPA Office of Inspector General, "Framework for Developing Tribal Capacity Needed in the Indian
General Assistance Program," Report No. 08-P-0083, 02/19/2008.
2 EPA Assistant Administrator Benjamin H. Grumbles to EPA's Deputy Inspector General Bill A. Roderick, January
15, 2008. Subject: Response to the Office of Inspector General Draft Report "Framework for Developing Tribal
Capacity Needed in Indian General Assistance Program" (Assignment No. 2007-539)
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM
Guidance on the Award and Management of General Assistance Agreements
for Tribes and Intertribal Consortia
TABLE OF CONTENTS
1.0 Introduction 1
1.1 Program Background 1
1.2 Program Priorities 2
1.3 EPA Program Roles and Responsibilities 3
1.4 Allowable Activities and Restrictions under GAP 3
2.0 Award Information 8
2.1 General Information 8
2.2 Types of Assistance 8
2.3 Eligibility Information 9
2.4 Cost-Sharing or Matching Requirement 10
2.5 Length of the Award 10
2.6 Intergovernmental Review 10
2.7 Competition Policy Exemption 11
2.8 Environmental Results Supported by Assistance Activities 11
2.9 Applicable Agency Guidance, Regulations, and OMB Circulars 12
3.0 Performance Reporting: Indicators of Tribal Environmental Program Capacity 12
4.0 Developing EPA-Tribal Environmental Plans (ETEPs) 13
4.1 Background 13
4.2 Purpose and Format for ETEPs 15
4.3 Components of an ETEP 16
4.4 Development, Use and Management of the ETEP 18
5.0 Assistance Agreement Work Plan and Reporting 19
6.0 Application Submission, Review, and Award Process 19
6.1 Submission Schedule and Requirements 19
6.2 Application Review 19
7.0 Award Administration 21
7.1 Award Notices 21
7.2 Reporting Requirements 21
7.3 Quality Assurance Documentation 21
7.4 Disputes 22
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LIST OF APPENDICES
Appendix I Guidebook for Building Tribal Environmental Program Capacity
Appendix II Baseline Needs Assessment
Appendix III Sample GAP Work Plan: Developing a Joint EPA-Tribal Environmental
Plan
Appendix IV EPA Water Program Reference Table: Framework for Tribal Water
Program Strategic Planning and Development
Appendix V EPA Funding Programs that Support Tribal Environmental Program
Capacity Development and/or Implementation Activities
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM
Guidance on the Award and Management of General Assistance Agreements for Tribes and Intertribal Consortia (May 15,2013)
INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM
Guidance on the Award and Management of General Assistance Agreements
for Tribes and Intertribal Consortia
1.0 Introduction
This Guidance on the Award and Management of General Assistance Agreements (Guidance)
describes how the U.S. Environmental Protection Agency (EPA or Agency) administers the
Indian Environmental General Assistance Program (GAP) Act of 1992 (42 U.S.C. §4368b). In
conjunction with the information provided in Appendix I, "Guidebook for Building Tribal
Environmental Program Capacity," this Guidance provides a consistent national framework for
building tribal environmental program capacity under GAP and is designed to improve the
management of GAP resources.
This document provides criteria for the award and administration of GAP grants. It reflects
statutory and policy guidelines and contains binding requirements that govern the management
and use of GAP funds. This Guidance applies to the work plans and budgets for GAP assistance
agreements - as such, EPA regional offices and applicants are expected to follow this Guidance
and refer to this document during the development of application materials.
This Guidance supersedes previous guidance issued March 9, 2000 and February 24, 2006.
1.1 Program Background
The GAP was created to assist federally recognized tribes and intertribal consortia to plan,
develop, and establish the capacity to implement programs administered by the EPA and to
assist in the development and implementation of solid and hazardous waste programs for
"3
Indian lands. In addition, the GAP was created to provide technical assistance from EPA to
tribal governments and intertribal consortia in the development of multimedia programs to
address environmental issues.4
EPA recognizes tribal governments as the primary parties for setting standards, making
environmental policy decisions, and managing programs for reservations, consistent with
Agency standards and regulations ["EPA Policy for the Administration of Environmental
Programs on Indian Reservations5" (Indian Policy)]. As a result, EPA is committed to using
3 The Indian Environmental General Assistance Act of 1992, 42 U.S.C. § 4368b.
4 Id.
5 U.S. Environmental Protection Agency. 1984. EPA Policy for the Administration of Environmental Programs on
Indian Reservations, (http://www.epa.gov/tribalportal/pdf/indian-policy-84.pdf).
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM
Guidance on the Award and Management of General Assistance Agreements for Tribes and Intertribal Consortia (May 15,2013)
the GAP to build tribal capacity to administer environmental protection programs consistent
with the federal laws the EPA is charged with implementing. Through the GAP, the EPA
also provides technical assistance to build environmental protection program capacity for
tribes that are not implementing federally authorized regulatory programs or that may wish to
go beyond federal requirements. GAP helps tribes have opportunities to meaningfully
participate in policy making, standard setting, and direct implementation activities potentially
affecting tribal environmental protection interests. The program also provides resources for
tribal governments to cooperate with and, when appropriate, enter into intergovernmental
agreements with federal, state, or local governments in an informed manner.
In keeping with the federal trust responsibility, the Agency works with tribes to ensure that
EPA's environmental protection programs are implemented throughout the country.
Depending on the particular federal statute, the Agency has a number of options to ensure
that regulated entities6 are in compliance with federal requirements. For example, the Agency
can directly administer a federal program, approve eligible tribes to administer the program,
or work cooperatively with tribes on a government-to-government basis to protect human
health and the environment. No matter which mechanism EPA employs in carrying out its
mission, the Agency strives to work closely with tribal governments, consider tribal interests,
and encourage tribal governments' to develop their own environmental protection programs.
1.2 Program Priorities
Funding is provided under GAP for the purposes of planning, developing, and establishing
tribal environmental protection programs consistent with programs and authorities
administered by the EPA. This Guidance recognizes that there is a broad spectrum among
tribes with respect to population, culture, income, geography, economic development, and
environmental program management expertise and training. GAP assistance may be tailored
to the needs of each tribe, and regions are responsible for working with tribes to establish
assistance agreement work plans that are a proper fit.
As further detailed in Appendix I, GAP resources should support:
• Developing and maintaining core environmental program capacities (administrative,
financial management, information management, environmental baseline needs
assessment, public education/communication, legal, and technical/analytical);
• Engaging with the EPA to negotiate joint EPA-Tribal Environmental Plans (ETEPs,
discussed in Section 4) that reflect intermediate and long-term goals for developing,
establishing, and implementing environmental protection programs;
• Linking GAP-funded assistance agreement work plans to the ETEPs;
• Developing baseline capacities for media-specific environmental protection programs
that are related to the needs of the recipient and to EPA statutory programs (e.g.,
6 Throughout this document, "entities" can include sites, facilities, and/or activities subject to federal environmental
regulatory compliance requirements.
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ambient and indoor air quality; water quality; managing wastes; managing asbestos,
lead-based paint, pesticides, toxics, and pollution prevention programs); and
• Implementing waste management programs (see Appendix I, "Guidebook for
Building Tribal Environmental Program Capacity," Section E).
1.3 EPA Program Roles and Responsibilities
American Indian Environmental Office (AIEO): Among other duties, AIEO is the National
Program Manager for the GAP. As the National Program Manager, AIEO is responsible for:
establishing guidance to administer the program; periodically evaluating the effectiveness
and efficiency of the program; annually distributing funding allocations to regional offices;
maintaining a GAP performance reporting system; gathering regional data and reporting
results achieved through the GAP; and providing technical assistance to regional offices
regarding the administration of GAP resources and the joint EPA-tribal environmental
planning activities.
Regional Offices: Regional offices are responsible for: implementing in partnership with
tribes a joint EPA-tribal environmental planning framework; negotiating GAP assistance
agreement work plans that are linked to the joint EPA-tribal environmental plans; processing
GAP applications; making award decisions consistent with this Guidance and applicable
grant requirements; collecting data and information from award recipients that demonstrate
outputs and outcomes achieved through the GAP; inputting information into GAP
performance reporting system(s) (e.g., GAP Online); and conducting post-award
management. Regional offices serve as the direct contact for applicants and recipients. Any
supplemental guidance, policy, or criteria regional offices propose to apply to GAP grants
awarded after the effective date of this Guidance should be provided to the AIEO Director
for review and concurrence before being finalized to ensure consistency in how this national
Guidance is being interpreted and applied.
Regional office personnel will serve as project officers for GAP assistance agreements and
will work with applicants to finalize project work plans and budgets. Each Regional
Administrator, or their designee, will review completed GAP applications and either approve,
conditionally approve, or disapprove those applications within 60 days of receipt.7 Once a
GAP application is approved, the regional office will formally notify the applicant.
1.4 Allowable Activities and Restrictions under GAP
The GAP statute, applicable grant regulations, and this Guidance should be consulted where
a region is not certain as to whether a proposed activity is eligible for funding under GAP.
AIEO is also available to advise regional offices on specific questions of eligibility.
7 40 C.F.R. §35.510.
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This subsection provides some general guidelines regarding eligible and ineligible activities,
however it is not practicable to provide an exhaustive list of activities given the diversity of
tribes and tribal environmental protection programs being developed across the country. The
following list of allowable activities and general restrictions is not comprehensive, but
illustrate the most common scenarios that arise under the GAP.
When identifying fundable GAP activities, the program capacity building indicators in
Appendix I of this Guidance are a helpful resource because they provide specific examples of
milestones that GAP-funded activities, or a combination of activities, could support toward
building environmental program capacity, consistent with EPA's environmental protection
programs. The indicators offer a non-exclusive menu of choices organized by category of
environmental program development; they need not all be selected.
Examples of Allowable Activities
• Activities related to planning, developing and establishing tribal capacities for
implementing environmental protection programs administered by the EPA are
allowable, including the administrative, technical, legal, communications, outreach,
compliance assurance, and enforcement components of a program.
- As described in Section B.5 of Appendix I, activities to establish baseline
environmental conditions are essential to developing a tribal environmental protection
program and are allowable under GAP, including assessing environmental conditions
for land a tribe is planning to acquire.
- Establishing an environmental protection program may include performing a "test
drive" of the program to determine whether the tribe is ready to move into the
program implementation phase. "Test drives" of capacity to implement are for
evaluating the effectiveness of a program and may be funded for up to four years
under GAP. Work plans containing "test drive" activities should contain activities to
collect information about program design and effectiveness and describe how this
information will be used to identify options for improving the program, including but
not limited to: new or revised environmental protection policies and procedures; more
stringent standards and/or requirements; and additional capacity development needs.
• Tribes with limited jurisdiction to implement environmental regulatory programs may use
GAP funds to develop program capacities for purposes consistent with the extent of their
authorities, such as: evaluating environmental conditions; developing voluntary or partial
environmental protection programs; participating in environmental policy making;
coordinating with EPA or other federal agencies on the implementation of federal
environmental protection programs; and entering into joint environmental protection
programs with neighboring tribal, state, or local environmental agencies.
• Activities related to establishing environmental protection programs not administered by
EPA, but that are consistent with those provisions of law for which Congress has given
EPA authority, are allowable. For example a tribe could use GAP funds to develop a
climate change adaptation plan or to establish environmental protection programs that
compliment non-environmental protection programs (such as identifying ambient water
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and/or air quality parameters that influence exotic plant species threatening the
ecosystems or influence the reestablishment of culturally significant native plants).
• Activities related to establishing education, outreach, public participation, compliance
assistance, and coordination programs for tribal environmental staff to work effectively
with regulated entities are allowable. Examples of these programs include: (1) capacity to
provide compliance assistance to ensure that facilities are aware of and complying with
federal and/or tribal environmental program requirements; (2) capacity to work jointly
with other jurisdictions on certain environmental planning projects such as source water
protection plans, solid waste management plans, standard setting initiatives, federal
policy making activities, and other issues appropriate for a tribe's participation in
intergovernmental agreements; and (3) capacity to provide training to promote best
management practices or compliance with federal and/or tribal environmental program
requirements.
• The purchase of supplies (items that cost less than $5,000) necessary to administer tribal
environmental protection programs is allowable. Supplies may be repaired, upgraded,
and/or replaced as required if included in the approved work plan budget. Examples
include: (1) office supplies; (2) computers, printers, and related peripherals; and (3)
software.
• Initial purchases of equipment (purchases equal to or greater than $5,000) necessary to
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administer tribal environmental protection programs are allowable as direct costs.
Examples include: (1) GIS survey instruments and related equipment; (2) vehicles for
environmental program operations; (3) sampling, measurement, analysis, and other
related equipment; and (4) source separation, waste minimization, and waste management
equipment. For information on what happens to equipment that was paid for with GAP
funds following completion of the grant, see 40 C.F.R. §31.32.
• Notwithstanding the general prohibition on the use of GAP funds for construction as
described below, certain construction activities necessary for building environmental
protection program capacity may be permissible. For example, for a tribe to develop a
core tribal environmental protection program it is necessary for the tribe to have a place
for staff to conduct their work. If rental space is not available, it may be necessary to
construct office space or buy a modular building and move it to an appropriate location.
Similarly, as discussed in Appendix I Section E, the construction of facilities that are part
of a tribe's source separation project are also allowable. For example, the construction of
transfer stations, recycling centers, compost facilities, used oil collection stations, and
other similar facilities may be funded under GAP. Any construction activities funded
under GAP must meet the requirements of 2 C.F.R. §225, Appendix B(15). For
information on what happens to the title of a building that was paid for with GAP funds
following completion of the grant, see 40 C.F.R. §31.31.
8 2 C.F.R. §225, Appendix B(15): "Cost Principles for State, Local, and Indian Tribal Governments".
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EPA will evaluate proposed construction activities on a case-by-case basis to determine
whether the proposed construction activity is necessary to plan, develop, or establish a
tribal environmental protection program. Requests from applicants for construction
activities will be evaluated by the Regional Office and referred to the AIEO Director with
full justification for recommended approval or non-approval of the request, including
provisions regarding compliance with the National Environmental Policy Act. AIEO will
make the determination on the proposal within 30 days and in consultation with the
appropriate EPA program office and the Office of General Counsel.
• Activities related to establishing the capacity indicators contained in Appendix I are
allowable.
• Activities to implement solid and hazardous waste programs consistent with Appendix 1,
Section E are allowable.
Restrictions
• GAP funds cannot be used to fund activities not closely related to planning, developing,
and establishing tribal environmental protection program capacity consistent with
programs administered by EPA.9 Examples include:
- Animal husbandry, community gardens, the repatriation of Native American cultural
items, and feral animal control.
- Implementing environmental protection programs once established, except for solid
and hazardous waste programs as discussed in Appendix I, Section E.
- Conducting Natural Resource Damage Assessments are deemed to be part of program
implementation under Agency policy and should not be funded under GAP.
- Planning, developing, or establishing programs that primarily support ongoing
litigation, for profit enterprises, or any commercial purposes (e.g., utility company,
gas station, gaming enterprise).
- Planning, developing, or establishing natural resource management programs that are
generally not administered by EPA. Examples of these types of unallowable activities
include: silviculture projects (e.g., tree farming); beaver dam control programs;
programs to manage invasive species; and fishery operations.
- Repairing, upgrading, and/or replacing facilities and equipment are typically deemed
to be implementation costs and are generally unallowable under the GAP, except for
source separation facilities and equipment as discussed in Appendix I Section E.
Regional offices are to evaluate requests for GAP funds to repair, upgrade, or replace
facilities and equipment on a case-by-case basis to determine whether they are
restricted costs (implementation) or are allowable because they are necessary to plan,
develop, or establish a tribal environmental protection program. These requests must
meet the requirements of 2 C.F.R. §225, Appendix B(15).
- Corrective actions - or other actions responding to an enforcement order - at
regulated entities are implementation and are therefore unallowable under the GAP.
9 The Indian Environmental General Assistance Act of 1992, 42 U.S.C. § 4368b(f).
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- Activities that are the inherent responsibility of a state or local government, or that
primarily benefit state or local governments or any other entity ineligible to receive
GAP resources.
• Salaries and expenses of a tribe's chief executive, tribal council, or of the judiciary
branch of a tribal government are unallowable. However, the portion of salaries and
expenses directly attributable to managing and operating federal environmental
protection programs by a tribe's chief executive and his staff are allowable.10
• General costs of government services normally provided to the general public, such as
fire and police, are unallowable.11 Under GAP, this restriction includes trash collection,
transportation, backhaul, and disposal services which are generally outside the scope of
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programs administered by the EPA. Section E of Appendix I describes a number of
solid and hazardous waste program implementation activities that are allowable under the
GAP.
• Goods or services for personal use are unallowable, regardless of whether the cost is
reported as taxable income to the employees.13
• Planning, designing, constructing, and operating a specific facility is an implementation
activity; therefore, such costs are not eligible for funding under GAP.14 Examples of
construction activities not allowed include, but are not limited to: landfill construction;
wastewater treatment facility construction; drinking water system construction;
construction related to implementation of best management practices for nonpoint source
pollution control; and purchase of construction equipment such as trucks or graders. The
feasibility studies and NEPA reviews associated with such facility construction, including
environmental impact studies and assessments, are part of the planning phase of facility
construction; therefore, they are also implementation activities not eligible for funding
under GAP.15
10 2 C.F.R. §225, Appendix B(19): "Cost Principles for State, Local, and Indian Tribal Governments".
11 Id.
12 "Any general assistance under this section shall be expended for the purpose of planning, developing, and
establishing the capability to implement programs administered by the Environmental Protection Agency and
specified in the assistance agreement. Purposes and programs authorized under this section shall include the
development and implementation of solid and hazardous waste programs for Indian lands. [...] Such programs and
general assistance shall be carried out in accordance with the purposes and requirements of applicable provisions of
law, including the Solid Waste Disposal Act (42 U.S.C. 6901 et seq.)." Indian Environmental General Assistance
Act of 1992, 42 U.S.C. § 4368b(f).
13 2 C.F.R. §225, Appendix B(20): "Cost Principles for State, Local, and Indian Tribal Governments".
14 Except for solid waste source separation facilities as described in Section E.4(c) of Appendix I.
15 These activities may be eligible for funding under other EPA programs and programs administered by other
federal agencies.
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2.0 Award Information
The Catalog of Federal Domestic Assistance number for the Indian Environmental General
Assistance Program is 66.926.
2.1 General Information
• Congress provides GAP funding to EPA as part of the annual budget appropriations
process, through the State and Tribal Assistance Grants (STAG) Appropriation.16 OITA
allocates GAP funds to regional offices annually and notifies regions via a decision
memorandum. If a region is interested in moving STAG funds into or out of their GAP
account, modifying the national allocation of STAG funds, regions must follow the
process described in OITA's annual decision memorandum. The annual decision
memorandum describes the procedures regional offices must follow when initiating a
process to reprogram funds affecting the GAP that assures compliance with
Congressional guidelines.
• Consistent with the GAP authorizing statute, each initial GAP assistance agreement shall
be for at least $75,000.17 No single award may exceed ten percent of the total annual
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funds appropriated for the GAP.
• EPA may elect to partially fund proposals by funding discrete portions or phases of
proposed projects.
• EPA may elect to set aside a portion of GAP resources to support specific tribal or
intertribal consortia projects. These projects should have national or region-wide
application, address a national or regional program priority, or seek to demonstrate the
applicability of novel program activities to a broader set of eligible recipients.
2.2 Types of Assistance
Assistance agreements funded under GAP may be issued in various forms. The project
application should state the form of assistance preferred by the applicant.
Grant or Cooperative Agreement - Grants represent direct funding to a recipient to support
an identified project with defined environmental results. Unlike a grant, a cooperative
agreement anticipates substantial involvement from EPA, in collaboration with the recipient,
to achieve project results after the award has been made. If EPA expects to have substantial
16 The total amount of GAP money Congress provides to EPA can change from year-to-year.
17 The Indian Environmental General Assistance Act of 1992, 42 U.S.C. § 4368b(d)(2).
18 Id.
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involvement, EPA will issue the assistance agreement as a cooperative agreement. If no
substantial involvement by EPA is expected, EPA will issue a grant.19
20
Performance Partnership Grant (PPG) - A PPG is a grant awarded from two or more
categorical grant programs. A tribe can combine funds from two or more eligible grant
programs into one PPG.21 Recipients may then use PPGs to fund activities that are allowable
under any of the eligible PPG grant programs. An applicant whose organization has an
existing PPG or who is eligible to form a new PPG with EPA may request that GAP funding
be included in a PPG. The flexibility of a PPG can allow for improved environmental
performance, increased programmatic flexibility, and administrative savings. However, the
need for flexibility should be balanced with the Agency's goals of establishing sustainable
tribal environmental program capacities. For more information, please see the, "Best
Practices Guide for Performance Partnership Grants with Tribes"
(http://www.epa.gov/ocir/nepps/pdf/ppg-guide-for-tribes.pdf). Absent a request from the
applicant for inclusion in a PPG, EPA will award the funding as a stand-alone assistance
agreement.
2.3 Eligibility Information
The following are eligible to receive financial assistance: Indian tribal governments and
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intertribal consortium or consortia.
The term Indian tribal government (tribe) means any Indian tribe, band, nation, or other
organized group or community, including any Alaska Native village, which is recognized as
eligible by the U.S. Department of the Interior (DOI) for the special services provided by the
United States to Indians because of their status as Indians.23
The term intertribal consortium or consortia means a partnership between two or more tribes
that is authorized by the governing bodies of those tribes to apply for and receive assistance
under this program.24
Tribes that form consortia may be able to use their resources more efficiently and address
environmental issues more effectively than they could if each tribe individually developed
and maintained separate environmental protection programs. Consortia are advised to
describe how grant proposals respond to the program development needs of their eligible
member tribes as documented by the process described in Section 4 below.
