INTERIM REGION 4
TRIBAL 106
PROJECT TASK
SELECTION AND
FUNDING GUIDELINES
"•Interim Guidelines will be reviewed three years from approval for an evaluation and
revisions, if needed.
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i \ut.Mii- < (iM i:\ is
I. I ill i mltui mn 3
II. I'i oiii ;mi (>\ i.t\ ic n 3
A. Tribal 106 Program Categories 3
S3, Various Approaches to Developing u Tribal 106 Program 4
III. !• uiidint: Mechanism tm iribsil ll><> lumlv 4
IV. !• or inula Ikistcl Program 4
V. \\ orkpliin Idformsilioii and liaiikittj; 5
A StrntvrLiic Goals ft
B. Gram Work plan "(ask Evaluation and Ranking Process 6
1. Program Points 6
2, Gran I Points 7
C. Coordination Process X
D. Two-Year Workplans X
E. l- inal Agreement of Award Amount and Tasks J)
VI. \iimi;il Project Solicitation 0
IFPI-'MHC I S i [
Appendix \: I filial lilii Ulocation lormnla 12
appendix 11: Program C ritenon Points Chart 14
\ppcndix C": Sample I x\n-\ ear \\ oi kplan IS
\ppendiv I): i- nmJ Ineligible I filial Nth Activitit«s C liarl 21
\ppcudix l',: (• rants.g<>\ Instrnclions 23
\ppendi v F: (riants Management & Oversight Requirements 2?
Appendix (I ederal ( ros«e-( ultin« Vutliorities 31
Vppendi v H. < tire C.rsim MKt I ribal I t-nns and C 'onditioiis 34
"Interim Guidelines will be reviewed three years from approval for an evaluation and
revisions, if needed.
Region 4 Tribal 106 Guidelines
January 201#: revised September 2018 and April 201?
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I. l\TK(>ini(Tl()!\
The Region 4 Tribal 106 Guidelines for Project Selection and Funding (Guidelines) provides an
overview of the National Tribal IOC) Program Guidance (National Guidance). The National
Guidance details the eligible uses for the funds and deseribes the selection criterion ami process
used to approve funding amounts and tasks for federally recognized Tribes located in LPA
Region 4, It also articulates and outlines the minimum threshold and ranking criterion for project
selection to ensure consistency and transparency across the Regional I ribal 106 Program, and
discusses the administrative policies used to manage the program. These Guidelines provide the
foundation and justification for R4 Tribal 106 funding allocation and project decisions.
Additional details, requirements, and limitations of the '["ribal 106 Program can be found in the
National t m.il t mulaiu * >. tv, swt . - Hutu I > i(u- mult* Svvb ; »t" >i < • .
\ : „ JEPA-832-R-06-003).
11, PROGRAM OVKKYII-W
The* , > \\ ,iu-; w (CWA) of 1972 was devetoped to address growing environmental and
public health concerns related to water pollution. The CWA focuses on regulating discharge of
pollutants and to ensure continuing water quality.
The CWA Sections 106 and 518 gives EPA the authority to award grants directly to tribes. All
nibes recognized by the Bureau of Indian Affairs (131A > under the Indian Tribe List Act of 1994
11 OH Stat, 4791} are eligible lo apply for Treatment in a similar manner to a State (TAS) to
receive grants from the CWA Tribal I Oft Program unless they have been deemed ineligible to
receive federal funds.
Since 1987, Environmental Protection Agency (EPA) has provided technical assistance and
funding under the Section 106 program to assist tribes and intertribal consortia lo understand,
assess, and preserve water resources on their lands, For Tribes, Section 10ft grants are a crucial,
dedicated source of funds for developing, maintaining, and expanding water quality programs.
These programs are designed to control, prevent, and eliminate water pollution as well as to
educate tribal members ami the general public.
The National Guidance is intended to assist tribes with the design and implementation of an
effective and successful water quality program.
I ribal I !><> Pro«r;im t. at clones per Mil National (.u id ami
1. Fundamental program activities establish the foundation for a successful program to
identify water quality goals unci objectives for your program.
2. Intermediate program activities build the tribal water quality program and advance it
towards its water quality goals and objectives.
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3. Mafsirt.' program sictivitirs enable tribes So achieve the goals arid objectives of (heir
programs as well as develop new water quality goals and objectives.
B. \ ariims \ppi nin lie^ lo l)e\dnpiii« a I l>:iI I (>(< l'i (»»r:nn:
1. A nonnyji/atniy approach focusing on voluntary programs such as Non-Point Source
(NPS) pollution prevention and watershed-based approaches to water quality management
This approach identifies nonregulatory means for protecting and improving water quality.
2. A tribal km approach uses tribal standards, ordinances, or codes recognizee! by a tribal
government thai can be tribally enforced to protect water quality on Indian reservations,
,1. An !¦'.!'A-approved apnrauch follows the CWA approach to protecting water quality, "litis
approach includes development of UPA-approvcd Water Quality Standards (WQS) and
Section 401 certification authority to protect water quality on Indian reservations. Tribal
WQS approved by FT A can be used by EPA or tribes will? authorized National Pollution
Discharge Hlimination System (NTDl-'S) programs lo achieve water quality protection
through limits on point source dischargers.
MI.H'NDIM; MECHANISMS 1 OK TRIBAL lot* H M)S
Tribes have !hc option to receive Tribal I Oft funds through a direct grant or u Performance
Partnership Grans (PPG). A direct gram includes the Tribal 106 Program funds only, while a
PPG contains funding from two or more programs to allow flexibility on using funds for cross-
program priorities,
!\ . I-'ORMI LA-BASK!) PROGRAM
' 'u ^ .ili'in.il lin mtil.i w ,i^ adoplrd in IW.S i \i. and .dl(u*aU^ annual I it ndin l' lo
f lu- JVt'.tmtN lit MtpfMii i I ril»;il I fi(j f trtt^i ;im -> ;uid pt ojir I ¦*
Section 106 of the CWA requires I: PA to allocate funds "based on the extent of the pollution
problem". For the Tribal Section I Oft grants, funds are allocated to the Regions based on the
national criteria below.
o Population oh tribal lands:
o Reservation land area; am)
o Reservation surface wafer area.
