*>EPA
Clean Water Act Section 106
Tribal Guidance
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Table of Contents
Notice iv
Chapter 1: Introduction 1
Purpose of the Guidance 1
Scope of the Guidance 2
Organization of the Guidance 2
Common Pathways for a Water Quality Program 3
Chapter 2: Overview of the Clean Water Act 5
Title I. Research and Related Programs 7
Title III. Standards and Enforcement 8
Title IV. Permits and Licenses 9
Title V. General Provisions 10
Chapter 3: Grant Requirements 11
Applying for TAS for the Section 106 Program 12
Amending a TAS Application to Include Supplemental Lands 13
Establishing Adequate Financial Management Systems and Managerial and Technical Capacity 15
Identifying the Best Vehicle for a Section 106 Grant 16
Applying for and Administering a Grant 17
Pre-Award Activities 18
Post-Award Requirements 22
Post-Award Changes 23
Federal Requirements for Project Closeout Phase 23
Chapter 4: Program Development 25
Benefits of Developing a Section 106-Funded Water Quality Program 25
Eligible Uses of Section 106 Funds 25
Establishing a Water Quality Program 30
Establishing Program Milestones 33
Early Community Outreach on Program Establishment and Direction 34
Developing a Multi-Year Plan 34
Indigenous Knowledge 35
Chapter 5: Development and Implementation of a Monitoring Program 41
Monitoring Strategy 42
Establishing Monitoring Goals 43
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Developing a Monitoring Design 46
Selecting Water Quality Parameters 50
Determine Monitoring Frequency 56
Developing QAPPs and SOPs 59
Sample Collection 63
Data Management 63
Data Analysis and Assessment 66
Identifying Issues of Concern 70
Program Evaluation 72
Chapter 6: Programmatic Reporting Requirements 77
Monitoring Strategy 78
Water Quality Data Submitted Through WQX 80
Water Quality Assessment 80
Programmatic Reporting Flexibilities 82
Grant Performance Reporting 82
Summary of Reporting Deliverables 83
Chapter 7: Program Expansion - Additional Activities 86
Source Water Protection 87
Decentralized Wastewater Treatment Systems 89
Watershed-Based Approaches to NPS Management 91
Chapter 8: Program Expansion - Regulatory Authorities 94
Section 303(c) WQS 95
Section 401 Certification 99
Section 303(d) Impaired Waters and TMDLs 102
Section 402 NPDES Permitting Program 104
Section 404(g) Permitting Program for Dredged or Fill Material 110
Chapter 9: Other Funding Options 115
EPA Tribal Grant Programs 119
Other EPA Programs 125
Other Non-EPA Federal Programs 129
Appendix A: Accessing the Section 106 and PPG Grant Applications 131
Appendix B: Work Plan Template 133
Appendix C: Sample Justification for WQX 135
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Appendix D: Key Terms 136
Appendix E: Commonly Used Acronyms 140
Appendix F: References 141
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Notice
This document identifies Agency policies and recommended procedures for conducting activities related
to assistance agreements awarded under the authority in Section 106 of the Clean Water Act. The
document discusses binding requirements contained in the Clean Water Act and its implementing
regulations. The reader is directed to the statute and the regulations for a full and complete statement
of those requirements. Tribes are encouraged to consult with their tribal attorney general or equivalent
regarding the application of these requirements to tribal activities. This document does not substitute
for other binding requirements and does not expressly or implicitly create, expand, or limit any legal
rights, obligations, responsibilities, expectations, or benefits to any person. In the event of a conflict
between the discussion in this document and any legally binding requirement, this document would not
be controlling.
Cover Photo Credits (Clockwise from Top):
Big Sioux River, photo courtesy of Tim Spade
Collecting water samples at Strode Creek, CA, photo courtesy of Kletsel Dehe Wintun Nation
Aquinnah Cliffs, Martha's Vineyard, MA, photo courtesy of Robyn Delehanty
Collecting soil samples at the Wetland Tribal Training Workshop, Leech Lake Reservation, photo
courtesy of Conservation Technology Information Center
Soldier Creek, KS, photo courtesy of Prairie Band Potawatomi Nation
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Clean Water Act Section 106 Tribal Guidance
Chapter 1: Introduction
Read this chapter...
• For an introduction to the CWA Section 106 Program.
• To understand the purpose of this guidance.
• For a description of the chapters ahead.
Chapter highlights:
• Scope of this guidance.
• Overview of the common pathways for a tribal water quality program.
The Clean Water Act (CWA) Section 106 authorizes the Environmental Protection Agency (EPA) to award
federal grants to assist states and interstate agencies in administering water quality programs to
prevent, reduce, and eliminate water pollution. Section 518(e) of the CWA authorizes EPA to treat
federally recognized Tribes1 in a similar manner as a state (TAS). This allows federally recognized Tribes
that meet the CWA criteria the option to administer portions of the CWA, including to develop their own
water quality programs and standards to address water quality issues using Section 106 funding. EPA
sets aside a portion of the total Section 106 funds appropriated by Congress for Tribes with TAS for
Section 106. EPA allocates the Section 106 set-aside funds for Tribes to the EPA regions. Each EPA region
then makes Section 106 grant awards to Tribes consistent with statutory limitations, EPA regulations,
and EPA guidance. Many tribal water quality programs receive some or all their funding to implement
water quality protection activities through Section 106 grants.
Tribes can use Section 106 grants to fund a wide range of eligible water pollution control activities,
including the following:
• Establish and implement water quality programs.
• Identify water quality priorities.
• Conduct education and outreach on the importance of protecting tribal waters.
• Develop and implement water quality monitoring and assessment programs.
• Develop water quality standards (WQS).
While there are many terms that federally recognized Indian Tribal Governments (Tribes) may use to
describe their culture, history, and geography, including Tribe, Village, Nation, Band, and Pueblo, EPA
uses the terms Tribe and tribal government in this guidance.
This guidance supersedes EPA's 2007 Final Guidance on Awards of Grants to Indian Tribes under Section
106 of the Clean Water Act.
Purpose of the Guidance
The purpose of this guidance is to help tribal water quality program managers, staff, and other tribal
environmental decision makers design and implement effective and successful water quality programs.
1 Federally recognized Tribes refer to any Indian Tribe, band, nation, or other organized group or
community, including any Alaska Native village, recognized as eligible by the U.S. Department of the
Interior.
Chapter 1: Introduction
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Clean Water Act Section 106 Tribal Guidance
The guidance also provides EPA regional offices with guidelines for awarding and administering grants to
federally recognized Tribes under the authority of Section 106 of the CWA. EPA developed this guidance
recognizing that every Tribe has unique water quality priorities, challenges, and resource limitations.
Based on those circumstances, a Tribe might only need to use the parts of this guidance that are
applicable and helpful in managing their program.
EPA recognizes the importance of strong tribal water quality programs and the EPA-tribal government to
government relationship that supports Tribes in implementing those programs. The guidance provides
information to enhance these relationships.
This guidance recommends all tribal water quality programs develop and establish competency in a set
of activities that are common across all Section 106 tribal programs. Conducting these activities is
necessary to manage a water quality program before considering expanding into other Section 106-
funded activities or seeking other CWA authorities. A foundational Section 106 tribal program effectively
conducts activities in three areas:
• Program initiation, planning, and administration.
• Water quality monitoring and data management, assessment, and analysis.
• Grant and programmatic reporting.
The scale and complexity of these activities will vary across tribal programs depending on a variety of
factors, such as the Tribe's goals and priorities, extent of water resources, interest in pursuing other
CWA activities, potential threats to water resources, and availability of funding to carry out the program.
Scope of the Guidance
The scope of this guidance is generally limited to issues and activities related to Section 106 grants to
Tribes and the development and implementation of tribal water quality protection programs. The
exception is Chapter 9, which includes general information on other federal funding programs that
support water quality activities.
Organization of the Guidance
The chapters are designed to guide Tribes through developing and implementing successful water
quality programs using Section 106 funding. The list below provides a description of each chapter.
• Chapter 2: Overview of the Clean Water Act describes the CWA and explains how its many
sections can work together, including how Tribes can use Section 106 funds to support other
program activities.
• Chapter 3: Grant Requirements provides an overview of federal requirements to guide Tribes
through the Section 106 grant application and administration process.
• Chapter 4: Program Development describes the foundational activities for Tribes to establish
and initiate water quality programs.
• Indigenous Knowledge Text Box provides information on how Tribes can use Section 106
funding to incorporate Indigenous Knowledge in their programs.
• Chapter 5: Development and Implementation of a Monitoring Program helps Tribes establish
and implement a foundational water quality monitoring program to meet their program goals.
The chapter addresses water quality monitoring as well as data management, assessment, and
Chapter 1: Introduction
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Clean Water Act Section 106 Tribal Guidance
analysis. The chapter also includes information on how Tribes can expand their water quality
program activities once they have developed an effective foundational program.
• Chapter 6: Programmatic Reporting Requirements discusses the three required Section 106
programmatic reporting deliverables and includes a table of all grant reporting requirements.
• Chapter 7: Program Expansion - Additional Activities contains information on additional,
optional activities that Tribes can implement to expand their water quality protection efforts.
• Chapter 8: Program Expansion - Regulatory Authorities includes information Tribes may want
to consider when expanding their water quality program activities using Section 106 funds by
seeking other CWA authorities.
• Chapter 9: Other Funding Options provides examples of common government programs that
provide technical and financial assistance that support tribal water quality programs.
Common Pathways for a Water Quality Program
Figure 1 shows some of the common pathways for Tribes to implement and expand their water quality
programs using Section 106 funding.
Figure 1. Common pathways for implementing CWA Section 106-funded water quality programs
Establishing a Section
106-funded Water
Quality Program
CMonitoring
Strategy
O Require TAS approval.
q Approaches to define standards for measuring
success of water quality programs.
O Section 106 grant programmatic requirements.
ATTAINS: Assessment and TMDL Tracking and Implementation System
CWA: Clean Water Act
TAS: Treatment in a Similar Manner as a State
TMDL: Total Maximum Daily Load
Starting from the left side of the figure, a Tribe must demonstrate that they meet the TAS criteria
applicable for purposes of Section 106 funding. After receiving a Section 106 grant, the Tribe will begin
administering the requirements of the grant and establishing their water quality program. The Tribe will
start by developing their Monitoring Strategy which is their long-term plan for meeting water resource
goals. (See Chapter 3 for more information about grant requirements, Chapter 4 for more information
on establishing a water quality program, and Chapter 6 for more information about the Monitoring
Strategy.)