Under EPA's tribal grant regulations, an intertribal consortium is eligible to receive a GAP
award if the consortium demonstrates that: (1) a majority of its members are eligible to
19 EPA Order 5700.1, Policy for Distinguishing Between Assistance and Acquisition (March 22, 1994).
20 More information on the PPG funding authority is at 40 C.F.R. § 35.530-538.
21 PPG eligible programs are listed at 40 C.F.R § 35.501.
22 40 C.F.R. § 35.543.
23 40 C.F.R. § 35.502.
24 Id.
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receive GAP grants; (2) all members that meet GAP eligibility requirements authorize the
consortium to apply for and receive the award25; and (3) adequate accounting controls are in
place to ensure that only members that meet the eligibility requirements will benefit directly
from the award and the consortium agrees to an award condition to that effect.26 This means
that a consortium may receive a GAP grant even if the consortium includes groups that are
not federally recognized as tribes so long as the consortium meets the three regulatory
requirements specified above. With each GAP grant application, an intertribal consortium
must provide EPA with "adequate documentation" of: (1) the existence of the partnership
between eligible tribal governments; and (2) the authorization of the consortium by all GAP-
eligible member tribes to apply for and receive the grant.27 Typically, tribal authorization by
the GAP-eligible tribes is provided by a tribal leader letter or a tribal council resolution from
each GAP-eligible member of the consortia. The Office of Regional Counsel for the region
receiving the grant application should evaluate applications to determine whether the
documents submitted for a particular grant meet the regulatory standard. Where additional
documentation is required, EPA will work with the consortia to clarify what additional
documentation is needed. Applications that do not contain adequate documentation from
GAP-eligible tribes should be deemed incomplete.
2.4 Cost-Sharing or Matching Requirement
No cost-sharing or match is required from applicants.
2.5 Length of the Award
28
The term of a GAP award may exceed one year, but may not exceed four years. The term is
determined at the time of the award and documented in the work plan.
2.6 Intergovernmental Review
This funding opportunity is not subject to Executive Order (EO) 12372, "Intergovernmental
Review of Federal Programs."
25 Note the clear distinction between (1) and (2): an intertribal consortia is eligible to apply for a GAP grant where a
majority of the consortia members are GAP-eligible; however, authorization of the consortia to apply for and
receive a GAP grant is required from all GAP-eligible member tribes. All eligible members must authorize the grant
application, given that those grant dollars would otherwise be available to the individual tribes under GAP.
26 40 C.F.R. § 35.504(b).
27 40 C.F.R. § 35.504(c).
28 42 U.S.C. § 4368b (d)(3).
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2.7 Competition Policy Exemption
This assistance agreement program is exempt from competition under EPA Order 5700.5A1,
29
Policy for Competition of Assistance Agreements, Section 6(c)(2). In any funding materials
distributed, EPA should refrain from using the following terms or others like them that may
create the impression that the GAP funds are being awarded "competitively": request for
proposals; solicitations; ranking criteria.
Regions should not use any allocation factors which have the effect of measuring the relative
quality or merit of one work plan against the other.
2.8 Environmental Results Supported by Assistance Activities
Pursuant to EPA Order 5700.7, "Environmental Results under EPA Assistance," EPA must
link proposed work plan activities in funded assistance agreements to the Agency's Strategic
Plan. This is a previously established requirement binding the Agency, which governs all
assistance agreements EPA awards. While the Order requires a link to the Agency's Strategic
Plan, EPA also acknowledges that work plan activities should also be linked to tribal
program priorities, reflecting EPA's commitment to supporting tribally defined outputs and
outcomes that are consistent with the federal laws the EPA is charged with implementing.
Under the Order, EPA requires assistance agreement recipients to define environmental
outputs and environmental outcomes to be achieved under the award. Outputs and outcomes
are defined as follows:
1. Outputs: The term "output" refers to an environmental activity, effort, and/or associated
work products related to an environmental goal or objective that will be produced or
provided over a period of time or by a specified date. Outputs may be quantitative or
qualitative but must be measurable during the project period. Examples of outputs under
GAP include: solid waste management plan; air emissions inventory; surface water
sampling plan; and lead-based paint public education campaign. For each proposed work
plan activity, applicants are expected to identify a measurable output.
2. Outcomes: The term "outcome" refers to the result, or consequence that will occur from
carrying out the activities under the award. Outcomes may be environmental, behavioral,
health-related, or programmatic; must be quantitative; and may not necessarily be
achievable during the project period. Examples of outcomes under GAP include: level of
reduction in unauthorized discharges to the air, water, or land; size of population
benefiting from a reduction in pollution; changes in knowledge and understanding; and
changes in behavior. Applicants are expected to identify an outcome for each program
component funded under GAP.
29 The Order reads, in part: "The requirements of this Order do not apply to... programs available by statute,
appropriation act, or regulation only to Indian tribes and Intertribal Consortia."
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2.9 Applicable Agency Guidance, Regulations, and OMB Circulars
GAP awards are subject to the following regulations and requirements. Regions should be
aware of these requirements when awarding and managing GAP assistance agreements:
• 2 C.F.R. Part 225 "Cost Principles for State, Local, and Indian Tribal Governments"
• 40 C.F.R. Part 31 "Uniform Administrative Requirements for Grants and Cooperative
Agreements to State and Local Governments"
• 40 C.F.R. Part 35, Subpart B "Environmental Program Grants for Tribes"
• OMB Circular A-133 "Audits of States, Local Governments, and Non-Profit
Organizations"
• 2 C.F.R. Part 1536 "Requirements for Drug-Free Workplace (Financial Assistance)"
• 40 C.F.R. Part 33 "Participation by Disadvantaged Business Enterprises in United States
Environmental Protection Agency Programs" - see specifically 40 C.F.R. § 33.304
("Must a Native American (either as an individual, organization, Tribe, or Tribal
Government) recipient or prime contractor follow the six good faith efforts?")
3.0 Performance Reporting: Indicators of Tribal Environmental Program
Capacity
Tribal governments have tribe-specific priorities. Tribes will identify program areas to focus on
with respect to building environmental protection program capacity. In addition, each tribal
government determines how far down the path of program development it wants to proceed (e.g.,
all the way to program implementation or in between core program capacity and development of
some of the media-specific program capacities). There is not just one pathway to follow for
building environmental program capacity, and as such there are many indicators that can be used
to assess and measure progress in the capacity building process.
One indicator that is far down the path of program capacity building is when a tribe assumes a
lead regulatory or co-regulatory role for implementing federal program requirements (i.e., in lieu
of direct implementation by the EPA). Where programmatically available, this is measured by a
tribe obtaining treatment in a manner similar to a state (TAS) status to implement a particular
regulatory program instead of EPA implementing it. A tribe can also build sufficient
programmatic capacities to support EPA implementation activities under a Direct
Implementation Tribal Cooperative Agreement (DITCA) or work share Memorandum of
Understanding (MOU).
Tribes that are not seeking TAS status may wish to establish other meaningful and important
levels of environmental program capacity directly in support of the environmental statutes the
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EPA implements, or for tribal environmental protection programs that are consistent with EPA's
programs. Seeking TAS status is not a requirement for receiving funding under this program.
The indicators in Appendix I are designed to help identify and measure the status of tribal
environmental program capacity. The indicators are tools to help tribes as they plan for program
capacity development under the GAP. These indicators provide examples of "road-maps" for
building a tribal environmental program and will help tribes and EPA identify both short-term
and long-term goals and activities. The indicators in Appendix I offer a non-exclusive menu of
choices, organized by category of environmental program development; they need not all be
selected. Other indicators of capacity may be identified in GAP assistance agreement work plans
and in long-term planning agreements as described in Section 4 of this guidance on a tribe-by-
tribe basis, reflecting the unique priorities and program development plans of a particular
recipient. There are often many activities that must occur to establish a single indicator and EPA
can provide specific program guidance and technical assistance tools and resources to help
identify and plan for those specific activities.
As described further in Section A.3 of Appendix I, EPA acknowledges that developing,
establishing, and maintaining environmental protection program capacity is a continuing
programmatic need. Tribes may need to re-establish capacities due to staff turnover, land
acquisition, or other changing circumstances and may need to revise projected program
development goals. GAP resources provide a significant foundation for maintaining tribal
environmental program capacities over time and tribes can continue to receive GAP funding to
expand, enhance, or evolve their capacity in light of specific tribal needs.
Where a tribe is using GAP grant resources to plan, develop, and establish environmental
protection program capacities in one of the areas listed in Appendix I, GAP assistance agreement
work plans should incorporate indicators from Appendix I, as appropriate based on the activities
planned, and link those capacity indicators to long-term program development goals described in
the EPA-Tribal Environmental Plan (ETEP) described in Section 4 of this guidance. Where
capacities are being developed in areas not described in Appendix I, the work plan must
adequately identify and describe the applicable indicators of capacity. Tribes and EPA will rely
on the capacity indicators that have been identified in work plans and the long-term goals in
ETEPs to assess and report on progress in the development of tribal environmental program
capacities under the GAP program.
4.0 Developing EPA-Tribal Environmental Plans (ETEPs)
4.1 Background
EPA has long recognized the value of establishing intergovernmental planning agreements
with states and tribes to define mutual roles and responsibilities for program
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implementation.30 Tribes have also promoted the idea of a joint EPA-tribal planning process
to address tribal environmental priorities and ensure that federal programs are fully
implemented. For example, EPA, in partnership with the National Tribal Operations
Committee's National Tribal Caucus (NTC), first adopted a cooperative EPA-tribal program
planning strategy in 1994. This approach included "the tribes' plans to manage authorized
environmental programs and/or their need for federal technical assistance, education and
31
implementation and management of environmental protection." The approach also ensured
that each Regional Administrator had flexibility to "determine, in consultation with tribes,
32
the most appropriate way to develop these workplans." The NTC has consistently endorsed
the joint EPA-tribal planning process concept.33
In 2008, the EPA Office of Inspector General (OIG) issued an Audit Report on the GAP
program.34 The OIG found that some tribes did not have long-term plans in place for building
environmental capacity, and that for those tribes that did have plans with long-term goals
(usually in the form of the Tribal Environmental Agreement [TEA]), EPA was not tracking
the tribe's GAP work plan progress against those long term goals. Therefore, the OIG
concluded, it was unclear just how well GAP was helping tribes be able to operate their own
environmental programs. EPA agreed to take several actions in response to the OIG's
recommendations resulting from the Audit. Specifically, EPA agreed to standardize a
computer-based, online work plan process to improve the Agency's ability to document the
good work being done under GAP. That process was fully implemented in 2010 through
GAP Online. In addition, EPA agreed to provide a framework for tribes and EPA to follow or
adapt as tribes develop their environmental program capacities. That framework is embodied
in this Guidance, but most importantly in Appendix I,35 which contains the specific capacity
building indicators that can be used as milestones, or measures, along the pathway toward
building specific core and programmatic capacities. EPA also agreed to ensure that this
framework provided a means for linking the GAP-funded work described in the annual work
plans back to the long-term goals for program capacity building. To accomplish this, EPA is
committed to working with our tribal partners to ensure the following:
• EPA Regional offices discuss and develop ETEPs with tribes that seek GAP funding, to
reflect the intermediate and long-term goals of the tribe for building environmental
program capacities;
30 U.S. EPA Memorandum, "Final EPA/Tribal Agreements Template," March 20, 1995; visit
http://www.epa.gov/ocir/nepps/ for information on EPA-state partnerships through the National Environmental
Performance Partnership System (NEPPS).
31 U.S. EPA Memorandum, "Announcement of Actions for Strengthening EPA's Tribal Operations," July 14, 1994.
32 Id.
33 July 2012 Addendum to the "National Tribal Caucus Environmental Protection for Indian Country, Environmental
Resource Needs & Recommendations," Fiscal Year 2014 Update.
34 "Framework for Developing Tribal Capacity Needed in the Indian General Assistance Program," February 19,
2008, Report No. 08-P-0083.
35 A different version of Appendix I was previously discussed with tribes as a stand-alone "Guidebook for Building
Tribal Environmental Program Capacity" through a consultation and coordination process that ran from August
2011 through January 2012. Based on feedback, the Guidebook was modified substantially and incorporated into the
GAP Guidance.
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• Approved GAP work plans contain capacity indicators that are related to accomplishing
the goals identified in the ETEPs; and
• EPA and the tribe are able to measure progress under the GAP work plan and the
progress being made toward accomplishing the long-term goals in the ETEPs.
Through the development of these ETEPs, or strategic planning documents, and with
improved alignment of the specific activities in the GAP work plans with the long-term goals
and priorities identified in those planning documents, EPA and tribes will be better
positioned to ensure that GAP is being used effectively to build tribal environmental program
capacity.36 EPA recognizes that in some instances the prior use of long-term planning tools,
usually in the form of a TEA, did not benefit tribes or the Agency. In addressing some of
those weaknesses, EPA has developed this streamlined approach for a long-term planning
tool that can be modified as needed. The ETEPs are intended to be living, usable documents
for both tribes and EPA as environmental partners to use in planning and guiding our work.
4.2 Purpose and Format for ETEPs
To accomplish the three goals listed above in the context of the GAP program, Regions and
tribes are expected to develop an ETEP that contains the following components: (1)
identification of tribal environmental program priorities, including capacity building and
program implementation goals; (2) identification of EPA program priorities and management
requirements; (3) an inventory of regulated entities; and (4) identification of mutual roles and
responsibilities. The purpose of the ETEP is to develop the complete picture of the particular
environmental issues facing the tribe, establish a shared understanding of the issues the tribe
will be working on, and a shared understanding of those issues that EPA will address
consistent with its responsibility to protect human health and the environment. By having
these elements of a plan in place, EPA should be able to ensure that GAP work plans are
developed to support the long-term priorities and goals of the tribe and that funds are directed
toward building environmental program capacities. EPA considers this jointly-developed
plan an important component of effective GAP resource management.
The specific format and approach to developing ETEPs may vary from tribe to tribe and
region to region. Maximum flexibility is provided as to how the ETEPs are developed. For
example, a tribe and region may decide to develop a streamlined document that succinctly
addresses the four components of an ETEP listed above (described in more detail below). As
another example, TEAs may be developed, or modified if necessary, to ensure the four
components are addressed. As another example, tribes and regions may update existing
documents, to the extent they are useful and still relevant, to ensure they address the four
ETEP components, and memorialize in a written memo or through specific correspondence,
the shared understanding of how those documents comprise the ETEP (examples of some
36 While ETEPs do not necessarily apply to intertribal consortia, EPA regional offices should refer to the individual
ETEPs of a consortium's member tribes when negotiating work plans with a consortium to ensure that the proposal
responds to their member tribes' program development needs.
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existing documents include Tribal Environmental Plans, Tribal Environmental Agreements
(TEAs), Tribal Strategic Environmental Plans, etc.).
In recognition that there is great variation not only in the size of tribal governments, but also
in the range of environmental issues and program capacities across the nation, it is expected
that the length and level of detail for the ETEPs will also be greatly varied. For example, for
a small Alaska Native Village, an ETEP may only need to address one or two program areas
and as a result the ETEP itself may only be a few pages long. As another example, for a tribe
that has program implementation authority under a federal statute (i.e., TAS approval), and is
building capacities in other areas, a more comprehensive ETEP will likely be appropriate.
The remainder of this section describes the four components of an ETEP. It is recommended
that these agreements cover no more than a 5 year time-period to achieve specific capacity
development milestones. GAP-funded activities, along with other activities prioritized by the
tribe and the Agency, should be reflected in the ETEP.
4.3 Components of an ETEP
(1) Tribal Programs and Priorities
Many tribal governments have already developed programs to address human health and
environmental threats facing their communities. Other tribes may have yet to develop
programs, but have conducted needs assessments or community surveys, or have used a
comprehensive planning process (for example, development of a baseline needs assessment,
tribal Integrated Resource Management Plan, or other comparable document) to identify and
prioritize environmental concerns for their communities. These priorities will be an important
factor in how a particular tribe will want to partner with the Agency to meet short- and long-
term program development milestones for building capacity. ETEPs may also contain
specific technical assistance and training the tribe may need from EPA.
Tribal governments should include environmental program priorities for their community in
this section of the ETEP. For each priority, the following detail should be included: (1) short
description of the priority; (2) the tribe's long-term environmental program development
goals that help to address or support the priority; (3) intermediate program development
milestones the tribal government would like to meet during the time period of the ETEP; (4)
the tribe's plans to manage authorized environmental programs; and (5) any type of
assistance (training, technical assistance, EPA direct implementation actions, financial, etc.)
that may be needed. This information should be discussed between the tribe and EPA
regional office staff to identify any connections between the tribe's priorities and the
implementation of the federal environmental programs, and to identify potential EPA
assistance that could be provided to help the tribe accomplish the proposed actions.
(2) EPA Programs and Priorities
As the EPA Indian Policy underscores, until tribal governments assume responsibility for
managing programs authorized, approved, or delegated by the Agency, EPA retains
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responsibility for human health and environmental protection by managing federal statutory
environmental programs. Reviewing federal environmental programs that EPA implements
in each tribal area can provide important background information useful for developing an
ETEP. This can include, for example, documenting which programs the tribe is
implementing with TAS status; documenting which program the tribe is not planning to
develop; and identifying programs that are not relevant currently because there are no
applicable regulated entities in the tribal area (e.g., no underground storage tanks in the area,
no facility requiring an air discharge permit, etc.).
EPA's regional offices should review the implementation of federal environmental statutory
programs in each tribal area and document these programs in the ETEP.37 This review could
include, as appropriate, ongoing or anticipated program implementation activities such as
permitting, compliance assurance and enforcement, developing inventories of regulated
entities, issuing identification numbers for regulated entities, issuing certifications, and other
activities.
These reviews should be done in coordination with the appropriate tribal governments and
with EPA headquarters, as necessary. Because an ETEP should be developed as a joint work-
sharing document, it is important that there is mutual understanding of what is required to
implement the environmental protection programs; the time frames for this work; the
government (federal or tribal) that will conduct which portion of that work; and the expected
results.
(3) Inventories of Regulated Entities
In general, the presence of regulated entities determines which federal environmental statutes
are applicable. The Agency maintains many program-specific databases of regulated entities
and data query tools to help identify regulated entities that may affect tribal interests,
including the Facility Registry System (FRS) - a centrally managed database that identifies
facilities, sites, or places subject to environmental regulations or of environmental interest.
Tribal and state government programs may also contain regulatory program information. As
part of an ETEP, the tribe and EPA regional office should have a complete listing of
regulated entities of interest. As part of the regular review of the ETEP, the inventory should
be updated as appropriate, to reflect operating status changes, new facilities, etc.
(4) Mutual Roles and Responsibilities for Tribal Program Development Milestones and
Environmental Program Implementation
The information on program priorities and regulated entities discussed above will provide the
basis for discussion between regional EPA staff and tribal staff on joint work planning and
37 Clean Air Act (CAA); Clean Water Act (CWA); Safe Drinking Water Act (SDWA); Resource Recovery and
Conservation Act (RCRA); Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA);
Emergency Planning and Community Right-to-Know Act (EPCRA); Brownfields; Asbestos Hazard Emergency
Response Act (AHERA); Federal Insecticide, Fungicide and Rodenticide Act (FIFRA); Toxic Substances Control
Act (TSCA), and Pollution Prevention Act.
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partnering to ensure environmental protection. The ETEP should define the actual activities
that the tribe and EPA anticipates conducting during the time period of the agreement,
including activities that tribal staff will perform to support EPA direct implementation of
federal environmental programs, activities EPA will perform to support tribal program
development and implementation, and activities that tribes will undertake to either apply for
program approval/delegation, and/or build capacities to partner with EPA to implement
applicable federal programs. ETEPs should indicate which environmental protection program
capacity indicators a tribe intends to establish and a general time line for establishing them.
GAP work plans should contain these indicators and the activities designed to help the tribe
achieve them.
4.4 Development, Use and Management of the ETEP
The ETEP should be a living document that is actively used as a management tool by both
EPA and the tribe to ensure work is being done in support of agreed upon priorities and that
progress is being made over time. ETEPs do not need to be complex and long to serve their
intended purpose; however developing ETEPs involves coordination among EPA's regional
and headquarters media offices, and between EPA and tribal governments. The ETEP should
have the support of senior officials in both EPA and the tribal government, as they will be
used to help prioritize the work that is funded under GAP and the work that EPA is
conducting in the tribal area.
EPA acknowledges that various factors may impede a tribe's progress toward establishing
environmental protection program capacity indicators. These factors include staff turnover
and adjustments in a tribe's priorities based on unanticipated changing conditions, such as
potential impacts to human health and the environment from unanticipated resource
extraction projects, changes in land uses, proposed development projects with potential
pollution sources, etc. Capacity development indicators and completion dates should be
revised as appropriate when a tribe's needs and priorities change.
The ETEP should be reviewed jointly by tribes and EPA at least annually, and updated as
appropriate.
• ETEPs should contain completion dates for tribal and EPA activities to allow progress to
be measured;
• ETEPs should indicate how the tribe and EPA will monitor progress being made toward
the goals described in the document;
• As part of the required annual work plan joint evaluation, regions should not only assess
the tribe's performance and progress, but also summarize EPA's activities related to that
tribe to inform subsequent work and longer-term priorities in the ETEP;
• EPA and tribes should ensure that GAP grant work plans reflect the tribal program
priorities and mutual roles and responsibilities identified in the ETEPs.
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By September 30, 2013, each region will submit a proposed schedule to AIEO for
establishing ETEPs with the tribes in their region that receive GAP funding. Each region will
subsequently submit final schedules for establishing ETEPs to AIEO by January 1, 2014.
5.0 Assistance Agreement Work Plan and Reporting
All award recipients must negotiate an assistance agreement work plan with EPA in accordance
with 40 C.F.R. § 35.507. In addition, work plans should be linked to the intermediate and long-
term program development goals identified in an ETEP. For tribes that have not yet established a
plan with EPA that satisfies the four components of an ETEP described in Section 4.3, GAP
work plans should contain a component to develop one when it is consistent with the applicable
regional schedule to do so (see Appendix III for a sample work plan component).
To improve the Agency's ability to track work plan progress and performance, as well as overall
program performance reporting, EPA will use national program management systems to collect
and report specific information from work plans (currently, the Agency uses GAP Online as the
national program management system).