The Regional funding amounts will be based on the criterion in Appendix B. which factors in
population, land area, surface water area, and grant performance.
Population is defined as the service population. Serv ice population is the tribe's estimate of all
American Indians and Alaska Natives who are living on or near the tribe's reservation (or tribal
area) during the 20 Hi calendar year and wlu» arc eligible to receive services funded by Indian
Affairs. The service population of a tribe is not the same as the members (or "enrollment") of the
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tribe, l-'or example, members of one federally-recognized tribe, whose tribal area is not nearby,
may lie living nearby the tribal area of another federally-recognized tribe and they may be
eligible to receive services from that nearby tribe. In this case, they will be recognized as
belonging to the service population of the nearby tribe. See the 20i3 American Indian
Population and Labor Force Report by U.S. Department of Interior, Office of the Secretary
Office of Assistant Secretary - Indian Affairs January 16, 2014.
Additional information on population for use under the Tribal 106 Program: The numbers in the
model correspond to populations on-reservation and off-reservation trust areas. See separate
attachments for the United Stales Department of Commerce, Economics and Statistics
Administration. United States Census Bureau 2010 population documents. Specifically, the
Census Tabic GCT-PI 11 "Population. Housing Units, Area, and Density: 2010 - United States --
American Indian Area/Alaska Native Area/Alaska Native Regional Corporation 2010 Census
Summary File
Revision for 2019: Region 4 may consider Tribal population data provided within the workplan
along with the U.S. Census data. If Tribal population data is not provided, then R4 must use the
U.S. Census Data provided in 2010 as the primary data source. Once the U.S. Census data is
updated, then the Region will use the latest numbers for the purposes of these Guidelines.
Tribal information on stream mile and land area arc obtained from the Water Atlas and the latest
Census Bureau information. Hydrologic Resource Area (streams, rivers, lakes, ponds, wetlands)
is derived based on square miles of resources within a tribe's watersheds. If tribal data has not
been updated in the last three years, tribes should coordinate their updated information with the
l:PA Region 4 Tribal 106 Program Coordinator.
Regions are given flexibility in project selection but must ensure that the selection process meets
the requirements of CVVA Section 106. which state that funds should be used to assist tribes,
stales, and interstate agencies in administering "programs for the prevention, reduction, and
elimination of water pollution."
\ . WORKPLAN INFORM,\ HON \M) R WKINC,
V Mi atesiic (.mils:
Activities funded under this grant program must support liPA's Strategic Plan 2018-2022 Goal
I: Core Mission and Objective 2: Provide for Clean and Safe Water.
Eligible and ineligible activities are located on pages 3-8 of the National Guidance and in
Appendix D of these Guidelines.
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Below are some examples of eligible activities to support the Goals and Objectives for the Tribal
106 program. This lis! is riot an exhaustive list of what is i'undahle, but rather, provides a
foundation on the types of tasks the program funds can support.
• Water quality planning, assessments and studies
• Ambient monitoring
• Community outreach and education
• Source water, surface water, ground water, and wetland protection
• NFS control activities (including assessment and management plans)
• Development of water quality standards
• Development of watershed-based plans
• Development of total maximum daily loads (TMDL)
• Data management and reporting
Below lire some examples of ineligible activities th.it Tribal 106 funds cannot be used to support.
These activities are supported and funded through other EPA Program funds, as noted in the
National Guidance.
Operation and maintenance i
Costs associated with other grants
NPS management measures requiring construction
Public Water System Supervision (PWSS) compliance monitoring
B. < inull W orkplau 1 ask !¦ \ ;iln;itioii and Regional Ranking Process (sic Appendix tl)r
! he.se Guidelines establish threshold requirements to guide and assist the Technical and Project
Officers in She project taskAvorkplan approval and total approved grant funding for the fiscal
year. The criteria below will he utilized lo evaluate each grant application and workpfan and
assign points based on past and current performance. However, the gran! amount will be
determined based on available funding. Program and (Irani Points, and extra points, if"
appropriate,
' * l V t II f.« «» \, 1' tt V ) >¦
The Program points are determined based on the water resource being protected and each tribe's
workplan tasks, flic funding allocation is factored based on the criteria and sub-criteria outlined
below and located in Appendix R. which directly supports the objectives of the Tribal 106
Program, The specific program criteria will factor in Hydrologie Resources, Population, Program
Components, Program Performance, and Leveraging, as noted below, and with a possible total of
100 points for these five criteria.
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TRIBAL PROGRAM POINTS
These criteria ensure that projects are designed to address the goals within the Tribal 10f>
Program.
•. k I t'« 11 i
Points iire based on the above criteria and also includes grants and financial management of
previous and current Tribal 100 grants, with a possibility of an additional 22 points.
• Unliquidated Obligation (ULO) status against current and active grant (GPI I 1-01),
{ut least one semi-annual draw down in accordance to satisfactory progress of tasks) (6
points);
• Timely submittal of progress reports lor semi-annual, annual, and/or final technical reports
per the grant term and conditions (ft points): and
• Meeting grant programmatic terms and conditions (10 points) (See Appendix H).
If a tribe's 106 program funding is within a PPG, then the Grant Points will be evaluated and
scored in consultation with the PPG Project Officer.
Pdinis in irlulntii in .tmiw.il Inmiiii:' leVi-K
The point system provides a starting base funding level to award as outlined below and the
Technical Officer and Project Officer make the final determinations for the final funding amount
per Tribe. Each Tribe's award amount could be higher than the base funding level; however, the
R4 annual funding allocation, the workplan tasks. Tribe's maturity, and overall progression of
the Tribe's program will determine a higher funding level from the base funding level.