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Clean Water Act Section 106 Tribal Guidance
The Tribe will then begin monitoring the quality of waters on their reservation and gather water quality
data. The Tribe will also select thresholds or standards to evaluate their water quality results against.
(See Chapters 5 and 8 for more information on monitoring, thresholds, and standards.)
Tribes provide their water quality data to EPA's Water Quality Exchange (WQX). Tribes use this data to
develop Water Quality Assessments describing their water quality monitoring activities, their
assessment decisions, and how their program is meeting the goals and objectives. Water Quality
Assessments help track progress toward attaining the Tribe's thresholds or standards. (See Chapters 5
and 6 for more information about data management and the Water Quality Assessment.)
At this point, the Tribe has established a water quality program according to their needs and can
consider options to expand their water quality activities. Figure 1 identifies some potential paths for
expansion:
• If the Tribe chooses to pursue EPA-approved WQS, they must apply for Section 303(c) TAS and
submit their WQS for EPA approval. The Tribe may also be interested in applying for TAS for
other CWA authorities such as Section 303(d) listing impaired waters and developing total
maximum daily loads (TMDLs), Section 401 water quality certification, and Sections 402 and 404
permitting programs. (See Chapter 8 for more information about Sections 303(c), 303(d), 401,
402, and 404.)
• The Tribe may want to start completing an assessment methodology. Creating assessment
methodologies helps develop capacity to receive TAS authorization for Section 303(d).
Voluntarily publishing water quality reports to the Assessment and TMDLTracking and
Implementation System (ATTAINS) helps further develop capacity. (See Chapter 5 for more
information about assessment methodologies and Chapter 8 for more information on Section
303(d).)
• The Tribe may want to begin implementing strategies to address nonpoint source (NPS)
pollution including source water protection, failing decentralized wastewater treatment
systems, and developing an NPS Assessment Report and NPS Management Program Plan (See
Chapter 7 for more information about watershed planning and Chapter 9 for more information
on 319 grants.)
• The Tribe may want to apply for a Wetland Program Development Grant (WPDG) under Section
104(b)(3). A wetland program can help conserve, restore, and improve wetlands. (See Chapter 9
for more information about wetland programs.)
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Clean Water Act Section 106 Tribal Guidance
Chapter 2: Overview of the Clean Water Act
Read this chapter...
• For an introduction to the CWA and its sections.
• To learn how the CWA Section 106 Program relates to other sections of the CWA.
Chapter highlights:
• History of the CWA.
• Description of each CWA section relevant to tribal water quality programs.
The following chapter provides general information on the structure of the CWA with more specific
information on the CWA titles that support the water quality activities discussed in this guidance. For
more information on the CWA see EPA's Summary of the Clean Water Act.
The Federal Water Pollution Control Act, commonly known as the "Clean Water Act" (CWA), is the
federal law that establishes goals for protection of the chemical, physical, and biological integrity of the
nation's waters and authorizes implementation of programs to achieve those goals. The overarching
strategy for water pollution control is set by the federal government and administered by states.2 The
CWA was amended in 1987 to include Section 518. This section authorized EPA to treat federally
recognized Indian Tribes in a similar manner as a state (TAS) for specific sections of the CWA, giving
some Tribes the option to apply for grants and request authorization to administer portions of the CWA.
History of the Clean Water Act
1948 - The Federal Water Pollution Control Act (known as the Clean Water Act) was enacted as the
first United States law to address water pollution.
1965 - Water Quality Standards (WQS) were added.
1966 - Reporting requirements for water pollution discharges were added.
1972 - Amendments expanded the CWA into what it is today. Many existing requirements for
protecting interstate waters were expanded to cover intrastate waters. These amendments:
• Established the structure for regulating pollutant discharge.
• Gave EPA the authority to oversee water pollution control programs.
• Required permits for pollutant discharges.
• Recognized the need to address nonpoint source (NPS) pollution.
• Established the Section 106 Water Pollution Control Grants.
1987 - The Water Quality Act of 1987 added Section 518 to the CWA, giving Tribes the option to
request authority to administer portions of, and receive grants under, the CWA.
2 The term "state" means a state, the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands,
Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, and the Trust Territory of the Pacific
Islands (33 U.S.C. 1362(3)).
Chapter 2: Overview of Clean Water Act
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Clean Water Act Section 106 Tribal Guidance
The CWA provides a framework to identify, address, and prevent water quality problems. The CWA also
defines the structure for regulating water pollutant discharges to protect water quality in the United
States. The CWA also calls for development of programs to control NPS pollution so that water quality
goals are met through control of both point source and NPS pollution. EPA has the responsibility for
overseeing the CWA and works with Tribes and states to implement and enforce the CWA. Tribes who
are interested in applying for grants and requesting program authorization are required to meet CWA
requirements for each section they are interested in administering.3
The CWA has six titles, each with multiple sections (Figure 2).
The water quality sections under Titles I, III, IV, and V are shown in blue in Figure 2 and are described
below in more detail. Some sections under these titles also authorize grants. For example, Section 106
authorizes Water Pollution Control Grants under Title I, and Section 319 authorizes grant funding to
address NPS pollution under Title III. These titles work in conjunction with Section 106 funding to
support water quality activities. Implementation activities for many of these titles are eligible for Section
106 funding. The other two titles of the CWA, Titles II and VI, authorize funding for wastewater
treatment plant construction and are not covered in this guidance as they do not work in conjunction
with Section 106 or otherwise support Section 106-funded activities.
3 Tribes may submit separate applications for each eligibility/authority, or a Tribe may combine requests such as
TAS for Section 106 and 319. Tribes that receive TAS for Section 303(c) are immediately eligible for Section 401 as
well. See 40 CFR 131.4(c).
Chapter 2: Overview of Clean Water Act
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Clean Water Act Section 106 Tribal Guidance
Figure 2. The six titles of the CWA
Title 1.
Research and Related
Programs
(104*)(106)
Title VI.
State Water Pollution
Control Revolving
Funds
Title II.
Grants for
Construction of
Treatment Works
CWA
Title III.
Standards and
Enforcement
(303^)(305)(^9)
Titles in shaded blue boxes work in conjunction with Section 106 funding to support water quality activities
Titles in white boxes are not covered in this guidance as they do not work in conjunction with Section 106
* Section 104 does not require treatment in a similar manner as a state (TAS) authorization
Title I. Research and Related Programs
Section 101(a) - Declaration of Goals and Policy
Section 101(a) outlines the major goals for the CWA and for water quality in the United States. The
ultimate objective of the CWA is to "restore and maintain the chemical, physical, and biological integrity
of the Nation's waters" (CWA Section 101(a)). The interim, short-term goal is to achieve a level of water
quality that provides for the protection and propagation of fish, shellfish, and wildlife and provides for
recreation in and on the water. (This is referred to as the fishable and swimmable goal.) Additional
101(a) goals address elimination of point source and NPS pollution.
Section 104- Research, Investigations, Training, and Information
Section 104(b)(3) authorizes EPA to provide grants for investigations, experiments, training,
demonstrations, surveys, and studies to investigate the causes, effects, extent, prevention, reduction,
and elimination of pollution. The Wetland Program uses this authority to fund Wetland Program
Development Grants (WPDGs) for Tribes and states. WPDGs assist tribal, state, and local government
agencies and intertribal and interstate entities in building programs to protect, manage, and restore
wetlands. Tribes do not need authorization to apply for WPDG funds (see Section 518 below).
More information about Section 104(b)(3) and how it supports tribal water quality activities is in
Chapter 9: Other Funding Options.
Chapter 2: Overview of Clean Water Act
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Clean Water Act Section 106 Tribal Guidance
Section 106 - Grants for Water Pollution Control Programs
Section 106 authorizes EPA to award grants that assist authorized Tribes, states, and interstate agencies
in administering their water pollution control programs for the prevention, reduction, and elimination of
water pollution. EPA allocates Section 106 grants based on the extent of the pollution problem. Tribes
and intertribal consortia with TAS for Section 106 may apply for Section 106 funds. Tribes and states use
Section 106 funds to conduct a wide range of water quality activities including: conduct water quality
monitoring and assessment, report on the condition of their waters, develop WQS, and issue and
enforce permits.
This guidance focuses on how Tribes can effectively develop, implement, and expand their water quality
programs using Section 106 funds.
Title III. Standards and Enforcement
Section 303 - WQS and Implementation Plans
Section 303(c)
Section 303(c) requires authorized Tribes (those with TAS for Section 303(c)) and states to develop WQS,
review them at least every three years, and revise as needed. WQS translate the broad goals of the CWA
into waterbody-specific, measurable objectives. WQS also serve as a regulatory basis for establishing
water quality-based treatment controls. These controls include Section 401 certification, Section 402
National Pollutant Discharge Elimination System (NPDES) permits, Section 404 dredge and fill permits,
and enforcement actions (see below).
More information about Section 303(c) and how WQS support water quality programs is in Chapter 8:
Program Expansion - Regulatory Authorities.
Section 303(d)
Section 303(d) requires authorized Tribes (those with TAS for Section 303(d)) and states to list any
waters that do not meet, or are expected to not meet, one or more WQS. The 303(d) list includes both
threatened waters (those with a water quality trend indicating they will not be meeting WQS within two
years) and impaired waters (those not meeting WQS). Authorized Tribes and states submit the list to
EPA every two years.
Section 303(d) also requires authorized Tribes and states to prioritize waters on the 303(d) list and
develop Total Maximum Daily Loads (TMDLs), which calculate the maximum pollutant loads allowable to
meet WQS. Listing threatened and impaired waters, and prioritizing waters for pollutant load reductions
through TMDLs, is critical to get waters back on track to meeting WQS.
More information about how Section 303(d) programs support water quality programs is in Chapter 8:
Program Expansion - Regulatory Authorities.
Section 305 - Water Quality Inventory
Section 305(b) requires states to develop a report describing their monitoring program, assessment
methods, and the extent of waters supporting the goals of the CWA to provide for balanced population
offish, shellfish, and wildlife and for recreational activities. 305(b) reporting identifies water quality
conditions (healthy, impaired, or poor) and the key causes of water impairment. In lieu of a 305(b)
report, Tribes report on the conditions of their waters through their Section 106 Water Quality
Assessment report.
Chapter 2: Overview of Clean Water Act
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Clean Water Act Section 106 Tribal Guidance
EPA submits a report describing the status of the nation's water quality and key stressors across the
nation using information reported electronically by Tribes and states through participation in the
National Aquatic Resource Surveys and the Assessment and TMDL Tracking and Implementation System
(ATTAINS).