6.0 Application Submission, Review, and Award Process
6.1 Submission Schedule and Requirements
Regional Offices are responsible for establishing the time frame for application submission,
negotiation of work plans and budgets, and award decisions. Regional Offices should provide
early notice to each eligible tribe and intertribal consortium of the availability of GAP funds,
program requirements, and submission process.
6.2 Application Review
EPA Regional Offices are responsible for reviewing application materials. Proposals should
include all information requested in the funding announcement, including: the applicant's
portion of an ETEP, or plans to develop ETEPs, as described in Section 4 of this Guidance;
adequate description of proposed eligible GAP activities; description of how proposed
activities support the priority areas described in Section 1.2 of this Guidance; and a
description of how the proposed activities support achieving the applicant's intermediate or
long-term program development goals.
Applications will be reviewed to determine:
1. The extent to which the proposed activities in the work plan support the purpose of
the GAP (i.e., development of tribal environmental protection program capacities,
consistent with EPA statutory programs). Proposed activities should focus on developing
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core environmental protection program capacities, environmental planning activities with
EPA, and/or developing baseline capacities for media-specific environmental protection
programs that either directly builds toward implementing a federal program or
developing a tribal program that is consistent with EPA statutory programs. Work plans
should include measurable indicators of capacity-building; applicants should consult
Appendix I, Guidebook for Building Tribal Environmental Program Capacity, for further
information on indicators.
2. The feasibility and likely effectiveness of the proposed activities. The work plan
should provide detail sufficient to demonstrate that the applicant has a comprehensive,
well thought-out plan (identifying proposed activities, responsible persons, milestones,
and timelines/due dates for tasks/deliverables) that is reasonably likely to achieve the
purpose of the project within the proposed project time and budget. The focus here is on
the feasibility and effectiveness of proposed activities rather than adequacy of budget and
personnel resources identified for the project.
3. The extent to which the budget, resources, and requested funds for key personnel
are reasonable and sufficient to accomplish the proposed project. The proposals will
be evaluated to determine whether the amount requested is adequate to support the
proposed activities, the allocations within object classes are appropriate for the proposed
work, and whether the applicant has the personnel and program resources to accomplish
the project. The focus here is on budget, personnel, and other resources rather than the
feasibility and effectiveness of the proposed activities themselves.
4. The degree to which the work plan identifies the expected environmental results of
the proposed project. The work plan will be evaluated on the detail provided regarding
the likely outcomes and outputs of the proposed project. Outputs and outcomes should be
linked to the proposed activities and resulting improvements to environmental and/or
human health conditions. These outputs and outcomes should be measurable and
achievable.
5. The degree to which the proposed activities in the work plan support achieving the
long-term goals identified in the EPA-Tribal Environmental Plans. The work plan
should indicate how the proposed activities relate to: identified tribal priorities and
specific environmental and human health threats/issues within the context of EPA's
authorities; developing tribal capacity to request and assume delegable federal
authorities; developing tribal environmental protection programs under tribal authority;
and/or building tribal environmental program capacity to assist EPA in implementing
EPA's statutory programs.
6. Prior performance. Generally, work plan components and commitments should not
duplicate prior efforts; they should demonstrate clear progress over time toward
achieving the longer term goals, or specify new focus areas. Duplicates of prior year
work plan activities may be rejected and EPA will take into consideration prior year
performance when evaluating new work plans associated with similar previously funded
work.
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7.0 Award Administration
7.1 Award Notices
A funding award notice, signed by an EPA grant officer, is the official document authorizing
work to commence. EPA will provide funding award notification to recipients.
7.2 Reporting Requirements
The applicant and the Regional Office will develop a process for jointly evaluating and
reporting progress and accomplishments under the work plan. A description of the evaluation
process and reporting schedule must be included in the work plan. Recipients must report at
least annually and satisfy the requirements for progress reporting under 40 C.F.R. § 31.40(b).
38
The evaluation process must provide for:
• A discussion of accomplishments as measured against work plan commitments;
• A discussion of the cumulative effectiveness of the work performed under all work plan
commitments;
• A discussion of existing and potential problem areas; and
• Suggestions for improvement, including, where feasible, schedules for making
improvements.
Regions should also work with recipients to evaluate status of tribal capacity as defined by
the indicators of tribal capacity found in Appendix I of this Guidance or other clearly defined
indicators that may be identified in the work plan.
In addition to performance reports, GAP recipients and their EPA project officer should have
frequent contact (no less than quarterly) to keep EPA informed of progress and to resolve any
problems that may arise.
7.3 Quality Assurance Documentation
GAP recipients are subject to EPA's quality assurance requirements as found in 40 C.F.R.
§31.45. If a recipient's project involves environmentally related measurements or data
generation, the recipient shall develop and implement quality assurance practices consisting
of policies, procedures, specifications, standards, and documentation sufficient to produce
data of quality adequate to meet project objectives and to minimize loss of data due to out-of-
control conditions or malfunctions. Approved plans must be in place before environmental
38 40 C.F.R. § 35.515.
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data collection, production, or use can occur. More information is available online at:
http://www.epa.gov/ogd/grants/assurance.htm.
7.4 Disputes
Disputes related to this program will be resolved in accordance with 40 C.F.R. §31.70.
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Appendix I
Guidebook for Building Tribal
Environmental Program Capacity
May 15, 2013
U.S. Environmental Protection Agency
Office of International and Tribal Affairs
American Indian Environmental Office
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Guidebook for Building Tribal Environmental Program Capacity
TABLE OF CONTENTS
A: INTRODUCTION 1
A.l Purpose: Enhancing the EPA/Tribal Partnership for Environmental Protection and Measuring Tribal
Program Development Progress 1
A.2 Capacity Development for Tribes with Limited Environmental Program Jurisdiction 2
A.3 Capacity Development is a Continuing Programmatic Need 2
A.4 GAP: A Foundation for Tribal Program Implementation 3
B: BUILDING CORE ENVIRONMENTAL PROTECTION PROGRAM CAPACITIES 5
B.l Purpose 5
B.2 Establishing Core Administrative Capacities 5
B.3 Establishing Core Financial Management Capacities 6
B.4 Establishing Core Information Management Capacities 7
B.5 Establishing a Baseline Needs Assessment 8
B.6 Establishing Core Public Participation, Community Involvement, Education, and Communication Capacities8
B.7 Establishing Core Legal Capacities 9
B.8 Establishing Core Technical and Analytical Capacities 12
C: BUILDING TRIBAL AMBIENT AND INDOOR AIR QUALITY PROGRAM CAPACITIES 14
C.l EPA's Air Quality Programs 14
C.2 Establishing Tribal Air Quality Programs 15
C.3 Indicators of Air Quality Program Capacity 15
D: BUILDING TRIBAL WATER QUALITY PROGRAM CAPACITIES 18
D.l EPA's Clean Water and Safe Drinking Water Programs 18
D.2 Establishing Tribal Water Quality Programs 20
D.3 Indicators of Water Quality Program Capacity 21
E: BUILDING SOLID WASTE, HAZARDOUS WASTE, AND UNDERGROUND STORAGE TANK PROGRAM CAPACITIES 25
E.l EPA's Solid Waste, Hazardous Waste, and Underground Storage Tank Programs 25
E.2 Program Capacity Building: Planning, Developing, and Establishing Tribal Waste Management and
Underground Storage Tank Program Capacity 27
E.3 Indicators of Tribal Waste Management and UST Program Capacity 28
E.4 Program Implementation: Tribal Waste Management and UST Program Implementation 29
F: BUILDING TRIBAL CONTAMINATED SITE REMEDIATION AND EMERGENCY RESPONSE PROGRAM CAPACITIES. 33
F.l EPA's Comprehensive Environmental Response, Compensation and Liability Act; Emergency Planning,
Community Right-to-Know Act; and Small Business Liability Relief and Brownfields Revitalization Act
Programs 33
F.2 Establishing Tribal Programs Related to CERCLA, EPCRA, and Brownfields 35
F.3 Indicators of Tribal Emergency Response and Remediation Program Capacity 36
G: BUILDING TRIBAL CHEMICAL SAFETY AND POLLUTION PREVENTION PROGRAM CAPACITIES 38
G.l EPA's Asbestos Hazard Emergency Response Act; Federal Insecticide, Fungicide and Rodenticide Act; and
Toxic Substances Control Act Programs 38
G.2 Activities Eligible for Funding Under EPA Programs that Support Tribal Capacity Development and/or
Implementation of Chemical Safety and Pollution Prevention 40
G.3 Indicators of Chemical Safety and Pollution Prevention Program Capacity 41
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Guidebook for Building Tribal Environmental Program Capacity
A: Introduction
A.l Purpose: Enhancing the EPA/Tribal Partnership for Environmental Protection and
Measuring Tribal Program Development Progress
The Indian Environmental General Assistance Program (GAP) was created to assist tribes
with developing the capacity to manage their own environmental protection programs.
Therefore, GAP resources are targeted to those activities designed to build a tribe's
capacity to administer environmental protection programs that address tribal priorities
supporting the objectives of EPA's programs.
Historically, EPA has not provided a clear pathway under GAP to help tribes and
intertribal consortia develop environmental protection program capacities. The indicators
contained in this Guidebook provide a pathway for defining and tracking tribal capacity
building progress under GAP, including when GAP funds are combined with other
Agency resources through Performance Partnership Grants.
The Guidebook begins with a discussion of the core program capacities that each tribal
environmental program should consider establishing with GAP funding. The remainder
of the document provides additional indicators for developing tribal capacity to
administer media-specific environmental protection programs that tribes can pursue using
GAP funding. There are often many activities that must occur to support achieving a
single indicator. EPA has specific program guidance and technical assistance tools and
resources available to help identify and plan for those specific activities; key resources
are highlighted in each section.
It is important to note that while this Guidebook outlines key indicators for developing
capacities for the major environmental protection programs, it should not be interpreted
as a prescription for all tribal environmental protection programs. As noted in the
Guidance, where indicators provided here are not appropriate or applicable, the grantee
should work with the EPA to identify appropriate capacity building indicators for
inclusion in the work plan and EPA-Tribal Environmental Plan (ETEP) and to link
funded activities to the program capacity being developed. Each tribe should define the
scope and content of its particular environmental program based on its priorities,
environmental conditions, jurisdictional situation, or other factors.
Where there are connections between tribal environmental priorities and the federal
environmental statutes, this Guidebook provides a menu of applicable capacity building
indicators that will assist in planning capacity building activities and measuring progress
in development of those capacities. Tribes are not required to pursue each capacity
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indicator listed in this Guidebook - only those applicable to the recipients' specific
circumstances and program development goals described in an ETEP (as described in
GAP Guidance Section 4.0). For tribal program activities that are outside the scope of
EPA authority, and in keeping with the Agency's 1984 Indian Policy, EPA will
encourage cooperation between tribes and other appropriate federal agencies, state and
local governments, and non-governmental organizations to resolve environmental
problems of mutual concern where appropriate.
A.2 Capacity Development for Tribes with Limited Environmental Program
Jurisdiction
Some tribes may not be able to demonstrate exclusive environmental regulatory
jurisdiction over facilities, activities, or sites. However, the Agency recognizes that these
tribal governments should still be afforded the opportunity to develop environmental
protection programs that support their meaningful involvement in the protection of
human health and natural resources. Tribes with limited jurisdiction to implement
environmental regulatory programs may use GAP funds to develop program capacities
for purposes consistent with the extent of their authorities, such as: evaluating
environmental conditions; developing voluntary or partial environmental protection
programs; participating in environmental policy making; coordinating with EPA or other
federal agencies on the implementation of federal environmental protection programs;
and entering into joint environmental protection programs with neighboring tribal, state,
or local environmental agencies.
A.3 Capacity Development is a Continuing Programmatic Need
Ultimately, establishing core program capacities should result in tribes being able to
meaningfully participate in the national system of environmental protection, in
accordance with the desired capacity level and authorities of each tribe. Developing,
establishing, and maintaining environmental program capacities is an on-going effort
requiring capacities to evolve as the tribal environmental program itself expands and
undertakes additional challenges. EPA also recognizes that GAP resources provide a
significant foundation for maintaining tribal environmental program capacities over time.
Tribes that have successfully developed capacity in a given area can continue to receive
GAP funding to expand, enhance, or evolve their capacity. For example, a tribe with a
community education program may continue to receive GAP funds to expand the
program by adding new features, such as outreach strategies for vulnerable groups (i.e.,
children, the elderly, people in poor health, and expectant mothers) or identifying new
media outlets to reach target audiences. Similarly, a tribe with basic water program
capacity may continue to receive GAP funds to expand their water program by adding
new baseline data to their existing program, developing additional laboratory analysis
quality assurance plans, or adding capacity to share additional water quality data across
multiple data platforms.
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GAP Guidance establishes a mechanism (ETEPs) for tribes to use with their respective
regional offices to document the tribe's program development goals. Tribes should re-
evaluate their program capacity development goals on a regular basis to ensure that their
systems, procedures, and policies are still appropriate for the current stage of the
environmental protection program and to determine if additional capacities are needed to
support media-specific environmental programs.
A.4 GAP: A Foundation for Tribal Program Implementation
39
The 566 federally recognized tribes (ranging from the Northern slope of Alaska to the
southern tip of Florida) and intertribal consortia face an expansive number of
environmental issues, concerns, and priorities. As a result, it is not practicable to list all
activities fundable under GAP in this Guidance; general guidelines regarding allowable
activities under GAP are provided in Section 1.4 of this Guidance.
This Guidebook presents a nationally consistent approach for defining and measuring a
tribe's environmental program capacity development. This approach is optimized to
position a tribe to expand into and administer media-specific environmental protection
programs consistent with the purposes and requirements of applicable provisions of law.
By establishing the capacity milestones identified in this Guidebook, a tribe or intertribal
consortia should be well positioned to continue to develop and implement tribal
environmental protection programs and address almost any environmental issue. A tribe
or intertribal consortia may also be able to continue to develop and implement tribal
programs that are only related to EPA's programs, but are not designed to build toward
implementing EPA programs. This approach preserves maximum flexibility for tribes to
use GAP resources effectively in response to a wide range of tribal priorities while
providing EPA with a nationally consistent approach for defining and measuring the
development of tribal environmental program capacity under GAP.
Ultimately, for many tribes, environmental protection program capacities are being built
so that the tribe may become the lead government agency for implementation of a federal
environmental program. EPA has identified three primary types of implementation
pathways related to EPA programs that tribal governments could pursue individually or
in some combination: (1) participate in EPA's direct implementation activities; (2)
implement under tribal authority; (3) implement under an EPA-approved /delegated /
authorized program. Appendix V provides a list of potential sources of EPA funding for
tribes. Please note that certain funding programs listed in Appendix V are eligible to be
combined in a Performance Partnership Grant [Catalog of Federal Domestic Assistance
(CFDA) No. 66.605], Funds available under these programs may vary from year-to-year.
For many other tribes, as noted earlier in this Guidance, program implementation is not a
long-term goal. The capacity building activities are just as important and relevant to those
tribes as to the tribes on the path to implementation. The specific pathway a tribe pursues
39 As of May, 2013.
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will depend on a number of factors; as such, the indicators of tribal capacity presented in
this Guidebook cover a wide variety of approaches.
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B: Building Core Environmental Protection Program Capacities
B.l Purpose
Many tribes receiving GAP financial assistance will operate a core multimedia40
environmental program to identify tribal environmental priorities and maintain an
environmental presence in regulatory activities affecting the tribe. Where active steps are
taken to sustain a knowledge-base and support necessary institutional infrastructure, EPA
views this environmental presence as essential to effective government-to-government
partnerships with tribes seeking to actively and meaningfully participate in environmental
protection, including tribes with limited jurisdiction to implement their own
environmental regulatory programs.
After receiving GAP grant resources to build core program capacities, tribes may need
continued funding to sustain their programs (i.e., ensure adequate program management
capacity, processes, and resources are in place for future environmental program staff)
while pursuing media specific grant resources. Adjacent jurisdictions may create
situations that are outside the control of the tribe, but directly impact the tribal
environment. Examples include, a mine opening on adjacent lands, a state implementing
a watershed planning process, or other planning processes impacting a tribe. These
events, and others like them, happen on a regular basis and tribal environmental staff
should be prepared and available to take on new tasks as they arise. Where a tribe is
ready and able to pursue assistance agreements under other EPA programs, continued
GAP funding may be directed to activities that expand on existing capacity, or a tribe
may determine it no longer needs capacity building resources in that specific area under
GAP and would transition from GAP to other funding sources.
Indicators of core capacities are included below and EPA project officers should refer to
these during GAP work plan negotiations.
The remainder of this section presents the core capacities that should be present for
planning, developing, and establishing tribal environmental protection programs.
B.2 Establishing Core Administrative Capacities
Establishing administrative core capacities includes assessing, modifying, or developing
policies and guidance that will be used to manage an environmental program and
recruiting, hiring, and retaining qualified staff to develop and manage these policies.
40 The term "media" used throughout this document refers to the EPA's individual environmental program areas (air,
land, water, waste, etc.). Programs designed to address multiple media areas, or that can apply to multiple programs,
are referred to as "multimedia." For example, the capacity to administer an underground storage tank program is
single media while community involvement programs are typically "multimedia" because they tend to address a
range of environmental topics.
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Indicators of Capacity:
B.2.1 Organizational system for the environmental program that defines staff roles
and responsibilities, describes the relationship of the environmental program
to tribal leadership and other departments, and includes supporting personnel
management policies/procedures.
B.2.2 Staff with appropriate skills, knowledge and experience to manage the
environmental program.
B.2.3 Training plan for staff that reflects the capacity-building priorities for the
environmental program.
B.2.4 Program evaluation system for use in determining whether program objectives
are met, fiscal resources are appropriately managed, and assistance award
requirements satisfied.
B.2.5 Intergovernmental agreements (tribal, federal, state, local) necessary to
implement the environmental program.
B.2.6 Written procedures similar to the Administrative Procedure Act to ensure
meaningful involvement and fair treatment in public participation.
B.2.7 Organizational filing/records retention system and policies (paper and
electronic).
B.2.8 Policies and procedures to coordinate tribal environmental protection
programs with other tribal government initiatives (e.g., transportation,
housing, infrastructure, economic development, and natural resource
management).
B.3 Establishing Core Financial Management Capacities
Establishing financial management core capacities includes assessing, modifying, or
developing financial, procurement, equipment tracking, property management, and grants
management procedures to ensure that the tribal systems are in compliance with federal
requirements. Procedures should clearly delineate roles and responsibilities, describe
recordkeeping activities, and define auditing and other evaluation methods that will be
used to ensure fiscal accountability.
Indicators of Capacity:
B.3.1 A statement by the appropriate tribal financial department demonstrating that
the tribe's accounting system, internal controls, and financial reporting
procedures adhere to the requirements found in 40 C.F.R. § 31 "Uniform
Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments"; 40 C.F.R. § 35 "Environmental Program Grants for
Tribes"; 2 C.F.R., § 225 "Cost Principles for State, Local and Indian Tribal
Governments" (formerly OMB Circular A-87); and OMB Circular A-133,
"Audits of States, Local Governments, and Non-Profit Organizations."
B.3.2 A statement by the appropriate tribal financial department demonstrating that
the tribe has a procurement procedure that meets the minimum requirements
for purchasing systems as outlined in 40 C.F.R. § 31.
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B.3.3 Written procedure for tracking (including final disposition) equipment and
supplies acquired by the environmental program in compliance with 40 C.F.R.
§31.
B.3.4 Written procedure that describes how the environmental program will
coordinate with other tribal departments to satisfy grant terms and conditions
and reporting requirements (for example, application
development/review/approval, creation and submission of required reports,
maintenance of official file, closeout of award).
B. 3.5 Current indirect cost rate agreement.
B.3.6 Tribe demonstrates proficiency in processing financial payment requests,
submits required annual Federal Financial Reports, and performs annual
financial audits as required.
B.4 Establishing Core Information Management Capacities
Establishing information management core capacities includes assessing, modifying, or
developing systems to maintain administrative records and files, useful reference material
for the environmental protection program, and information on environmental and human
health conditions that may impact human health or the environment. Information
management systems should: clearly identify roles and responsibilities; prescribe a
required format for materials and information tracked in the system(s); identify the
physical (hard copy) location of materials and information entered into the system;
identify any confidentiality issues pertaining to specific materials and information; and
note whether materials and information must be legally maintained for a specific time
period. Information management is also essential for measuring and tracking program
performance over time, including data management on environmental indicators. Data
collection, management, and reporting are key features of a core environmental
protection program.
Key sources of information management information include:
• Environmental Information Exchange Network & Grant Program:
http://www.epa.gov/exchangenetwork/grants/index.html
EPA Quality Management System: Quality Management Tools - QA Project Plans:
http://www.epa.gov/quality/qapps.html
Doing Business with EPA: Quality Specifications for non-EPA Organizations:
http ://www. epa.gov/quality/exmural .html
Indicators of Capacity:
B.4.1 Written procedure for establishing an official file for each assistance award
that contains all documentation from application through final closeout and
that requires record retention in compliance with 40 C.F.R. Part 31, "Uniform
Administrative Requirements for Grants and Cooperative Agreements to State
and Local Governments."
B.4.2 Written inventory of administrative and technical procedures, policies,
regulations, or other guidelines developed to implement the environmental
program.
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B.4.3 System to store and organize data and information collected or generated by
the environmental program for future use in characterizing environmental and
human health conditions, responding to information requests, developing
environmental projects/initiatives, or other project management data systems.
B.4.4 Exchanging and/or sharing data through the National Environmental
Information Exchange Network.
B.4.5 Written policies and procedures for protecting sensitive tribal environmental
and human health data (e.g., traditional ecological knowledge and cultural
resources).
B.4.6 Environmental mapping (Geographic Information System) capabilities.