• I 10-122 points start with a base funding level at $60,000
• 90-109 points start with a base funding level at $50,000
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• 75-89 points start with a base funding level at $40,000
• <75 points will result in She Technical Officer and Project Officer discussing the Tribal
106 Program with Tribal Leaders and linvmmmental Direetor(s).
"Region 4 base funding levels above arc estimated on historical National Tribal 10ft funding
allocations received by the Region. Funding amounts may vary based on the fiscal year Regional
allocation,
Tribes must have TAS in order to receive Tribal 106 Program grant funds and are subject to
assistance agreement regulations. Office of Management and Budget (OMB) cost principles, the
Cash Management Improvement Act. EPA policies, and Grams Management and Oversight
Requirements (See Appendix P).
< . C oonlinalimi Process after Futuliti" Dcminus an- tieftTiiiiiied:
After work pi ans are reviewed, evaluated and points assigned, the Tribal I ()f> Coordinator
Grants Coordinator (Project Officer) will notify each Tribal
Knvironmcnlal Director to discuss the funding amount decision. Workplan negotiations may he
necessary to discuss which tasks may be added or removed based on the goals of the Tribal
program, criteria, ranking process and score (as described above), funding eligibility and annual
allocation, and tribal fundamental, intermediate, or mature tier level, as well as other factors
outlined in this guidance. Appendix B provides a How chart of the process.
I). Out1- fir I u<> \ enr \V oikpi.ms:
The Tribal 106 grants are forward-funded with current year funds (example FY 19 funds will
support FY20 tasks and so forth). Workplans can be based on either one year or two years of
tasks (See Appendix C for sample workplan format). However, the first grant award document
will only include one year's worth of approved funding. The second year's grant approved
funding amount will follow the same criteria evaluation and process outlined in this guidance,
with focus given to performance of the first year's tasks, draw downs and UI.Os, and timely
reporting.
The workplan should be broken down into Year Otic workplan tasks and Year Two workplan
tasks. This format will provide a better understanding and foundation regarding which tasks are
funded in year one and year two, and how they interrelate to advance the program. Also, the
workplan should include a "wish list or extra tasks to accomplish" if additional funds are/or
become available
Workplans must address the Strategic Goai(s) and Objectives) in accordance with the EPA
Grant Policy GPt 1 I -03. The statute, regulation, guidance, and/or policy should be referenced
per task, along with well-defined outputs, outcomes and task due dates. The semi -annual, annual,
and final reports must clearly articulate the accomplishments for each task.
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I.. final V»t l eiiu ni ol \ ward \riioiiiK and tasks:
Alter negotiations, the agreed upon workplan tasks and approved funding amount will be
provided via electronic mail to the Tribal representative^). The approved funding amounts arc
based on the Program, Grants, and fcxira Points criteria as outlined above and in Appendix B.
Nonresponse to 1:PA representatives* requests for information, whether grant or workplan
related, may delay the funding of current or future grant applications
VI. AN.NTAl. PROJKC'T SOI.KTI A HON
The .solicitation for projects will be included in the annual Notice of Availability of Funds
(MOFA) mailing that is coordinated through the Regional Tribal Relations Coordinator and
emailed to each tribe every year around November.
Tribes may submit draft workplans lor review to the Program Technical and Project Officer prior
to the Cirants.gov submittal. The deadline for submitting the initial grant application will be
established by the PPG or Program Project Officer.
Each grant submittal into Cirants.gov must include the following information m accordance with
the Recipient/Applicant Information Notice. (I v(\ t • * ¦) l¦';
o Grant Application (424 and 424A non-construction):
o Workplan. with budget breakdown:
o Assurance forms (424B)
o Pre-Award Compliance
o *$10UK in l-'ederal Awards •• > c ><>'« o- t . , .k;. • .
o Key Contacts
o Other forms, as deemed necessary by the program
All initial grant applications must be submitted through • >t ,m; u. ¦ , per EPA's Grants Issuance
Policy Gl'l-14-01, to be eligible for funding from the KPA (see Appendix H). The applicant
should ensure all required paperwork is submitted with the application or the application may be
denied within the system. Applicant should email its PPG or Piogram Project Officer the
Graiits.gov confirmation email, which will alert the Project Officer to took for the submittal in
the system.
**The grant application amount does not guarantee the Tribe will receive the full funding
amount in the award. Application amounts are estimated based on prior year Regional Allocation
for the R4 Tribal I Oft Program,
**lf f unds remain after the filial financial report is filed and the grant is closed, then the funds
may be recertified back to the Region and will be reallocated based on the original scores of the
workplans. The preference is for the Tribe to coordinate and discuss with the Technical and
Project Officer the option to extend the grant to fund other tasks from the approved workplan
verses returning the funds to EPA
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If recertified funds are available, the R4 Technical and Project Ofliccrs will review the unfunded
or "wish list" tusks from each Tribe's work pi an to determine which Uisk(s) are eligible and
appropriate to fund. Recertified funds will be awarded in accordance with the final original
scores and will factor in current performance of tire Trihc(s). as well as the amount of recertified
funds ;i vail able to award
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\»>Pi MH( i s
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Appendix A" National Tribal 106
Allocation Formula
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APPKNIHX A
VUiimnl l<» mula fur 1 rilnil HM>
1 Ik available national funds are allocated, by among the ten KI'A Regions that have
federal ly-recoyni/.ed tribes. for each Region, the formula calculates both a base allotment and a
variable allotment:
* Base Allotment Provides the Region with $65 J 67 per TAK-eligtble tribe tn the Region.
• Variable Allotment - Provides ihe Region with a portion of the allotment based on three
characteristics of federally recognized tribes in ihe Region:
.. Land area.
¦ ¦5 Population, and
i. Surface water area.
l-.tVVs regional offices are responsible for managing ihe funds, Kliyjble tribes or intertribal
eon.MM tiii apply to the regional office for grants tint! submit the necessary application materials.
Application materials include a detailed work plan and budget outlining activities the tribe will
undertake to manage their water resources, Hie regional offices rely on these work plans when
determining funding amounts for each tribe.