Section 319 - Nonpoint Source Management Programs
Section 319 establishes a program to address pollution from diffuse sources (such as agricultural lands
and urban areas) that runs into waters. NPS pollution is the leading source of U.S. water pollution.
Section 319 also authorizes EPA to award grants that assist authorized Tribes (those with TAS for Section
319), states, and territories in administering their NPS programs.
More information about Section 319 and how Section 106 funds can support NPS efforts is in Chapter 8:
Program Expansion - Regulatory Authorities.
Title IV. Permits and Licenses
Section 401 - Certification
Section 401 is a powerful tool for authorized Tribes (those with TAS for Section 401), states, and
interstate agencies to protect their waters from adverse impacts caused by federally licensed or
permitted projects. Under Section 401, a federal agency may not issue a license or permit for an entity
to discharge into navigable waters,4 unless the authorized Tribe, state, or interstate agency where the
discharge originates or will originate either issues a Section 401 water quality certification or waives
certification.
More information on Section 401 and how tribal participation in 401 certification can support water
quality program goals is in Chapter 8: Program Expansion - Regulatory Authorities.
Section 402- National Pollutant Discharge Elimination System
Section 402 authorizes Tribes (those with TAS for Section 402 and who have been approved to
administer the program), states, and interstate agencies to grant or deny permission for point source
pollution discharges into their waters in their jurisdiction. Point source pollution is any single identifiable
source of pollution from which pollutants are discharged. NPDES permits set limits on the amounts of
various pollutants that a point source can discharge in a given period of time.
More information about Section 402 and how it supports water quality programs is in Chapter 8:
Program Expansion - Regulatory Authorities.
Section 404- Permits for Dredged or Fill Material
Section 404 is a permitting and enforcement program which requires a permit be issued prior to the
discharge of dredged or fill material into "waters of the United States." Section 404(g) provides eligible
Tribes (those with TAS for Section 404(g)), states, and interstate agencies the option to assume
permitting authority to grant or deny permits for discharges of dredged or fill material into waters
within their jurisdiction.
4 The term "navigable waters" means the "waters of the United States," including the territorial seas (33
U.S.C. 1362(7)).
Chapter 2: Overview of Clean Water Act
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Clean Water Act Section 106 Tribal Guidance
More information about Section 404 and how it supports water quality programs is in Chapter 8:
Program Expansion - Regulatory Authorities.
Title V. General Provisions
Section 518 - General Authorization
Section 518(e) sets the criteria for federally recognized Tribes to request TAS to administer and receive
grants under CWA Sections 106 and 319. Tribes also need TAS to be authorized to carry out other CWA
programs such as Sections 303(c), 303(d), 401, 402, and 404. In the absence of a Tribe assuming
authority for a CWA regulatory program, EPA generally directly implements the program in Indian
Country.
Section 104 is not referenced in Section 518(e), therefore, Tribes do not need TAS to receive WPDG
funds under Section 104.
More information about how Tribes can attain TAS is in Chapter 3: Grant Requirements (for Section
106), Chapter 8: Program Expansion - Regulatory Authorities (for Sections 303(c), 401, 303(d), 402, and
404(g)), and Chapter 9: Other Funding Options (Section 319).
Chapter 2: Overview of Clean Water Act
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Chapter 3: Grant Requirements
Read this chapter...
• To learn how to apply for TAS eligibility for the CWA Section 106 Program.
• For an overview of the CWA Section 106 grant application and administration process.
• To understand pre-award activities and post-award requirements.
Chapter highlights:
• Flowchart depicting relationship between strategic planning and agency guidance.
• Table of grant options for accessing Section 106 funds.
• Flowchart depicting the grant application process.
This chapter provides an overview of federal requirements to guide Tribes through the Section 106 grant
application and administration process. The legal, administrative, financial, and programmatic
requirements in this document are designed to ensure consistency among tribal grants.
This chapter provides information about the grant process but does not address all requirements
codified in law or EPA program guidelines. EPA Project Officers may ask for additional information based
on Section 106 guidance or updated requirements. Tribes interested in applying for Section 106 funds
should work with their EPA Project Officer to ensure they meet all grant requirements.
Table 1. Requirements applicable to tribal Section 106 grants
Categories of Requirements
Sections Relevant to Section 106 Grants
Statutory provisions
CWA Sections 106, 305, 504, and 518(e).
Regulations
2 CFR Parts 200 and 1500.
40 CFR Parts 7, 29, 33, 34, 35, and 130.
EPA Grant Guidelines
EPA's National Water Proaram Guidance.
EPA's Guidance on the Water Pollution Control (Section 106) Grants
website.
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Federal Grant Requirements
All grants awarded by EPA must meet the requirements described in the Code of Federal Regulations
(CFR) Title 2 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for
federal awards (commonly called "Uniform Grant Guidance" or "UGG") and Title 40 Part 35
Protection of Environment. Throughout this chapter, the section of the CFR is referenced to indicate
regulatory requirements.
The UGG is a "government-wide framework for grants management," an authoritative set of rules
and requirements for federal awards that synthesizes and supersedes guidance from earlier Office of
Management and Budget (OMB) circulars. The UGG aims to reduce the administrative burden on
award recipients and, at the same time, guard against the risk of waste and misuse of federal funds.
EPA sets out the requirements for all grants at 40 CFR Part 35. Information specific to tribal grants is
at 40 CFR 35 Subpart B.
EPA's Office of Grants and Debarment provides Grants Policy Issuances and other policy documents
on the EPA Grants Policy Resources website to support the implementation of grants.
Applying for TAS for the Section 106 Program
The treatment in a similar manner as a state (TAS) requirements to receive Section 106 grants ensure
that Tribes have the legal, financial, technical, and managerial resources to successfully establish and
administer a Section 106-funded water quality program. EPA finding that a Tribe meets the TAS criteria
authorizes the Tribe to apply for Section 106 grants.
The general requirements for TAS are in CWA Section 518(e) and specific information for Section 106 is
in regulation at 40 CFR 130.6(d) and 40 CFR 35.583. The CWA Section 518 statutory requirements are
summarized below.
1. The Tribe is recognized by the Secretary of the Interior.
2. The Tribe has a governing body carrying out substantial governmental duties and powers.
3. The functions to be exercised by the Tribe pertain to the management and protection of water
resources that are held by an Indian Tribe, held by the United States in trust for Indians, held by
a member of an Indian Tribe if such property interest is subject to a trust restriction on
alienation, or otherwise within the borders of an Indian reservation.
4. The Tribe is reasonably expected to be capable, in EPA's judgment, of carrying out the functions
to be exercised in a manner consistent with the terms and purposes of the CWA and all
applicable regulations.
Tribes seeking TAS submit a Section 106 TAS application to their EPA region.5 Because Tribes will not
have access to Section 106 funds until EPA approves their TAS application, many Tribes have used Indian
5 Tribes can submit their demonstrations that they meet the TAS eligibility criteria with a Section 106
grant application, but Tribes cannot receive the grant unless EPA finds that the Tribe meets the TAS
requirements.
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Clean Water Act Section 106 Tribal Guidance
Environmental General Assistance Program (GAP) grants to build capacity while undergoing the Section
106 TAS application process. See Chapter 9: Other Funding Options for more information on GAP grants.
Tribes with TAS may be a valuable resource to Tribes who are considering applying for Section 106 TAS.
EPA regional offices may be able to provide contact information for other tribal water quality programs
in the region.
Intertribal Consortia
Governing bodies of two or more Tribes can authorize a partnership, called an intertribal consortium
or consortia, to apply for and receive assistance under one or more of the programs listed in 40 CFR
35.501. Intertribal consortia can receive grants under Section 106 if they demonstrate that each
member Tribe authorizing the consortium to act on their behalf is federally recognized and has met
the requirements for Section 106 TAS (40 CFR 35.583). A consortium must adequately document the
partnership's existence and the authorization to apply for and receive assistance (40 CFR 35.504).
Tribes may receive grants, both as an individual Tribe and as a part of an intertribal consortium, as
long as the grants do not fund the same projects.
Amending a TAS Application to Include Supplemental Lands
Tribes whose reservation lands consist of individual trust parcels that are not part of a formal Indian
reservation, or who have acquired lands that have been put into trust outside the exterior boundaries of
a formal reservation, may wish to amend their existing TAS approved application. These amendments
can include new reservation lands such as lands transferred into federal trust status since the original
application was approved.6
A Tribe that has previously qualified for TAS need only provide the required information that they have
not submitted in a previous application (40 CFR 131.8(b)(6)). Examples of information that can transfer
from a prior application include federal recognition and descriptions of the Tribe's governmental
functions, as well as descriptions of lands and waters covered by the original approval. An application to
amend an existing TAS approval would, however, include information regarding the new reservation
lands, such as lands transferred into federal trust lands and associated waters.
GPRA and Strategic Plans
The Government Performance and Results Act (GPRA) (PL 103-62), later amended by the Government
Performance and Results Modernization Act (GPRMA) of 2010, requires federal agencies to set strategic
goals, measure performance, and report on the degree to which they met their goals. GPRA requires
each federal agency to develop strategic plans to cover a period of at least five years and to include a
mission statement, long-term strategic goals, and information on how the goals will be achieved.
Strategic plans are the starting point for federal agencies to set annual goals for programs and to
measure their performance in achieving those goals. Individual program activities within agencies are
6 Consistent with EPA's longstanding approach, properties located outside the boundaries of formal,
federally recognized Indian reservations that are held in tribal trust status are informal reservations and
are eligible for inclusion in a Tribe's application for CWA program authority. See, for example,
Amendments to the Water Quality Standards Regulations that pertain to Standards on Indian
Reservations 56 FR 64876, 64881 (December 12, 1991).
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linked to their priorities, strategic goals, annual goals, and measures described in their strategic plans.
One way EPA implements its strategic plan is through the awarding of grants. Accordingly, Tribes' grant
applications must include work plans that link work plan activities to EPA's current strategic plan,
available on the EPA Strategic Plan website, and the activities they are requesting be funded. See Figure
3 for more information.
Figure 3. Strategic planning and grant performance
GPRA and
GPRMA
GPRA and GPRMA establish requirements for strategic planning and
performance work for all federal agencies.
EPA Strategic
Plan
• 5-year Strategic Plan.
• Identifies EPA's mission and long-term goals.
• Develops strategic planning measures.
• EPA reports on progress toward goals.
National Water
Program
Guidance
• 2-year guidance.
• Linked to the Strategic Plan.
