Pandemic Highlights Need for Additional Tribal Drinking Water
Assistance and Oversight in EPA Regions 9 and 10
EPA OIG's Response to the
COVID-19 Pandemic
Source: Centers for Disease Control and
Prevention image.
This evaluation addresses these EPA
mission-related efforts:
•	Ensuring clean and safe water.
•	Partnering with states and other
stakeholders.
This evaluation addresses these top
EPA management challenges:
•	Maintaining operations during
pandemic response.
•	Overseeing tribes implementing EPA
programs.
•	Improving workforce/workload
analyses.
•	Integrating and leading environmental
justice.
Report contributors:
Stacey Banks
Kathlene Butler
Allison Dutton
Alicia Mariscal
Renee McGhee-Lenart
Peter Otness
Jayson Toweh
Address inquiries to our public affairs
office at (202) 566-2391 or
OIG WEBCOMMENTS@epa.gov.
Full list of EPA OIG reports.
Why We Did This Evaluation
The Office of Inspector General initiated this evaluation to determine
how the coronavirus pandemic—that is, the SARS-CoV-2 virus and
resultant COVID-19 disease—affected the ability of U.S. Environmental
Protection Agency Regions 9 and 10 to provide oversight to help
public water systems in Indian Country deliver safe drinking water to
customers. Our work focused on oversight of tribal drinking water
systems in Regions 9 and 10, as more federally recognized tribes are
located in these two regions than in other EPA regions. We sought to
understand the conditions facing tribal drinking water systems and
how the pandemic affected the regions' direct implementation and
use of existing regulations and tools during the pandemic.
Background
EPA Oversight Responsibilities and Authorities
To protect the public from contaminants that may be found in drinking
water, the Safe Drinking Water Act, or SDWA, authorizes the EPA to
establish national health-based standards via National Primary
Drinking Water Regulations. The Regions 9 and 10 Water Divisions are
responsible for determining public water system compliance with the
drinking water regulations; conducting reviews, called sanitary
surveys, of public water systems to assess their capability to supply
safe drinking water, as well as educating them about proper
monitoring and sampling procedures; and providing technical and
compliance assistance. The Regions 9 and 10 Enforcement and
Compliance Assurance Divisions are responsible for conducting
inspections and taking enforcement actions when drinking water
regulations are violated.
Under Sections 1413 and 1451 of SDWA, the EPA can delegate primary
enforcement authority, known as primacy, to a state or tribe.
According to 40 C.F.R. § 141.2, in the absence of delegated primacy for
a particular state or tribe, the EPA serves as the primacy agency and
directly implements the program for that state or tribe. In this report,
we use the term tribal drinking water program to refer to the EPA's
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Key Terms
A public water system provides water
for human consumption through pipes or
other constructed conveyances to at
least 15 service connections or serves
an average of at least 25 people for at
least 60 days a year.
A tribal drinking water system is a
public water system that is located within
tribal boundaries; is owned and operated
by several entities, including tribal
governments, the federal government,
and private entities; and serves both
tribal communities and non-tribal
populations.
There are three types of public water
systems:
•	A community water system supplies
water to the same population year-
round.
•	A nontransient noncommunity water
system regularly supplies water to at
least 25 of the same people at least
six months per year—for example, in
schools, factories, office buildings,
and hospitals.
•	A transient noncommunity water
system provides water in a place
where people do not remain for long
periods of time—for example, a gas
station or campground.
direct implementation and enforcement authority for tribal drinking
water systems.
Several regulations and policies govern the EPA's direct
implementation and oversight of tribal drinking water programs.
These regulations and policies are detailed in Appendix A.
Tribal Drinking Water Systems in Regions 9 and 10
Region 9 oversees 212 community drinking water systems on tribal
lands, which serve drinking water to an estimated 339,207 people
within 100 of 148 federally recognized tribes. Region 10 oversees
82 community drinking water systems on tribal lands, which serve a
population of 57,258 people across 42 federally recognized tribes,
excluding those under the State of Alaska's primacy.
Region 9 oversees
Region 10 oversees
212 community drinking
water systems on tribal
lands
82 community drinking
water systems on tribal
lands
mm/m which serve drinking
water to 339,207 people
within 100 federally
recognized tribes
which serve drinking
IIIjUa water to 57,258 people
recognized tribes
Source: OIG analysis of EPA data. (EPA OIG image)
The EPA classifies public water systems according to the number of
people they serve. In Regions 9 and 10, about 88 percent (269) and
94 percent (127) of the tribal drinking water systems, respectively, are
classified as small or very small and serve 3,300 or fewer people.1
Region 9 oversees 23 tribal drinking water systems that provide
drinking water to populations of 3,301 to 10,000 people, as well as 15
that supply drinking water to populations of 10,001 to 100,000
people. Region 10 oversees seven tribal drinking water systems that
provide drinking water to populations of 3,301 to 10,000 people, as
well as one that supply drinking water to populations of 10,001 to
100,000 people.
Tribal Drinking Water System Capacity Limitations
To ensure their sustainability and maintain compliance with all
applicable drinking water laws and regulations, drinking water systems
must have adequate capacity to perform their required technical,
managerial, and financial duties.
1 Very small systems serve fewer than 500 people, and small systems serve from 501 to 3,300 people. Throughout this report, we
refer to both small and very small systems as "small" systems.
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Many tribal drinking water
systems struggle with these
capacity limitations:
• Technical
Managerial
• Financial
m
Source: OIG summary of EPA data.
(EPA OIG image)
Obstacles for tribal drinking water systems tend to be associated with
the following:
•	Technical capacity limitations, wherein the systems lack the proper
equipment or personnel for operation and maintenance. Tribal
drinking water systems with technical capacity limitations may be
less likely to properly monitor their water for contaminants or
make timely repairs. This can lead to poor water quality, water
system unreliability, or failing water system infrastructure, all of
which pose significant public health risks to customers.
•	Managerial capacity limitations, wherein the systems lack
accountable owners or adequate staffing and organization. Tribal
drinking water systems with managerial capacity limitations may
not have the expertise needed to ensure safe and reliable delivery
of drinking water.
•	Financial capacity limitations, which underlie managerial and
technical capacity limitations. Tribes typically do not have access
to the same array of financing options as state or local
governments, and they do not always charge their customers for
the drinking water they provide. This may leave tribal drinking
water systems with less funding.
As a result of these capacity limitations, tribal drinking water systems
may be unable to operate safely or sustainably and comply with
drinking water regulations.
To help address water infrastructure issues and the technical,
managerial, and financial capacity limitations of drinking water
systems, Congress enacted the America's Water Infrastructure Act of
2018, which amended SDWA, in October 2018. The America's Water
Infrastructure Act outlines strategies and offers grants to address
drinking water system resilience, including malevolent acts and
natural hazards (Appendix B).
Pandemic Has Substantially Affected Tribal Communities
The pandemic-related challenges faced by tribal communities affect
tribal drinking water operations because staff may not be available to
maintain operations. Pandemic-related financial pressures in the
overall tribal community may also reduce funding for tribal drinking
water system operations.
In response to the coronavirus pandemic, the EPA established
guidance and informational webpages for the Agency, tribal
governments, and other external stakeholders (Appendix A). In an
April 7, 2020 memorandum to tribal leaders, the EPA administrator
requested that local governments consider drinking water systems and
their operators as essential. The EPA administrator emphasized that
fully operational drinking water systems are "critical to containing
COVID-19 and protecting Americans from other public health risks."
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Regions 9 and 10 directly
implement the Safe Drinking
Water Act for federally
recognized tribes in Indian
Country within the states of:
Alaska
Arizona
California
Idaho
Nevada
New Mexico
*
Oregon
Washington
Source: OIG analysis of EPA data.
(EPA OIG image)
The memorandum further added that handwashing and cleaning to
protect against the coronavirus depend upon safe and reliable
drinking water.