By regulation, the maximum federal share is 95%, and tribes are required to provide a 5% match.
I lowcver. I-.I'A may reduce or eliminate the match requirement if a tribe can show that fulftliinu
the 5°<> match would cause undue hardship
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Appendix B: Program Criterion
Points Chart
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%PPFM)1\ H
«4 P nigrum Funding Factors lor Determining Section Hi* <-> am vlloeaiion*
Elamonts of 106 Program
Hydrologic Resource*
Streams (number of miles)
Total
Points
Program Scoring Guidelines
24
0 • 50 - 2
Wetlands/Lakes/Ponds
0-500 -8
SMOOf.4^
501 and above = 16
101 - 160 = §
151 and above = 8
Population 'tl»flnacl on page S
Total Population
Program Components
Monitoring ___
14
• 35
14
0-1.000=?
>1000= 14
Date Management
Assessment
4 basics parameters
i 90 clays late on STORE! upload
5 1 - 0
l/_ w 4 basics parameters - i
Standards
-
. <01 Certification Program _
Outreach & Training ^
4Q4 Restoration & Compliant
Program Performance _ _
Task Completion by due dates i
__ Accomplishments of overall worKpian tasks
Timely Reporting of Program Tasks • All
Defveuotes
Program Development _____
Non-Sactlon 108 funding {leveraging)
Total Tribal Score
22
12
State Catena = I
Program = 1 _
Outreach = i_
Completeo Restoration ~3
0% Completion s o
6 parameters = 3 _ _
Annual STORET upload -
_ J
6 parameters - 3
Treal Criteria - 3
9 parameters = 5_
aiiOiiionai parameters = 6
Semi-annual upload - 3 Quart arty upload ~ 5
9 parameters = 6 additional parameters = 9_
Ffcoe'a.ty Aap-oveo Criteria = 5
Training = 1
Compliance - 2_
. 90 days late - 0
fundamental = i
q . 1 tw. = 1
iOv coirolebon = 2_
_ 45-60 clays_ iate_f_
Intermediate = 2
U-t 20% = 2
60% completion = 4
30-45 gays lalfe = 4 _
Mature - 4 _
21 % - 30% = 3
80% completion = 8
_ On time = 6 _
31 % - 40% = 4
100% ecr.pte'.icn - 12
41% and above = 5
JL
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<
Q]
LL
IU
i
<
|hm
s
I
^mUmrnrn
LLI
o
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Q.
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•VITMNMX It
Scores
K4 (•rant (Minding I'actor* for Determining Section I1M» C.'ramf A11«cjiIi«»hs
| Highest
UlOs
Ttmely Reporting of reports
(quarterly semi-annual,
annual, and final process
reports 1
Meeting Gran!
Programmatic terms and
Conditions
TOTAL POINTS
Total j |.owest
Points
>12 months with ULO 9-12 rnomhs with
= 0 I ULO = ?
22
>8 months past due =
0
issue w.\h complying
>8 = 0
3-6 months = 2
/ 8 mc r
ULO = 4
1 - 2 months - 4
Issue wrth complying | Issue with complying
3-5=2 1-2-6
.1
Timely draws at least quarterly of
every 8 months - 6
Timely within 90 days of project
end date = 6
History of meeting T&Cs on
curiam and past giants = to
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APPENDIX B
FLOWCHART OF WORKPLAN REVIEW and FUNDING DECISION PROCESS
Tribe submits application
and workplan via
Grants.gov
Each Tribal Environmental
Director will be notified via
email regarding the approved
funding amount (based on
criteria)
Technical Officer and
Project Officers review
each workplan and rank
the tasks based on the
criterion points (Program,
Grants, and Extra)
I
Funding Documents
created/processed based
on the criteria, as outlined
in this Guidance
Negotiations may
be needed based
on the approved
funding amount
to award
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Appendix C: Sample Two- Year
Work plan
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APPENDIX C
.sample rwo-year workplan
(ONE YEAR OF WOKRPLYN TASKS AND FIJNDING'Qg MULtl-YEAR FUNDING AND TASKS
| Work Plan Objective I: SAMPLE Maintain Water Qualify Program
Basis for 106 Work Plan Tasks- "Guidance on Awards oflinml.s to Indian I'ribts under section 106 of the Clean Hater Act "
F,PA Strut epic Plan Initiative- "C kmi 2- Clean ami Safe Water
NO.
First Year Task:
Second Year Task:
Task
Project
anticipated
Output
Outcome
Due 1 >ate
Lis!
specific
date
Estimated Cost
F.nd-of-Year Tribe
Report/
Slate Com merits
11ndicate whether task
has been met hy writing
the date the task was
completed If the tusk r.v '
not completed provide
an explanation for any •
delays or issues
t ncmo:ti i\ tij >
First Year Task:
Second Year Task:
S
S
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ONE YEAR OF WOKRPLAN TASKS AND FUNDING OR Ml l.TI -YEAR FUNDING AND TASKS
Work Plan Objective 2; SAMPLE W ater Quality Sampling and Analysis
Basis for 1 (16 \\ ork Plan Tasks- "Guidance on Aw ards of Grants to Indian Tribes under .section 106 of ihe Clean Wafer Act,""
EPA Strategic Plan Initiathc-klGoaf 2- Clean ami Safe li'ater'
NO.