• Identifies National Water Program goals.
• Sets out interim activities to reach long-term goals.
• Provides guidance to Tribes and states on water priorities.
• Includes high priority Section 106 grant guidance.
• Includes water-specific measures.
Section 106
Supplemental
Guidance
• 2-year guidance.
• Linked to the National Water Program Guidance and the water
quality goals of EPA Office of Water.
• Provides guidance to Tribes and states on Section 106 and water
quality.
Section 106
Tribal
Guidance
• Multi-year, revised as needed.
• Provides guidance on:
° Grant applications and work plans.
• Linking Tribes' activities to the Strategic Plan.
• Developing goals and objectives consistent with the CWA.
• Technical support for developing and expanding effective tribal water
quality programs.
Tribal Grant
Work Plan
• Usually 1-year.
• Linked to the Strategic Plan.
• Identifies short-term and interim goals.
• Identifies activities the Tribe will undertake during performance period.
• Project Officers use progress reports to report to EPA Office of Water.
GPRA: Government Performance and Results Act
GPRMA: Government Performance and Results Modernization Act
Establishing Output- and Outcome-Based Activities: Environmental Results
EPA considers the links between grant activities and the EPA Strategic Plan goals and objectives and how
environmental results from the activities will further EPA's goals and objectives (EPA Order Number
5700.7A1 Environmental Results under EPA Assistance Agreements). EPA ensures that grant activities
identify outputs and outcomes. Each Tribe's grant work plan needs to describe the link between the
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proposed activities and EPA's strategic plan, as well as any expected outputs or outcomes. EPA Order
Number 5700.7A1 includes guidance on complying with the order.
Outputs reflect the environmental efforts, products, or services a program will provide. Outputs may be
qualitative or quantitative, but they must be measurable. Examples of outputs include number of staff
trained, number of community outreach events, and number of samples collected.
Environmental outcomes are quantifiable changes or benefits resulting from the activities or outputs of
the program. Examples of outcomes are measurable improvements in water quality and increases in the
number of facilities that meet effluent limits.
Although a Tribe's program should strive to produce outcomes, in some cases outputs will be the most
appropriate goals for their work plan activities, especially early in the program's development. For
instance, outcomes may take many years to achieve and may occur after a grant period ends.
Additionally, even if a Tribe achieves a desired outcome, linking the outcome to the environmental
activities may be difficult.
Examples of Outputs and Outcomes for Environmental Activities
Monitoring
• Outputs: Number of samples collected.
• Outcomes: Improved understanding of waterbody condition.
Research and development, studies, surveys, investigations, and experiments
• Outputs: Number of experiments or samples collected, number of reports or publications.
• Outcomes: Advanced knowledge on the effects of water pollution as reflected in a peer-
reviewed scientific journal article.
Training and outreach
• Outputs: Number of training sessions, number of persons trained.
• Outcomes: Increase in knowledge as demonstrated by pre- and post-training surveys.
Compliance and enforcement
• Outputs: Number of inspections or enforcement actions.
• Outcomes: Increase in number of facilities that reduce discharge or other pollutants,
quantity of discharge, or pollutants reduced.
Establishing Adequate Financial Management Systems and Managerial and
Technical Capacity
Before applying for a Section 106 grant, a Tribe must be able to adequately track grant expenditures and
establish and maintain effective accounting procedures to comply with grant requirements (2 CFR
200.208). Tribes are also required to register with the System for Award Management (SAM.gov) to be
eligible for a federal grant and submit annual grant Financial Reports.
Tribes should have the capacity and capabilities to accept and manage federal funds, while also ensuring
managerial and technical capabilities are in place to complete their work plan tasks. As part of the
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Clean Water Act Section 106 Tribal Guidance
annual and final evaluation process, EPA assesses the capacity and capabilities of Tribes to achieve and
complete tasks. Capacity and capabilities include internal controls under 2 CFR 200 Part E:
1. Tribes design and implement processes to provide reasonable assurance that the objectives in
the following categories can be met:
i. Effective and efficient operations.
ii. Reliable reporting for internal and external use.
iii. Compliance with applicable laws and regulations.
2. Federal awarding agencies must follow internal control compliance requirements in accordance
with UGG Cost Principles (2 CFR 200 Subpart E).
Identifying the Best Vehicle for a Section 106 Grant
Before submitting a grant application, Tribes should consider all the possible Section 106 grant
application options and discuss with their Project Officer which is best for the Tribe's program. Table 2
summarizes three options for accessing Section 106 grants and their key features.
Performance Partnership Grants (PPGs)
Section 106 grants are one of many grants eligible for inclusion in PPGs (40 CFR Part 35.101a). EPA's
National Environmental Performance Partnership System (NEPPS) website can be used as a resource
to identify other programs that are also eligible for PPGs. PPGs combine funds from two or more
environmental programs into a single grant application with a single budget to reduce administrative
burden. Tribes that are interested in pursuing PPGs should work with their EPA regional office to
develop a PPG that meets EPA statutory and program requirements. EPA's NEPPS: Guidance, Policies,
& Regulations website contains more information on PPGs.
Table 2. Options for awarding tribal grants
Options for Awarding
Tribal Grants
Key Features
Section 106 Grant
• Tribes submit a Section 106 specific grant application, work plan, and
budget.
o Can easily track and report the specific activities they
conduct and the outcomes,
o Tribes and EPA can track funds easily.
• Tribes can work with EPA to tailor the period of performance to the
scope of their Section 106 activities.
• Tribes have flexibility in the work plan format.
• Tribes do not have the 5 percent match requirement (waived).
Section 106 as part of a
water-focused PPG
(Section 106, 319,
104(b)(3), Beaches
Environmental
Assessment and Coastal
Health (BEACH) Act)
• Tribes combine water-focused grants into one application, work
plan, and budget.
• Tribes need to establish the link between Section 106-funded
activities in the work plan and track and report on the specific
activities they accomplish and the outcomes.
• Tribes can work with EPA to tailor the period of performance to the
water programs they include.
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Clean Water Act Section 106 Tribal Guidance
Options for Awarding
Tribal Grants
Key Features
• Tribes will not be required to provide a financial report outlining how
funds were used to support water quality activities.
• Tribes have flexibility in the work plan format.
• Tribes can work with EPA to unify reporting frequencies.
• Tribes may allocate any remaining funds to other eligible PPG
activities after completion of all work plan activities.
• Tribes do not have match requirements (waived).
Section 106 as part of a
multi-media PPG (GAP
Funds and Other Media
Programs)
• Tribes can combine PPG eligible programs into one application, work
plan, and budget.
• Tribes need to establish the link between Section 106-funded
activities in the work plan and track and report on the specific
activities they accomplish and the outcomes.
• Tribes will not be required to provide a financial report outlining how
funds were used to support water quality activities.
• Programmatic requirements for some programs in the PPG may
impact the grant's period of performance.
• Tribes may allocate any remaining funds to other eligible PPG
activities after completion of all work plan activities.
• Tribes do not have match requirements (waived).
Applying for and Administering a Grant
This section provides an overview of the grant lifecycle and requirements at each stage of the grant.
"Grants" in this section refers to either grants or cooperative agreements, awarded to Tribes or
intertribal consortia in the form of Section 106 individual grants or PPGs that include Section 106
funding. The Section 106 Program manages grants consistent with Grant Policy Issuance (GPI) 13-02:
Streamlining Tribal Grants Management. Figure 4 outlines the grant life cycle.
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Figure 4. Grant life cycle
PRE-AWARD WORK PLAN DEVELOPMENT
• EPA Headquarters allocates tribal Section 106 funds to the EPA regions.
• Tribe develops and submits the grant work plan.
• EPA region and Tribe negotiate to finalize the work plan.
• Tribe submits final application.
• EPA region approves work plan and budget.
GRANT AWARD
• EPA awards grant funds to Tribe.
• Tribe reviews award document, including all terms and conditions.
• Tribe uses Section 106 funds to implement water quality programs as outlined in the Monitoring
Strategy, approved Quality Assurance Project Plan(s), and work plan.
POST-AWARD REPORTING
• Tribe submits required programmatic reports outlined in the work plan and the terms and
conditions (Monitoring Strategy, Water Quality Assessment, water quality data submitted to
the Water Quality Exchange* (WQX)).
• EPA reviews the Tribe's programmatic deliverables.
• Tribe submits periodic performance reports and financial reports to EPA.
• EPA reviews performance and financial reports.
• EPA determines satisfactory progress.
REGIONAL CLOSEOUT
• Tribe submits final financial report (FFR) and final performance report.
• EPA reviews final documents and closes out tribal grant.
* If Tribes cannot submit their data directly to WQX, Tribes can submit their data in a WQX compatible format directly to
EPA regional staff along with a justification of why they could not load data to WQX.
Pre-Award Activities
During the pre-award phase, EPA encourages Tribes to:
• Seek informal or formal assistance to answer questions concerning the technical or
administrative requirements of the work plan.
• Respond to inquiries from the EPA Project Officer and EPA Grants Management Office
concerning the application.
• Revise the application based on comments from the EPA Project Officer and EPA Grants
Management Office.
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Understanding Grant Application Package Requirements
A Tribe's grant application package includes (2 CFR 200 Subpart C, 40 CFR 35.507):
• Grant application form SF 424. This form, in addition to all required forms and certifications,
can be obtained from EPA's Grantee Forms website. Additional training opportunities are on
EPA's Grants Management Training for Applicants and Recipients website.
• Proposed work plan. More information on developing a work plan, including estimated costs, is
provided in the Understanding Work Plan Requirements section of this chapter. Tribes should
contact their EPA Project Officer for EPA region-specific requirements.
o Meet the requirements of 40 CFR Part 35.507. These requirements specify content
Tribes must include in their work plan and are described in the following subsection.
• Proposed budget. More information on developing a budget is in the Developing a Budget
section of this chapter. Tribes should discuss any funding amount limitations with their Project
Officer prior to developing a budget.
• Requirements in 2 CFR 200.208. These requirements include special conditions that may apply
to specific situations (for example, grants to Special Condition grantees). EPA regional offices
will have more information.
Tribes must submit a complete application via Grants.gov. To begin the process, Tribes first create a
Grants.gov account by visiting the Registering with Grants.gov website. More information is in Appendix
A: Accessing the Section 106 and PPG Grant Application.
The EPA regional Project Officer can assist with questions regarding the grant application process and
work plan due dates.