EPA's Responsibilities for Workforce Planning
Workforce planning is critical to ensure that the EPA has the expertise
it needs to achieve its strategic goals and objectives. To fulfill its
oversight responsibilities for tribal drinking water systems, the EPA
needs to have both sufficient staff to conduct site visits and the
expertise to understand the particular capacity limitations that tribal
drinking water systems face. Workforce planning is also a
requirement: effective in 2017, 5 C.F.R. Part 250, Subpart B, requires
federal agencies to develop a Human Capital Operating Plan, which
includes agencywide workforce planning. The U.S. Office of Personnel
Management details five phases of workforce planning:
•	Establish strategic direction.
•	Analyze current workforce, identify skill gaps, and determine
future workforce needs.
•	Develop an action plan to address gaps and assess progress.
•	Implement the action plan.
•	Monitor progress, assess for improvements, and revise the
workforce plan to incorporate necessary improvements and
changes to address new issues.
Although the EPA has taken steps to comply with 5 C.F.R. Part 250,
Subpart B, it has not, as of August 2021, fully executed the required
workforce plan to ensure that it is appropriately staffed to achieve its
overall mission to protect human health and the environment.
Scope and Methodolo
See Appendix Cfor a description of our scope and methodology in
conducting this evaluation.
Responsible Offices
Regions 9 and 10 directly implement SDWA for all federally recognized
tribes in Indian Country within the States of Alaska, Arizona, California,
Idaho, Nevada, New Mexico, Oregon, and Washington, except for the
Navajo Nation and the Alaska Native Villages.
Prior OIG Reports
See Appendix D for a description of prior OIG reports related to this
evaluation.
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How the pandemic
further challenged
tribal drinking water
systems in Regions 9
and 10:
• Transition from mailing to
emailing lab results
• Delayed efforts to address
significant deficiencies
identified in EPA sanitary |
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r
The director of the EPA's
Water Security Division
described the coronavirus
pandemic as qualifying as a
natural hazard under the
America's Water
Infrastructure Act, because ...
it is a natural event that
threatens the operation
of a drinking water
system.
V.	J
Ways oversight of tribal
systems declined in Regions 9
and 10:
1.	Sanitary Surveys
~
2.	Inspections
3.	Maintaining
programmatic
operations
O
Source: OIG analysis of EPA data.
(EPA OIG image)
expertise to perform routine sampling and other tasks needed to
provide safe drinking water.
• The systems faced maintenance challenges—including making
improvements or purchasing chemicals—due to the financial
impacts of the pandemic. In a June 2020 survey conducted by the
Rural Community Assistance Program on pandemic impacts to
drinking water, tribal respondents were more likely to indicate
that they experienced or anticipated experiencing negative
impacts and would be unable to pay for expenses if the pandemic-
related financial conditions persisted.
Because of their known capacity limitations, tribal drinking water
systems in Regions 9 and 10 could benefit from the EPA's efforts under
the America's Water Infrastructure Act. While designed to improve
resilience in the face of natural disasters and malevolent acts, the Act's
risk assessment and emergency response strategies could help tribal
drinking water systems improve their resiliency during pandemic-
related challenges as well. For example, as noted in a 2020 OIG
report,2 vulnerable small community water systems in Puerto Rico did
not have electricity in the aftermath of Hurricanes Irma and Maria and
were unable to provide safe drinking water. Because of a limited
supply of generators, not all small rural systems in need of electricity
received them. Risk assessments and emergency response plans for
these systems could have anticipated the potential for power-related
disruption in drinking water service, leading to strategies for acquiring
generators. Similarly, tribal drinking water systems could use risk
assessments and emergency response plans to ensure safe drinking
water during a crisis, such as the coronavirus pandemic. The EPA's
Water Security Division director agreed and described the coronavirus
pandemic qualifying as a natural hazard under the America's Water
Infrastructure Act because it is a natural event that threatens the
operation of a drinking water system.
Pandemic Limited EPA's Tribal Drinking Water System
Assistance, Sanitary Surveys, and Inspections
Within Regions 9 and 10, the pandemic slowed or delayed EPA
oversight activities for several reasons. Regional staff adhered to
social distancing requirements, especially as they developed a health-
and-safety protocol specific to the pandemic. Some tribes issued their
own quarantine orders and closed their reservations to nonresidents,
which prevented the EPA from conducting on-site visits. Although
regional staff adjusted their routine operating strategies to fulfill their
programmatic responsibilities, we identified three ways oversight of
tribal drinking water systems declined in Regions 9 and 10: the delay
of sanitary surveys and technical assistance, the postponement of
inspections, and the interruption of general programmatic operations.
2 EPA OIG, Region 2's Hurricanes Irma and Maria Response Efforts in Puerto Rico and U.S. Virgin Islands Show the Need for Improved Planning,
Communications, and Assistance for Small Drinking Water Systems, Report No. 21-P-0032. December 3, 2020.
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Sanitary Surveys and Technical Assistance Delayed
Region 10
Source: OIG analysis of EPA data.
(EPA OIG image)
Regions 9 and 10 delayed sanitary surveys of tribal drinking water
systems, which the EPA is required to conduct every three to five years
for each system under its direct implementation and enforcement
authority, per 40 C.F.R. § 142.16 and EPA's Direct Implementation of
Federal Environmental Programs in Indian Country.
Region 9 normally conducts from 60 to 100 sanitary surveys per year.
In the spring of 2020, the region and its third-party providers, including
the federal Indian Health Service, delayed 28 sanitary surveys as a
result of quarantines, social distancing requirements, and the need to
develop a pandemic health-and-safety protocol. Region 9 resumed
sanitary surveys in October 2020 and, as of August 2021, had
conducted 88 sanitary surveys, including those that were delayed in
the spring of 2020. Region 9 told us that, by the end of fiscal
year 2022, it expected to have surveyed all the region's tribal drinking
water systems within the required three- to five-year time frame,
assuming no new quarantines or travel restrictions were enacted.
Approximately 15 sanitary surveys of tribal drinking water systems in
Region 10 were delayed in early 2020. As a result, Region 10 may not
meet the requirement to conduct sanitary surveys every three to
five years at the affected facilities.
Region 10 and its third-party providers also cancelled or delayed site
visits to provide technical assistance. For instance, Region 10 told us
that the Metlakatla Indian Community requested and needed a
third-party technical assistance and site visit for one of its tribal
drinking water systems as a result of health-based violations and
operational issues. This visit did not occur due to the stalling of
contracts and agreements during the pandemic.
Inspections Postponed, but Emergency Actions Continued
Regional enforcement managers in Regions 9 and 10 told us that
inspections have been postponed or slowed down as a result of the
pandemic, partly because some tribes closed their borders, preventing
EPA inspectors from accessing facilities. Region 10 personnel told us
that, in lieu of conducting on-site inspections, they conducted some
off-site inspections and monitoring, which they refer to as "desk
audits."
Both Regions 9 and 10 told us that that, during the pandemic, they
continued to issue and monitor enforcement actions under SDWA
Sections 1431. For example:
• Region 9 continued to work with the Oasis Mobile Home Park on
the Torres Martinez Tribe's lands in southern California on an
emergency order issued under SDWA Section 1431 in August 2019.
The EPA also issued a second order in September 2020. Both
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EPA Authority to Issue
Emergency Orders
SDWA Section 1431 provides the EPA
with emergency authority to address
"imminent and substantial
endangerment" to human health
from drinking water contamination.
The EPA can use this discretionary
authority whenever a contaminant
"is in or likely to enter a drinking
water source" and "the appropriate
state and local authorities have not
acted to protect human health."
SDWA Section 1414(g) governs the
EPA's authority to issue an order to
require compliance with an
applicable SDWA requirement.
orders involve violations of the maximum contaminant level of
arsenic and require the Oasis Mobile Home Park to provide an
alternative source of water, prepare both short- and long-term
compliance plans, and retain certified technical providers to assess
the system and its compliance.