Task
First Year Task;
Second Year Task;
I irst Year 1 ask;
Project
anticipated
Output/
Outcome
1 Due Date
List
specific
tlaU
Estimated Cost
End-of-Year Trihe
Report/
State Comments
i indicate whether fti.sk
has been met by writing
11 it date the task tews
completed, if the task is
not completed provide
an explanation for am
delays or issues
encountered /
! s
I Second Year Task:
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Appendix D: Eligible and
Ineligible Tribal 106 Activities
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Avi'v.mm. i>
CATEGORY
Program Mana^iimnl
Monitoring
Standards Based
Non-Point Source
< (immunity-Based
Ineligible Activities
t'liart from flu- > animal I i tbal HM» Program niilam < }>;«>;< • * ¦
f \( nvmrs
Capacity building
Compliance and erdbtcemcm
I h'inanee, budgeting, and record-keeping
I Networking and cross-boundary coordination
Non-sirueiural source water. surface water, ground water, and wetland protection
i Personnel costs, including contractor costs
. Planning, developing. improving. or maintaining a n n<_r pollution control program
8 Program initiation and administration
t I raining
! Water quality planning, assessments, and studies
Ouuli(> Assurance Project Plan IA.VAPP* development
Data analysis and assessment
i Data management
? Experiments
Investigations. surveys, and special .studies
i Data collection and related quality assurance
i I .aboratory costs
i Research and development
j Source water, surface water, ground water, and uetlauds monitoring activities
| Developing water quality standards (WOS)
| Permit issuance, including National Pollutant Discharge Klirrmiution System
(NPI)f-Sl permits to control point sources
I Violation enforcement activities aimed at correcting violations. deterring future
violations, and promoting equal treatment of the regulated community
! Developing a 401 Certification Program
, Developing total maximum daily loads (I'M 1)1 s)
Attending NPS meetings and trainings
1 Developing non-structural controls to reduce NPS pollution
Forming partnerships to address NPS issues
• NPS inventories, assessments, and management plans
i Watershed-based planning
• Community 'tribal outreach, education, and public awareness
i Involving the public in program development
I .stahli.shing voluntary programs
, Construction, operation, or maintenance ol" wastewater treatment plants or
drinking water systems
Costs that are already financed by other grants {e.g.. Section 3 lc> grunts)
I NPS management measures requiring construction {i.e., "on the ground"
management measures)
Public Water System Supervision (I'WSS ) compliance monitoring
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Appendix E: Grants.gov
Instructions
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•UM'KNMX I
Grants.gov NctnetHiipefilivr .4ppiic;iti«n Niibinitl;«J for Rcgmn •• I rilir.s
Applications must be submitted 10 www.grants.go\ by the dates pro\ ided h> I PA N( )l A. Note
F.I*A Policy Notice (f»N)-2018-Gt2 revises GP!-i4-i)l» requiring that initial applications
include alt forms required for an an) ami that applicants submit applications through
1 his document provides information on grants.gov submittal for lion-competitive Tribal grants
Tribes needing additional information on submission may contact the regional program project
officer,
Grntits.gov Requirements
In order to .submit applications using Grants.gov, grantees must he registered with Grants.uov.
Registration can take up to lour weeks. t)i ;NS numbers and active SAM.gov registration is
required to register with C5ratits.gov, More information is available at:
iiiip un<\ jciisi- L'm " -b vt.uih .ippJuaiii- organ!/.liiml. Sec additional
resources at the end of these instructions also.
Applications submitted through Cirants.gov arc electronically signed. The regis!ration anil
account creation with (irants.gov with K-Biz P(X* approval, establishes an Authorized
()rgani/ation Representative (AOR). When you submit the application through Grants.go\. the
name ot your AOR on file will be inserted into the signature line of the application Applicants
must register the indh idusil who is able to make legall) binding coin urn meats for the
sipplteani organization us the Authorised Organization Representative (AOR).
Application Submission Instructions tor Tribal Grantees.
1). The link to the site on nranls.gov to access the >«h» tin-i! )i,i» K.mi for this funding
opportunity.
2). Kilter the appropriate ( FDA Number:
PPG 66.605 GAP 66.926 (HPA-('i;P-02) C'AA 1(8 66.034
C'AA 105 66.001 CWA 106 66.41V CWA 3ll> 66.460
Tribal Response 66.817
3). Funding Opportunity Number (FON):
KPA-l'KP-01 {{'I'DA 66.001 thro 66.605 PPG) or
HPA-CHP-02 (CI DA 66.700 thru 66.931 - GAP).
I be bunding Opportunity Competition ID wilt be left blank. C lick "Download
Package." And complete necessary forms and add required attachments (See 5 below tor
required forms ami attachments)
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CF0A Number
Funding Opportunity Number:
f uitdmo Opportunity Competition ID:
Download Package
(•rant Application Package:
• llvfrrw ot-scvI-Kt"1 •>\in.Lin
Once the applicant has entered the Funding Opportunity Number (I-()N) and accessed
the list of (TI)As, the applicant will find the appropriate CFDA which contains all
necessary forms shown below,
(iranls.gov allows applicants to download the full application package and instructions
to work online. In addition lo forms that arc part of the application instructions, there
will be a series of electronic forms thai are provided using Adobe Reader, liranls.gov
has a lull \ct nl itisinietiuiis on how tonppiv lor opportunities.
2, Required Grant Application Forms and Attachments:
1 he lirsl application submitted thru u »\» ^uih each fiscal Year must include the
following forms:
1) SL 424 Applicaiion (Block 5a - f ill in K 01
for 02 for (JAP) Federal Identifier
2) SI 424A Budget (2 pages)
3) R4 1-orm Budget Detail Worksheet (IM)l Budget Tool may replace)
4) *S1 424B Assurances for Non-Conslruction Programs
5) *! .PA 4700-4 Pre-award Compliance
6> SI" LI .1. {OMBl Lobbying Disclosure (for grants totaling over $100,000)
7) *I-I'A >700-54 Key Contacts
8) Aitachments
1) 'Current Indirect Cost Rate (ll)C)- if older than 3 years. KPA may not
allow
2) Work Plant's) (marked f inal or Draft, as appropriate!
3. Submit application:
See nup •> is u -1,111 .'!<•, _
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rants.gov Technical issues — grants.gov Contact Information
Applicants needing technical assistance with .submissions should contact (irartls.gov at
•,1.1 ji vi w ;itii ju\ wiii l'..in! iHmui • oih.h ii .mill1 or by phone at 1-800-518-4726 or
email sil .on win ,i •m.imi- i-m — Open 24 hours a day, 7 days a week (except federal holidays.