B.5 Establishing a Baseline Needs Assessment
A baseline needs assessment is a primary step to determine the environmental resources
needing protection and the environmental and human health issues facing a particular
tribal community. Such an assessment can help a tribe to identify and prioritize a tribe's
approach for undertaking protection and restoration efforts. While there are many
approaches for conducting effective baseline needs assessments, including those that are
informed by traditional ecological knowledge, information on conducting a baseline
needs assessment can be found in Appendix II. Periodically, the baseline needs
assessment should be updated in response to factors such as: new sources of pollution,
changing environmental conditions, new development in the community, acquisition of
lands, and changes to the environmental program. However, GAP funds should not
support a baseline or other assessment that is principally for solving particular problems
at particular places - such as an environmental assessment associated with a particular
facility construction project - because they are considered program implementation
(except those related to solid and hazardous waste programs as described in Section E,
because solid and hazardous waste program implementation activities are eligible for
GAP funding).
Indicators of Capacity:
B.5.1 A current baseline needs assessment or comparable planning document, such
as a tribal Integrated Resource Management Plan, tribal environmental
inventory, natural resource assessment that reflects: (1) environmental
resources needing protection; (2) known information about existing/potential
threats to human health and the environment within the tribe's area; (3) an
evaluation of the potential impact of these threats to tribal members and
resources (4) strategic plan with long term program development and
implementation goals identified; and (5) prioritization of activities by the
environmental program to address identified threats.
B.6 Establishing Core Public Participation, Community Involvement, Education, and
Communication Capacities
Establishing public participation, community involvement, education, and
communication core capacities includes assessing, modifying, or developing systems to
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ensure that the tribal environmental protection program can notify the general public of
important events or information, publicize activities related to its projects and programs,
engage community members to understand their environmental and public health concerns,
educate the public on human health and environmental protection issues important to the
tribe, and be responsive to concerns raised. These systems should identify the various
routes or methods of disseminating information, and the time frame and particular
audience that each method would reach.
Indicators of Capacity:
B.6.1 Program to identify and address, as appropriate, disproportionately high and
adverse human health or environmental effects of tribal programs, policies,
and activities on minority populations and low-income populations within the
tribe's area of program responsibility.
B.6.2 Outreach methods that will be used to reach and solicit input from potentially
affected communities and groups.
B.6.3 Environmental Education/Outreach plans and (or) curricula.
B.6.4 Format for public notices, press releases, and other types of communications.
B.6.5 Methods that will be used to identify public concerns and respond to issues
raised.
B.6.6 Contact lists for other governmental entities and types of information that will
be shared.
B.6.1 Methods to conduct general public education, awareness, community
engagement, and information exchange on issues related to human health and
the environment.
B.6.8 Methods for collaborating and sharing information with other tribal, federal,
state, and local governments, or with other organizations.
B.6.9 Tribal consultation policies and procedures.
B.6.10 Development of tribal community-based advisory groups to assist with
planning and implementation of the tribal environmental program.
B.7 Establishing Core Legal Capacities
Establishing legal core capacities includes assessing, modifying, or enacting the tribal
laws, codes, and regulations, Interagency Agreements, Memoranda of Understanding,
and associated policies and guidance that are necessary to prevent environmental
deterioration, abate pollution conditions, and manage or enforce specific regulatory
programs. Tribes should determine what legal authorities it may use to regulate facilities
and activities that may impact air, land, or water resources within its jurisdiction,
including any compliance assurance and enforcement actions that may be appropriate.
The tribe should determine and take steps if necessary to ensure that it has the legal
authority and ability to establish and implement standards, permitting processes,
certification requirements, and civil enforcement procedures.
Tribes may use GAP funds to develop a compliance monitoring program to determine
compliance status and inform tribal decisions on when enforcement is necessary. A
tribe's compliance monitoring program should include capacities for information
gathering, data analysis, facility inspections, review of reports from regulated entities,
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and addressing citizen complaints. To ensure effectiveness and consistency, tribes should
train and provide appropriate credentials to authorized compliance monitoring personnel,
develop and adopt standardized compliance monitoring and inspection procedures and
practices, and manage the resulting information in computerized data management
systems.
Tribes may use GAP funds to establish programs that require regulated entities to
undertake self-monitoring, recordkeeping, and reporting as a means for tribes to monitor
compliance. By requiring regulated entities to measure and report their performance,
tribes are able to shift some of the burden for compliance monitoring to the regulated
community. Through sanctions for false reporting or non-reporting, defined in regulations
or permit requirements, a tribe can increase the accuracy of reports from regulated
entities.
Tribes may use GAP funds to establish programs for the enforcement of environmental
requirements. Enforcement is a fundamental element of any compliance assurance
program. In designing enforcement programs under GAP, tribes should consider adopting
and implementing a full suite of relevant enforcement mechanisms, including informal
approaches (e.g., warnings and notices of violation); formal tribal administrative or
judicial actions to compel compliance, assess penalties and/or impose other sanctions
(e.g., shut down the facility); and criminal enforcement (e.g., fines and/or imprisonment)
consistent with the tribe's authority. In responding to violations, tribes should act in a
timely manner to correct noncompliance, deter future noncompliance and where possible
redress environmental harm caused by noncompliance. Tribes may also use GAP funds to
develop and maintain the capacity to work cooperatively with federal enforcement
officials to address environmental violations that give rise to civil or criminal
investigations.
Tribes may use GAP funds to establish programs that facilitate citizen access to
compliance information, subject to confidentiality and preservation of privileged
information. Providing the public with information on the compliance status of regulated
entities gives surrounding communities information on possible risks they may be facing
as a result of noncompliance and arms citizens with information they can use to put
pressure on noncompliant facilities to come into compliance and on regulatory agencies
to address noncompliance. Without prematurely revealing information on enforcement
cases or compromising confidentiality and privileged information, tribes should strive to
provide public access to information on the entities regulated by environmental
requirements, their compliance status, and any history of formal and informal
enforcement actions taken to address noncompliance. Tribes should establish procedures
for citizens to request and receive specific information via all available media within a
reasonable timeframe, subject to applicable laws and policies on confidentiality, the
preservation of privileged information, and other limitations on sharing information.
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Indicators of Legal Capacity:
B.7.1 A statement by tribal legal counsel demonstrating that the tribe has authority
to pass and enforce laws/ordinances to protect human health and the
environment.
B.7.2 A statement by tribal legal counsel demonstrating that tribal government
authority provides the tribe with power to enjoin activities determined to be
harmful to the health or welfare of persons or the environment.
B.7.3 A dedicated section of the tribe's laws/codes/ordinances for environmental
protection program activities that establish standards, permitting processes,
certification requirements, compliance assurance, and enforcement
procedures.
B.7.4 A program to provide compliance assistance to regulated entities to promote
an understanding of applicable environmental requirements and assist them in
attaining and maintaining compliance.
B. 7.5 Documentation supporting the tribe's claim of interests to usual and
accustomed areas and to cultural resources potentially affected by
environmental protection activities.
B.7.6 Interagency Agreements or Memoranda of Understanding with other tribal,
federal, state, or local governments regarding environmental protection.
Compliance Monitoring Program Indicators:
B.7.7 Procedures and systems for maintaining an inventory of regulated entities or
activities.
B.7.8 Procedures to train and provide credentials to authorized compliance
monitoring personnel.
B.7.9 A program to require regulated entities to keep records, review records, and
provide applicable records to the tribe.
B.7.10 Incentives and voluntary reporting of noncompliance that encourages
compliance and environmental stewardship.
B.7.11 Procedures for receipt, evaluation, retention and investigation for possible
enforcement of all notices and reports required of regulated entities.
B.7.12 Procedures and resources to assure adequate coverage of regulated entities
through compliance monitoring activities. Compliance monitoring activities,
including inspections, should be conducted to: (a) determine compliance with
applicable program requirements, including but not limited to permit
conditions; (b) document noncompliance; (c) verify the accuracy of
information required to be reported or maintained by the regulated entity; and
(d) verify the adequacy of sampling, monitoring, and other methods used to
develop the information submitted.
B.7.13 A program to enter a site potentially subject to regulation - or in which
records relevant to applicable program requirements are kept - in order to
copy records, inspect, monitor emissions or take samples, or otherwise
investigate compliance.
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B.7.14 Procedures to ensure that compliance monitoring activity is conducted in a
manner (e.g., using "chain of custody" procedures for samples taken from a
regulated entity) that will produce evidence admissible in enforcement
proceedings or court.
B.7.15 Procedures for encouraging public reporting of violations, including a
mechanism for the public to submit such reports, and for ensuring proper
consideration of citizen tips and complaints.
Enforcement Program Indicators:
B.7.16 A program to immediately and effectively enjoin any activity that may present
an imminent and substantial endangerment to public health or the
environment.
B.7.17 A program to restrain unauthorized activity, compel compliance with
applicable requirements, and impose injunctive relief to remedy
noncompliance.
B.7.18 A program to compel regulated entities to submit reports and provide
documents to the tribe for the purpose of assessing compliance with
applicable requirements.
B.7.19 A program to compel regulated entities to conduct monitoring or sampling
and provide results to the tribe for the purpose of assessing compliance with
applicable requirements.
B.7.20 A program to assess or sue to recover civil penalties appropriate to the
violation.
B.7.21 A program to assess penalties for violations of applicable requirements, such
as fines or imprisonment for environmental crimes.
B.8 Establishing Core Technical and Analytical Capacities
Tribes may use GAP resources to build baseline environmental program capacities that
will then be further developed and enhanced through media-specific EPA programs and
other funding sources. GAP should be used to provide a foundation of technical and
analytical skills, knowledge, and resources that will be valuable to tribes as they make
decisions to pursue specific media projects and programs. GAP may support activities
that establish the recipient's capacity to manage projects involving data collection,
including the establishment of a quality system conforming to the current edition
American National Standard Institute ANSI/ASQ E4, "Quality Systems for
Environmental Data and Technology Programs: Requirements with Guidance
for Use." Capacities include the ability to conduct direct measurements or generate data,
model environmental conditions, compile data from literature or electronic media, and
the ability to manage data supporting the design, construction, and operation of
environmental technology. The collection and management of data associated with
specific technologies is considered implementation and is not fundable under GAP. More
information is available online at: http://www.epa.gov/ogd/grants/assurance.htm.
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Indicators of Capacities:
B.l
U
Quality assurance and management plans.
BJ
12
Intergovernmental agreements with other jurisdictions related to
environmental protection.
B.l
13
Funding from other sources.
B.l
1.4
Environmental monitoring/sampling programs.
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C: Building Tribal Ambient and Indoor Air Quality Program Capacities
C.l EPA's Air Quality Programs
Air quality is regulated primarily under the CAA. The CAA was first enacted in 1963 and
underwent significant revisions in 1970 and 1990. The CAA focuses on three key areas:
(1) reducing outdoor, or ambient, concentrations of air pollutants that cause smog, haze,
acid rain, and other problems; (2) reducing emissions of toxic air pollutants that are
known to, or are suspected to, cause cancer or other serious health effects; and (3)
phasing out production and use of chemicals that destroy stratospheric ozone. For more
information on the CAA, visit: http://www.epa.gov/air/caa/.
EPA takes on varying roles to ensure the CAA is implemented, including EPA
authorization and oversight of state and tribal CAA programs and/or direct
implementation by EPA, where applicable. Under the CAA, EPA implementation
activities include: (1) designation of non-attainment areas for national ambient air quality
standards; (2) development and promulgation of federal implementation plans (FIPs); (3)
issuing pre-construction permits and operating permits for sources of air pollution; (4)
compliance assurance (including inspections) and enforcement; (5) processing asbestos
notifications for demolitions/renovations or regulated structures; and (6) ensuring risk
management plans are submitted by regulated entities. The CAA Tribal Authority Rule
(TAR) offers tribes the option to seek TAS eligibility to develop air quality management
programs, write rules to reduce air pollution, and implement and enforce rules under the
CAA that are appropriate for their communities.
The Emissions Inventory System (EIS) contains compliance and permit data for
stationary sources of air pollution (such as electric power plants, steel mills, factories, and
universities) regulated by EPA, tribes, states, and local air pollution agencies. The
information in EIS is used to prepare Federal Implementation Plans or Tribal
Implementation Plans (TIPs) and to track the compliance status of point sources under
the CAA. EIS can be accessed at http://www.epa.gov/ttn/chief/eiinformation.html. Tribal
staff may be aware of other facilities that may be subject to regulation under the CAA.
In addition to participating in the federal CAA scheme for managing air quality, tribes
may use GAP funds to develop their own air quality management programs consistent
with their own priorities and authorities. As a result, tribal program management TAS
designations are only one indicator of successful tribal program capacity. This section
includes a number of tribal program capacity indicators applicable to a wide range of
tribes, including tribes that are not planning to pursue TAS status for program
implementation.
Key sources of program guidance include:
• The Tribal Air Grants Framework: A Menu of Options. October 2007.
http://www.epa.gov/oar/tribal/pdfs/Tribal%20Air%20Grants%20Framework%20rev%
201 l_07.pdf
• Tribal Air Program Resources, http://www.epa.gov/air/tribal/airprogs.html
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• Radiation Publications: http://www.epa.gov/radiation/pubs.html
• Office of Air and Radiation National Program and Grant Guidance.
http://epa.gov/planandbudget/
• Preparing for Climate Change: A Guidebook for Local, Regional, and State
Governments: http://www.icleiusa.org/action-center/planning/adaptation-guidebook
C.2 Establishing Tribal Air Quality Programs
This subsection provides a "road map" for tribes and outlines a non-exclusive list of tribal
environmental protection program capacity indicators that EPA will use to evaluate
progress under the GAP. In general, GAP funding should be used to build baseline
environmental program capacities; once capacity is established, tribes may seek funding
under EPA's media-specific programs to support more complex program development
and implementation while continuing to use GAP resources for ongoing capacity building
activities.
The first stage in developing an air quality management program is to develop the
necessary expertise and skills to identify, address, and manage air quality issues. Tribal
capacity-building activities should focus on assigning staff, acquiring initial training,
compiling relevant data on which the tribe can make program development decisions,
engaging the tribal community on air quality issues, collecting and analyzing new air
quality data, and using this information to make decisions on further development of an
air quality management program.
After building fundamental program capacities related to the CAA and evaluating the
type of air quality issues facing the community, tribes may consider undertaking efforts
to establish air quality protection programs. Tribes and inter-tribal consortia are
encouraged to seek funding support under EPA's media-specific programs where
appropriate.
C.3 Indicators of Air Quality Program Capacity
C.3.1 Tribe has established a staffing plan (position description and
recruitment/retention/promotion plan) for who will serve as tribal air
quality/indoor air quality program coordinator(s).
C.3.2 Staff has completed appropriate training and acquired baseline knowledge and
skills related to the CAA (become familiar with the major goals, programs,
and requirements of the CAA; the national structure for implementing the
CAA; and the EPA regional personnel and organization).
C 3.3 Staff has completed appropriate indoor air quality training and acquired skills
related to indoor air quality (e.g., Healthy Homes training).
C.3.4 Tribe has established a program to meaningfully participate in air quality
management programs administered by other tribal, federal, state, or local
governments (including reviewing and commenting on air quality standards
and facility permit actions).
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C.3.5 Tribe is receiving funding under the CAA or other related EPA media specific
program.
C.3.6 Tribe has completed an emissions inventory and submitted to the National
Emissions Inventory Database.
C.3.7 Tribe has developed an air monitoring strategy and associated quality
assurance project plan.
C.3.8 Tribe has established a program to collect and upload quality assured ambient
air monitoring data into the Air Quality System (AQS) database.
C.3.9 Tribe has completed a report analyzing air quality and radiation hazard issues
impacting the tribe and evaluated air pollution control options (identifies air
pollution sources and known levels of emissions, defines potential human
health and environmental impacts of current air quality, and provides
recommendations for action).
C.3.10 Tribe has completed an indoor air quality assessment and report.
C.3.11 Tribe has established a radon program that tests residential and other occupied
structures for radon, identifies those above the EPA action level, and conducts
outreach and education in the community.
C 3.12 Tribe has prepared a report recommending actions to improve indoor air
quality and reduce levels for radon, mold, moisture, and environmental
pollutants.
C 3.13 Tribe has incorporated indoor air quality improvements or features as part of
building renovation programs (e.g., weatherization and rehabilitation) and
new construction.
C.3.14 Tribe has developed a climate change vulnerability/risk assessment.
C.3.15 Tribe has developed a climate change preparedness/adaptation program (e.g.,
zoning rules and regulations; tax incentives; building codes/design standards;
utility rates/fee setting; public safety rules and regulations; outreach and
education; emergency management powers).
C.3.16 Tribe has established a Diesel Emissions Reduction Program (identified diesel
engine use; evaluated short- and long-term priorities for reduction of
emissions; selected implementation options such as installing diesel retrofit
devices with verified technologies on school buses,
maintaining/repairing/rebuilding engines, replacing older vehicles/equipment
with more efficient engines or engines that run on cleaner fuel, improve
operational strategies).
C.3.17 Tribe has established energy efficiency policies and program(s) (e.g., building
design standards/codes, ENERGY STAR initiatives for government
operations and tribal housing).
C.3.18 Tribe has established an air toxics program (capacity to: monitor for acid and
mercury deposition; sample subsistence food sources to measure the
accumulation of toxics; partner with other jurisdictions on assessment
projects; communicate potential threats to community members; implement
actions to reduce sources of air toxics pollution).
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C.3.19 Tribe has established community outreach/education programs, including air
quality advisory system (e.g., indoor air quality, radon, diesel emissions
reduction, burn barrels, wood smoke, anti-idling, greenhouse gas and ozone-
depleting substance reduction, climate change, and radiation hazards).
C.3.20 Tribe has established intergovernmental partnerships with federal, state, local,
and tribal governments to address air quality issues, including climate change,
and radiation hazards (e.g., memoranda of understanding, interagency
agreements).
C.3.21 Tribe has established a program to comply with Federal Air Rules for Indian
Reservations (FARR) requirements, where applicable.
C.3.22 Tribe has developed and promulgated air quality standards.
C.3.23 Tribe has developed a Tribal Implementation Plan (TIP) under CAA Section
301 to identify sources of air pollution and to determine what reductions are
necessary to meet air quality standards.
C.3.24 Tribe has developed/submitted request to redesignate a reservation as a CAA
Class I area.
C.3.25 Tribe has developed/submitted recommendations on designations for new
National Ambient Air Quality Standards.
C.3.26 Tribe has established program to assist EPA with implementing the federal
CAA program (e.g., assisting the Agency to develop/update an inventory of
regulated entities, compliance assistance activities for regulated entities,
obtaining federal inspection credentials to inspect regulated entities, and
assisting EPA to draft permits for regulated entities).
C.3.27 Tribe has submitted application under the Tribal Authority Rule (TAR)
requesting approval of specific CAA programs.
C.3.28 Tribe has developed program to implement a Title V operating permit
program for major sources of air pollution.
C.3.29 Tribe has developed program to implement new source review permitting
program for minor sources of air pollution.
C.3.30 Tribe has enacted ambient air quality and/or radiation hazard laws, codes,
and/or regulations with effective compliance assurance and enforcement
provisions that are at least as stringent as the federal statutes.
C 3.31 Tribe has enacted green building codes, guidelines and/or protocols that
promote healthier indoor air quality and apply these practices to new and
retrofitted buildings.
C 3.32 Tribe has established a program to conduct indoor air quality outreach,
education, and/or training for tribal government personnel and/or community
members.
C.3.33 Tribe has enacted indoor air quality laws, codes, and/or regulations with
effective compliance assurance and enforcement provisions.
C.3.34 Tribe has developed a program to provide compliance assurance (including
inspections) and enforcement (e.g., work with regulated community system
operators to determine if appropriate training and certification has been
obtained, and, if not, assist with acquiring such training and/or certification).
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D: Building Tribal Water Quality Program Capacities
D.l EPA's Clean Water and Safe Drinking Water Programs
The Clean Water Act (CWA) is the primary federal law protecting the quality of surface
water. The law was originally passed in 1972, and was amended in 1977 and 1987. The
CWA establishes the basic structure for regulating discharges of pollutants into the
waters of the United States and regulating water quality standards for surface waters. In
ensuring water quality to "restore and maintain the chemical, physical and biological
integrity of the Nation's waters," the CWA includes provisions for addressing water
pollution from point sources, diffuse sources of surface water runoff (nonpoint),
protection of national estuaries and coastal waters, and dredge and fill actions (e.g., of
wetlands) into waters of the United States. For more information on the CWA, visit
http://www.epa.gov/lawsregs/laws/cwa.html.
EPA takes on varying roles to ensure the CWA is implemented, including EPA
authorization and oversight of state and tribal CWA programs and/or direct
implementation by EPA, where applicable. The primary program implementation
activities include: (1) determining protection levels for waters of the United States by
establishing Water Quality Standards; (2) assessing water quality to identify impaired
waters (water quality monitoring); (3) defining and allocating control responsibilities to
meet water quality standards; (4) issuing CWA Section 402 surface water discharge
permits; (5) providing assistance to address nonpoint source pollution; (6) providing
compliance assurance (including inspections) and enforcement; (7) issuing water quality
certifications; and (8) reviewing CWA Section 404 dredge and fill permit applications. In
addition, under the CWA, EPA: (9) responds to releases of petroleum products to
navigable waters; (10) ensures that regulated entities have spill prevention, control and
counter-measures (SPCC) plans, and (11) provides financial and technical assistance for
the construction of wastewater facilities.
The Safe Drinking Water Act (SDWA) is the legal framework under which the nation's
public drinking water supplies are regulated and applies to every public water system in
the United States. It requires many actions, such as the setting of national drinking water
standards or requiring ways to treat the water to remove contaminants to protect drinking
water and its sources - rivers, lakes, reservoirs, springs, and ground water wells. The
Underground Injection Control program, under the SDWA, is designed to prevent
underground injections from endangering drinking water sources. The SDWA was
originally passed in 1974, and it was amended in 1986 and 1996. For more information
on the SDWA, visit http://water.epa.gov/lawsregs/rulesregs/sdwa/index.cfm.