• Region 10 continued to work with the Confederated Tribes of
Warm Springs in Oregon on two formal enforcement actions. In
May 2019, Region 10 issued an emergency order under SDWA
Section 1431 due to a pattern of high turbidity. This order details
requirements for corrective measures and an alternative water
supply. Additionally, in June 2019, Region 10 issued an
administrative order on consent under SDWA Section 1414(g),
which involves correcting significant deficiencies identified in a
sanitary survey conducted in July 2018.
During the pandemic, Regions 9 and 10 did not conduct tribal
consultations on drinking water matters but did conduct virtual tribal
consultations on other matters.
According to Region 10 staff, tribes may consider in-person
interactions preferable. As such, remote compliance monitoring and
virtual tribal consultations do not provide the in-person interactions
likely preferred by the tribes. In addition, Region 10 staff reported that
in-person meetings and trainings are a more effective means of
communication for tribes.
Programmatic Operations Interrupted
Regions 9 and 10 personnel reported that the coronavirus pandemic
delayed the credentialing of EPA inspectors because inspectors were
unable to obtain the required fieldwork training. A credentialed
inspector is one who has received the training and certifications
required to conduct a compliance monitoring activity on-site at a
regulated facility. A credentialed inspector may collect information or
samples; make a compliance determination; or develop evidence that
leads to, or supports, an enforcement action.
In addition, EPA staff in Regions 9 and 10 told us that, as they
transitioned to full-time telework due to the pandemic, they had
difficulty accessing the databases needed to oversee drinking water
systems, including the Safe Drinking Water Information System.
Region 9 told us that the major connectivity issues were resolved by
June 2020. The resolution of these issues will be valuable lessons
learned for Regions 9 and 10 that could be used to prepare for future
pandemics or disasters.
In January 2021, Regions 9 noted that it had delayed ongoing work to
address recommendations identified during direct implementation
program and file reviews conducted in 2019. The purpose of a file
review is twofold: (1) to detect discrepancies between the public
water system data in the primacy agency files or database and the data
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Region 9
Region 10
Source: OIG summary of EPA data.
(EPA OIG images)
reported to the Safe Drinking Water Information System and (2) to
ensure that the primacy agency is determining compliance in
accordance with federal regulations. A program review is an on-site
discussion of the file review findings to allow the region to provide
further background on what may have caused the identified
discrepancies.
For example, the 2019 reviews identified the following issues for
resolution:
•	In Region 9's files, sampling locations were not consistently
named. These inconsistencies could lead to errors in where
drinking water is sampled. The EPA recommended that Region 9:
o Work with public water systems to ensure that they
understand the importance of identifying sampling locations.
o Consider developing a written policy for public water systems
to consistently use the correct names for sampling locations.
•	In Region 10, some tribal drinking water systems failed to adhere
to the requirements under the Revised Total Coliform Rule for
monitoring and reporting, and the region either entered data
erroneously in the Safe Drinking Water Information System or did
not issue violations for these failures. The EPA recommended that
the region observe the procedures for assigning monitoring and
reporting violations under the Revised Total Coliform Rule.
As of March 2021, both regions had begun to address some issues
identified as a result of these program and file reviews. Because of the
increased pandemic-related demands on its Water Division, Region 9
initially had not prioritized or formally tracked its efforts to address the
identified issues. According to Region 9, as of July 2021, it had
addressed 25 of the 38 recommendations. Region 10 reported in
March 2021 that its Water Division had addressed
38 recommendations noted in the file review and identified
73 remaining recommendations to address, with 39 of these
considered high- or medium-priority items.
Pandemic Underscored Limited Agency Resources
The pandemic highlighted preexisting resource limitations in Regions 9
and 10 for overseeing tribal drinking water systems. Because tribal
drinking water systems generally have technical, managerial, and
financial capacity limitations, additional staffing and expertise would
benefit the direct implementation of tribal drinking water programs in
Regions 9 and 10, especially for compliance assistance and oversight
tasks. In addition, Regions 9 and 10 both reported staff retirements
prior to the pandemic. As a result, both regions have experienced a
loss of institutional knowledge. Also, as discussed previously, the
pandemic delayed some EPA inspectors from obtaining the fieldwork
training necessary to obtain their credentials.
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Deficiencies &
! Recommendations
! b
!
Drinking water risk
|
i	
Source: OIG analysis of EPA data.
(EPA OIG image)
The OIG has identified workforce planning as a top EPA management
challenge since 2012. We previously reported that the EPA is taking
steps toward meeting its agencywide workforce planning
requirements. However, the pandemic further magnified the Agency's
existing workforce challenges and the importance of workforce
planning and succession management to the EPA's mission to protect
public health and the environment. For example, Water Division and
Enforcement and Compliance Assurance Division workloads for
Regions 9 and 10 include the following workforce challenges:
•	As of March 2021, Region 9 had a total of 14 staff to cover
100 tribes, which operate a collective 307 drinking water systems.
This included eight staff in the Water Division to implement the
tribal direct implementation program. These staff split their time
among other Water Division programs and, as a result, their work
is not solely dedicated to direct implementation responsibilities.
This also included six inspectors in the Enforcement and
Compliance Assurance Division—three of whom are
credentialed—to conduct compliance monitoring, assess
compliance, and support enforcement actions. The six inspectors
conduct enforcement throughout the region for drinking water
systems, including for public water systems on nontribal lands.
•	As of April 2021, Region 10 had a total often staff to cover
42 tribes, which operate a collective 135 drinking water systems.
This included seven staff in the Water Division to implement the
tribal direct implementation program, including five who have less
than five years of experience with the EPA. Region 10's Water
Division said that it relies heavily on contract staff. This also
included three inspectors in the Enforcement and Compliance
Assurance Division—one credentialed and two working on their
credentials—to conduct compliance monitoring, assess
compliance, and support enforcement actions.
To help address the capacity needs of public water systems, the EPA
regions enlist help from third-party technical assistance providers,
including the federal Indian Health Service and nonprofit
organizations. In addition, third-party technical assistance providers
assist remote tribal drinking water systems, since providing such
assistance would require extensive travel by the EPA. However, a
resource gap remains as third-party technical assistance providers are
also dealing with impacts from the pandemic.
Conclusions
Not only did the coronavirus pandemic reinforce the importance of
safe and reliable drinking water as a basic daily necessity, but efforts to
combat the transmission of the virus also rely on widespread access to
such water. Because of preexisting capacity limitations and pandemic-
related challenges, tribal drinking water systems in Regions 9 and 10
have not fully addressed deficiencies. In addition, Regions 9 and 10
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have delayed addressing recommendations from previous program
and file reviews. By not addressing these deficiencies and
recommendations, tribal drinking water systems may be unable to
operate safely and comply with drinking water regulations. As the
coronavirus pandemic continues to disproportionally affect tribal
populations, Regions 9 and 10 need to take steps to improve tribal
direct implementation programs so that tribal drinking water system
customers have consistent access to safe and reliable drinking water.
Recommendations
We recommend that the regional administrator for EPA Region 9:
1.	Implement a strategy to provide outreach, training, guidance, and
technical and financial assistance to tribal drinking water systems
to improve their resilience using the tools developed and grants
distributed by the EPA in accordance with the America's Water
Infrastructure Act of 2018.
2.	Develop and implement a strategy to help the direct
implementation of the tribal drinking water program, including
resumption of sanitary surveys and inspections in a manner that
considers the coronavirus restrictions of each tribe.
3.	Develop and implement a plan to prioritize and address the
recommendations identified in the 2019 file review for Region 9.
4.	Incorporate lessons learned from the coronavirus pandemic to
improve Region 9's existing plans for continuity of operations,
with an emphasis on data management and network connectivity.
5.	Develop a workforce analysis to address staff workload and the
skills needed for the direct implementation of the tribal drinking
water program.