! iPj "I, .(ill lillll
(irants.gov Applicants Page: 'ui| >n\ ^ ^ .. It • mi .hh> liititi
Applicant Resources Mttp «uvu eiani-- nrl"> viani -,ifi(Ht( ,mt'. .y¦>{>.k ii-i • mm, . i
Into on Registering hitp .,-j.nri »o> v,t i> ( . • ,ippn. .mi "it: mi hi-m. t . ,u.iu
Video 1 nlorial on Registering lor SAM.gov:
' I , * V * > II Ml • I i\n jtan: 'm neh $,'[.!»») . ;«j in. w ,«f j.|h im i. .mi. •
(irants.gov Applicant 'Training Video: hup \c Kill ; ,ii u>\ 1
I roubleshooiing Tips: nup nu ^.gi.uu L'm j.hh upj-mt !>•-. hm, ;
tipp
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Appendix F: Grant Management
cind Ov^rsi_ght Requirements
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i'iIt-is, Policies. nni!
Diricln rs
EPA Policy 17-01
< )\ en ic«
MisuurtahniP hnk'
EPA Policy 16-01
Subaward Polic\
. HFA Policy 14-01
Electronic Submission of
Initial Grant Applications
HP A Policy 13-02
Streamlining Tribal Grants
" Management
i EPA Policy J 2-06 Timely
j Obligation, Award, and
j Expenditure of EPA Grant
i Funds
EPA Policy 12-01 Tribal
Indirect Cost Rate
EPA Policy 11-01
Managing ULOs and
Ensuring Progress Under
EPA Assistance
Agreements
All Initial mam applications and workplans must be submitted through < n .i1
database, unless a waiver was granted by EPA Office of Grants and Debarment.
Policy provides guidance on 'Tribal grantees bundling and submitting annual
certification v/s submitting forms with ever}' grant application. Rt. :si.>n m
Scuipii 4.1 .icgarJiug bundling pelr]me.
I'olii % provides guidance on HPA obligating and awarding funds timely, as well as
grantees expending the funds in accordance to work completed and ensuring
timely draws as least every 180 days.
Policy provides guidance on Tribal Indirect Cost Rate as either agreed upon
between the Tribe and EPA or set as a flat 10% IDC.
Policy provides guidance to ensuring progress and management of unliquidated
obligations for EPA assistance agreements. The policy also details the allowable
time for project periods, five to seven years based on the type of grant program.
Tribal assistance agreements are allowed a maximum of five years for continuing
environmental programs (CEPs). example 105, 106, 319. GAP. etc).
EPA Policy 08-02
Project Period Duration
and the Use of New
Awards to Fund Additional
Work
Policy provides criteria for determining when a new award, rather than an
amendment, must be used to fund additional work under a discretionary assistance
agreement
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Orders, Policies, and
Directives
OOl) poiicv memorandum
C.PI 00-02,'Prti-Award
( osts. and 2 CFR 225
()MB Circular A-16. which
incorporates Executive
Order 12906 and the One-
Stop Geospatial E-gov
Initiative
I 1' \ i »).!.•: ?.
Environmental Results
I inder Assistance
Agreement*
Overview
Applies to all grants awarded on or niter April 1. 20(H) and addresses L.PA's
revised interpretation of a provision in the general grant regulations al 40 CFR
31.23(a) concerning the approval of pre-award costs.
Addresses i .PA's interpretation of a prov ision in the general grant regulations at
40 CFR 11 23(a) allowing up to 90 days of pre-award costs,
• Recipients may incur pre-award costs (up to) 90 calendar days prior to the
award date provided they include such costs in their application, the costs meet
the definition of pre-award costs and arc approved by the HPA Project Officer
and 1-PA Award Official.
• The award official can approve pre-award costs incurred snore than 90 calendar
days prior u> [he grant award date, in appropriate circumstances, if the pre-
award costs are in conformance with the requirements set forth in 2 CFR 225
(supersedes OMB Circular A-87. Cost Principles for State. Local, and Indian
'1 ribal Governments) and with applicable Agency regulations, policies and
guidelines.
I ('otherw ise consistent with the coverage of 2 CFR 225, the following two
situations may meet the requirements al Appendix H 31. Pre-award costs:
• Any allowable costs incurred after the start of the fiscal year lor which the
funds were appropriated but before grant award (i.e. for a FY 2010 project, this
date is October 1, 2CMW).
• Allowable facilities planning and design costs associated with the consi ruction
portions of the project included in the grant that were incurred before the start
of the fiscal year for which the funds were appropriated (i.e. for a F'Y 2010
project, this date is October L 2009).
Project officer must indicate in the funding recommendations for a proposed
assistance agreement that the grant involves or relates to the creation, collection,
or analysis of geospatial information.
The Order applies to funding packages to the ('mints Management Office after
January 1, 2005. and requires LP A Program Offices to:
• Link proposed assistance agreements to the Agency's Strategic
Plan/Government Performance and Results Act COPRA} architecture;
• Leisure that outputs and outcomes are appropriately addressed in assistance
agreement work plans and funding recommendations; and
• Lnsurc that progress in achieving agreed-upon outputs and outcomes is
adequately addressed in grantee progress reports and advanced monitoring
activities.
• i' \ i iidci ^uh i» \;5
I'olivy on ('ampliance.
Review, and Monitoring
Streamlines post-award management of assistance agreements and helps ensure
effective oversight of recipient performance and management. Requires HP A
project office to develop and carry out post-award monitoring plan, and conduct
annual baseline monitoring or the equivalent for every award,
29
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rdi>rs, Policies, ;iu ervicn
Guidance developed to provide background information on PPC is. eligible
programs and activities, flexibilities, and accountability.