Understanding Work Plan Requirements
The work plan is the basis for EPA and the Tribe to manage, plan, and evaluate performance under the
grant agreement. Tribes should submit their draft work plan to their Project Officer before starting the
grant application to ensure EPA can approve the work plan before the scheduled grant start date. In
accordance with GPI 11-03, the work plan needs to consider factors such as EPA's Strategic Plan,
national program guidance; tribal goals, objectives, and priorities; and other joint needs or priorities.
For individual grants and PPGs, final work plans must meet the requirements of 2 CFR 200 Subpart C, 40
CFR 35.507, applicable federal statutes, circulars, executive orders, and delegation or authorization
agreements. At a minimum, the final work plan must specify:
• Work plan components that the grant will fund. A work plan component is a set of tasks that the
Tribe and EPA negotiate. A work plan may have one or more work plan components.
• Estimated work years, or personnel time, and estimated funding amounts for each work plan
component.
• Environmental outputs which are the activities or efforts and associated work products related
to an environmental goal or objective.
• Environmental outcomes which are the results, effects, or consequences from the
environmental program or activity.
• A performance evaluation process and reporting schedule, in accordance with 40 CFR 35.115.
• The roles and responsibilities of the Tribe in carrying out the work plan components.
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Appendix B: Work Plan Template includes a sample work plan template.
Additional Funding
If the Project Officer notifies a Tribe that additional funds are available after a Tribe has submitted a
grant application through Grants.gov but before final approval of the grant application package,
additional information may be required. Tribes submit all requested information directly to the Project
Officer, not through Grants.gov.
Match Requirements
Direct Categorical Section 106 grants: The EPA Office of Water received a regulatory exception from the
5 percent tribal match requirements for Section 106 grants. Tribes are no longer required to provide a
match and can receive 100 percent of the work plan costs (Memorandum on Class Exemption from 40
CFR 35.585, Maximum Federal Share).
If Tribes choose to voluntarily contribute funds to support additional water quality activities,
contributions towards eligible work plan activities should only be reported in the recipient's FFRs. This
amount can be reported in "line j. Recipient share of expenditures." This additional funding is
considered overmatch and can be used to replace any EPA-funded work plan costs that may be
disallowed over the course of the grant period. This approach is recommended to minimize any
potential repayments.
Media-Specific or Multi-Media PPGs: The EPA Office of Congressional and Intergovernmental Affairs
received a regulatory exception from the tribal match requirements in a PPG. Tribes are no longer
required to provide a match and can receive 100 percent of the work plan costs for all programs,
including Section 106, in the PPG. Tribes can choose to contribute an overmatch, as described above, if
funds are available. (RAIN-2022-G01: Class Exception to the Cost Share Requirements for Tribal and
Intertribal Consortia Performance Partnership Grants (PPGs) at 40 CFR 35.536)
Developing a Budget
Each Tribe's application must include a budget, which provides the total cost by category associated
with completing the activities in the work plan. A Tribe's budget will reflect the federal dollars that are
within the grant work plan. EPA regional offices can help Tribes develop their budgets.
In their program budgets, Tribes include estimated costs to accomplish the activities in their work plans.
The costs must be allowable, allocable, and reasonable, as defined by federal cost principles and
policies. The cost principles are identified in 2 CFR Part 200Subpart E.
When developing a budget, Tribes should refer to EPA's Grants website for information on how to
structure their budget and the details needed for justification (the EPA Office of Grants and Debarment
Guidance on Selected Items of Cost for Recipients has more information). Tribes must identify allowable
costs (2 CFR Part 200 Subpart E) in the following cost categories:
1. Personnel costs include only direct costs for the salaries, wages, and allowable incentive
compensation for those individuals who are employees of the tribal agency who will perform
work directly for the project. Employees receive W-2 forms for federal tax purposes. The costs
should be broken down by job classification, such as laborer, scientist, or volunteer. Multiplying
cost per hour by number of hours worked yields the total personnel costs. (2 CFR 200.430)
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2. Fringe costs are benefits, allowances, and services that employers provide to their employees as
compensation in addition to regular salaries and wages. Fringe benefits include, but are not
limited to, the costs of leave (vacation, family-related, sick, or military), employee insurance,
pensions, and unemployment benefit plans. (2 CFR 200.431)
3. Travel costs are expenses for transportation, mileage, lodging, subsistence, and related items
that employees on official travel incur while conducting grant funded activities. (2 CFR 200.475)
4. Equipment with a unit cost greater than $5,000 per unit must have prior EPA approval (2 CFR
200.313 and 200.439). Tribes should discuss equipment purchases with their EPA Project Officer
early in the application process.
5. Supplies include materials and equipment with a unit cost under $5,000 necessary for
conducting activities in the work plan. Examples include monitoring supplies, computers, paper,
and pens.
6. Contractual costs include costs for obtaining contractor support to conduct grant activities.
These costs include contracts with outside laboratories to analyze water quality samples.
7. Construction costs to build or construct structures are not eligible under Section 106.
8. Other costs include those costs that do not fit into the above categories. These costs include
subawards, telephone and internet services, and utilities; occasional document copying; rent or
lease of equipment, office space, or conference facilities; participant support costs (for example,
travel costs for interns and other non-employees); conference registration fees; and vehicle
maintenance (unless it is under a contract).
9. Total direct costs directly relate to accomplishing the project. They are the sum of personnel,
fringe, equipment, supplies, contracts, travel, and potentially administrative costs.
10. Indirect costs are costs that are incurred to support the overall operation of the organization.
Indirect costs may be both administrative and programmatic. The Tribe must have an approved
indirect cost rate proposal and provide a copy to EPA. This document substantiates the basis for
costs that are common or joint to more than one cost objective (2 CFR 200.414). The Tribe
should use the 10 percent de minimis indirect cost rate if they do not have an approved indirect
cost rate.
EPA's Interim General Budget Development Guidance for Applicants and Recipients of EPA Financial
Assistance provides additional information for recipients of EPA funds when preparing proposed work
plans, budgets, and budget narratives for EPA assistance agreements for project grants and cooperative
agreements.
Programmatic and Administrative Terms and Conditions
EPA attaches programmatic terms and conditions to each Tribe's grant award. Example terms and
conditions include having a Quality Assurance Project Plan (QAPP) and providing water quality data
electronically to EPA via WQX. There may be additional terms and conditions as agreed to by Tribes and
their EPA region. EPA's General Terms and Conditions apply to all EPA grants.
Notice of Award
The Notice of Award section of each Tribe's grant agreement includes language allowing recipients to
demonstrate their commitment to carry out an award by either 1) drawing down funds within 21 days
after the EPA award or amendment mailing date, or 2) not filing a notice of disagreement with the
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award terms and conditions within 21 days after the EPA award mailing date. If the Tribe does not notify
EPA within 21 days, or draws down funds, the Tribe automatically accepts the grant and all terms and
conditions.
Post-Award Requirements
Quality Assurance
All Section 106-funded programs need to establish and maintain a quality system which ensures that any
EPA-funded projects that include data collection establish quality assurance (QA) and quality control
(QC) procedures. Information about How EPA Manages the Quality of its Environmental Information is
available online. At a minimum, a Section 106-funded program must have an EPA-approved QAPP
before any water quality monitoring activities may begin. More information on developing QAPPs is in
Chapter 5: Development and Implementation of a Monitoring Program and on EPA's Quality Assurance
Project Plan Development Tool website.
Competency Policy
If Tribes generate or use environmental data as part of their Section 106-funded activities and receive
over $200,000 in total EPA assistance, they must submit documentation of their competency prior to
award of the agreement, or if that is not practicable, prior to beginning any work involving the
generation or use of environmental data under the agreement. Generation or use of environmental data
includes environmental sampling, field measurements, and laboratory analyses under Agency-funded
agreements. See EPA's Documents about Measurement Competency Under Assistance Agreements. The
grantee shall maintain competency for the duration of the project period of this agreement and this will
be documented during the annual performance evaluation process.
Financial and Performance Reporting
In addition to any work plan requirements, there are financial and performance reporting requirements
associated with grants. At a minimum, all performance reports must contain the required elements
listed in 2 CFR 200 or 40 CFR 35, Subpart B:
• Accomplishments against work plan objectives.
• An explanation if any objectives were not met.
• Any additional pertinent information, such as analyses or explanations of cost overruns.
In their reports, Tribes must also discuss how the activities they performed under their Section 106 work
plan addressed water quality problems on their reservation. Tribes have 120 days post project and
budget expiration date to submit a final performance report. Each Tribe's EPA region can grant an
extension, if needed.
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Receiving Payment for Eligible Costs
EPA enrolls grant recipients in the Automated Standard Application for Payments (ASAP) system at
ASAP.gov to transfer authorized payments quickly and securely. Grant recipients request
reimbursements from their accounts and should submit, at a minimum, quarterly requests for
payment reimbursement. All requests must include only eligible, allowable, allocable, necessary, and
reasonable costs the recipient incurred in that quarter. Recipients can also submit more frequent
payment requests (such as weekly, bi-monthly, monthly requests) as they incur those costs. GPI11-
01 Managing Unliquidated Obligations and Ensuring Progress under EPA Assistance Agreements
provides additional detail on these requirements.
Each Tribe's EPA region may have additional reporting requirements; work plans may establish
additional commitments and deliverables based on a Tribe's negotiations with their EPA region. Tribes
should check with their EPA regional office for more information on reporting requirements and
schedules and check the terms and conditions of their grant award carefully.
Conducting Joint Program Evaluations
Tribes and their EPA regional office develop a joint process for evaluating work plan progress and
accomplishments as part of their approved work plan (40 CFR 35.515). During the evaluation process,
Tribes must discuss:
• Accomplishments against work plan commitments.
• Cumulative effectiveness of the work performed under each of the work plan components.
• Existing and potential problem areas.
• Suggestions for improvement and, where feasible, schedules for making improvements.
The joint program evaluation may also include a discussion on water quality problems and the status of
the budget. EPA and the Tribe perform the required joint evaluation of performance according to a
schedule that the Tribe and EPA negotiate. EPA places copies of the evaluation in official files and
provides them to the tribal recipient (40 CFR 35.115(d)).
Post-Award Changes
Amendments and other changes to grants are governed by 40 CFR 35.514 and 2 CFR 200.308. For
changes to the work plan commitments and budget components, Tribes must obtain prior approval
from EPA in writing. EPA, in consultation with Tribes, will document these revisions, including budgeted
amounts associated with the revisions.
Federal Requirements for Project Closeout Phase
At the end of the grant project period and budget period, Tribes must complete several steps to close
out the program grant (2 CFR 200.344).