We recommend that the regional administrator for EPA Region 10:
6.	Implement a strategy to provide outreach, training, guidance,
and technical and financial assistance to tribal drinking water
systems to improve their resilience using the tools developed
and grants distributed by the EPA in accordance with the
America's Water Infrastructure Act of 2018.
7.	Develop and implement a strategy to help the direct
implementation of the tribal drinking water program, including
resumption of sanitary surveys and inspections in a manner that
considers the coronavirus restrictions of each tribe.
8.	Develop and implement a plan to prioritize and address the
recommendations identified in the 2019 program and file
reviews for Region 10.
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9.	Incorporate lessons learned from the coronavirus pandemic to
improve Region 10's existing plans for continuity of operations,
with an emphasis on data management and network
connectivity.
10.	Develop a workforce analysis to address staff workload and the
skills needed for the direct implementation of the tribal drinking
water program.
Agency Response and OIG Assessment
Region 9 provided the following responses to Recommendations 1, 3,
and 4:
•	In response to Recommendation 1, Region 9 stated that it would
conduct outreach and training to small drinking water systems
following the Office of Water's publication of guidance. Region 9,
however, did not commit to implementing a strategy to improve
resiliency at tribal drinking water systems. Therefore,
Recommendation 1 is unresolved.
•	Region 9 agreed with Recommendation 3 and expects to
complete the implementation of file review recommendations.
Region 9, however, did not explicitly outline that it will
implement a plan to ensure that it will address all file review
recommendations. Therefore, Recommendation 3 is unresolved.
•	Region 9 agreed with Recommendation 4 and reported that it
incorporated lessons learned into its continuity of operations
plan in December 2020. After further review, we determined that
the Region 9 continuity of operations plan was still in draft and
would not be finalized until September 30, 2021. We reviewed
the draft continuity of operations plan, and Region 9
incorporated the information that we recommended. Based on
our review, we consider this recommendation resolved with
corrective actions pending.
Region 10 provided the following response to Recommendations 6, 8,
and 9:
•	In response to Recommendation 6, Region 10 stated that it
would develop a plan to be implemented by September 30, 2022.
Region 10, however, did not commit to developing a strategy to
provide outreach, training, guidance, and technical and financial
assistance to tribal drinking water systems to improve their
resilience. Therefore, Recommendation 6 is unresolved.
•	In response to Recommendation 8, Region 10 committed to
developing a plan to prioritize and implement file review
recommendations by March 2022. Recommendation 8 is
resolved with corrective actions pending.
•	In response to Recommendation 9, Region 10 committed to
evaluate and conduct lessons-learned exercises by
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September 2022, but it did not commit to incorporating the
lessons learned into its existing continuity of operations plans.
Therefore, Recommendation 9 is unresolved.
Based on comments received from Regions 9 and 10 regarding the
draft report, we revised Recommendations 2 and 7 to consider the
tribes' individual pandemic restrictions:
•	Region 9 disagreed with the draft Recommendation 2, said that it
did not experience a lapse in oversight of public water systems in
Indian Country during the pandemic, and suggested alternative
recommendation language. While Region 9 agreed to develop
and implement a strategy to prioritize the completion of sanitary
surveys and inspections necessary for the protection of public
health by September 2022, we need to provide Region 9 with an
opportunity to respond to the revised final report
recommendation. Therefore, Recommendation 2 is unresolved.
•	Region 10 partially agreed with the draft Recommendation 7 but
suggested alternative language to clarify the tribes' individual
pandemic restrictions. While Region 10 agreed to develop and
implement a strategy to prioritize completion of sanitary surveys
and inspections necessary for the protection of public health by
September 30, 2022, we need to provide Region 10 with an
opportunity to respond to the revised final report
recommendation. Therefore, Recommendation 7 is unresolved.
Based on comments received from Regions 9 and 10 regarding the
draft report, we revised Recommendations 5 and 10 to clarify their
intent. Region 9 stated that it would complete a workforce analysis by
September 30, 2023. This critical analysis should be done more quickly
to address the immediate needs of the tribal drinking water program.
To resolve the recommendation, Region 9 should offer a target date
for corrective action that is within a year of this report's issuance date.
Recommendation 5 is unresolved. Region 10 stated that it would
complete a workforce analysis by September 30, 2023. This critical
analysis should be done more quickly to address the immediate needs
of the tribal drinking water program. To resolve the recommendation,
Region 10 should offer a target date for corrective action that is within
a year of this report's issuance date. Recommendation 10 is
unresolved.
Region 9's full response is in Appendix E, and Region 10'sfull response
is in Appendix F. Both Regions 9 and 10 provided technical comments
that we considered and applied as appropriate.
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Status of Recommendations
RECOMMENDATIONS
Rec.
No.
Page
No.
Subject
Planned
Status*	Action Official Completion Date
10
12
12
Implement a strategy to provide outreach, training, guidance,
and technical and financial assistance to tribal drinking water
systems to improve their resilience using the tools developed
and grants distributed by the EPA in accordance with the
America's Water Infrastructure Act of 2018.
Develop and implement a strategy to help the direct
implementation of the tribal drinking water program, including
resumption of sanitary surveys and inspections in a manner
that considers the coronavirus restrictions of each tribe.
Develop and implement a plan to prioritize and address the
recommendations identified in the 2019 file review for
Region 9.
Incorporate lessons learned from the coronavirus pandemic to
improve Region 9's existing plans for continuity of operations,
with an emphasis on data management and network
connectivity.
Develop a workforce analysis to address staff workload and
the skills needed for the direct implementation of the tribal
drinking water program.
Implement a strategy to provide outreach, training, guidance,
and technical and financial assistance to tribal drinking water
systems to improve their resilience using the tools developed
and grants distributed by the EPA in accordance with the
America's Water Infrastructure Act of 2018.
Develop and implement a strategy to help the direct
implementation of the tribal drinking water program, including
resumption of sanitary surveys and inspections in a manner
that considers the coronavirus restrictions of each tribe.
Develop and implement a plan to prioritize and address the
recommendations identified in the 2019 program and file
reviews for Region 10.
Incorporate lessons learned from the coronavirus pandemic to
improve Region 10's existing plans for continuity of
operations, with an emphasis on data management and
network connectivity.
Develop a workforce analysis to address staff workload and
the skills needed for the direct implementation of the tribal
drinking water program.
Regional Administrator,
EPA Region 9
Regional Administrator,
EPA Region 9
Regional Administrator,
EPA Region 9
Regional Administrator,
EPA Region 9
Regional Administrator,
EPA Region 9
Regional Administrator,
EPA Region 10
Regional Administrator,
EPA Region 10
Regional Administrator,
EPA Region 10
Regional Administrator,
EPA Region 10
Regional Administrator,
EPA Region 10
9/30/21
3/31/22
21-E-0254
* C = Corrective action completed.
R = Recommendation resolved with corrective action pending.
U = Recommendation unresolved with resolution efforts in progress.
14
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Appendix A
EPA's Regulations, Policies, and Guidance
Related to Oversight of Tribal Drinking Water Systems
EPA's Direct Implementation and Oversight Regulations and Policies
Several regulations and policies govern the EPA's direct implementation and oversight of tribal drinking water
programs:
•	EPA's Direct Implementation of Federal Environmental Programs in Indian Country, dated February 25, 2016,
describes the EPA's direct implementation responsibilities and activities under nine major federal environmental
statutes. It also outlines emergency response activities.
•	The 1984 EPA Policy for the Administration of Environmental Programs on Indian Reservations specifies how the
Agency should interact with tribal governments and consider tribal interests in carrying out its programs to
protect human health and the environment.
•	The Drinking Water Enforcement Response Policy, dated December 8, 2009, focuses enforcement attention on
the drinking water systems with the most serious or repeated violations. Per this policy, these systems should be
prioritized for enforcement action so that they can return to compliance as quickly as possible.