The latitude and longitude of" the project should be provided.
full Application Requirement within Grants gov
30
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Appendix (J: Federal
Cross-Cutting
A uthorities
31
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apn-:nih\ i,
i'Vdrrnl < ross-< lifting Authorities
A number of federal laws and Executive Orders apply in federal financial assistance programs,
Relov. is a list of statutes, regulations, and other information thai may he helpful in complying
willi the requirements ol other federal authorities,
Knvironmental Authnritit's
• Archeologieal and Historic Preservation Acl of 1974, Pub. 1.. 86-523. as amended
• Clean Air Act, Pub. I.. 84-159. us amended
• Coastal Barrier Resources Act, Pub, L 97-348
• Coastal /one Management Act. Pub. I„ 92-583. us amended
• 1 .ndangered Species Act, Pub. 1,. 93-205. as amended
• Environmental Justice, Hxcctime Order 12X98
• I loodplain Management. Hxecuiive Order 11988 as amended by hxecuiive Order 12148
• Protection of Wetlands, Pxeeulive Order 1 199!)
• farmland Protection Poliev Act. Pub. I.. 97-9X
• Pish and Wildlife Coordination Act. Pub. L 85-624. as amended
• National P.nvirontneniai Polie\ Act. Pub. 1.. 91-190. as amended
• National I listorie Preservation Act of I%6. PI, X9-665. as amended
• Wild and Scenic Rivers Act. Pub. L. 90-542, as amended
Kcunomii- and Miscellaneous Authorities
• Demonstration Cities and Metropolitan Development Act of 1966, Pub. L. 89-754. as
amended
• hxecuiive Order 12372, Intergovernmental Review of f ederal Programs
• Procurement Prohibihons under Seel ion 106 of the (lean Air Act and Section 50K of the
("lean
• Wafer Act. including hxecuiive Order 117.1K. Administration of the Clean Air Acl and
the federal
• Water Pollution Control Act will) Respect to federal Contracts, Grants, or 1 o ins
• I filiform Relocation and Real Proper!) Acquisition Policies Acl. Pub. I.. 91 646 is
amended
• Debarment and Suspension. Iweetitivc Order 12549
• Davis-Bacon Act, Pub. I.. 107-217. as amended
Social Policy Authorities
• Age Discrimination Act of 1975, Pub. L 94-135
• r i tic VI of the Civil Rights Acl of 1964. Pub. I.. XX-3 524
• Section 13 of the federal Water Pollution Control Act Amendments of 1972, Pub. I- 92-
500 (the Clean Water Act)
• Section 504 of the Rehabilitation Act of 1973. Pub I„ 93-1 12 (including i executive
Orders i 1914 and 1 1250)
• I'he Drug-free Workplace Act of 19KX. Pub. I.. 100-690 (applies only to the
capitali/alion grant recipient)
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l-.qual l-.mploymenl f Jpporlunily. Ivxeeutive Order 1 1246
Women's and Minority Business I Enterprise. 1 executive (>rdcrs Ilft25. I2I3K and 12432
Section 129 ol lhe Small Business Administration Reauthorization and Amendment Aet
of" 1988. Pub, I.. 100-590
Anti-Lobbying Provisions (4(1 CTR part 30) (applies only to capitalization grant
recipients).
33
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AppendixH ('ore
Grant 106 Tribal Terms
and ( onditii m\
34
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AIM'! MH\ II
< ore < .rant Terms and < nndittons for Tribal I0<>
A. kepnrtinu Kegnircmcnts: K irantees shall submit serin annual performance reports unless
ilie awarding agency requires quarterly or semi-annual reports.
Semi-annual Progress and I-ma! Report content shall include: {I) comparison of actual
accomplishments to the objectives/tasks within the workplan; (2) reasons or justi Heat ions why
established goals/tasks were not met; and (3) significant developments which may have
impacted; therefore, causing delays or issues m meeting tasks within the workplan.
Semi-Annual Progress Reports are due on the following dales:
March and September - annually lor multi-year grant
December 3 1 project period end dale year.
'lo meet (he reporting requirements under 2 ( T.K. § 20t).32X(a)(2)ti): "The linal performance
report will be due W calendar days after the period of performance end date". Therefore, the
grantee will submit a tireiS performance report on progress in implementing I YXX Tribal 106
workplan activities on XX to ihe Project Officer
The grantee should notify the KPA Project Officer within 30 days if, ai any time, the Tribe
encounters difficulties that could impact the recipient's ability lo implement the project on
schedule.
** If extensions are granted then the annual reporting will be extended to include the additional
years.
B. Quality Assurance The QAPP should be consistent with the specifications of the I* PA
Quality System Document / /' . A.,/, < >>«•»/•, t,» ¦ W.n minum, l'n>n , / I'htu I P \ n \ K ,
1 he grantee will submit by X V to the I .PA Project Officer a (lean Waiter Act Section I (16 -
Water Pollution Control - Supplemental Quality Assurance Project Plan (QAPP) for the tasks
associated with this project grant.
No work involving direct measurements or data generation, environmental modeling,
compilation of data from literature or electronic media, and data supporting the design,
construction, and operation oi environmental technology shall be initiated under this project until
the PPA Project Officer, in concert with the liPA Quality Assurance Manager, has approved the
quality assurance documentation.
Information regarding i' * .M.iim -m. .kin >i I tr, iiiiitnu-ni.il \ Jiu .m,! 1 -i ] i r u -Uu- .
C. Quality Management Plan: The Tribe's Quality Management Plan (QMP) expires on
DA 11-.. I he i ribe must review. amend if necessary, and submit it to SHS1) and to the I* PA
Project Officer by I )A I P for approval.
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JLL -SI'OMK'i' Data: Water Quiitily Data and STORI-. I: I'he I-IP A requires ! rihes. utilizing iOft
federal funding. to submit all water quality data in electronic format its the KPA Water quaim
data includes: physkal/cheniieal, toxicity. chemistry and habitat. Hie final location for (he data is
the STOrage and RKTrieval system (S IORI T). Region 4 tribes art* must submit data direct!)
into STORFT or provide data to Region 4 in a SI ORK1 compatible formal.