EPA takes on varying roles to ensure the SDWA is implemented, including EPA
authorization and oversight of state and tribal primacy programs and/or direct
implementation by EPA, where applicable. The primary program implementation
activities include: (1) conducting sanitary surveys; (2) providing technical assistance to
managers and operators of facilities subject to compliance requirements; (3) permit
actions for regulated entities; (4) maintaining a database to hold compliance information
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of public water systems; (5) monitoring public water supplies and providing compliance
assurance (including inspections); (6) compliance assurance (including inspections) at
regulated Underground Injection Control (UIC) wells; and (7) conducting enforcement.
The Permit Compliance System (PCS) provides information on facilities that have been
issued permits to discharge to surface water. The Safe Drinking Water Information
System (SDWIS) contains information about public water systems that have been
reported to EPA by state or tribal environmental agencies. To access PCS or SDWIS
information, please visit http://www.epa.gov/enviro/index.html.
The Agency is currently developing a national information system for facilities regulated
under the UIC Program. In the meantime, the EPA regional offices maintain separate
databases of UIC injection well activities.
Tribal staff may be aware of other facilities that may be subject to regulation under the
CWA and SDWA.
Tribes are not required to administer CWA programs, but may apply for TAS eligibility
under CWA Section 518(e) to administer certain CWA programs. Tribes must apply for
and receive EPA approval to be eligible for TAS for each program in which they are
interested.41 In addition to acquiring eligibility for certain water-related funding
programs, tribes may also seek authorization to administer CWA water quality standards,
water discharge permit programs, water quality certification programs, and dredge and
fill permitting programs.
Similarly, EPA is the primary federal agency responsible for administering the SDWA,
and directly implements the drinking water program and underground injection control
program, except where states or tribes have primacy, which is the authority to implement
SDWA within their jurisdictions. Under Section 1451 of the SDWA, tribes may apply for
TAS and seek "primacy" to administer a public water supply supervision program and/or
the requirements related to underground injection control wells.
In addition to participating in the federal CWA and SDWA scheme for managing water
quality, tribes may use GAP funds to develop their own water quality management
programs consistent with their own priorities and authorities. As a result, tribal program
management TAS designations are only one indicator of successful tribal program
capacity. This section includes a number of tribal program capacity indicators applicable
to a wide range of tribes, including tribes that are not planning to pursue TAS status for
program implementation.
In addition to pursuing program eligibility for delegation of EPA CWA programs, there
are other opportunities for tribal governments to partner with EPA to implement CWA
41 Limitations in the CWA or other federal legal impediments prevent some tribes from obtaining TAS status.
Excluded tribes include tribes that are not federally recognized, and tribes without formal reservations or tribal trust
lands, such as most Alaska Native Villages.
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provisions. As appropriate, EPA regional offices can utilize Direct Implementation Tribal
Cooperative Agreements (DITCAs), memoranda of agreement, program funding, and
other devices to provide for tribal participation in the implementation of the CWA. Please
see Appendix IV, "EPA Water Program Reference Table: Framework for Tribal Water
Program Strategic Planning and Development," for more information on program
activities associated with partnering with EPA on water program implementation,
developing a tribal water program under tribal authority, and pursuing TAS for certain
water programs.
Key sources of program guidance and information for developing programs under these
statutes include:
• CWA -Information on activities and developing Water Quality programs:
- "Final Guidance on Awards of Grants to Indian Tribes under Section 106 of the
Clean Water Act," EPA, 2007 (EPA 832-R-06-003).
http://water.epa.gOv/grants_funding/cwsrf/upload/2006_10_20_cwfinance_final-
trib al -gui dance. pdf
"Handbook for Developing and Managing Tribal Nonpoint Source Pollution
Programs Under Section 319 of the Clean Water Act," EPA, 2010.
http://water.epa.gov/polwaste/nps/tribal/index.cfm
• SDWA - Information on activities and developing the Tribal PWSS Program:
Overview of PWSS: http://www.epa.gOv/indian/laws/tas.htm#pwss
Tribal Drinking Water: http://water.epa.gov/aboutow/ogwdw/tribal.cfm
TAS for PWSS under the SDWA: www.epa.gov/tribal/pdf/tas-strategy-attach-
h.pdf; www.epa.gov/tribal/pdf/tas-strategy-attach-i.pdf
D.2 Establishing Tribal Water Quality Programs
This subsection provides a "road map" for tribes and outlines a non-exclusive list of tribal
environmental protection program capacity indicators that EPA will use to evaluate
progress under the GAP. In general, GAP funding should be used to build baseline
environmental program capacities; once capacity is established, tribes may seek funding
under EPA's media-specific programs to support more complex program development
and implementation while continuing to use GAP funding for ongoing capacity building
activities. When considering water program capacity-building activities, it may be
beneficial for a tribe to align their capacity-building activities with EPA water program
guidance early on. This can: (1) increase efficiency in a tribe's use of both GAP and
media program funding towards developing a program; (2) facilitate obtaining future
EPA tribal water grant funding; and/or (3) facilitate obtaining EPA approval for a tribe to
implement federal regulatory roles under the CWA or SDWA. Tribes developing water
quality and drinking water protection programs should work directly with EPA water
program staff and follow EPA Clean Water Act and Safe Drinking Water Act-related
policies and guidance.
The first stage in developing a water quality management program is to develop the
necessary expertise and skills to identify, address, and manage water quality issues.
Tribal capacity-building activities should focus on: (1) assigning staff; (2) acquiring
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initial training; (3) compiling relevant data on which the tribe can make program
development decisions; and (4) engaging the tribal community on water quality issues.
After building fundamental program capacities related to the CWA and SDWA and
evaluating the type of water quality issues facing the community, tribes may consider
undertaking efforts to establish water quality protection programs. Tribes and inter-tribal
consortia are encouraged to seek funding support under EPA's media-specific programs
where appropriate. Please see Appendix IV to view water program planning and
development activities in relation to water program implementation under the CWA and
SDWA.
D.3 Indicators of Water Quality Program Capacity
General Tribal Water Program Indicators
D.3.1 Tribe has established a staffing plan (position description and
recruitment/retention/promotion plan) for who will serve as tribal water
quality program coordinator.
D.3.2 Staff has completed training and acquired baseline knowledge and skills
related to the CWA and SDWA (e.g., become familiar with the major goals,
programs, and requirements of the CWA and SDWA; the national structure
for implementing the CWA and SDWA; and the EPA regional personnel and
organization).
D.3.3 Tribe has established a program to meaningfully participate in water quality
management programs administered by other tribal, federal, state, or local
governments (including reviewing and commenting on technical water
documents, water quality standards, and facility permit actions).
D.3.4 Tribe is receiving funding under the CWA, SDWA, or other related EPA
media specific program.
D.3.5 Tribe has identified its water resources and associated environmental and
human health issues (including: inventories of regulated entities; discharge
points requiring NPDES permits; facilities requiring Spill Prevention, Control,
and Countermeasure (SPCC) plans; sensitive ecosystems).
D.3.6 Tribe has established community outreach/education programs related to
water quality and/or protecting health through safe drinking water (e.g., fish
consumption advisory system, water efficiency, nonpoint source pollution best
management practices, infrastructure needs for water and wastewater utilities,
and wetlands restoration activities).
D.3.7 Tribe has established water efficiency policies and program(s) (e.g., building
design standards/codes, WaterSense initiatives for government operations,
water use restrictions).
D.3.8 Tribe has established intergovernmental partnerships with federal, state, local,
and tribal governments to address water quality or drinking water issues (e.g.,
memoranda of understanding, interagency agreements).
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Indicators Related to the Clean Water Act
Water Quality Monitoring Program Indicators
D.3.9 Tribe has completed a water quality assessment report that analyzes water
quality issues impacting the tribe and evaluated water pollution control
options (e.g., identifies dischargers and types/amounts of discharge, defines
potential human health and environmental impacts of current water quality,
provides recommendations for action, identifies water program financial
needs, and identifies water quality program goals, objectives, and milestones).
D.3.10 Tribe has developed a water quality monitoring strategy.
D.3.11 Tribe has developed quality assurance project plan (QAPP) associated with
the water quality monitoring strategy.
D.3.12 Tribe has established data management functions for its water quality
monitoring data, including a program to collect and upload all required quality
assured surface monitoring data into WQX/STORET database where
applicable.
D.3.13 Tribe has developed a water quality monitoring program.
D.3.14 Tribe has submitted complete TAS package for 106 grant eligibility.
Nonpoint Source (NPS) Program Indicators
D.3.15 Tribe has worked with other stakeholders in the watershed to develop a
watershed based plan that identifies nonpoint source pollution problems and
options for best management practices.
D.3.16 Tribe has submitted an eligibility package for CWA Section 319, including a
TAS package and a Nonpoint Source Assessment Report and Management
Plan.
Wetlands Program Indicators
D.3.17 Tribe has developed a Wetlands Program Plan.
D.3.18 Tribe has developed a wetlands protection program pursuing one or more of
the core wetland program elements (Monitoring & Assessment, Regulation,
Voluntary Restoration & Protection, and Water Quality Standards for
Wetlands).
Water Quality Standards Indicators
D.3.19 Tribe has developed and promulgated tribal water quality standards, including
designated uses for tribal waters.
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Indicators for Impaired Waters Identification/Listing and Total Maximum Daily Loads
(TMDLs) Programs
D.3.20 Tribe has established a program to provide water quality-related data and
information on geographically-relevant waters to EPA.
D.3.21 Tribe has established a program to review and comment on water quality
reports, TMDLs, and other watershed-based planning efforts undertaken by
other government agencies (federal, state, local, or tribal).
D.3.22 Tribe has established a program to assess water quality conditions, including
comparing water quality monitoring information and data against applicable
water quality standards.
Water Quality Permitting, Compliance, and Enforcement Program Indicators
D.3.23 Tribe has established a program to assist EPA with implementing the federal
CWA programs (e.g., compliance assurance activities for regulated entities,
obtaining federal inspection credentials to inspect regulated entities, and
assisting EPA to draft permits for regulated entities).
D.3.24 Tribe has developed the funding structure and legal framework (e.g., laws,
codes, and/or regulations with effective enforcement provisions that are at
least as stringent as the CWA) to implement a permit program.
D.3.25 Tribe has established a program to permit facilities discharging to tribal
waters.
D.3.26 Tribe has established a program to provide compliance assurance (including
inspections) and enforcement for a tribal permit program.
Indicators to pursue only if seeking EPA-approved CWA TAS authority
D.3.27 Tribe has developed and submitted a TAS package for EPA-approved WQS
program.
D.3.28 Tribe has developed and submitted a TAS package for EPA-approved NPDES
program.
D.3.29 Tribe has developed and submitted a TAS package for a CWA Section 401
certification program.
D.3.30 Tribe has developed and submitted a TAS package for a CWA Section 404
dredge and fill permit program.
D.3.31 Tribe has established a program (including modeling) to develop TMDLs and
other water quality based planning efforts.
D.3.32 EPA-approved Water Quality Standards are in place.
D.3.33 Tribe has established program to monitor federally-approved surface and/or
wetlands water quality standards and perform triennial review.
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Indicators Related to the Safe Drinking Water Act
Ground Water and Source Water Protection Program Indicators
D.3.34 Tribe has delineated source water protection areas.
D.3.35 Tribe has developed source water assessment and protection plan/wellhead
protection plans for community water supplies.
Drinking Water Permitting, Compliance, and Enforcement Program Indicators
D.3.36 Tribe has established a program to assist EPA with implementing the federal
Public Water System Supervision (PWSS) program (e.g., compliance
assurance activities, obtaining federal inspection credentials, and assisting
EPA to draft permits).
D.3.37 Tribe has established a program to assist EPA with implementing the federal
Underground Injection Control (UIC) program (e.g., compliance assurance
activities, obtaining federal inspection credentials, and assisting EPA to draft
permits).
D.3.38 Tribe reports quality assured Underground Injection Control (UIC) inventory
information to EPA (especially Class V wells).
Indicators to pursue only if seeking EPA-approved SDWA program delegation authority
D.3.39 Tribe has developed the funding structure and legal framework (e.g., laws,
codes, and/or regulations with effective enforcement provisions that are at
least as stringent as the SDWA) to implement the primary drinking water
enforcement program (primacy).
D.3.40 Tribe has primacy for implementing the Public Water Supervision System
(PWSS) program (SDWA Section 1451).
D.3.41 Tribe has developed and submitted a draft authorization package to EPA for
approval to enforce federal UIC requirements and manage injection wells on
tribal lands.
D.3.42 Tribe has primacy for implementing Underground Injection Control wells
regulatory program.
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E: Building Solid Waste, Hazardous Waste, and Underground Storage Tank
Capacities
E.l EPA's Solid Waste, Hazardous Waste, and Underground Storage Tank Programs
GAP funding related to tribal solid and hazardous waste programs is unique in that the
GAP statute provides EPA with the authority to fund both the development of program
capacity as well as program implementation in accordance with the purposes and
requirements of applicable provisions of law, including the Solid Waste Disposal Act (42
42
U.S.C. 6901 et seq.). Agency priorities for resources applied to tribal solid waste
programs will be consistent with both the GAP Guidance and the Environmental
Protection Agency-Wide Plan to Provide Solid Waste Management Capacity Assistance
to Tribes (Plan). Therefore, each fiscal year regions should review GAP assistance
agreement work plans for consistency with the priorities expressed in the Plan. The GAP
Guidance and Plan are dynamic documents subject to further refinement as priorities and
resources change.
The Resource Conservation and Recovery Act (RCRA) is the primary federal law for
managing solid waste, hazardous waste, and Underground Storage Tanks (USTs). The
law was originally enacted in 1976, amending the Solid Waste Disposal Act of 1965, and
has been subsequently amended. The federal hazardous waste regulations under RCRA
Subtitle C apply to all facilities generating and managing hazardous wastes. Under
RCRA Subtitle D, EPA has established nationally applicable criteria for non-hazardous
waste disposal facilities.43 Under RCRA Subtitle I, EPA has established criteria for the
operation and closure of USTs and Leaking USTs (LUSTs). Also pursuant to RCRA,
EPA promotes sustainable materials management, including pollution prevention and
environmentally-sound recycling. Sustainable materials management uses a "cradle-to-
cradle" approach to focus on the full life cycle of materials including how they can be
reinvested and reincorporated into manufacturing, thus reducing the use of virgin
materials. For more information on RCRA, visit: http://www.epa.gov/epawaste/index.htm
and http://www.epa.gov/oust/tribes/index.htm
Under RCRA, EPA implementation activities include: (1) issuing permits to hazardous
waste treatment, storage, and disposal facilities; (2) issuing RCRA identification numbers
to facilities that handle (generate, store, treat, transport, etc.) hazardous waste; (3)
conducting compliance assurance (including inspections) and enforcement at facilities
subject to the hazardous waste or UST requirements; (4) accepting required notifications
from regulated UST owner/operators; (5) directing corrective action activities at facilities
subject to the hazardous waste or UST requirements; and (6) exercising enforcement
options as necessary under RCRA, including: RCRA § 7003 44 (which allows EPA to
42 The Indian Environmental General Assistance Act of 1992, 42 U.S.C. § 4368b(f).
43 40 C.F.R. Parts 257 and 258.
44 Guidance on the Use of Section 7003 of RCRA, U.S. EPA Office of Enforcement and Compliance Assurance,
October 1997 (http://www.lb7.uscourts.gov/documents/08-34331.pdf).
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respond to conditions at non-hazardous waste facilities which may present an imminent
and substantial endangerment to health or the environment) or § 4005(c)(2).45
In 1994, Congress passed the Indian Lands Open Dump Cleanup Act of 1994 (25 U.S.C.
§ 3901-3908).46 The Act authorizes the Indian Health Service (IHS), in cooperation with
EPA, to develop and maintain an inventory of open dumps and an assessment of the
relative severity of the threat posed by each dump. The IHS uses the Web Sanitation
Tracking and Reporting System (w/STARS) database to inventory sanitation
infrastructure deficiencies, including open dumps in tribal areas.
EPA's RCRA Information system (RCRAInfo) is a national program management and
inventory system that maintains information on hazardous waste generators, transporters,
treatment facilities, storage facilities, and disposal facilities. To access RCRAInfo, please
visit http://www.epa.gov/enviro/facts/rcrainfo/index.html. EPA regional offices maintain
UST inventories for each tribal land area.
Tribal governments have opportunities to partner with EPA in its RCRA activities under
the Subtitle C (hazardous waste) and I (UST) programs. As appropriate, EPA regional
offices can utilize Direct Implementation Tribal Cooperative Agreements (DITCAs),
memoranda of agreement, program funding, or other mechanisms to provide for tribal
participation in the implementation of the RCRA hazardous waste and UST programs.
Examples of activities that tribal staff may be able to engage in with EPA include: (1)
assisting the Agency to develop/update an inventory of facilities subject to federal
compliance requirements; (2) conducting compliance assistance activities for inventoried
facilities; (3) obtaining federal inspection credentials to inspect facilities on behalf of
EPA; (4) assisting EPA to draft facility permits; and (5) assisting EPA to provide
oversight of corrective actions.
Key sources of tribal-related program guidance include:
• "The Environmental Protection Agency-Wide Plan to Provide Solid Waste
Management Capacity Assistance to Tribes" (Date TBD)
http://www.epa.gov/epawaste/wyl/tribal/capacityassist.htm
• "OSWER Tribal Strategy: EPA and Tribal Partnership to Preserve and Restore Land
in Indian Country," November 2008.
http://www.epa.gov/oswer/tribal/pdfs/oswer_tribal_strategy.pdf
• "Tribal Decision Makers Guide to Solid Waste Management," November 2003
http://www.epa.gov/epawaste/wyl/tribal/tribalguide.htm
• "The Five Elements of a Tribal Integrated Waste Management Plan," July 2007
(http://yosemite.epa.gov/osw/rcra.nsf/6f3756cl6d517d7185256f2a007818ee/e7661f3537
91ad71852573780050876e!OpenDocument)
45 Guidance on Using RCRA Section 4005(c)(2) to Address Uncontrolled Waste Dumps in Indian Country, U.S.
EPA Office of Enforcement and Compliance Assurance, March 2007.
(http://www.epa.gov/compliance/resources/policies/civil/rcra/rcrasection4005c2-guidance.pdf)
46 The Indian Lands Open Dump Cleanup Act of 1994 can be found at:
http://www.gsa.gov/graphics/pbs/INDIAN_LANDS_OPEN_DUMP_CLEANUP_ACT_OF_1994.pdf
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• "Building a Tribal Solid Waste Program"
http://www.epa.gov/regionlO/pdf/tribal/igapfyl3/attachment_B_building_a_tribal_soli
d_waste_program. pdf
• "Sustainable Materials Management"
http://www.epa.gov/epawaste/conserve/smm/index.htm
• "Report to Congress on Implementing and Enforcing the Underground Storage Tank
Program in Indian Country," August 2007.
http://www.epa.gov/oust/fedlaws/rtc_finalblnkpgs.pdf
• "Strategy for an EPA/Tribal Partnership to Implement Section 1529 of the Energy
Policy Act of 2005," August 2006. http://www.epa.gov/oust/fedlaws/tribal-strat-
080706r.pdf
• RCRA Compliance Monitoring Policies and Guidance
http://epa.gOv/compliance/resources/policies/monitoring/index.html#rcra
• "Underground Storage Tank Enforcement Compendium," May 2009
http://www.epa.gov/oecaerth/resources/policies/federalfacilities/enforcement/civil/ust
compendium .pdf
E.2 Program Capacity Building: Planning, Developing, and Establishing Tribal Waste
Management and Underground Storage Tank Program Capacity
Tribal environmental departments develop waste management program capacity through
a range of planning and development activities. Section E.3 provides a non-exclusive list
of tribal environmental protection program capacity indicators that EPA will use to
evaluate progress under the GAP. In general, GAP funding should be used to build the
applicable tribal environmental program capacities; once capacity is established, tribes
may seek funding to support more complex program development and implementation
while continuing to use GAP resources for ongoing capacity building activities.
EPA's main tribal solid waste priority is the promotion of sustainable tribal waste
management programs through the development and implementation of Integrated Waste
Management Plans (IWMPs).
EPA will focus GAP funding on this priority. An IWMP outlines a tribe's overall long-
term approach for managing waste and serves as a roadmap for developing an effective
waste management program. IWMPs also provide tribes with a way to identify waste
management funding needs, investigate potential funding sources, and allocate resources
accordingly. By promoting the adoption of effective cradle-to-grave regulatory oversight,
IWMPs also help tribes address existing open dumps and prevent new open dumps. GAP
funding should first be used to establish tribal waste management program capacities like
the ones described in Section E.3; tribes may then transition to program implementation.
In addition to the GAP, Appendix V provides a list of other potential sources of EPA
funding related to RCRA activities. More detailed descriptions of Agency funding
resources may be found in the Plan.
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The first stage in developing an IWMP is to develop the necessary expertise and skills to
identify, address, and manage the solid and hazardous waste issues facing the
community. Tribal capacity-building activities should focus on assigning staff, acquiring
initial training, compiling relevant data on which the tribe can make program
development decisions, engaging the tribal community on waste management issues, and
using this information to make decisions on further development of a waste management
program. The specific capacities described in Section E.3 that a tribe may wish to
establish with GAP funding should be based on the presence or absence of certain
facilities or activities on tribal land. For example: solid waste landfills; open or
unauthorized waste dumps; hazardous waste generators, transporters, or disposal
facilities; transfer stations; and USTs. Tribes may use GAP funds for any activity
identified in an approved work plan designed to establish an applicable capacity
indicator; tribes may not need to develop all the capacities described below.
E.3 Indicators of Tribal Waste Management and UST Program Capacity
E.3.1 Tribe has established a staffing plan (position description and
recruitment/retention/promotion plan) for who will serve as tribal waste
management program coordinator(s).
E.3.2 Staff has completed appropriate training and acquired baseline knowledge and
skills related to the relevant areas of RCRA (become familiar with the major
goals, programs, and requirements of the RCRA; the national structure for
implementing the RCRA; and the EPA regional personnel and organization).
E.3.3 Tribe has established a program to meaningfully participate in waste
management programs administered by other tribal, federal, state, or local
governments (including reviewing and commenting on waste disposal facility
permits and applicable waste management regulations).