•	The Standard Operating Procedures for EPA's Tribal Drinking Water Program, dated March 11, 2010, formally
identifies the EPA regions' responsibility for the tribal drinking water program. The EPA developed these
procedures in response to OIG Report No. 08-P-0266. EPA Assisting Tribal Water Systems but Needs to Improve
Oversight, issued September 16, 2008.
•	The National Primary Drinking Water Regulations establish primary drinking water regulations, pursuant to
Section 1412 of the Public Health Service Act, as amended by SDWA, and related regulations applicable to
drinking water systems.
Environmental Justice Requirements and Policies
Federal government and EPA environmental justice policy and requirements help ensure public health and protection
for all:
•	Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low-
Income Populations, dated February 11, 1994, directs all federal agencies to make environmental justice a part
of its mission by "identifying and addressing, as appropriate, disproportionately high and adverse human health
or environmental effects, of its programs, policies, and activities" on minority and low-income populations. This
order applies equally to Native American programs.
•	Executive Order 14008, Tackling the Climate Crisis at Home and Abroad, dated January 27, 2021, directs the
Office of Management and Budget, the chair of the Council on Environmental Quality, and the national climate
advisor, in consultation with the White House Environmental Justice Advisory Council, to jointly publish
guidance on how certain federal investments might be made toward a goal that 40 percent of the overall
benefits of such investments flow to disadvantaged communities. This is known as the Justice40 Initiative.
•	The EPA Policy on Environmental Justice for Working with Federally Recognized Tribes and Indigenous Peoples,
dated July 24, 2014, describes how environmental justice principles should be incorporated into the EPA's work.
The policy consists of 17 principles, including seven focused on integrating environmental justice into the
Agency's direct implementation of programs, policies, and activities.
•	The EPA Policy on Elevation of Critical Public Health Issues, dated January 21, 2016, encourages EPA staff to
elevate issues that appear to be a substantial threat to public health.
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EPA Pandemic-Related Guidance and Policies
The EPA has issued the following guidance and policies to specifically address operations during the pandemic:
•	In a March 20, 2020 letter to tribal leaders and tribal environmental directors, the assistant administrator for
International and Tribal Affairs detailed the Agency's plan to identify and address regional and programmatic
challenges related to the coronavirus pandemic. The memorandum also offered assistance and, where possible,
flexibility in terms of deadlines, timelines, and grant work plans during the coronavirus pandemic.
•	In a March 26, 2020 memorandum to governmental and private sector partners, the assistant administrator for
Enforcement and Compliance Assurance discussed the implications of the coronavirus pandemic on the office's
programs. This memorandum also detailed a temporary enforcement policy that provided the Agency with
enforcement discretion when addressing noncompliance during the pandemic. This temporary enforcement
policy expired in August 2020.
•	In an April 7, 2020 memorandum to tribal leaders, the EPA administrator requested that local governments
consider drinking water systems and their operators as essential. The EPA administrator emphasized that fully
operational drinking water systems are "critical to containing COVID-19 and protecting Americans from other
public health risks." The memorandum further added that handwashing and cleaning to protect against the
coronavirus depend upon safe and reliable drinking water.
•	In an April 28, 2020 memorandum to the Agency's regional and assistant administrators, the assistant
administrator for International and Tribal Affairs issued internal guidance regarding tribal consultation and
coordination during the pandemic. The memorandum stated that the pandemic "does not affect or limit the
applicability of the Consultation Policy to EPA's actions" and recommended that EPA regions consider using
flexible approaches when consulting and communicating with tribes, such as extended consultation periods and
virtual and electronic means of communication.
•	The Agency established pandemic-specific webpages with resources for managing drinking water and
wastewater concerns, including:
o "Coronavirus and Drinking Water and Wastewater" webpage.
o "Water Utility Resources for the COVID-19 Pandemic" webpage.
o "Tribal Water Utility Resources for the COVID-19 Pandemic" webpage.
o "Frequent Questions Related to Coronavirus (COVID-19)" webpage. which includes drinking water and
wastewater concerns.
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Appendix B
Federal Oversight and Assistance
for Drinking Water Systems
Federal Approach to Improve Drinking Water System Capacity and Resiliency
The America's Water Infrastructure Act of 2018 requirements include:
•	Community water systems serving more than 3,300 people must develop risk assessments or update, if
necessary, their existing risk assessments.
•	The EPA must publish a resource to help community water systems identify acts that could disrupt their ability
to provide safe drinking water or that present significant public health or economic concerns to their consumers.
The EPA first published this guidance document, Baseline Information on Malevolent Acts for Community Water
Systems, in November 2019 and updated it in February 2021.
•	Community water systems must certify their assessments and submit the certifications to the EPA. The Act
required the largest systems to certify their assessments by March 31, 2020, and the systems serving between
3,300 and 50,000 people to certify their assessments by June 30, 2021.
•	Community water systems serving over 3,300 people must develop emergency response plans within six months
of their respective certification deadlines.
•	Although the Act makes risk assessments and emergency response plans voluntary for small community water
systems serving fewer than 3,300 people, the EPA administrator must:
[P]rovide guidance and technical assistance to community water systems serving a
population of less than 3,300 persons on how to conduct resilience assessments,
prepare emergency response plans, and address threats from malevolent acts and
natural hazards that threaten to disrupt the provision of safe drinking water or significantly
affect the public health or significantly affect the safety or supply of drinking water
provided to communities and individuals.
In May 2020, the Agency issued Guidance for Small Community Water Systems on Risk and Resilience
Assessments under America's Water Infrastructure Act to assist community water systems that serve greater
than 3,300 but fewer than 50,000 people with complying with the Act's risk assessment and emergency
response plan requirements. The EPA recommends that smaller community water systems also use this
guidance document to conduct assessments.
The America's Water Infrastructure Act also established a grant program to provide technical assistance grants to
drinking water systems to "assist in the planning, design, construction, or implementation of a program or project
consistent with an emergency response plan." As of August 2021, Congress had not appropriated funding for these
grants. However, Congress appropriated $4 million for fiscal year 2021—a $1 million increase from fiscal year 2020—to
fund a separate grant program for increasing drinking water resilience at small and disadvantaged community water
systems.
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Appendix C
Scope and Methodology
We conducted this evaluation from August 2020 to June 2021 in accordance with the Quality Standards for Inspection
and Evaluation, published in January 2012 by the Council of the Inspectors General on Integrity and Efficiency. These
standards require that we perform the evaluation to obtain sufficient, competent, and relevant evidence to provide a
reasonable basis for our findings, conclusions, and recommendations based on our objective. We believe that the
evidence obtained provides a reasonable basis for our findings, conclusions, and recommendations.
We conducted this evaluation to determine how the coronavirus pandemic—that is, the SARS-CoV-2 virus and resultant
COVID-19 disease—affected the ability of Regions 9 and 10 to provide oversight to help public water systems in Indian
Country deliver safe drinking water to customers. This evaluation focused on the EPA's direct implementation of the
tribal drinking water program and the EPA's oversight of the tribal drinking water systems in Regions 9 and 10. Tribal
drinking water systems under the purview of state and tribal primacy agencies—including those in the Alaska Native
Villages and in the Navajo Nation—were excluded from our review. We focused on drinking water issues and oversight
beginning in March 2020, but we took conditions that existed prior to the pandemic into account.
To answer our objective, we reviewed SDWA and its amendments, including the America's Water Infrastructure Act. We
reviewed Agency policies, procedures, guidance, and memorandums, including those related to the coronavirus
pandemic. We reviewed fiscal year 2020 grant allotments for state and tribal drinking water programs to gain an
understanding of the funding provided and to help select the regions for the evaluation. We also reviewed Executive
Order 12898, as well as the briefing memorandum and written testimonies from a congressional hearing on the impact
of the pandemic on environmental justice communities.3 We analyzed the 2019 program and file reviews of Regions 9
and 10's direct implementation of the tribal drinking water program. We did not review compliance data for the tribal
drinking water systems.