E. r.l'.\',v Substantial Involvement - In accordance with the i-IPA CJrder 5700.1, Section
7(bu i), the agreement is being awarded as a cooperative agreement because the liFA has
technical consultation on the requirements for Section 303 of the CWA The KPA's substantial
role in this agreement under Section 106 of the CWA also includes, among other activities, the
review and approval of grant work plans, monitoring plans, adherence to quality assurance
procedures, approval ofrequired reports, and the consultation, review, and the approval of the
i rihe's adoption of water quality standards required by the CWA and/or other water quality
programs, I he KPA will review the best management practices (BMPs) and water quality
standards for the tribe.
El Multi-\ ear Funding: This is a multi-year grant for a period of two years. The allocations
will he added annually to tins gram as the annual appropriations are approved for the I rilx. The
second year's workplan tasks will be reviewed and ma\ be re-negotiation based on the first
year's workplan task completion and on the second year's annual allocation. (If applicable)
ii: Matching Share Requirement: This award and the resulting federal funding share of"
a.s shown under "Notice of Award" above is based on estimated costs requested in the
recipient s application dated XY, While actual total costs may differ than those estimates, the
recipient is required to provide no less than 5% of the final total allowable program/project costs
(outlays). I he KPA's participation shall not exceed the total amount of federal funds awarded or
the maximum federal share for this program of of the final total allowable program/project
costs.
Ms Equipment: In accordance to 40 C.F.R. § 31,32. the grantee will use, manage, and dispose
o( equipment acquired under this grant in accordance with tribal laws and procedures, (if
uppiicuhh'i
L .Sufficient Progress - In accordance with (il'l 11-01 "Managing Unliquidated Obligations
and l-nsuring Progress under KPA Assistance Agreements.'" dated September 28, 2012, the I - PA
may terminate the assistance agreement for failure of the recipient to make sufficient progress on
work and on drawing down funds so a.s to reasonably ensure completion of the project within the
project period, including any extensions. I'he l-.PA will measure sufficient progress by examining
the performance required under the work plans in conjunction with the milestone schedule, the
time remaining for performance within the project period, the availability of funds necessary lt»
complete the project, and whether draw down is commensurate with work progress.
J. (.cosnatial Data - In accordance with Circular A-1 ft and CIO Policy 1 ransmiltal 05-002. all
geospatial data created must be consistent with federal Geographic Data Committee (i lil)C)
endorsed standards. Information on these standards m;u he found at -ah h k'U». .
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K. Klec Ironic and Information Technology Accessibility: Recipients and subreeip tents arc
.subject (Ik* program accessibility pro\ isions of Section 5(U of -he Rehabilitation Act. codified
in 40 C.f.R. Part 7, which includes an obligation to provide indiv iduals with disabilities
reasonable aecommodalions and an equal and effective opportunity to benefit from or participate
in a program, including those offered through electronic and information technology In
compliance with Section 504, I ill systems or products funded by this award must be designed tu
meel the diverse needs of users (e.g.. U.S. public, recipient personnel) without barriers or
diminished function or quality. Systems shall include usability features or functions that
accommodate the needs of persons with disabilities, including those who use assistive
technology. At this time, the HP A will consider a recipient's websites, interactive tools, and other
I'll as being hi compliance with Section 5(J4 if such technologies meet standards established
under Section 508 of the Rehabilitation Act, codified at 36 C.F.R. Pari I ll)4. While Section 50X
does not apply directly to gram recipients, we encourage recipients to follow either the MSX
guidelines or other comparable guidelines that concent accessibility to HIT lor individuals with
disabilities. Recipients may wish to consult the latest Section >()X guidelines issued by the US
Access Board or W3C"s Web Content Accessibility Guidelines (WCA(i) 2.(1
(http://www.aceess-board.gov/sec508/guide/index.htm).
L. < unmet enc\ of Organizations (uncrating Knvinnimintal Measurement Data: In
accordance with Agency I'oliev Dirccthc Number t"I M• ,(H "-01, Policy to Assure the
Competency of Organizations Generating I *, in iron menial Measurement Data under Agency-
funded Assistance Agreements. Recipient agrees, by entering into this agreement, that it lias
demons!ruled competency prior to award, or alternatively, where a pre-award demonstration of
competency is not practicable. Recipient agrees to demonstrate competency prior to earr\inn mil
any activities under the award involving liie generation or use of environmental data. Recipient
shall maintain competency for the duration of the project period of this agreement. (If tippiicable
>$200K in EPA Funds)
M. Kcv Personnel - I he key personnel specified in this grant agreement are considered to be
essential to work performance. At least 3D days prior lo diverting any of the specified individuals
to other programs and/or non-Wetlands related projects (for as soon as possible, if an individual
must be replaced, for example, as a result ol leaving the employment ol the Grantee), the
(irantee shall notify the KPA Project Officer and submit a new Key Personnel l;orm.
IN. Procurement: In accordance with 2 CFR 200.118. grantees must adhere lo their
procurement standards and follow adhere lo federal procurement regulations, (if applicable).
<). Suhaward Report ins: Requirement: Per GPM6-DI. the recipient must icpori on its
Mibaward monitoring activities under 2 Ci R 2(H).331(d). I Examples of items thai must be
reported if the pass-through entity has the information available are:
!. Summaries ol results of reviews of ilnaneial and programmatic reports.
2. Summaries ol" findings from sile visits and/or desk reviews to ensure effective
subreeipient performance.
3. Environmental results the subreeipient achieved.
4. Summaries of audit findings and related pass-thn usJt iitity management decisions.
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5. Actions the pass-through entity lut.s taken to correct deficiencies such as those
specified at 2 CI-'R 200.331(e), 2 (TR 200.207 ;md the 2 (T'R Part 2D0.33K Remedies
lor Noncompliance, (if uppliciihk'j
The I*PA Technical Officer assigned to this grant is live Zimmerman at (404) 564-925').
38
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