E.3.4 Tribe is receiving funding under the RCRA or other related EPA media
specific program.
E.3.5 Tribe is conducting community education and outreach activities to assess
community knowledge and interest in source reduction, alternatives for
managing household hazardous waste, recycling, composting, and the use of
green materials in tribal construction and to promote the use of such integrated
solid waste management systems.
E.3.6 Tribe has completed a waste assessment (e.g., a waste stream characterization
study of the solid and hazardous waste management practices, facilities, and
issues in the community; effectiveness of current waste management
system(s); waste collection and disposal options; and associated costs).
E.3.7 Tribe has a tribally-approved Integrated Waste Management Plan (IWMP).
E.3.8 Tribe has established a program to provide waste minimization, recycling,
household hazardous waste collection, used oil collection, junk vehicle
removal, bulk waste/appliance/electronic waste collection, and/or composting.
E.3.9 Tribe has established co-management roles through an intergovernmental
agreement with a municipal government (e.g., Memorandum of
Understanding or other mechanism) regarding landfill management where
both governments have a stake.
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E.3.10 Tribe has completed a solid waste facility plan/feasibility study.
E.3.11 Tribe has completed an open dump inventory and submitted to EPA and IHS
for inclusion in the w/STARS database (including: GPS location; estimated
size/volume; contents/type of waste; estimated distance to nearest homes,
surface water and groundwater; estimated project costs; and site name).
E.3.12 Sites included in the open dump inventory have a health hazard ranking score.
E.3.13 Tribe has coordinated with EPA to ensure accuracy of EPA's regulated
hazardous waste facility inventory and operating status.
E.3.14 Tribe has coordinated with EPA to ensure accuracy of EPA's regulated UST
& LUST facility inventory and operating status.
E.3.15 Tribe has established capacity to provide information to EPA that may be used
to conduct compliance monitoring inspections or in a RCRA § 3008, § 7003,
§ 4005(c)(2), or § 9006 enforcement action.
E.3.16 Tribe has established a program to assist EPA with implementing the federal
RCRA program(s) (e.g., assisting the Agency to conduct compliance
assistance activities for regulated entities, obtaining federal inspection
credentials to inspect regulated entities, and assisting EPA to draft permits for
regulated entities).
E.3.17 Tribe has enacted waste management and/or UST laws, codes, and/or
regulations with effective compliance assurance and enforcement mechanisms
(including anti-littering provisions and protocols to address small-scale
dumping/burning activities; siting/operating requirements for USTs that are at
least as stringent as the federal program).
E.3.18 Tribe has established a compliance monitoring and enforcement strategy for
the tribe's solid and hazardous waste management laws, codes, and/or
regulations.
E.3.19 Tribe has established mechanisms to assure a financially sustainable waste
management program, including financing for trash collection services (e.g.,
fee for service, tribal government funding of trash collection services, or other
cost recovery systems).
E.3.20 Tribal staff is leading circuit rider, train the trainer, and peer-match programs.
E.4 Program Implementation: Tribal Waste Management and UST Program
Implementation
Once a tribe has established a waste management program that is generally consistent
with the applicable indicators described above, GAP funds may be used for the following
implementation activities in order of priority: (a) program administration; (b) compliance
and enforcement; (c) solid waste management, resource recovery, and resource
conservation support; and (d) cleanup and closure.
(a) Tribal Waste Management Program Administration. Program administration
generally includes all administrative oversight functions to ensure proper program
implementation (e.g., financial management, human resources management, program
performance evaluation, scheduling). Program administration and oversight do not
generally include the costs of facility operation and maintenance or general
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government services normally provided to the general public, such as fire and
police.47 Under GAP, this restriction on government services includes trash
collection, transportation, backhaul, and disposal services which are generally outside
48
the scope of programs administered by the EPA. In limited circumstances, EPA
may exercise discretion and grant an exception to this restriction on government
services by approving the use of GAP funds for waste management services for up to
two years for a grant recipient that has established a waste management program
consistent with Sections E.2 and E.3 above. An applicant seeking approval to use
GAP funds for waste management services under this exception must demonstrate
that no other resources for such services are currently available and document the
actions they will take during the approved grant period to establish sustainable
funding for collection, transportation, backhaul and/or disposal services. Regional
offices will evaluate requests to use GAP resources for solid waste services and will
submit the request to the AIEO Director and their justification for a recommended
approval or non-approval of the request. AIEO will make the determination on the
recommendation within 30 days and in consultation with Office of Solid Waste and
Emergency Response (OSWER).
(b) Tribal Compliance and Enforcement Programs. Tribes are not eligible for
authorization to administer a RCRA Subtitle C hazardous waste or Subtitle IUST
program, nor may tribal programs be approved by EPA under RCRA Subtitle D.
However, under EPA policy and consistent with EPA's role as a regulatory agency,
GAP may fund implementation activities associated with tribal waste management
laws, codes, and/or regulations, such as compliance assurance (including inspections)
and enforcement consistent with the extent of their authorities. In addition, GAP may
fund tribes to support compliance with federal requirements, including: (1)
compliance assurance (including inspections) under tribal authority at non-hazardous
waste disposal facilities to help verify that such facilities are in compliance with 40
C.F.R. Part 257 and/or Part 258; (2) compliance assistance and inspections to help
verify that hazardous waste generators are in compliance with 40 C.F.R. Parts 261
and/or 262; or (3) compliance assurance (including inspections) to help verify that
hazardous waste transporters are in compliance with 49 C.F.R. Parts 172, 173, 178,
and 179. In accordance with a tribally approved IWMP, tribes may also use GAP
funds to conduct community outreach and education programs on solid waste,
hazardous waste, source reduction and diversion, and USTs.
(c) Activities to Support Solid Waste Management, Resource Recovery, and
Resource Conservation. Consistent with RCRA § 4008, activities funded under
47 2 C.F.R. §225, Appendix B(19)(a)(5): "Cost Principles for State, Local, and Indian Tribal Governments."
48 "Any general assistance under this section shall be expended for the purpose of planning, developing, and
establishing the capability to implement programs administered by the Environmental Protection Agency and
specified in the assistance agreement. Purposes and programs authorized under this section shall include the
development and implementation of solid and hazardous waste programs for Indian lands. [...] Such programs and
general assistance shall be carried out in accordance with the purposes and requirements of applicable provisions of
law, including the Solid Waste Disposal Act (42 U.S.C. 6901 et seq.)." Indian Environmental General Assistance
Act of 1992, 42 U.S.C. § 4368b(f).
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GAP may include: facility planning and feasibility studies; expert consultation;
surveys and analysis of market needs; marketing of recovered resources; technology
assessments; legal expenses; construction feasibility studies; source separation
projects; and fiscal or economic investigations or studies but shall not include any
other element of construction, or any acquisition of land or interest in land, or any
subsidy for the price of recovered resources.49 Activities that are part of a sustainable
waste management program designed to increase waste source reduction, recycling,
composting, and sustainable materials management are also allowable under GAP.
Under EPA policy, the operation and maintenance of solid waste facilities and trash
collection services are not deemed to be eligible for GAP funding; however, program
administration and oversight as described in paragraph (a) above may be eligible.
Further, the purchase, repair, upgrade, and replacement of resource recovery, resource
conservation, and source separation supplies and equipment (e.g., vehicles, scales,
containers, crushers, shredders, sheds, fencing, and signage) may be eligible for GAP
funding. Similarly, the construction, repair, upgrade, and replacement of source
separation facilities (e.g., transfer stations, recycling centers, compost facilities,
household hazardous waste collection facilities, bulk waste/appliance/electronic waste
collection facilities; construction and demolition debris facilities, used oil collection
stations, and other similar facilities) may also be funded under GAP.
(d) Cleanup and Closure Activities. Unauthorized dumping of solid waste is
typically a symptom of inadequate access to, or citizen participation in, integrated and
sustainable waste minimization, recycling, collection, and disposal programs. As a
result, funding cleanup activities prior to establishing and implementing an effective
program seldom results in lasting changes to a community's waste disposal practices.
While GAP funds may be used to implement solid and hazardous waste programs
consistent with the GAP statute,50 including cleanup activities, GAP will remain
focused on supporting tribal government efforts to develop a sustainable program
designed to address and prevent new, or recurring, unauthorized dumping on tribal
lands. IHS is the primary federal agency responsible for identifying, assessing and
funding open dump cleanups and closures.51
Regional offices will evaluate requests to use GAP resources for cleanup activities
described below in Section E.4(d)(i-iii) and will submit the request to the AIEO
Director with supporting documentation, including assurance that the tribe has
adequate administrative controls to oversee the cleanup, and their justification for a
recommended approval or non-approval of the request. AIEO will make the
determination on the recommendation within 30 days and in consultation with the
appropriate EPA program office(s) (e.g., the Office of Solid Waste and Emergency
Response, the Office of Enforcement and Compliance Assurance, and the Office of
General Counsel).
49 42 U.S.C. § 6948(a)(2)(A).
50 The Indian Environmental General Assistance Act of 1992, 42 U.S.C. § 4368b(f).
51 Consistent with the Indian Lands Open Dump Cleanup Act of 1994, EPA works cooperatively with the IHS to
develop the inventory and evaluate open dumps, as requested. 25 U.S.C. §3904.
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(i) Cleanup and Closure Activities for Established Tribal Programs
Cleanup or closure activities may be eligible for funding under GAP after the
tribe has established a program and demonstrated the following program capacity
indicators: E.3.5, E.3.6, E.3.7, E.3.8, E.3.17, and E.3.18.52 EPA decisions on
funding cleanup and closure activities should be consistent with the tribal waste
program priorities as defined in the Plan. If funded, cleanup and closure work
should include documentation on the amount of waste removed/recycled, the
types of wastes removed, and the disposition of the waste.
(ii) Cleanup and Closure Activities for Tribal Programs under Development
Cleanup or closure activities may be eligible for funding under GAP when the
tribe has demonstrated that they are substantially pursuing tangible elements of
the following actions towards building a sustainable waste management program:
- Conducting a characterization study of the waste streams a tribe generates and
an assessment of current waste management practices.
- Conducting solid waste facility planning and feasibility studies.
- Developing an IWMP for approval by the tribe's governing body.
- Developing waste management laws, codes, ordinances, or regulations within
the scope of their authority.
- Developing and implementing a compliance monitoring and enforcement
program and/or other mechanisms to identify and respond to illegal dumping
activity.
- Conducting community outreach and/or environmental education on waste
management programs.
(iii) Cleanup and Closure Activities Where No Tribal Program is being
Developed
Where a tribe does not have an established program as described above, or is not
substantially pursuing tangible elements of the above actions, EPA will not
prioritize providing financial assistance, including GAP funds, for the cleanup or
closure activities unless the open or unauthorized dump presents an imminent and
53
substantial endangerment to human health or the environment. Where this
standard is met, AIEO will as part of their approval process, consult with OSWER
and OECA. This is consistent with the coordinated approach described in the Plan
and will ensure proper EPA involvement and oversight of cleanups where there is
an imminent and substantial endangerment to human health and the environment.
52 To help protect human health and the environment, EPA may consider approving GAP funding for cleanup
activities for tribes with limited jurisdiction that have not developed E.3.17 andE.3.18, on a case-by-case basis.
53 This standard is consistent with RCRA §7003 (42 U.S.C. § 6973) and is applied here as a matter of policy to guide
the use of GAP resources for open dump cleanup and closure actions.
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F: Building Tribal Contaminated Site Remediation and Emergency
Response Program Capacities
F.l EPA's Comprehensive Environmental Response, Compensation and Liability Act;
Emergency Planning, Community Right-to-Know Act; and Small Business Liability
Relief and Brownfields Revitalization Act Programs
The Comprehensive Environmental Response, Compensation, and Liability Act
(CERCLA), also known as Superfund, is the primary federal law that ensures responses
to releases or threatened releases of hazardous substances that may endanger public
health or the environment. The law was originally passed in 1980 and amended in 1986
by the Superfund Amendments and Reauthorization Act. CERCLA authorizes responses
to address releases requiring prompt response and actions to address dangers associated
with releases or threats of releases to the environment that are not immediately life-
threatening. EPA can fund remedial actions under CERCLA only at sites listed on the
National Priorities List, which is a list of national priorities among the known releases or
threatened releases from uncontrolled or abandoned hazardous waste sites. The CERCLA
provides EPA with authority to ensure cleanup and payment for cleanup. If a responsible
party does not agree to do the cleanup, EPA can issue an order to do certain work, or
work with the Department of Justice to pursue the party through the federal court system.
If a party is out of compliance with an order or settlement, the Superfund enforcement
program takes action to bring them into compliance. For more information on CERCLA,
visit: http://www.epa.gov/superfund.
The Emergency Planning and Community Right-to-Know Act (EPCRA) establishes
hazardous chemical emergency planning and reporting requirements for federal, state and
local governments, Indian tribes, and industry. The right-to-know provisions are designed
to increase the public's knowledge and access to information on hazardous substances at
specific facilities, their uses, and releases into the environment. Government entities use
this information to prepare for and respond to emergencies involving hazardous
substances. For more information, visit: http://www.epa.gov/ceppo/web/content/epcra/.
The Small Business Liability Relief and Brownfields Revitalization Act, commonly
referred to as the Brownfields law, provides CERCLA liability relief for certain property
owners and small businesses, and limits CERCLA enforcement authority at sites
remediated under state or tribal voluntary cleanup programs. The Act also significantly
expands federal grant authority to increase Brownfields redevelopment. Noncompetitive
CERCLA § 128(a) State and Tribal Response Program grants fund tribes to establish and
enhance a response program which can include addressing contaminated lands. The
competitive brownfields grants such as the Assessment, Revolving Loan Fund, and
Cleanup, and Environmental Workforce and Job Training Grants are open to all tribes
except those in Alaska. For more information on Brownfields, visit:
http://epa.gov/Brownfields/laws/2869sum.htm.
EPA implementation activities include: (1) maintaining and updating the Comprehensive
Environmental Response, Compensation, and Liability Information System (CERCLIS)
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database to reflect newly identified sites where contaminants are suspected to have been
released or new actions at existing sites; (2) response actions to address clean-up of
hazardous substances; (3) response and post-clean up monitoring at sites on the National
Priorities List (NPL); and (4) compliance assistance and enforcement actions to ensure
that required EPCRA reports are submitted to formal EPCRA organizations.
CERCLIS contains information on hazardous waste sites, potentially hazardous waste
sites, emergency response or removal sites, and remedial activities across the nation,
including NPL sites or sites that are being considered for the NPL. The information is
updated by the EPA regional offices. The data describes what has happened at Superfund
sites, identifies involved parties (other federal agencies, states, and tribes), and includes
information on human exposure, ground water migration, and construction status.
While there is no national database of Brownfield sites, an important component of the
Brownfields Program is the development of site inventories. Tribal Response Program
grants can be used to survey and develop brownfield inventories, many of which can be
accessed online. Tribal staff may be aware of other facilities that may be subject to
regulation under CERCLA or EPCRA.
In addition to participating in the federal CERCLA and EPCRA schemes for remediating
contaminated sites and providing emergency response, tribes may use GAP funds to
develop their own programs consistent with their own priorities and authorities.
Tribes may request delegation of federal authority under CERCLA and EPCRA and can
form agreements with EPA to become involved in decision-making concerning CERCLA
sites, including assuming the lead role for site assessment or long-term cleanup of sites.
In addition, tribes concerned about contaminated federal facilities can partner with other
federal agencies, such as the Department of Defense and Department of Energy, through
advisory boards and committees to help make site decisions.
Under EPCRA, tribal governments have the lead role in ensuring an EPCRA-compliant
emergency preparedness/response organization covers the tribe. Tribes can establish
Tribal Emergency Response Commissions (TERCs), join existing Local Emergency
Planning Committees (LEPCs), or coordinate with State Emergency Response
Commissions (SERCs) to draft and implement an Emergency Response Plan.
Under Brownfields, tribes are co-regulators for many of the program aspects that address
contaminated lands. In many instances tribes can serve as the lead for assessment or
cleanup of brownfield sites. State and Tribal Response program funding can be used to
establish and enhance programs to address contaminated sites, development of necessary
codes and regulations, brownfields assessment and cleanup (including open dumps that
meet the definition of a brownfields site), development of emergency response programs,
and/or receive technical assistance such as job training. Brownfields grants are also
available to assess and clean up brownfields sites.
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Key sources of program guidance include:
• "OSWER Tribal Strategy: EPA and Tribal Partnership to Preserve and Restore Land
in Indian Country," November 2008.
http://www.epa.gov/oswer/tribal/pdfs/oswer_tribal_strategy.pdf
• Funding Guidance for State and Tribal Response Programs Fiscal Year 2013
http://www.epa.gov/swerosps/bf/state_tribal/fund_guide.htm
• "Tribal Brownfields and Response Programs: Respecting Our Land, Revitalizing Our
Communities," 2011. http://www.epa.gov/swerosps/bf/state_tribal/pubs.htm
• "Plan to Enhance the Role of States and Tribes in the Superfund Program," Chapter 4:
Tribal Recommendations, March 1998.
http://www.epa.gov/superfund/partners/osrti/pdfs/chapt4.pdf
• Emergency Planning and Community Right-to-Know Act (EPCRA) Local Emergency
Planning Requirements, http://www.epa.gov/osweroe l/content/epcra/epcra_plan.htm
• "Guidance for Preparing Tribal Emergency Response Plans," September 2004.
http://www.epa.gov/oswer/tribal/pdfs/guidance_for_preparing_tribal_erps.pdf
F.2 Establishing Tribal Programs Related to CERCLA, EPCRA, and Brownfields
This subsection provides a "road map" for tribes and outlines a non-exclusive list of tribal
environmental protection program capacity indicators that EPA will use to evaluate
progress under the GAP. The subsection describes in general terms the types of indicators
that tribes and/or inter-tribal consortia could undertake with GAP funding to address
issues related to CERCLA, EPCRA, or Brownfields. In general, GAP funding should be
used to build baseline environmental program capacities; once capacity is established,
tribes may seek funding under EPA's media-specific programs to support more complex
program development and implementation while continuing to use GAP resources for
ongoing capacity building activities.
The first stage in developing a tribal site response program is to develop the necessary
expertise and skills in order to establish an appropriate response planning committee,
evaluate the threats from contaminated sites, evaluate the options for tribal programs, and
develop partnerships with appropriate federal agencies to address contamination. Tribal
capacity-building activities should focus on: (1) assigning staff; (2) acquiring initial
training; (3) compiling relevant data on which the tribe can make program development
decisions; (4) engaging the tribal community on contaminated land issues; and (5) using
this information to make decisions on further development of a tribal site response
program.
After building fundamental program capacities related to CERCLA, EPCRA, and
Brownfields Tribal Response Program, and evaluating the type of related issues that may
be facing the community, tribes may consider undertaking efforts to establish programs
to address these issues. Tribes and inter-tribal consortia are encouraged to seek funding
support under EPA's media-specific programs where appropriate.
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F.3 Indicators of Tribal Emergency Response and Remediation Program Capacity
F.3.1 Tribe has established a staffing plan (position description and
recruitment/retention/promotion plan) for who will serve as tribal program
coordinator(s).
F.3.2 Staff has completed appropriate training and acquired baseline knowledge and
skills related to CERCLA, EPCRA, and Brownfields (e.g., become familiar
with the major goals, programs, and requirements in CERCLA, EPCRA, and
Brownfields Tribal Response Program; the national structure for
implementing these programs; and the EPA regional personnel and
organization).
F.3.3 Tribal response staff has completed and developed proficiency in OSHA-
required HAZWOPER baseline and annual refresher training to qualify them
to safely respond to spills and emergency incidents, and other appropriate
training (e.g., acquire certification in an Incident Command System (ICS)
course).
F.3.4 Tribal staff has completed and developed proficiency in All Appropriate
Inquiries (EPA 40 C.F.R. § 312), Phase 1 ESA (ASTM E 1527-05), and ECM
10-2 (Department of Interior).
F.3.5 Tribe has established mechanisms to provide meaningful opportunities for
public participation / community involvement to identify contamination
concerns and/or solicit input on site cleanup decisions.
F.3.6 Tribe is meaningfully participating in programs administered by other tribal,
federal, state, or local governments (including reviewing and commenting on
cleanup and response standards/plans).
F.3.7 Tribe has completed a site inventory of properties of environmental concern
and identified potential EPA program(s) associated with the sites.
F.3.8 Tribe has established an EPCRA compliant tribal emergency planning
organization (TERC, LEPC members, or SERC coordination).
F.3.9 Tribe has established program to conduct emergency response training and
exercises for community members (e.g., orientation seminars to review the
contents of the emergency response plan; table tops drills to verify
understanding of notification procedures and response actions; and field
exercises to ensure that response personnel are familiar with equipment and
responsibilities).
F.3.10 Tribe has established a program to receive and manage material safety data
sheets under EPCRA's Hazardous Chemical Storage Reporting Requirements.
F.3.11 Tribal lands and resources covered by an EPCRA-compliant emergency
response plan.
F.3.12 Tribe has established program to coordinate with state and federal agencies on
specific spill response trainings (hands on response to oil and chemical
hazards).
F.3.13 Tribe is conducting, alone or in collaboration with other governmental
entities, annual hazmat or oil spill incident exercises (tabletop, functional or
full-scale).
F.3.14 Tribe is receiving funding under CERCLA, EPCRA, or Brownfields.
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F.3.15 Tribe has enacted laws, codes, and/or regulations establishing oversight and
enforcement authority to address contaminated sites, including emergency
response authority.
F.3.16 Tribe has promulgated cleanup standards for soil, surface water, and
groundwater to guide response and remediation decisions on contaminated
sites (e.g., tribal "Applicable or Relevant and Appropriate Requirements"
(ARARs).
F.3.17 Tribe has established capacity to conduct Phase I and Phase II site
assessments.
F.3.18 Tribe has established program to participate in Department of Defense and
Department of Energy advisory boards (Federal Facilities Restoration and
Reuse) that involve stakeholders in cleanup decisions.