We interviewed staff from the EPA's Office of Water, Office of Enforcement and Compliance Assurance, and Office of
International and Tribal Affairs. We interviewed Regions 9 and 10 staff from the regional Water Divisions and
Enforcement and Compliance Assurance Divisions, as well as the EPA's tribal coordinators and advisors from Regions 9
and 10. We also interviewed staff from the Indian Health Service and the Rural Community Assistance Partnership.
3 Pollution and Pandemics: COVID-19's Disproportionate Impact on Environmental Justice Communities, before the House Committee on Energy
and Commerce, Subcommittee on Environment and Climate Change, 116th Congress, June 9, 2020.
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Prior OIG Reports
Appendix D
On September 16, 2008, we issued Report No. 08-P-0266, EPA Assisting Tribal Water Systems but Needs to Improve
Oversight. We found that regional EPA staff made correct compliance decisions related to sample results provided by
tribal community water systems. However, internal control deficiencies existed in the EPA's oversight of tribal
community water systems in two of the five regions that we reviewed. The EPA reported in August 2010 that it
completed all three recommendations issued in this report.
On March 22, 2016, we issued Report No. 16-P-0108. Drinking Water: EPA Needs to Take Additional Steps to Ensure
Small Community Water Systems Designated as Serious Violators Achieve Compliance. We found that, while the EPA's
enforcement and compliance assistance efforts led to some improvements at small community water systems, the EPA
and states need to engage in a long-term, system-specific approach to address systems with serious noncompliance. In
addition, we found inconsistencies in adherence to the EPA's Drinking Water Enforcement Response Policy. The EPA
reported in February 2018 that it completed corrective actions for all six recommendations issued in this report.
On September 25, 2019, we issued Report No. 19-P-0318, EPA Must Improve Oversight of Notice to the Public on
Drinking Water Risks to Better Protect Human Health. We reported inconsistencies among primacy agencies fulfilling
their enforcement responsibilities regarding drinking water public notice requirements. In addition, we found that the
EPA's protocol for assessing primacy agency oversight does not fully cover all public notice requirements. We also
determined that the EPA does not have complete and nationally consistent information about public water systems'
compliance with public notice requirements and that Agency guidance documents for primacy agencies and public
water systems are inconsistent with regulations and out of date. As of August 2021, all recommendations were
resolved, with corrective actions pending.
On December 3, 2020, we issued Report No. 21-P-0032, Region 2's Hurricanes Irma and Maria Response Efforts in
Puerto Rico and U.S. Virgin Islands Show the Need for Improved Planning, Communications, and Assistance for Small
Drinking Water Systems. We reported that some small, rural drinking water systems in Puerto Rico and the U.S. Virgin
Islands had still not returned to normal operations more than nine months after the storms made landfall. The damage
caused by the hurricanes and the preexisting conditions of those systems complicated response efforts. We also found
that the EPA's internal review processes delayed distribution of public health announcements, such as instructions on
how to treat drinking water to reduce risk of illness. In addition, we determined that Region 2 did not fully engage its
local staff during hurricane preparations. One of the three recommendations issued in this report was for Region 2 to
help improve the capacity and resiliency of small, rural drinking water systems by developing and implementing a
strategy to provide training, guidance, and assistance, as well as a grant application process. As of August 2021, all
recommendations were resolved, with corrective actions pending.
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Appendix E
EPA Region 9 Response to Draft Report
MEMORANDUM
SUBJECT: Response to Office of Inspector General Draft Report No. OA&E-FY20-0044
"Pandemic Highlights Need for Additional Tribal Drinking Water Assistance and
Oversight in EPA Regions 9 and 10," dated June 8, 2021
FROM:
Deborah Jordan	DEBORAH
Acting Regional Administrator JORDAN
Digitally signed by DEBORAH
JORDAN
Date 2021.07 01 1121:51
-07W
TO:
Office of the Inspector General
Thank you for the opportunity to respond to the Subject audit report. The U.S. Environmental Protection
Agency, Region 9 (EPA) agrees that "the pandemic underscored the challenges of limited EPA resources and
limited tribal drinking water system capacity and resiliency."
Throughout the pandemic EPA leveraged its partnerships and technical, financial, and legal mechanisms to
ensure that public water systems (PWSs) in Indian Country received the assistance necessaiy to ensure the safe
provision of drinking water to consumers. As further detailed in our attached EPA Response to OIG
Recommendations & Requested Changes and Corrections to Draft Report, EPA would like to clarify that there
was no lapse in programmatic oversight of our direct implementation efforts. With the exception of some
sanitary survey work, all of EPA's critical program activities were performed without interruption, including
compliance sampling and reporting, onsite technical assistance, operator training, data management including
regulatory compliance determinations and enforcement. Despite its shift to remote work, EPA prioritized its
efforts to ensure the protection of public health in tribal communities.
EPA agrees with recommendations 1, 3, 4 and 5 and provides existing and proposed strategies and actions that
address these recommendations, including projected completion dates. EPA disagrees with recommendation #2
and offers alternative language that better characterizes EPA's oversight efforts during the pandemic and its
obligation to ensure the health and safety of water utility and field personnel. The attached includes EPA's
material corrections and requested changes to the draft report.
SUMMARY OF AGENCY'S RESPONSE TO REPORT RECOMMENDATIONS
No.
Recommendation
High-Level Intended Corrective Action(s)
Estimated Completion by
Quarter and FY
1.
Implement a strategy to
provide outreach,
training, guidance, and
technical and financial
assistance to tribal
drinking water systems
to improve their
resilience using the
EPA agrees with this recommendation.
1.1 Additional Outreach to Small Water
Systems - EPA's Office of Water (OW)
expects to publish additional guidance for
systems serving fewer than 3,300 people
later this year. Once published, EPA will
conduct outreach and training as appropriate
to ensure that small PWSs in Indian
Conduct directed outreach
and training to small
drinking water systems
following OW's
publication of guidance.
(4Q, FY22, September 30,
2022)1
1 Actions related to recommendation 1.1 are dependent on EPA's Office of Water (OW) as they are the lead in developing new guidance and financial assistance tools.
21-E-0254	20
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tools developed and
grants distributed by the
EPA in accordance with
the America's Water
Infrastructure Act
(AWIA) of 2018.
Country have access to these resources.
EPA will further direct its Technical
Assistance (TA) providers to assist PWSs in
Indian Country implement the tools and
recommendations contained in the
guidance.

1.2. Outreach to Public Water Systems-
AWIA authorizes two grant programs to
support resiliency of public water systems.
Thus far congress has appropriated $7M in
funding for the program authorized under
SDWA Section 1459A(1) (AWIA Section
2005). OW expects to announce a request
for applications (RFA) for this competitive
grant program later this year. Following the
RFA announcement, EPA will conduct
outreach to eligible PWSs in Indian Country
to encourage them to apply for this
opportunity.
Conduct outreach to
eligible PWSs in Indian
Country (2Q, FY22,
March 31, 2022)2
2.
Develop and
implement a strategy
to help the direct
implementation of
the tribal drinking
water program
return to normal
operations, including
the full resumption
of sanitary surveys
and inspections.
Sanitary Surveys and Inspections -
EPA disagrees with this recommendation
and clarifies that there was no lapse in
oversight of PWSs in Indian Country
during the pandemic. The most critical
direct implementation program
responsibilities, including compliance
sampling and reporting, onsite technical
assistance, operator training, regulatory
compliance determinations and
enforcement, were not interrupted. While
some sanitary survey field work was
delayed allowing for appropriate
coordination with PWSs in Indian
country and to develop appropriate field
health and safety protocols, the surveys
themselves are one of many mechanisms
EPA utilizes to ensure the provision of
safe drinking water.