The first step is for the Tribe to confirm that they completed all tasks and projects in the grant work
plan. If they completed these tasks and projects, the Tribes have 120 days post project and budget
expiration date to submit to EPA items outlined in the below checklist. A Tribe's final performance
progress report must describe project activities and the extent to which they achieved project goals. The
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project closeout checklist (see text box) provides a quick guide to help Tribes through the closeout
process.
Project Closeout Checklist
S Verify completion of work plan tasks.
S Reconcile any remaining or outstanding grant funds.
S Negotiate with EPA regarding disposition of property purchased with grant funds (if needed).
S Submit final performance report.
S Submit final programmatic deliverables (examples include scheduled submission of the
Monitoring Strategy, Water Quality Assessment, and data via WQX).
S Request final payment from EPA.
•f Submit FFR.
Prior to grant closeout, EPA conducts a grant evaluation. During this phase, Tribes are responsible for
responding to any inquiries from the EPA Project Officer or EPA Grants Management Specialist. Tribes
should ensure they have invoiced and expensed all funds. Tribes should also verify whether unused
grant funds may be de-obligated from the grant. Once the EPA Project Officer confirms that the Tribe
met all grant commitments, the EPA region's Grants Management Office will complete the closeout
process for the grant. Tribal agencies must retain all records for three years after submission of the FFR
(2 CFR 200.334). EPA's Office of Grants and Debarment website contains tutorials, forms, policies and
regulations, and other resources to help Tribes navigate the grant application process.
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Chapter 4: Program Development
Read this chapter...
• For an overview of activities that are consistent across tribal water quality programs.
• To understand how to identify reservation water resources and tribal water quality program
needs.
• To understand how to develop program goals, objectives, and milestones; submit work plans;
and conduct community education activities.
Chapter highlights:
• Table of eligible and ineligible Section 106 activities.
• List of eligible ways to use Section 106 funds for ground water protection programs.
• Section on eligible water quality sampling locations.
• Followed by a section on Indigenous Knowledge and integrating it into water quality programs.
This chapter describes some of the activities that are consistent across all tribal water quality programs
and form the foundation needed to support the implementation and expansion of a water quality
program using Section 106 funding.
Benefits of Developing a Section 106-Funded Water Quality Program
Section 106 provides critical funding for tribal water quality programs. More than 280 Tribes have
received treatment in a similar manner as a state (TAS) for purposes of Section 106 to protect, preserve,
and restore water quality in Indian Country. Tribes can use Section 106 funds for:
• Water quality planning, assessments, and studies.
• Ambient water quality monitoring.
• Community outreach and education activities.
• Source water, surface water, ground water, and wetland protection activities.
• Nonpoint source (NPS) control planning activities (including NPS assessments and management
plans).
• Monitoring for the effectiveness of NPS activities.
• Developing tribal and EPA-approved water quality standards (WQS).
• Developing and implementing a National Pollutant Discharge Elimination System (NPDES)
program.
• Evaluating the impacts of climate change on water quality.
After establishing a water quality program, a Tribe may wish to expand the program to include other
CWA program activities, including to address NPS pollution and protect wetlands. Chapter 7: Program
Expansion - Additional Activities and Chapter 8: Program Expansion - Regulatory Authorities have
information on options to expand a program.
Eligible Uses of Section 106 Funds
Section 106 grant funds support tribal water quality programs to prevent and reduce point source and
NPS surface and ground water pollution. Table 3 lists examples of eligible Section 106 activities and
Table 4 lists examples of ineligible Section 106 activities. Each EPA region's annual tribal Section 106
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funding opportunity announcement may include other important information relevant to the use of
program funds.
Table 3. Examples of eligible Section 106 activities
Category
Eligible Activity
Program
Management
Building capacity to manage a water quality program.
Managing the financial aspects of the Section 106 grant including the budgeting and
record-keeping.
Planning, developing, improving, or maintaining a water quality program.
Supporting personnel and office equipment costs for Section 106 eligible activities.
Networking and coordinating with watershed stakeholders to protect and restore water
quality.
Completing grant reporting activities.
Attending training opportunities related to the Tribe's water quality program.
Conducting water quality planning, assessments, and studies (for example, source water,
surface water, ground water, climate change/adaptation, and wetland protection
assessments or plans).
Developing a Section 401 Certification Program.
Monitoring
Developing a Quality Assurance Project Plan (QAPP).
Developing a Monitoring Strategy.
Purchasing monitoring and laboratory equipment and supplies.
Conducting monitoring activities to determine water quality of source water, surface
water, ground water, and wetlands.
Collecting data and performing related quality assurance (OA).
Managing water quality data and data management systems.
Conducting or contracting laboratory analysis.
Conducting data analysis and assessment including to develop an assessment
methodology.
Conducting research, investigations, surveys, and special studies to characterize water
quality.
Standards-
based
Activities
Developing TAS packages for WQS, Listing and Total Maximum Daily Loads (TMDLs), and
permitting.
Developing WQS and conducting triennial reviews.
Reviewing and commenting on NPDES permits.
Conducting violation enforcement activities to correct violations, deter future violations,
and promote equal treatment of the regulated community.
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Category
Eligible Activity
Developing TMDLs.
NPS
Attending NPS meetings and training opportunities.
Developing non-structural controls to reduce NPS pollution (for example, education and
outreach, code development).
Forming partnerships to address NPS issues.
Developing NPS inventories, assessments, and management plans.
Conducting watershed-based planning.
Developing a TAS package for Section 319.
Monitoring on reservation and trust lands to support the Section 319 program.
Community
Related
Activities
Conducting community or tribal outreach, education, and public awareness activities,
including social media.
Involving the public in program development.
Establishing voluntary programs.
Collecting Indigenous Knowledge to support water quality goals and objectives through
interviews and meetings with the tribal community.
Table 4. Examples of ineligible Section 106 activities
Ineligible Activity
Performing activities defined as ineligible in the Uniform Grant Guidance (UGG) (2 CFR 200).
Constructing, operating, or maintaining wastewater treatment plants, wastewater lagoon systems,
and regulatory or required monitoring, including compliance monitoring, of such systems.
Constructing, operating, or maintaining drinking water systems and conducting regulatory or required
monitoring (including compliance monitoring) of such systems.
Installing, operating, or maintaining NPS structural controls (or "on the ground" management
measures) that require construction.
Performing the same tasks funded under another work plan or grant (for example, Tribes may not use
Section 106 funds for tasks that are already financed by other federal grants such as a General
Assistance Program (GAP) or Section 319 grant).
Ground Water
Many Tribes use Section 106 funds to develop and implement their ground water protection programs.
The following are examples of eligible uses of Section 106 funds for ground water programs:
• Develop ground water protection strategies:
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o Develop a ground water monitoring strategy and program to collect data to make
management decisions and evaluate controls,
o Develop or modify a QAPP to include ground water monitoring,
o Conduct ground water assessments: describe hydrologic flow system, describe
connections between ground water and surface water and ground water quality, and
identify sources of contamination,
o Assess the tribal legal and fiscal resources to analyze effectiveness of existing controls,
problems, and gaps,
o Adopt a ground water classification system.
o Identify and develop controls necessary to manage ground water resources; address the
legal, fiscal, technical, and institutional aspects; and integrate quality management for
surface water and ground water,
o Develop a source water assessment and protection strategy.
• Conduct ground water sampling to determine ambient water quality:
o Collect samples,
o Analyze samples.
o Drill wells to conduct Section 106-funded ground water sampling,
o Cap wells that were drilled for Section 106-funded ground water sampling.
The following sampling locations may be used to collect raw ground water:
• Private drinking water well (before any treatment, softening, filtering, or aeration).
• Public water system well (before any treatment, softening, filtering, or aeration).
• Monitoring well drilled to collect ground water samples and detect flow direction.
The following are examples of ineligible uses of Section 106 funds:
• Activities primarily related to determining ground water quantity for water allocation purposes.
• Activities for drinking water compliance, including to test private water wells for drinking water
quality and to conduct outreach and communication for drinking water compliance.
• Sampling treated ground water (for example, ground water treated with reverse osmosis or
softening).
Eligible Water Quality Monitoring Locations
CWA Section 518(e)(2) specifies that Section 106 funds can be used to conduct sampling on waters
located within the borders of a reservation or on tribally held trust lands:
The functions to be exercised by the Indian Tribe pertain to the management and protection of water
resources which are held by an Indian Tribe, held by the United States in trust for Indians, held by a
member of an Indian Tribe if such property interest is subject to a trust restriction on alienation, or
otherwise within the borders of an Indian reservation.
The Section 106 Program has interpreted the language in CWA Section 518(e)(2) to allow Section 106
funding to be used for sampling and monitoring on waters that have a direct connection between the
waters being sampled and the waters located within the borders or a reservation or on tribally held trust
lands.
Some examples of eligible and ineligible sampling locations include:
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Waters within the borders of the reservation: Sampling of waters within the borders of an Indian
reservation and tribally held trust lands is an eligible activity under Section 106. This would include those
tribally held trust lands located outside the border of the reservation. Tribes may not own or control all
lands within the borders of an Indian reservation, thus tribal representatives may need to obtain access
to sample some waters. Section 106 does not provide authority for access.
Sampling in the watershed in support of 319 projects: Tribes that implement NPS Control (319)
Programs often use Section 106 funds for water quality sampling before and after the project. Sampling
is eligible for those waters within the borders of the reservation, on waters located on tribally held trust
lands outside reservation borders, and where there is a direct connection to waters on these formal or
informal reservation waters.
Waters located in ceded territory where Tribes hold reserved rights (but outside reservation borders):
These waters are not within the definition of CWA Section 518(e). Section 106 funds cannot be used to
sample these waters unless the water being sampled has a direct connection to waters on reservation or
trust lands.
Tribally owned land that is outside external boundaries of a reservation and that is not held in tribal
trust: Waters located on lands outside the reservation that is owned by Tribes but is not held in tribal
trust status would not be eligible for Section 106-funded activities unless the water being sampled has a
direct connection to reservation waters. Once such lands have been placed in tribal trust status, Section
106-funded activities for waters located on these lands would be allowed.
All other waters: In addition to the aforementioned examples, Tribes may be allowed to use Section 106
funds to sample and monitor waters located outside reservation and trust lands where the Tribe meets
three conditions: 1) demonstrate that there is a direct connection between the water being sampled
and the waters within reservation or trust lands (for example, waters that are upstream or downstream
of waters on such reservation or trust lands), 2) include a description of such sampling in their
Monitoring Strategy, and 3) receive an agreement for access from the relevant regulatory agency (for
public lands) or private landowner (for private lands) to conduct sampling/monitoring, if necessary.