F.3.19 Tribe has established support agency cooperative agreements with EPA to
provide for tribal input in cleanup decisions at CERCLA sites.
F.3.20 Tribe has developed MOA/MOU with EPA on implementation of appropriate
CERCLA programs.
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G: Building Tribal Chemical Safety and Pollution Prevention Program
Capacities
G.l EPA's Asbestos Hazard Emergency Response Act; Federal Insecticide, Fungicide
and Rodenticide Act; and Toxic Substances Control Act Programs
The Asbestos Hazard Emergency Response Act (AHERA) is a provision of the Toxic
Substances Control Act (TSCA) that was enacted in 1986. The EPA implemented
AHERA through the Asbestos-Containing Materials in School rule (40 C.F.R. Part
763(E)). This rule requires local education agencies to inspect public and non-profit
private K-12 schools for asbestos-containing building material and prepare management
plans to prevent or reduce asbestos hazards. Specific requirements include: performing an
original inspection and re-inspection every three years of asbestos-containing material;
developing, maintaining, and updating an asbestos management plan and keeping a copy
at the school; providing yearly notification to parent, teacher, and employee organizations
regarding the availability of the school's asbestos management plan and any asbestos
abatement actions taken or planned in the school; designating and training a contact
person to ensure the responsibilities of the local education agency are properly
implemented; performing periodic surveillance of known or suspected asbestos-
containing building material; ensuring that properly accredited professionals perform
inspections and response actions and prepare management plans; and providing custodial
staff with asbestos-awareness training. To implement AHERA, the Agency provides
outreach and compliance assistance, and conducts compliance inspections. For more
information on AHERA, visit:
http://www.epa.gov/asbestos/pubs/asbestos_in_schools.html.
In addition to AHERA requirements, the Asbestos National Emissions Standards for
Hazardous Air Pollutants (NESHAP) under the CAA specifies practices to be followed
for renovations or demolition of buildings containing asbestos (40 C.F.R. Part 61(M)).
The Federal Insecticide, Fungicide, and Rodenticide (FIFRA) provides for federal
regulation of pesticide distribution, sale, and use. All pesticides distributed or sold in the
United States must be registered by EPA. Pesticide use is regulated through the
registration program, label requirements, and a compliance assurance and enforcement
program. The labeling requirements include directions for use, precautionary statements,
environmental hazards, detailed explanations regarding acceptable use sites, and
requirements related to pesticide handlers and field workers. It is a violation of FIFRA to
use a pesticide in a manner contrary to its labeling. This provision applies to all label
requirements, including but not limited to mixing, loading, applying, storage and
disposal. Through FIFRA, EPA also addresses the certification and training of restricted
use pesticide applicators, and establishes requirements for restricted use pesticide record-
keeping. The law was originally passed in 1947, substantially revised in 1972, and
amended in 1988, 1996, and 2003. Under FIFRA, the Agency provides compliance
assurance (including inspections), takes enforcement actions against violators, provides
technical assistance, and conducts education and outreach. For more information on
FIFRA, visit: http://www.epa.gov/lawsregs/laws/fifra.html.
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The TSCA provides EPA with the authority to regulate the importation, manufacture, and
use of chemical substances and/or mixtures. It does this through reporting, recordkeeping,
and testing requirements, as well as restrictions and bans. TSCA addresses the
production, importation, use, and disposal of specific chemicals including
polychlorinated biphenyls (PCBs), asbestos, radon and lead-based paint. TSCA was
originally enacted in 1976, and significantly amended in 1986, 1988, and 1992. To
implement TSCA, EPA provides outreach and compliance assistance and conducts
compliance inspections. For more information on TSCA, visit:
http://www.epa.gov/lawsregs/laws/tsca.html.
The Residential Lead-Based Paint Hazard Reduction Act's Real Estate Notification and
Disclosure Rule requires landlords, property management companies, real estate
agencies, and sellers to inform potential lessees and purchasers of the presence of lead-
based paint and lead-based paint hazards in pre-1978 housing. This ensures that potential
tenants and home buyers are receiving the information necessary to protect themselves
and their families from lead-based paint hazards. The Lead-based Paint Activities
Training and Certification Rule holds that no individuals or firms can perform lead-based
paint activities without certification from EPA. The Renovation, Repair and Painting
Rule addresses common renovation activities like sanding, cutting, and demolition that
can create hazardous lead dust and chips by disturbing lead-based pain, Under the rule,
contractors performing renovation, repair and painting projects that disturb lead-based
paint in homes, child care facilities, and schools built before 1978 must be certified by
EPA-approved training providers and must follow specific work practices to prevent lead
contamination.
EPA generally is the primary enforcement authority for pesticide use violations in Indian
country. Tribes may restrict or prohibit the sale or use of a federally registered pesticide,
but may not allow the sale or use of an unregistered product. EPA works cooperatively
with tribes to enforce FIFRA, as it does with states and territories. For example, under
FIFRA Section 23, EPA may enter into cooperative agreements with tribes. These
agreements may include provisions for tribes to assist EPA in ensuring compliance with
FIFRA by obtaining federal inspector credentials, conducting inspections, and
recommending enforcement actions to EPA.
Under FIFRA and TSCA, EPA regional offices can utilize, as appropriate, Direct
Implementation Tribal Cooperative Agreements (DITCAs), memoranda of agreement,
program funding, and other devices to provide for tribal participation in the
implementation of the federal program. Examples of activities that tribal staff may
engage in with EPA include: (1) conducting compliance assistance activities for regulated
entities; (2) providing technical and compliance assistance, education, and outreach; and
(3) obtaining federal inspection credentials to inspect regulated activities.
For many of the activities regulated under TSCA (including AHERA and lead programs)
and FIFRA, the Agency does not maintain a national inventory of regulated entities. EPA
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regional offices will work closely with tribal staff to identify facilities potentially
affecting each tribe that may be subject to the requirements in these federal statutes.
While tribal governments cannot operate the federal AHERA program, tribes may seek
EPA approval of and subsequently implement certain lead-based paint programs under
TSCA and pesticide programs under FIFRA in a manner similar to states. For example,
EPA may approve tribal training and certification programs for applicators of restricted-
use pesticides.
In addition to participating in the federal AHERA, FIFRA, and TSCA schemes, tribes
may use GAP funds to develop their own chemical safety and pollution prevention
programs consistent with their own priorities and authorities.
Key sources of program guidance include:
• "Guidance for Funding Development and Administration of Tribal Pesticide Field
Program and Enforcement Cooperative Agreements," January 3, 2011.
http://www.epa.gov/nscep/index.html.
• "The National Pesticide Tribal Program: Achieving Public Health and Environmental
Protection in Indian Country and Alaska Native Villages." October 2009.
http://www.epa.gov/oppfeadl/Publications/tribal-brochure.pdf.
• "Guidance on Basic Elements of an EPA-Funded Tribal Pesticide Program," March
11, 2002.
http://www.epa.gov/oppfeadl/tribes/guidance.htm.
G.2 Activities Eligible for Funding Under EPA Programs that Support Tribal Capacity
Development and/or Implementation of Chemical Safety and Pollution Prevention
This subsection provides a "road map" for tribes and outlines a non-exclusive list of tribal
environmental protection program capacity indicators that EPA will use to evaluate
progress under the GAP. The subsection describes in general terms the types of indicators
that tribes and/or inter-tribal consortia could establish with GAP funding to address issues
related to TSCA (including AHERA and lead programs) and FIFRA. In general, GAP
funding should be used to build baseline environmental program capacities; once
capacity is established, tribes may seek funding under EPA's media-specific programs to
support more complex program development and implementation while continuing to use
GAP resources for ongoing capacity building activities.
The first stage in developing programs related to asbestos, lead-based paint, pesticides,
and toxics is to develop the necessary expertise and skills to identify, address, and
manage any of those issues that may be facing the community. Tribal capacity-building
activities should focus on: (1) assigning staff; (2) acquiring initial training; (3) compiling
relevant data on which the tribe can make program development decisions; (4) engaging
the tribal community on chemical safety and pollution prevention issues; and (5) using
this information to make decisions on further development of chemical safety and
pollution prevention programs. Based on the presence or absence of certain facilities or
activities (for example, pesticide use, residences or child-occupied buildings with lead-
based paint), it will not be necessary for all tribes to develop all the capacities below.
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After building fundamental program capacities related to the federal asbestos, pesticides,
lead-based paint, and toxics programs and evaluating the type of related issues that may
be facing the community, tribes may consider undertaking efforts to establish programs
to address these issues. Tribes and inter-tribal consortia are encouraged to seek funding
support under EPA's media-specific programs where appropriate.
G.3 Indicators of Chemical Safety and Pollution Prevention Program Capacity
G.3.1 Staff has established a staffing plan (position description and
recruitment/retention/promotion plan) for who will serve as tribal program
coordinator(s).
G.3.2 Staff has completed appropriate training and acquired baseline knowledge and
skills related to TSCA (including AHERA and lead paint programs), FIFRA,
and pollution prevention (e.g., become familiar with: the major goals,
programs, and requirements related to TSCA and FIFRA; the national
structure for implementing these programs; and the EPA regional personnel
and organization).
G.3.3 Tribe is receiving funding under FIFRA, TSCA, Pollution Prevention Act, or
other similar program to support projects or programs related to managing
chemical safety and pollution prevention.
G.3.4 Tribe has completed an asbestos, pesticides, lead-based paint, and pesticides
needs assessment that: collects and evaluates existing data on pesticide use
and other relevant factors; assesses the need to develop related projects and/or
programs; and evaluates short-term and long-term options to address those
identified needs.
G.3.5 Tribal staff has acquired necessary training/accreditation/certification to
conduct lead-based paint hazard evaluations at pre-1978 tribal housing/pre-
1978child occupied facilities.
G.3.6 Tribe has developed Quality Assurance Plan (QAP) to cover sampling and
analysis activities and secured EPA approval for QAP before conducting
physical sampling, blood testing, or other investigations.
G.3.7 Tribe has established community outreach/education programs.
G.3.8 Tribe has established mechanisms to provide meaningful opportunities for
public participation / community involvement to identify concerns related to
chemical safety and pollution prevention and/or solicit input on decisions.
G.3.9 Tribe has completed inventory of all pre-1978 target housing and child-
occupied buildings and gathered information on the presence of lead-based
paint and/or lead-based paint hazards in or around these buildings.
G.3.10 Tribe has completed an inventory of asbestos (in accordance with the
AHERA), pesticides, and toxics in K-12 schools.
G.3.11 Tribe has adopted a pollution prevention strategy and/or policy (e.g., integrate
pollution prevention practices through government services, policies, and
initiatives; establish environmentally preferable purchasing standards, green
building codes/standards, greenhouse gas emission reduction targets;
reduction targets for the use of hazardous materials; establish an integrated
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pest management program; and adopt natural resources protection
policies/procedures).
G.3.12 Tribe is meaningfully participating in programs administered by other tribal,
federal, state, or local governments.
G.3.13 Tribe has established an EPA-tribal MOA/MOU or interagency agreement
concerning joint implementation of FIFRA, TSCA, or other authorities.
G.3.14 Tribe has established a program to implement lead abatement and Renovation,
Repair and Painting (RRP) program.
G.3.15 Tribe has established certification and training plan for restricted use pesticide
applicators (commercial and private) to educate applicators and control
restricted use pesticides in Indian country.
G.3.16 Tribe has established a training/accreditation/certification program similar to
TSCA Section 402 for individuals and firms engaged in lead-paint activities
and for asbestos related accredited training under AHERA requirements (i.e.,
a model accreditation plan).
G.3.17 Tribe has established a Pesticides Field Program, including identification of
possible pesticide inspection targets and pesticide-specific issues to determine
the kind of approach needed to address concerns related to the use and sale of
pesticides.
G.3.18 Tribe has established a pesticides compliance assurance and enforcement
program under which a tribal inspector completes all required training and,
upon EPA approval, obtains federal credentials to conduct inspections of the
regulated community (e.g., pesticide applicators, marketplaces that sell
pesticides, etc.) to determine compliance with FIFRA or tribal pesticide
regulations.
G.3.19 Tribe has established a compliance assurance and enforcement program
similar to TSCA Section 406(b) that requires distribution of information on
lead-based paint hazards.
G.3.20 Tribe has established a compliance assurance and enforcement program for
tribal laws and regulations to manage asbestos, pesticides, toxics, or other
chemical risks that are at least as stringent as the applicable federal statutes.
G.3.21 Tribal staff has capacity to lead circuit rider, train the trainer, and peer-match
programs.
G.3.22 Tribe has enacted tribal laws, codes, and regulations with effective
compliance assurance and enforcement provisions to manage asbestos,
pesticides, toxics, or other chemical risks that are at least as stringent as the
applicable federal statutes.
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Appendix II
Baseline Needs Assessment
The diagram below illustrates the types of steps that tribes can take to identify and prioritize the
environmental issues they want to address. Such an assessment can help inform a tribe's
approach for undertaking protection and restoration efforts. As a tribe develops a more
sophisticated environmental program, it may undertake extensive sampling and monitoring
efforts. The baseline needs assessment is not meant to be such an extensive data collection effort,
but rather a primary step to prioritize general environmental issues.
Conducting a Baseline Needs Assessment
Collect New Data
identify oc--j;an-:s or issues ofinterest
SamPe environments: metfa and mentor env.'ornienta5 concisions (e.g., po^Jiani -nventory)
investigate oouuton sources
Survey the community
Request.'eq j:refacs":ties cn Tr-oa;- .ands to seg-n record-Keep: ng and envrronnenta! data coisecrcn
Ganer as much existing data as pcss;oie even fc' envronmenta! issues that are not oercen octh the sncrt-te-'mand :cng-term
Consider the reiat:ve sever:ty of :-moacts to Human heaitn and the icea;' ecology, economy, and culture
Appendix II: Baseline Needs Assessment
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Appendix III
Sample GAP Work Plan: Developing or Updating a Joint EPA-Tribal
Environmental Plan
Work Plan Details
Tribe
Recipient Name
Work Plan Period
Reporting
Frequency
Fiscal Year of
Funding
Status
Author(s)
Author Name
Description
Component #1: Joint EPA-Tribal Environmental Plan
Description
Long-Term
Outcome
Measures
Intermediate
Outcomes
Estimated
Component Cost
Estimated Work
Year (FTE)
EPA Program
Coding
Developing (or Updating) a joint environmental protection plan that identifies long-
range environmental capacity development and program implementation goals that
are consistent with the GAP capacity indicators and EPA program authorities.
Increased knowledge of EPA programs, resources, and technical assistance that are
aligned with tribal priorities and tribal environmental protection program
development goals.
Identify EPA statutes and regulations applicable to regulated entities in the
community.
Identify appropriate role for tribe in helping to implement EPA programs.
Identify current and needed tribal laws/codes/ordinances/regulations.
Identify the long term program development goals and capacity indicators that the
tribe will establish.
Commitment #1.1
Description
Estimated Cost
Work with EPA project officers and programs to identify which EPA statutes and
regulations apply to facilities, sites, and activities that may affect the tribe or that
are located in close proximity to tribal boundaries
Appendix III: Sample GAP Work Plan: Developing a Joint EPA-Tribal Environmental Plan
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End Date
Positions
Program Director/Assistant Director
Outputs and
Deliverables
List of applicable statutes and regulations
Commitment #1.2
Description
Review, and update with tribal information, EPA's baseline inventory of regulated
entities, sites, or activities that may affect the tribe or that are located in close
proximity to tribal boundaries
Estimated Cost
End Date
Positions
Environmental Specialist, Program Director/Assistant Director
Outputs and
Deliverables
Complete accurate inventory
Commitment #1.3
Description
Identify existing tribal priorities and associated capacity indicators the tribe intends
to establish
Estimated Cost
End Date
Positions
Program Director/Assistant Director
Outputs and
Deliverables
Tribe sends Environmental Priorities document to EPA
Commitment #1.4
Description
Develop (or Update) a joint EPA-Tribal Environmental Plan that includes the
following for each of the programs identified under this Commitment: 1)
identification of tribal environmental program priorities, including capacity
building and program implementation goals; (2) identification of EPA program
priorities and management requirements; (3) inventory of regulated entities; and
(4) identification of mutual roles and responsibilities.
Estimated Cost
End Date
Positions
Administrative Assistant, Program Director/Assistant Director
Outputs and
Deliverables
Joint Planning Agreement approved by both the legally authorized tribal leadership
and the EPA Regional Administrator
Appendix III: Sample GAP Work Plan: Developing a Joint EPA-Tribal Environmental Plan
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Appendix IV
EPA Water Program Reference Table: Framework for Tribal Water
Program Strategic Planning and Development
This reference table is for tribes that intend to establish water programs that are consistent with
authorities under the Clean Water Act (CWA) and the Safe Drinking Water Act (SDWA) and
that may pursue, or are already receiving, EPA funding under the CWA or the SDWA in tandem
with GAP funds. With careful planning, tribes may initiate activities to establish water programs
using GAP funds and continue to enhance their water programs using CWA or SDWA grant
funds, provided the activities are consistent with and eligible under CWA or SDWA funding
authorities.
The table provides examples of basic activities that are consistent with program guidance under
the CWA and SDWA and therefore are generally viewed as eligible for funding under EPA grant
programs supporting tribal water programs. The activities are subdivided into CWA and SDWA
program areas, and are separated into two columns to distinguish between activities that are
typically considered planning and development and activities typically considered to be
implementation.
The table may be useful to:
• Provide a summary view of CWA and SDWA program milestones that tribes can use to
plan their water program goals, including short, intermediate, and long-term (i.e.,
implementation) goals for water programs that are consistent with the CWA and SDWA.
• Provide examples of indicators for building capacity to meet those long-term goals.
• Provide examples of indicators for inclusion in the GAP work plan, which contains the
short-term goals, so that the indicators are clearly linked to the longer-term goals.
• Enable the tribe and EPA to have a shared understanding of the path that will be followed
to successfully develop tribal environmental program capacity.
• Clarify examples of activities a tribe could pursue based on whether a tribe wants to
develop a program under (1) their own tribal authority, (2) a Direct Implementation
Tribal Cooperative Agreement (DITCA) with EPA, and/or (3) EPA-approved treatment
in a manner similar to a state (TAS) authorization or delegation of primacy.
• Distinguish between program development and program implementation activities for a
particular water program area.
• Identify capacity building activities that are generally eligible for funding by EPA.
In general, the planning and development activities in the left hand column are capacity building
and therefore may be eligible for GAP funding. In many cases, planning and development
activities can also be funded by specific EPA program grants (such as SDWA Section 1451, and
CWA Sections 106 and 319).
In general, the ongoing operation and implementation activities in the right hand column are
eligible for funding through water program grants.
Appendix IV: EPA Water Program Reference Table: Framework for Tribal Water Program
Strategic Planning and Development
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Tribes should consult with the GAP and water programs to determine the best program planning
and funding approach for their specific situation when developing their work plans.
Note: The baseline environmental program capacities listed in the left hand column of the table
are consistent with the "capacity indicators" in Appendix 1 of this Guidance, and may be used in
GAP work plans.
This table is a non-exclusive list of possible water program planning, development and
implementation activities. Tribes should consult with the GAP and water programs, as well as
review applicable EPA water program guidance, as appropriate, in determining the types of
capacity activities for which to pursue using GAP funding. In addition, please note that: (1) this
information is intended as a summary, and despite mandatory language, does not itself contain
requirements for the programs described independent of the statutory and regulatory authorities;
(2) statutes and regulations control if there is any ambiguity between this information and the
requirements contained in statute or regulation; (3) there is no guarantee all eligible entities will
be eligible for, or will receive, funding under any specific grant competition or funding
announcement.
Tribes may prefer to use other indicators of water program capacity in GAP assistance agreement
work plans (i.e., indicators that are not directly related to CWA and SDWA programs), and can
work with regions on a tribe-by-tribe basis, reflecting the unique priorities and program
development plans of a particular recipient. EPA will rely on the capacity indicators that have
been identified in work plans and ETEPs to assess and report on progress in the development of
tribal environmental program capacities under the GAP program.
Table 1: Framework of Activities Generally Consistent with EPA CWA and SDWA
Authorities and Funding Sources that Support Tribal Water Program Capacity
Planning, Development and/or Implementation
Tribal Activities for Water Program
Planning and Development
Tribal Activities for Water Program
Implementation
Clean Water Act
Water Qualitv Monitorina Activities
- Identify basic water resources.
- Identify water quality and financial needs.
- Identify water quality program objectives, goals and
milestones.
- Begin developing a water quality monitoring
strategy.
- Begin developing a Quality Assurance Project Plan
(QAPP) associated with their water quality
monitoring strategy.
- Begin developing a database management function
for its water quality monitoring data.
- Begin conducting water quality outreach and
education activities.
- Developing TAS Package for 106 grant eligibility.
Water Qualitv Monitorina Activities
- Implementing and updating a water quality
monitoring strategy.
- Collecting surface water quality data.
- Collecting surface water quality data for the 7
parameters (106 Guidance).
- Collecting groundwater quality data.
- Provide quality assured surface water monitoring
data in a format accessible for storage into EPA's
database.
- Routinely provide quality assured surface water
monitoring data in a format accessible for storage
into EPA's STORET database.
- Analyze water quality data and determine the
status of water quality in tribal waters.
Appendix IV: EPA Water Program Reference Table: Framework for Tribal Water Program
Strategic Planning and Development
Page 2 of 5
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM
Guidance on the Award and Management of General Assistance Agreements for Tribes and Intertribal Consortia (May 15, 2013)
Tribal Activities for Water Program
Tribal Activities for Water Program
Planning and Development
Implementation
Clean Water Act
- Complete an annual water quality assessment
report.
Non Point Source (IMPS) Activities
- Determine areas with water quality problems.
- Determined watershed-based goals.
- Begin developed a Watershed-Based Plan.
- Conduct nonpoint source (NPS) outreach and
education activities.
- Develop TAS Package for 319 grant eligibility.
Non Point Source (NPS) Activities
- Implement Watershed-Based Plan that has been
reviewed by EPA Regional staff.