We request that the language in
recommendation #2 be modified as
follows to focus on the resumption of
sanitary surveys and inspections and
account for potential tribal access
restrictions: "Develop and implement a
strategy, taking into account tribal and
local restrictions, to prioritize completion
of sanitary surveys and inspections
Develop and implement a
strategy to prioritize
completion of sanitary
surveys and inspections
necessary for the
protection of public health
(4Q, FY22, September 30,
2022)3
2	Actions related to recommendation 1.2 are dependent on EPA's Office of Water (OW) as they are the lead in developing new guidance and financial assistance tools.
3	Assumes that no new travel restrictions or quarantines are enacted.
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necessary for the protection of public
health." EPA agrees to implement
actions under this modified
recommendation.

3.
Develop and
implement a plan to
prioritize and address
the recommendations
identified in the EPA
headquarters' 2019
file review for EPA
Region 9.
EPA agrees with this recommendation
3.1 Response - EPA is continuing its
review and prioritization of the
recommendations in the file review. Thus
far it has addressed 25 of the 38
recommendations. By the end of the 4th
quarter FY21, EPA expects to respond to
the file review recommendations including
timeframes for future actions.
Respond to the File
Review Report
recommendations,
including timeframes for
future actions. (4Q, FY21,
September 30, 2021)


3.2 Implementation - By the end of the 4th
quarter of FY23, the region anticipates
completing the implementation of any
remaining recommendations it plans to
adopt.
Implement remaining
recommendations (end of
4Q, FY23, September 30,
2023)
4.
Incorporate lessons learned
from the coronavirus
(COVID-19) pandemic to
improve Region 9's
existing plans for
continuity of operations,
with an emphasis on data
management and network
connectivity.
EPA agrees with this recommendation
(completed in December 2020).
In December 2020, EPA updated the
network and data connectivity procedures in
its continuity of operations plan,
incorporating lessons learned during the
pandemic. The updates included computer
server fail overs that will prevent future data
connectivity issues.
As further detailed in the attachment, EPA
has developed improved data management
structures and protocols to incorporate
lessons learned during the transition to
remote work at the start of the pandemic.
Incorporate lessons
learned to improve
continuity of operations
(Completed - December
2020)
5.
Develop a workforce
analysis and a staffing
plan to address long-
term and near-term staff
workload, skills, and
credentialing needsfor
the direct
implementation of the
tribal drinking water
program.
EPA agrees with this recommendation and
will develop a workforce analysis and
staffing plan to identify short and long-term
staff workload and skills necessary to
effectively implement the tribal drinking
water and inspection programs.
To ensure appropriate
resources are allocated to
this effort and alignment
with EPA's FY2022-2026
Strategic Plan, EPA
proposes to complete the
workforce analysis by
September 30, 2023 (end
of 4QFY23)
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CONTACT INFORMATION
If you have any questions regarding this response, please contact Mendy Guan, Region 9's Audit Follow-Up
Coordinator at 415 972-3749 or guan.mendv@epa.gov. or Emmanuelle Rapicavoli, Team Leader, Tribal
Drinking Water Team at 415 972-3969 or rapicavoli.emmanuelle@epa.gov.
Attachments:
1.	EPA Response to OIG Recommendations & Requested Changes and Corrections to Draft Report
2.	Region 9 Technical Comments Attachment 6-30-2021
3.	EPA R9 COVID Guide to Sampling Lead and Copper
4.	Amended COVID-19 Emergency Authorization RCAC
5.	Region 9 Sanitary Survey Protocol during COVID-19 updated 3-24-2021
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Appendix F
EPA Region 10 Response to Draft Report
MEMORANDUM
SUBJECT: Response to Office of Inspector General Draft Report No. OA&E-FY20-0044 "Pandemic
Highlights Need for Additional Tribal Drinking Water Assistance and Oversight in EPA
Regions 9 and 10," dated June 8, 2021
MIP'I-IPI I P Digitally signed by
Ivllv_/M LL_L_L_ MICHELLE PIRZADEH
FROM:	Michelle L. Pirzadeh PIRZADEH
Acting Regional Administrator, Region 10
TO:	Office of Inspector General
Thank you for the opportunity to respond to the observations and recommendations in the subject audit report.
The U.S. Environmental Protection Agency, Region 10 agrees that the pandemic "underscored the challenges of
both limited EPA resources and limited tribal drinking water system capacity and resiliency." EPA RIO agrees
with your emphasis on building and supporting the tribes' resiliency. The resiliency of tribal water systems
starts with a capable water workforce and a utility organization with well-developed technical, managerial, and
financial capacity. These principles are central to many of Region 10's comments. Outside of specific review
comments, EPA Region 10 has three general concerns and requests:
1)	EPA Region 10 would like to clarify that there was no lapse in oversight. Despite its shift to remote work,
EPA Region 10's programs considered risks, considered agency guidance, and prioritized its efforts to
ensure the protection of public health in tribal communities. Compliance sampling, reporting, compliance
determination, and necessary enforcement activities were not interrupted.
2)	We respectfully request that the statements regarding the possible exposures or effect on tribal communities
be removed or revised, as we do not think the statements as written are supported by evidence. While we
agree that the EPA programs' engagements with the tribes are important elements of a comprehensive
program, the day-to-day reliability and safety of drinking water are an operational function. For tribal water
systems, the tribe is responsible for operations and the regulations place the burden of compliance on the
water system. Additionally, as stated elsewhere, the most critical regulatory activities of the EPA Region 10
were uninterrupted despite adaptations necessitated by the pandemic.
3)	We recommend adding clarification regarding the scope of your report relative to the scope of community
water systems directly regulated by EPA Region 10. The Direct Implementation (DI) program's scope
includes non-tribal community water systems located in Indian Country. More specifically, EPA Region 10
regulates 82 community water systems, with ownership/operation as follows: 71 Native American (tribal), 5
private, 3 federal agency, 3 local government. The population served by the 71 tribal systems is 52,093.
This is based on the Safe Drinking Water Information System (SDWIS) federal data. Additionally, EPA
data does not collect demographic data related to the population, and therefore, EPA cannot determine the
number of American Indian or Alaska Native people are served by the 82 systems.
EPA accepts recommendations 6, 8, 9 and 10 as written. We are concerned about one aspect of the specific
language in recommendation 7. As written, recommendation 7 requires the "full resumption" of field activities
on tribal lands. Because the pandemic persists, and because it disproportionately affects tribal communities,
EPA R10 recommends that the statement include acknowledgement that resumption of field work equally
depends on the tribes' decisions.
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AGENCY'S RESPONSE TO REPORT RECOMMENDATIONS
Recommendation
Concurrenc
e
Response
Proposed Actions and
Completion Date
Implement a strategy to
provide outreach, training,
guidance, and technical
and financial assistance to
tribal drinking water
systems to improve their
resilience using the tools
developed and grants
distributed by the EPA in
accordance with the
America's Water
Infrastructure Act of 2018.
Yes
EPA RIO does not take exception
to incorporating the resilience tools
into technical and financial
assistance, assuming that we are
afforded latitude to work with
partner agencies and Tribes to tailor
the specific details to each Tribe's
situation. Time is needed to engage
with partners, modify appropriate
agreements and consult with Tribes,
and therefore, planned completion,
including "implementation" allows
for timelines associated with fiscal
year cycles.
Develop a plan in fiscal
year 2022 and begin
implementing by
9/30/2022.
Develop and implement a
strategy to help the direct
implementation of the
tribal drinking water
program return to normal
operations, including the
full resumption of sanitary
surveys and inspections.
Partial
For reasons previously discussed
and stated, it is not possible to
commit to "full resumption" while
a pandemic continues. We
recommend this language:
"Develop and implement a strategy
to help the direct implementation of
the tribal drinking water program
return to normal operations,
including resumption of sanitary
surveys and inspections in a manner
that considers the individual tribes'
COVID-19 restrictions."