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Minnesota: The Shakopee Mdewakanton Sioux Community
Section 106 funds support diverse ground water protection activities to maintain high-quality ground
water for the drinking water supply of the Shakopee Mdewakanton Sioux Community (SMSC).
The SMSC has over 5,100 acres of trust and fee land. The SMSC relies solely on ground water from
one bedrock aquifer for drinking water. The SMSC's public works department frequently monitors
raw well water from public supply wells. Monitoring has shown that the local aquifers are producing
high-quality water. The ground water quality is important to the continued existence of the SMSC.
With a high-quality water supply, the SMSC can continue to provide safe residential land and
economic opportunities for SMSC members.
The Shakopee has two community water systems serving about 15,000 people daily. The primary
potential sources of contamination for each system are petroleum storage of more than 25 gallons
and any unknown abandoned wells that penetrate the aquifer.
The SMSC has received Section 106 funding for a wide range of ground water related activities,
including:
• Develop and maintain their own ground water model to plan for well locations and predict
aquifer behavior.
• Conduct an analysis of their Wellhead Protection Plan.
• Host a summer education series for area tribal and non-tribal children that stresses the
importance of water quality. Usually, 2-4 sessions per summer for the last 20 years.
• Support staff travel to regional and national conferences to keep current on ground water
issues.
• Host a variety of water related education activities during "Earth Week" that are geared
toward tribal members and employees who may live and work in ground water management
areas.
• Support staff time to locate abandoned wells and coordinate proper well sealing.
Establishing a Water Quality Program
When establishing a water quality program, Tribes consider the hiring and training needs for their staff
and also identify their priorities for the program. Specifically, they identify their water resources, needs,
and goals.
Hiring Staff
When considering staffing needs, Tribes should develop job descriptions that identify the skills needed
to achieve their program goals. The program's scope and financial resources will determine how many
and what kind of staff the Tribe needs. Depending on the program's size and goals, the Tribe may need
the skills of environmental and water quality specialists, biologists, lab technicians, administrative
assistants, among others. A single person may carry out multiple program implementation activities.
Major program implementation activities might include:
• Program Coordination: Oversee program tasks to ensure they are performed as needed.
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• Quality Assurance: Ensure the Tribe is carrying out their QA measures according to the QAPP.
This could be the program coordinator, lab coordinator, or a person outside of the Tribe's
program.
• Water Quality Sampling: Collect and record samples, observations, and measurements in the
field and deliver samples to a drop-off point or lab.
• Data Entry: Enter the field and lab data into a computer. Work under the supervision of the data
management coordinator. May also validate data entered by other staff.
• Data Management and Analysis: Assure that all the field and lab data are computerized for
summary and analysis. This may include setting up the software for data entry, overseeing staff
who enter the data, validating the data, creating an assessment methodology, and producing
the Water Quality Assessment against applicable thresholds or criteria.
• Lab Coordination: Oversee and coordinate lab analysis of samples and train lab staff. If a Tribe
contracts with outside labs to analyze samples, they should identify the person in that lab who is
responsible for reporting to the Tribe.
• Laboratory Analysis: Analyze and record the results for field samples. Lab technicians work
under the supervision of the lab coordinator.
EPA Project Officers may be able to connect Tribes to other nearby tribal water quality programs for
technical assistance. Tribes with established water quality programs may be willing to serve as program
mentors. EPA Project Officers may also be able to identify volunteer networks to potentially help carry
out relevant work plan activities. Volunteer networks may include volunteers from the community, local
high schools, tribally sponsored internship programs, community colleges, or university programs.
Using Contractors to Support Water Quality Programs
Tribes can use their Section 106 funds to support program activities through contractor support.
Contractors can help Tribes develop their program and perform program functions, such as sample
collection. Tribes may find contractor support for complex activities, such as sample analysis,
information technology (IT) support, training, and legal analysis, among others, especially helpful in
the early stages of program development. Procurement for contractor services must be consistent
with 2 CFR Part 200.331(b).
Training Staff
Staff training is important to develop and expand capacity for water quality program management,
including QA procedures for sampling, sample collection and analysis, computer use, and data collection
and management. EPA Project Officers can verify which training costs qualify as program expenses.
Other Tribes, states, EPA Headquarters, EPA regions, colleges and universities, and stakeholder groups
offer training opportunities, workshops, and symposia to support water quality staff in acquiring
necessary knowledge. Tribes may want to contact neighboring Tribes and states, as well as their EPA
regional office, to see if these organizations offer training opportunities.
Identifying Reservation Water Resources
The first step in creating a water quality program is to assess reservation water resources. The most
effective programs incorporate all types of waterbodies on the Tribe's reservation, even if they cannot
immediately address every type of waterbody. Types of water resources include:
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• Streams and Rivers: A stream is a natural body of flowing water; a river is a large stream.
• Oceans, Coasts, and Coastal Waters: Coastal waters include shore miles, near coastal waters,
and estuaries.
• Lakes: Lakes are inland bodies of salt water or fresh water.
• Wetlands: Wetlands include swamps, marshes, bogs, and similar areas. Wetlands serve many
important functions including flood mitigation, water storage, habitat, and natural water
filtration.
• Ground Water: Ground water is part of the hydrologic cycle. When rain and snow fall to the
earth, some water soaks into the ground and flows downward. Ground water refers to water in
the "saturated zone"—the area in which the spaces between rocks, gravel, sand, or soil are filled
with water. Aquifers are areas where ground water exists in sufficient quantities to supply wells
or springs.
Information and resources are available to assist Tribes in identifying and mapping their water
resources, including:
• EPA's Watershed Assessment, Tracking, and Environmental Results System IWATERS) reach files,
a series of national hydrologic data layers that identify and interconnect the stream segments or
"reaches" that compose the country's surface water drainage system.
• EPA's How's My Waterway provides information about the condition of local waters based on
data that tribal, state, federal, local agencies, and others have provided to EPA. Water quality
information is displayed on three scales in How's My Waterway: Community, State & Tribal, and
National.
• The United States Geological Survey (USGS). in particular the National Hydrography Dataset
(NHD), which is a comprehensive set of digital spatial data that contains information about
surface water features such as lakes, ponds, streams, rivers, springs, and wells. USGS and EPA
also maintain NHDPIus, which includes the NHD and other datasets.
• The United States Department of Agriculture's (USDA's) Natural Resources Conservation Service
(NRCS).
• The United States Fish and Wildlife Service's (USFWS) National Wetlands Inventory (NWI).
• Regulatory agencies for neighboring states or Tribes, such as departments of health,
environment, parks and recreation, natural resources, forestry, and fish and wildlife.
• Local colleges or universities.
• EPA Project Officers.
Identifying Tribal Water Quality Program Needs
Identifying a Tribe's environmental and water quality needs is the most essential part of developing a
water quality program. A Tribe's environmental and water quality needs define the program priorities,
scope, staffing needs, direction, and projects and activities to implement.
Tribes may need to start by understanding the environmental condition of their waterbodies (for
example, the condition of their rivers and other water resources). There may be resources available as a
starting point such as data in the Water Quality Portal and assessments conducted by other federal,
state, regional, or volunteer monitoring programs. These existing data sources can then be
supplemented to fully represent the quality and condition of tribal waters. To understand the condition
of their rivers, Tribes may hire and train staff, develop a Monitoring Strategy, develop a QAPP, and
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conduct new or supplementary assessments if any existing assessments do not adequately capture the
current water quality. If the community needs to protect ground water for their drinking water, the
Tribe might start by determining the location of septic systems, identifying system malfunctions,
identifying health and water risks, and implementing a management program to reduce the threats to
water quality.
Prioritizing needs helps Tribes determine which activities require urgent attention, what is needed to
achieve the priority, which activities they cannot or do not need to address immediately, and how to
address changing needs of the program. Some factors to consider include:
• What needs are most important to the Tribe? How do the needs relate to one another? For
example, in what order should the Tribe address the needs?
• Do the needs pose a threat to public health, safety, or the environment?
• What are the potential benefits of addressing the needs?
• What is the cost to address the needs?
• What needs do the Tribe have control over versus what needs are from off reservation or out of
tribal control such as climate change impacts?
This prioritization will also shape each Tribe's water quality program implementation goals. Tribes will
include this prioritization in their Monitoring Strategy as described in Chapter 5: Development and
Implementation of a Monitoring Program.
Identifying Program Goals and Objectives
The goal of the CWA is to protect, maintain, and restore the physical, chemical, and biological integrity
of the nation's waters. Each tribal water quality program will select the activities that support their own
specific goals and objectives consistent with the CWA goals.
Goals are the Tribe's desired outcomes for their program, based on their water quality needs. For
example, if a Tribe identified needing to assess the condition of their rivers, one of the program goals
should be to develop these assessments.
Objectives are the Tribe's activities to achieve their goals. For example, if a Tribe's goal is to develop a
water quality baseline assessment, the objective should be to monitor waterbodies on their reservation.
The goals and objectives Tribes identify shape the water quality program by informing the work plan
activities they will undertake to develop their program.
In cases where a Tribe's waters are healthy, the Tribe should consider including a goal to protect water
quality from degradation. An objective or action to support this goal would be to develop a cost-
effective monitoring program to document sustained water quality. Another objective might be to
review and consider potential water quality impacts of various activities in and around the water to
protect high-quality waters.
Establishing Program Milestones
Milestones are the actions that mark a significant change or stage in a project and a timeline for
achieving each of them. Milestones can be an effective tool for tracking progress toward long term
goals. Milestones enable Tribes to track significant accomplishments toward achieving tribal goals and
objectives. Below is an example of a goal and supporting milestones:
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• Example Goal: Complete an assessment for all waterbodies on a Tribe's reservation.
• Example Milestones: Hire staff, develop a Monitoring Strategy, complete an assessment for 10
percent of waterbodies.
A Tribe's work plan should include milestones, especially if more than one grant cycle is needed to
achieve the goals and objectives. Milestones help Tribes and EPA track performance. These milestones
may also support Tribes' Monitoring Strategies.
Early Community Outreach on Program Establishment and Direction
Tribes in the early stages of program development should consider informing their communities when
they have begun developing a water quality program and share information such as program needs,
goals, objectives, and plans for meeting those objectives. Tribes could then continue to inform
communities about their milestones and achievements as the program progresses.