- Work with other stakeholders to develop
watershed management plan.
- Develop/implement voluntary programs and/or
specific projects to prevent or mitigate nonpoint
source pollution.
- Implementing water quality protection and
restoration activities.
- Applying for 319 competitive funding.
Wetlands Activities
- Developing a wetland protection program pursuing
one of more of the core wetland program elements.
- Developing a Wetlands Program Plan.
Wetlands Activities
- Appling for wetland program grants.
- Implementing a tribal wetlands protection program.
- Implementing voluntary surface water and/or
wetlands protection and restoration activities.
- Implementing a wetland permitting program.
- Developing WQS that cover designated uses for
wetlands.
Activities following EPA-approved WQS and TAS
authority only
- Implementing the Section 404 CWA program to
regulate the discharge of dredged or fill material
into waters of the US, including wetlands.
Water Qualitv Standards Activities
Activities to pursue using either tribal authority
and/or EPA authoritya
- Developing draft water quality standards.
- Obtaining tribal council adoption of initial water
quality standards.
- Conducting a survey to determine fish consumption
rates for the purpose of setting or revising water
quality criteria for human health effects from
bioaccumulative pollutants.
Water Qualitv Standards Activities
Activities to pursue using either tribal authority
and/or EPA authoritya
- Implementing water quality standards.
- Revising and/or submitting any necessary new or
revised standards, such as updating numeric
criteria.
Activities to pursue only if seeking EPA-approved
TAS authority
- Developing TAS package for EPA-approved WQS.
- Submitting draft standards to EPA for review.
Activities to pursue following EPA-approved
TAS authority only
- Developing and implementing a CWA Section 401
certification program.
- Conducting at least one triennial review.
- Carrying out implementation method for
antidegradation policy, including conducting any
necessary review of activities that may lower water
quality in high quality waters.
Appendix IV: EPA Water Program Reference Table: Framework for Tribal Water Program
Strategic Planning and Development
Page 3 of 5
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM
Guidance on the Award and Management of General Assistance Agreements for Tribes and Intertribal Consortia (May 15, 2013)
Tribal Activities for Water Program
Planning and Development
Tribal Activities for Water Program
Implementation
Clean Water Act
Impaired Waters Identification/Listing and Total
Maximum Daily Loads (TMDLs) Activities
- Providing available water quality-related data and
information on geographically-relevant waters
- Reviewing and commenting on water quality reports,
TMDLs, and other watershed-based planning efforts
- Developing capacity to assess water quality
conditions, including comparing water quality
monitoring information and data against applicable
water quality standards
- Develop capacity (including modeling) to develop
TMDLs and other water quality-based planning
efforts
Impaired Waters Identification/Listing and Total
Maximum Daily Loads (TMDLs) Activities
- Developing reports/lists of impaired and
threatened waters
- Developing TMDLs for impaired and threatened
waters
Permit Activities
Activities to pursue using either tribal authority
and/or EPA authoritya
- Developing the legal framework to implement the
permit program, e.g., promulgation of regulations
- Developing the funding structure necessary to
implement the permit program
Permit Activities
Activities to pursue using either Tribal authority
and/or EPA authoritya
- Issuing permits
- Renewing permits in a timely manner
- Conducting inspections
- Providing compliance assistance
- Revising regulations, as needed
Activities to pursue only if seeking EPA TAS
authority
- Develop TAS Package for NPDES
- Develop a draft authorization package for EPA
review and comment
Activities to pursue following EPA-approved
TAS authority only
- Providing data to EPA's ICIS database
- Assisting the Region in enforcement and
compliance activities.
Wastewater Infrastructure - CWA
- Tribe becomes knowledgeable of the processes to
procure Federal funds for the construction of tribal
wastewater treatment systems (funding sources
may include: EPA Tribal Set Aside, USDA-RD, IHS,
HUD&DOI).
Wastewater Infrastructure - CWA
- Apply for federal funds for the construction of tribal
wastewater treatment systems (EPA Tribal Set
Aside, USDA-RD, IHS, HUD & DOI).
- Manage grants, agreements, and contracts
through project completion.
Tribal Activities for Water Program
Planning and Development
Tribal Activities for Water Program
Implementation
Safe Drinkinc
Water Act
Ground Water and Source Water Protection
Activities
- Delineate source water protection areas
- Begin developing a Source Water Assessment.
Ground Water and Source Water Protection
Activities
- Complete and implement source water protection
plan/wellhead protection plan for public water
supplies
- Institute land use planning to protect susceptible
Appendix IV: EPA Water Program Reference Table: Framework for Tribal Water Program
Strategic Planning and Development
Page 4 of 5
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM
Guidance on the Award and Management of General Assistance Agreements for Tribes and Intertribal Consortia (May 15, 2013)
Tribal Activities for Water Program
Tribal Activities for Water Program
Planning and Development
Implementation
Safe Drinking Water Act
source water areas.
Drinkina Water Infrastructure - SDWA
- Tribe becomes knowledgeable of the processes to
procure Federal funds for the construction of tribal
public drinking water systems (funding sources may
include: EPA Indian Set Aside, USDA-RD, IHS,
HUD, and DOI).
Drinkina Water Infrastructure - SDWA
- Apply for federal funds for the construction of tribal
public drinking water systems (EPA Tribal Set
Aside, USDA-RD, IHS, HUD, and DOI).
- Manage grants, agreements, and contracts
through project completion.
Oversight, Enforcement and Permitting Activities
under SDWA
Activities to pursue using either tribal authority
and/or EPA authoritya
- Tribe requests a DITCA with their EPA Region that
assists EPA with direct implementation activities of
the Public Water System Supervision (PWSS)
program
- Tribe requests a DITCA with their EPA Region that
assists EPA with direct implementation activities of
the Underground Injection Control (UIC) program
- Tribe Reports UIC inventory (esp. Class V wells)
information to EPA.
Oversight, Enforcement and Permitting
Activities under SDWA
Activities to pursue using either tribal authority
and/or EPA authoritya
- Enact UIC laws and regulations to administer and
implement a UIC program
- Issue individual permits and rule authorized
injection
- Renew permits in a timely manner
- Conduct inspections
- Provide compliance assistance
- Revise regulations, as needed
Activities to pursue only if seeking EPA-approved
program delegation authority
- Developing the legal framework to implement the
primary enforcement program (primacy), e.g.,
promulgation of regulations, enforcement
capabilities
- Developing a draft authorization package for EPA
review and comment for primary enforcement
responsibility under Section 1451 of SDWA
("primacy")
- Developing a draft authorization package for EPA
review and comment for primacy to enforce federal
UIC requirements and manage injection wells on
tribal lands.
Activities to pursue only following EPA-
approved program delegation via TAS or the
primacy agency
- Oversee and enforce the National Primary
Drinking Water Regulations for the PWSS
program at public water systems under tribal
jurisdiction
- Maintain compliance data systems on public water
systems
- Receive and analyze compliance monitoring data
- Conduct sanitary surveys of public water systems
- Certify laboratories that can perform analysis of
drinking water, which will be used to determine
compliance with the regulations
- Provide technical assistance to managers and
operators of public water systems;
- Use UIC grant funds to implement the minimum
Federal UIC requirements
- Implement and enforcement the Federal UIC
regulations on tribal lands.
a - Means that a tribe could pursue these activities under (1) their own tribal authority, (2) a
Direct Implementation Tribal Cooperative Agreement (DITCA) or Memorandum of
Understanding (MOU) with EPA, and/or (3) EPA-approved treatment in a manner similar to a
state (TAS) authorization or delegation of primacy.
Appendix IV: EPA Water Program Reference Table: Framework for Tribal Water Program
Strategic Planning and Development
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM
Guidance on the Award and Management of General Assistance Agreements for Tribes and Intertribal Consortia (May 15, 2013)
Appendix V
EPA Funding Programs that Support Tribal Environmental Program
Capacity Development and/or Implementation Activities
Indian Environmental General Assistance Program TCFDANo. 66.9261: Assistance to
build tribal capacity to administer environmental regulatory programs on Indian lands,
and technical assistance in the development of multimedia programs. Supports planning,
developing, and establishing the capability to implement programs administered by EPA
and includes the development and implementation of solid and hazardous waste programs
for Indian lands in accordance with the purposes and requirements of applicable
provisions of law, including the Solid Waste Disposal Act.
Direct Implementation Tribal Cooperative Agreements |"CFDANo. 66.4731: Assistance
authority to support tribes to work with EPA to directly implement federal environmental
programs required or authorized by law in the absence of an acceptable Tribal program.
• EPA Funding Programs that Support Tribal Capacity Development and/or Implementation of
CAA
Training. Investigations, and Special Purpose Activities of Federally-Recognized Indian
Tribes Consistent with the Clean Air Act. Tribal Sovereignty and the Protection and
Management of Air Quality CAA Section 103 (Tribal CAA 103 Project Grants) TCFDA
No. 66.0381: Assistance to support tribal efforts to understand, assess and characterize air
quality; design methods and plans to protect and improve air quality on tribal lands
through surveys, studies, research, training, investigations, and special purpose activities.
Air Pollution Control Support Program (CAA Section 105) |"CFDANo. 66.011:
Assistance for planning, developing, establishing, improving, and maintaining adequate
programs for the continuing prevention and control of air pollution and/or in the
implementation of national primary and secondary air quality standards.
National Clean Diesel Emissions Reduction Program |"CFDANo. 66.0391: Assistance
through grants and low-cost revolving loans to eligible entities to fund the costs of a
retrofit technology that significantly reduces emissions for buses (including school
buses), medium heavy-duty or heavy heavy-duty diesel trucks, marine engines,
locomotives, or nonroad engines or diesel vehicles or equipment used in construction,
handling of cargo (including at port or airport), agriculture, mining, or energy production.
In addition, eligible entities may also use funds awarded for programs or projects to
reduce long-duration idling using verified technology involving a vehicle or equipment
described above, or the creation of low-cost revolving loan programs to finance diesel
emissions reduction projects.
Chemical and Emergency Preparedness and Prevention Technical Assistance Grants
rCFDANo. 66.8101: Assistance for chemical accident prevention activities that relate to
Appendix V: EPA Funding Programs that Support Tribal Environmental Program Capacity Development Page 1 of 6
and/or Implementation Activities
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM
Guidance on the Award and Management of General Assistance Agreements for Tribes and Intertribal Consortia (May 15, 2013)
the Risk Management Program under the Clean Air Act Section 112(r), chemical
emergency planning, and community right-to-know programs which are established to
prevent or eliminate unreasonable risk to the health and environment of the community.
• EPA Funding Programs that Support Tribal Capacity Development and/or Implementation of
CWA and SDWA
SDWA Capitalization Grants for Drinking Water State Revolving Funds (Drinking Water
Infrastructure Grants: Tribal Set-Aside Program) |"CFDANo. 66.4681: Assistance to
finance infrastructure improvements for public drinking water systems.
Construction Grants for Wastewater Treatment Works & Capitalization Grants for Clean
Water State Revolving Funds (Indian Set Aside Program) TCFDA No. 66.418. 66.4581:
Assistance for planning, design and construction of wastewater treatment facilities; low-
cost financing to eligible entities within tribal lands for water quality projects including
all types of nonpoint source, watershed protection or restoration, and estuary
management projects, as well as more traditional municipal wastewater treatment
projects.
Assessment and Watershed Protection Program Grants (CWA Section 104(b)(3)) TCFDA
No. 66.4801: Assistance to support a watershed approach to water quality problems and
building capacity to develop and implement programs for watershed protection,
restoration, and management.
Surveys. Studies. Investigations. Demonstrations, and Training Grants and Cooperative
Agreements - Section 104(b)(3) of the Clean Water Act TCFDA No. 66.4361: Assistance
to support the coordination and acceleration of research, investigations, experiments,
training, demonstrations, surveys, and studies relating to the causes, effects (including
health and welfare effects), extent, prevention, reduction, and elimination of water
pollution.
Regional Wetland Program Development Grants (CWA Section 104(b)(3)) TCFDA No.
66.4611: Assistance for building programs which protect, manage, and restore wetlands.
Water Pollution Control State. Interstate, and Tribal Program Support (CWA Section
106) TCFDANo. 66.4191: Assistance to establish and maintain adequate measures for
prevention and control of surface and ground water pollution from both point and
nonpoint sources.
Nonpoint Source Implementation Grants (CWA Section 319) TCFDANo. 66.4601:
Assistance for implementing EPA-approved nonpoint source management programs.
Beach Program Monitoring and Notification Implementation Grants TCFDANo. 66.4721:
Assistance for eligible coastal and Great Lakes Tribes to develop and implement
programs for monitoring and notification for coastal recreation waters adjacent to
beaches or similar points of access that are used by the public.
Appendix V: EPA Funding Programs that Support Tribal Environmental Program Capacity Development
and/or Implementation Activities
Page 2 of 6
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM
Guidance on the Award and Management of General Assistance Agreements for Tribes and Intertribal Consortia (May 15, 2013)
Surveys. Studies. Investigations. Demonstrations, and Training Grants - Section 1442 of
the Safe Drinking Water Act TCFDA No. 66.4241: Assistance for source water protection
program support, operator certification program support, tribal capacity development
program support, and administration of drinking water system infrastructure.
State Public Water System Supervision TCFDA No. 66.4321: Assistance for eligible tribes
(those that have Primary Enforcement Responsibility for the Public Water System
Supervision Program, or are developing such a program) for implementation of Public
Water Systems Supervision Program.
State Underground Water Source Protection TCFDANo. 66.4331: Assistance for states
and Indian tribes that have been delegated primary underground injection control
enforcement authority pursuant to the Safe Drinking Water Act (SDWA)..
• EPA Funding Programs that Support Tribal Capacity Development and/or Implementation of
RCRA
Tribal Solid Waste Management Assistance Projects l"CFDANo. 66.8081: Assistance to
characterize/assess open dumps; develop IWM plans and tribal codes and regulations;
develop and implement alternative solid waste management activities/facilities (including
equipment acquisition); and develop and implement cleanup, closure, and post-closure
programs for open dumps in Indian Country. Note that starting in Fiscal Year 2012,
funding from all federal agencies for this Project was zero, "reflecting the challenging
fiscal constraints facing the federal government."54
Headquarters and Regional Underground Storage Tank Program TCFDA 66.8161:
Assistance to support activities that promote the prevention, compliance, and
identification of USTs and to support activities that promote corrective action,
enforcement and management of releases from UST systems.
Underground Storage Tank Prevention. Detection, and Compliance Program TCFDANo.
66.8041: Assistance for the development and implementation of UST programs and for
leak prevention, compliance and other activities.
Leaking Underground Storage Tank Trust Fund Corrective Action Program TCFDA No.
66.8051: Assistance for the oversight and corrective action associated with petroleum
releases from federally-regulated USTs, as well as for enforcement activities related to
such corrective action.
54 "The Environmental Protection Agency-Wide Plan to Provide Solid Waste Management Capacity Assistance to
Tribes, Draft for Tribal Review," Month, 2012, at page 16.
Appendix V: EPA Funding Programs that Support Tribal Environmental Program Capacity Development
and/or Implementation Activities
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM
Guidance on the Award and Management of General Assistance Agreements for Tribes and Intertribal Consortia (May 15, 2013)
• EPA Funding Programs that Support Tribal Capacity Development and/or Implementation of
CERCLA, EPCRA, and Brownfields
Superfund State. Political Subdivision, and Indian Tribe Site-Specific Cooperative
Agreements l"CFDANo. 66.8021: Assistance to conduct site characterization activities at
potential or confirmed hazardous waste sites; undertake response planning and
implementation actions at sites on the NPL to clean up the hazardous waste sites that are
found to pose hazards to human health; and effectively implement the statutory
requirements of CERCLA 121(f), as appropriate, which mandates substantial and
meaningful involvement, and CERCLA 126(a).
Superfund State and Indian Tribe Core Program Cooperative Agreements TCFDA No.
66.8091: Assistance to conduct CERCLA activities which are not assignable to specific
sites, but support a recipient's site-specific response program, such as developing
procedures for emergency response actions and remediation of environmental and health
risks; establishing legal authorities and enforcement support; hiring and training staff;
and activities that support EPA/recipient interaction.
Chemical and Emergency Preparedness and Prevention Technical Assistance Grants
rCFDANo. 66.8101: Assistance for chemical accident prevention activities that relate to
the Risk Management Program under the Clean Air Act Section 112(r), chemical
emergency planning, and community right-to-know programs which are established to
prevent or eliminate unreasonable risk to the health and environment of the community.
State and Tribal Response Program Grants |"CFDANo. 66.8171: Non competitive
assistance through annual grant program to develop and enhance response programs,
including establishing and maintaining a public record of sites at which response actions
have been completed or are planned, inventorying brownfields sites, establishing legal
authorities for environmental programs, and addressing contaminated brownfields sites
through assessment and clean up; hiring and training staff; creating procedures for
meaningful community involvement and for site-specific work; and activities to reduce
and revitalize the number of contaminated sites. Funding can also be used to provide
program capacity for inventorying UST and ABT sites, developing an integrated solid
waste management plan, developing and implementing oversight and enforcement of the
tribe's environmental programs. Federally recognized tribes/native villages in Alaska are
eligible to request funding.
Brownfield Environmental Workforce Development and Job Training Grants rCFDANo.
66.808, 66.813, & 66.8151: Assistance to recruit, train, and place unemployed and under-
employed predominantly low-income and minority persons, providing them with the
skills needed to secure full-time, sustainable employment in the environmental field and
in the assessment and cleanup work taking place in or near their communities. Federally
recognized tribes are eligible to apply with the exception of those in Alaska.
Brownfields Assessment, Revolving Loan Fund, and Cleanup Cooperative Agreements
rCFDA No.66.8181: Assistance to: inventory, characterize, assess, and conduct planning
Appendix V: EPA Funding Programs that Support Tribal Environmental Program Capacity Development Page 4 of 6
and/or Implementation Activities
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM
Guidance on the Award and Management of General Assistance Agreements for Tribes and Intertribal Consortia (May 15, 2013)
and community involvement related to Brownfield sites; capitalize a revolving loan fund
(RLF) and provide sub-grants to carry out cleanup activities at brownfield sites; and carry
out cleanup activities at Brownfield sites that are owned by the grant recipient. Federally
recognized tribes are eligible to apply with the exception of those in Alaska.
• EPA Funding Programs that Support Tribal Capacity Development and/or Implementation of
TSCA (including AHERA and lead program) and FIFRA
Community Action for a Renewed Environmental Program TCFDA No. 66.0351:
Assistance to support analyses, studies, evaluations, surveys, investigations, conferences,
demonstrations and special purpose projects which empower communities to reduce risks
from exposures to toxic pollutants in the air, in the water, and on the land through
collaborative action at the local level.
Consolidated Pesticides Enforcement Cooperative Agreements |"CFDANo. 66.7001:
Assistance for developing and maintaining comprehensive pesticide programs that
address all aspects of pesticide enforcement, and special pesticide initiatives; sponsor
cooperative surveillance, monitoring and analytical procedures; and encourage regulatory
activities to support and strengthen pesticide compliance programs, including pesticide
compliance monitoring, inspection and enforcement activities.
Pesticide Environmental Stewardship Regional Grants l"CFDANo. 66.7141: Assistance to
support integrated pest management approaches that reduce the risks associated with
pesticide use in agricultural and non-agricultural settings, including: pesticide risk
reduction, pesticide pollution prevention, Integrated Pest Management (IPM)
implementation, and children's health issues related to pesticides.
Tribal Education Outreach on Lead Poisoning and Baseline Assessment of Tribal
Children's Existing and Potential Exposure and Risks Associated with Lead TCFDA: No.
66.7151: Assistance to support tribal outreach and baseline assessment activities on lead-
based paint to identify children's risk to lead hazards and lead poisoning.
Research, Development Monitoring, Public Education, Training, Demonstrations, and
Studies TCFDANo. 66.7161: Assistance support Research, Development, Monitoring,
Public Education, Training, Demonstrations, and Studies assistance relating to the
protection of public health and the environment from pesticides and potential risk from
toxic substances. Projects for safer use of pesticides, including worker protection,
certification and training of pesticide applicators, protection of endangered species, tribal
pesticide programs, integrated pest management; environmental stewardship.
Pollution Prevention Grants Program TCFDA No. 66.7081: Assistance to implement
pollution prevention technical Assistance services for businesses, and promote training in
pollution prevention/source reduction techniques.
State Indoor Radon Grants TCFDANo. 66.0321: Assistance to develop and implement
programs to assess and mitigate radon-related lung cancer risk.
Appendix V: EPA Funding Programs that Support Tribal Environmental Program Capacity Development
and/or Implementation Activities
Page 5 of 6
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM
Guidance on the Award and Management of General Assistance Agreements for Tribes and Intertribal Consortia (May 15, 2013)
Surveys. Studies. Investigations. Training Demonstrations, and Educational Outreach
Related to Environmental Information and the Release of Toxic Chemicals TCFDA No.
66.6121: Assistance to educate the public on the how to obtain access to and effectively
use environmental information, including information about toxic chemical releases and
other waste management activities.
Toxic Substances Compliance Monitoring Cooperative Agreements l"CFDANo. 66.7011:
Assistance to develop and maintain compliance monitoring programs to prevent or
eliminate unreasonable risks to health or the environment associated with chemical
substances or mixtures, specifically asbestos, PCB, and lead-based paint; encourage
establishment of regulatory activities for lead-based paint and asbestos; and support
enforcement activities for asbestos and lead-based paint programs.
TSCA Title IV State Lead Grants Certification of Lead-Based Paint Professionals TCFDA
No. 66.7071: Assistance to develop and implement authorized programs that: certify
contractors engaged in lead-based paint activities and accredit lead-based paint activities
training programs; certify contractors engaged in renovation, repair and painting
activities that disturb painted surfaces in most target housing; and/or require distribution
of lead-hazard information prior to renovation (pre-renovation education program).
Appendix V: EPA Funding Programs that Support Tribal Environmental Program Capacity Development
and/or Implementation Activities
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