With partner agencies
and contractors, develop
and implement a strategy
to prioritize completion
of sanitary surveys and
inspections necessary for
the protection of public
health no later than
9/30/20221
Develop and implement a
plan to prioritize and
address the
recommendations
identified in the EPA
headquarters' 2019
program and file reviews
for Region 10.
Yes
The Region is in the process of
major database and IT investments
to support improved data
management for the DI drinking
water program. This is foundational
and must be implemented before
the file review improvement plan
can be effective.
Develop a plan for file
review report
recommendations,
prioritize actions, and
begin implementing no
later than 3/31/2022.
Incorporate lessons learned
from the coronavirus
(C OVID-19) pandemic to
improve Region 10's
existing plans for
continuity of operations,
with an emphasis on data
management and network
connectivity.
Yes
This is consistent with EPA RIO's
goals and plans. Timeframe is
interdependent with major database
changes described above. Available
contractual instruments necessitate
time for EPA RIO to implement.
Evaluate and conduct
lessons learned exercises,
memorialize lessons, and
implement by 9/30/2022.
1 Assumes that no new or additional travel restrictions, tribal access limitations, or quarantines are enacted.
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Recommendation
Concurrenc
e
Response
Proposed Actions and
Completion Date
Develop a workforce
analysis and a staffing plan
to address long-term and
near-term staff workload,
skills, and credentialing
needs for the direct
implementation of the
tribal drinking water
program.
Yes
Region 10 will collaborate with
Region 9 to develop a workforce
analysis. We understand from OIG
that Regions should conduct
workforce analysis in accordance
with previous guidance provided to
OMS, and that RIO can contact
OMS-OHR-PPTD to seek guidance
on how to proceed with such an
effort.
EPA RIO proposes to
complete the workforce
analysis in coordination
with R9 and in
consultation with OMS
by 9/30/2023.
Factual Concerns
Page #
Requested Change/Correction
2
The Indian Health Service (IHS) data utilized appears to be inapplicable to the scope of the report.
IHS Sanitation Facilities Construction (SFC) program's deficiency data includes estimates for
projects that address deficiencies at individual homes (e.g. private wells), small water systems that
are not subject to regulation under the Safe Drinking Water Act (SDWA), and unserved homes.
Additionally, the IHS data usually includes wastewater and solid waste needs, which are beyond the
scope of the SDWA and the EPA DI program to address. We suggest that the OIG consult with IHS
headquarters on how their data and reports can be run or sorted to directly align to the scope of this
report.
9
The opening paragraph appears to be incomplete with respect to describing role and responsibilities
of the water system owner and operator. Consistent with the OIG's emphasis on resilience of the
water utility, we recommend the language be altered or amended to reflect the critical role of the
owner and operator of the water system plays in the reliability and safety of the water supply.
Additionally, as a part of your summary statement, we request that you acknowledge that EPA was
able to continue and prioritize work that ensured protection of public health, despite remote working
arrangements. While EPA Region 10 curtailed non-essential onsite technical assistance and
operator training, essential activities including compliance sampling, reporting, and compliance
determination were not interrupted. Compliance and enforcement for the most troubled systems
continued, despite the challenges COVID-19 presented to both EPA and the Tribes.
We ask that you rewrite or remove the following: "As a result, tribal drinking water systems may
not meet SDWA requirements, potentially exposing tribal residents to unsafe and unreliable
drinking water."
9
In the sidebar, there is a potential error or omission in the statement: "Number of operator
certification training sessions were delayed".
9-10
The bullet needs modification to ensure accuracy: "System operators often could not access homes
that the EPA identified as sites to collect water samples for testing, such as for lead and copper
levels. On a case-by-case basis, Region 10 allowed systems to use alternative sites, such as outdoor
taps." Outdoor taps were not allowed under any circumstances for lead and copper sampling, and
only in rare cases for coliform. The latter part should read: "Region 10 allowed systems to use
alternative sites for coliform and lead and copper sampling."
10
We recommend that the utility staff furloughs be mentioned. As a result of reduced revenue on
reservations, operators were laid off, indefinitely furloughed, or partially furloughed.
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Page #
Requested Change/Correction
11
Suggested replacing this sentence: "As a result, Region 10 may not meet the requirement to conduct
sanitary surveys every three to five years at the affected facilities." Replace with this sentence: "To
accommodate catching up with the delayed surveys at current resource levels, some upcoming
surveys may be slighted delayed until travel and tribal community access returns to pre-pandemic
conditions."
12
The description of the Warm Springs enforcement has incorrect dates and omits relevant EPA RIO
actions that occurred during the Pandemic. EPA issued two formal enforcement actions to the
Confederated Tribe of Warm Springs: An emergency order under Section 1431 of the SDWA in
May 2019 and an administrative order on consent (AOC) under Section 1414 of the SDWA, in June
2019. (The OIG report states 2016.) EPA enforcement officials met weekly with Warm Springs,
using virtual methods, throughout the duration of the pandemic.
12-13
The name of the data system is incorrect. Amend "...including the Safe Drinking Water Information
System Federal Reporting Services, or SDWIS-Fed, system" to "...including the Safe Drinking
Water Information System (SDWIS), which is used by primacy agencies to record and report
drinking water compliance data."
13
The statement that EPA headquarters conducted a file review is inaccurate. While EPA headquarters
recommends DI primacy program file reviews, RIO paid for the program and file review to improve
the RIO DI program. We recommend striking "Regions 9 and 10 also delayed ongoing work to
address the recommendations identified in the direct implementation program and file reviews that
EPA headquarters conducted in 2019." Overall workload, including added workload to address
pandemic-related issues, has delayed RIO's implementation of file review recommendations.
13
We request you remove the file review recommendation bullet noted for Region 10 on RTCR, as it
does not capture the breadth and depth of recommendations made across rules and processes.
Suggest replacing with:
In Region 10, the file review identified a wide range of issues and provided recommendations. R10
staff have reviewed and prioritized the recommendations and have begun to address
recommendations in order of need and urgency. Overall workload, including added workload to
address pandemic-related issues, has delayed RIO's implementation of file review
recommendations.
14
The representation of staffing levels needs clarification and correction. In total, the Groundwater
and Drinking Water Section (GDWS) has the equivalent of 5.7 FTE EPA staff assigned to DI work
along with a heavy reliance on contract staff. The Enforcement and Compliance Assurance
Division, Water Enforcement and Field Branch has the equivalent of 2.8 FTE EPA staff assigned to
enforcement of the DI program.
15
The final sentence in the conclusion section is not accurate. Even with EPA having presence
through inspections or sanitary surveys, the EPA does not "ensure" that safe water is delivered. The
entity responsible for operation, maintenance and compliance with the SDWA controls the water
system and is the entity responsible to ensure the reliability and safety of the water supplied to their
community. EPA R10 recommends this be revised to say: "As the coronavirus pandemic continues,
Region 9 and 10 need to take steps to resume optimal levels of capacity development support,
compliance assistance activities, and regulatory oversight to the tribes, taking into account the
tribes' restrictions associated with the ongoing COVID-19 pandemic."
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Distribution
The Administrator
Deputy Administrator
Chief of Staff, Office of the Administrator
Deputy Chief of Staff, Office of the Administrator
Agency Follow-Up Official (the CFO)
Assistant Administrator for Water
Regional Administrator for Region 9
Regional Administrator for Region 10
Agency Follow-Up Coordinator
General Counsel
Associate Administrator for Congressional and Intergovernmental Relations
Associate Administrator for Public Affairs
Deputy Assistant Administrator for Water
Deputy Regional Administrator for Region 9
Deputy Regional Administrator for Region 10
Director, Office of Continuous Improvement, Office of the Chief Financial Officer
Director, Office of Regional Operations
Audit Follow-Up Coordinator, Office of the Administrator
Audit Follow-Up Coordinator, Office of Water
Audit Follow-Up Coordinator, Region 9
Audit Follow-Up Coordinator, Region 10
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