Developing a Multi-Year Plan
Tribes may want to consider developing a multi-year plan for their overall water quality program and
periodically reassessing their programmatic needs, objectives, and goals. During this process, Tribes may
uncover new insights into other needs or problems. Utilizing this information, Tribes can incorporate
more complex projects that build on previous work plan results. For instance, a Tribe that identified a
nutrient pollution problem may wish to locate the source of those nutrients as a next step in a more
complex project. Similarly, Tribes may find climate impacts are beginning to influence their water
resources and may want to consider incorporating climate adaptation and mitigation in their multi-year
plans.
Developing a multi-year plan helps Tribes focus on meeting their long-term goals. Rather than providing
detailed activities, this plan will describe programmatic goals, the tribal needs behind those goals, and
how the Tribe will achieve them.
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Indigenous Knowledge
"Indigenous Knowledge is a body of observations, oral and written
knowledge, innovations, practices, and beliefs developed by Tribes
and Indigenous Peoples through direct contact and experience with
the environment. 7 It is applied to phenomena across biological,
physical, social, cultural, and spiritual systems.8 Indigenous
Knowledge can be developed over millennia, continues to develop,
and includes understanding based on evidence acquired through
direct contact with the environment and long-term experiences, as
well as extensive observations, lessons, and skills passed from
generation to generation.9 Indigenous Knowledge is developed by
Indigenous Peoples including, but not limited to, Tribal Nations,
American Indians, Alaska Natives, and Native Hawaiians. Each Tribe
or Indigenous community has its own place-based body of
knowledge that may overlap with that of other Tribes" (Guidance
for Federal Departments and Agencies on Indigenous Knowledge).
The goal of including Indigenous Knowledge into the Section 106
Tribal Guidance is to:
1.
2.
3.
4.
5.
programs.
Recognition of the Value of Indigenous Knowledge
Practically, Indigenous Knowledge offers techniques and stewardship principles to guide tribal
interactions with the natural world, such as hunting, fishing, plant collection, ceremonial practice,
cultivation, harvesting, and forestry. Embedded within Indigenous Knowledge is the awareness that
humans are part of the natural world, not "apart from" it, and that there are beneficial connections
between humans and nature that are founded upon a framework of reciprocity. Water resources hold a
key place within Indigenous Knowledge and nurture healthy, traditional foods; plants used for medicinal,
healing, and ceremonial purposes; reeds, grasses, and other plant materials for weaving baskets and
making textiles; for ceremonial bathing and consumption purposes; and fish and wildlife. The health of
7 U.S. Fish and Wildlife Service's Traditional Ecological Knowledge for Application by Service
Scientists document and the Inuit Circumpolar Council Activities' Indigenous Knowledge website.
8 U.S. Fish and Wildlife Service's Traditional Ecological Knowledge for Application by Service
Scientists document.
9 U.S. Fish and Wildlife Service's Traditional Ecological Knowledge for Application by Service
Scientists document.
Figure 5. Sharon Day, Water
Walker, on Spirit Island, MN, a
place of spiritual and cultural
significance to the Ojibwe
people. Credit: Photo courtesy of
Lucas Reynolds.
Recognize the value Indigenous Knowledge adds to water
resources management.
Establish the Section 106 Program's responsibilities and
commitment to the inclusion of Indigenous Knowledge in water quality programs.
Identify opportunities to utilize Section 106 grant funding to support inclusion of Indigenous
Knowledge into water quality programs.
Acknowledge tribal flexibility in adopting Indigenous Knowledge into water quality programs.
Provide case studies on how Indigenous Knowledge has been incorporated into water quality
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these resources, all of which everyone is in relationship with, affects every aspect of tribal life. The
Indigenous framework of reciprocity means that it is an individual and collective responsibility to care
for the species^"our relatives"—who have given themselves to benefit humans.
Indigenous Knowledge and the western scientific tradition share some important fundamental beliefs: a
desire to make natural sense of the world around us; the importance of practical and inquisitive-driven
investigations to learn useful practices; and the need to update information as conditions and
knowledge change. There are also differences. In general, western science strives to be objective,
intellectual, quantitative, exclusive, and avoid value judgments; people apart from nature. Indigenous
Knowledge on the other hand, is communal knowledge based, qualitative, holistic, intuitive, and
spiritual (social values); people are a part of nature (reciprocity) (Listening and learning from traditional
knowledge and western science: A dialogue on contemporary challenges of forest health and wildfire).
There are times when the two systems are at odds, but they can complement each other, by providing
important information and perspectives that help create a realistic understanding of the natural world
and its relationship with human activity.
"When I stare too long at the world with science eyes, I see an afterimage of traditional knowledge ... We
see the world more fully when we use both" -Robin Wall Kimmerer, "Braiding Sweetgrass."
Integrating Indigenous Knowledge in Water Quality Programs
Many Tribes use Indigenous Knowledge to inform water quality program implementation as another
form of evidence that is on par with quantitative data. Indigenous Knowledge holders are essentially
"long-term datasets" representing both personal and intergenerational experience with water. Often,
Tribes incorporate Indigenous Knowledge in the foundation of program operations such as defining
water quality goals and cultural uses for tribal waters. Additional examples include:
• Sampling locations often align where cultural ceremonies
occur to better understand water quality to ensure safe
exposure.
• Gaining a local understanding of watershed processes,
seasonality, and environmental variability.
• Tribal water uses can be significantly driven by Indigenous
Knowledge. For example: Concepts like "first foods" are
representative of the environmental goals Tribes employ
to monitor and protect their cultural traditional foods with
their water quality monitoring.
• Water quality program outreach materials may contain
Indigenous Knowledge to better reflect tribal goals and
needs for their waters.
• Water quality standards (WQS) may be created or revised
to represent sustenance fishing rates which are informed
by Indigenous Knowledge.
Figure 6. Canoeing to Wild Rice
monitoring location to take
sediment cores (Lac du Flambeau
Band of Lake Superior Chippewa
Reservation). Credit: Photo
courtesy of Madeline Nyblade.
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Clean Water Act Section 106 Tribal Guidance
Opportunities to Use Section 106 Funding for Indigenous Knowledge
Agencies should consider Indigenous Knowledge in promulgating regulations, issuing guidance, or
adopting policies with Tribal or Indigenous implications, consistent with legal authorities" (Guidance for
Federal Departments and Agencies on Indigenous Knowledge).
Tribes use their Section 106 grant funds to develop, maintain, and expand water quality programs
designed to prevent, control, and eliminate water pollution and educate tribal members and the public.
Therefore, the collection of Indigenous Knowledge for use by tribal water quality programs to inform
and support CWA program activities and actions can be funded by Section 106 grants. Activities and
actions include, but are not limited to:
• Documenting Indigenous Knowledge holder information and the collection (for example,
funding travel and hosting meetings) of Indigenous Knowledge holder stories to support current
and future tribal environmental staff in water quality goal setting and determining the status of
those goals.
• Using Indigenous Knowledge along with scientific methodologies in assessing water quality.
• Supporting tribal environmental staff in developing approaches for how Indigenous Knowledge
and monitoring data can be paired to create and complement comprehensive water quality
goals, assessments, and decisions. This can include in-person training, courses, and reading
materials.
• Developing communication materials for the tribal community to inform Indigenous Knowledge
sharing and identify how Indigenous Knowledge supports tribal water quality programs. This can
include the creation and participation in academic literature.
"Science can be a way of forming intimacy and respect with other species that is rivaled only by the
observations of traditional knowledge holders. It can be a path to kinship" -Robin Wall Kimmerer,
"Braiding Sweetgrass,"
"We cannot change our [indigenous] knowledge, but we have to work to make it acceptable in western
science approaches" -Mervin Wright, Pyramid Lake Paiute Tribe.
Figure 7. Pyramid Lake, NV. Credit: Photo courtesy of Pyramid Lake Paiute Tribe.
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Tribal Sovereignty When Adopting Indigenous Knowledge Into Water Quality Programs
Indigenous Knowledge is reflective of individual knowledge holder experiences and intuition. The
application of that knowledge is unique to every circumstance. While the Section 106 Program supports
the inclusion of Indigenous Knowledge into tribal water quality programs, the use or sharing of
Indigenous Knowledge is optional. Sovereignty, protection of tribal cultural practices, and distrust are
just some of the reasons why Tribes may not want to include Indigenous Knowledge into their water
quality programs or share the knowledge outside of their Tribe. Tribal leadership and staff are often
faced with the important and sometimes challenging task of educating their potential partners about
the meaning and the role of Indigenous Knowledge in their respective culture. Often, they must do so
while honoring the confidentiality of sensitive cultural information and respecting the boundaries of the
privacy of tribal members.
The Section 106 Program is committed to respecting tribal Indigenous Knowledge sovereignty practices.
Indigenous Knowledge informs many aspects of tribal water quality programs and the information
shared by Indigenous Knowledge holders is owned by them. Tribes that use Section 106 funds to collect
Indigenous Knowledge will not be required to report that shared knowledge as part of their grant
requirements. Tribes are expected to meet the three reporting requirements (Monitoring Strategy,
water quality data submitted through WQX, and Water Quality Assessment, as described in Chapter 6)
but are not expected to share the underlying Indigenous Knowledge used to inform water quality
objectives and management practices. Programmatic activities that reflect decisions based on
Indigenous Knowledge, such as location of sampling sites and monitoring data, are still subject to grant
reporting requirements; however, the Indigenous Knowledge-based rationale for site selection does not
have to be reported to EPA. Where applicable, Tribes should engage with their Project Officers early to
discuss how Indigenous Knowledge can be protected if it is used to influence policy and regulatory
decision making.
Case Studies for Indigenous Knowledge Inclusion in Water Quality Programs
Dan Mosley, Northern Paiute, Nevada
Native peoples are connected to their Creator, and as stewards live in harmony with their environment,
air, land, water, and ecosystems. Elders are the knowledge keepers, storytellers, and cultural bearers,
which have been passed down through many generations in the original languages of the people. In this
way, Native peoples can live in community in order to survive and subsist off the land.
Indigenous Knowledge is passed on when spending time with elders as they share their stories, songs,
insights, and lessons learned when demonstrating or teaching the survival skills needed. For example, to
fish, hunt, trap, construct shelters, canoes, fish weirs, and regalia; and when gathering traditional foods,
medicines, and basket making materials.
I incorporate Indigenous Knowledge principles when teaching "learners" how to conduct water quality
monitoring and physical habitat or biological assessments. Here are some examples of Indigenous
Knowledge principles I share: "Our elders teach us that everything is alive, the land, the plants, water...
and they can speak to us. So, let the wetlands, river teach us, the plants, animals, and aquatic life speak
to us. Be quiet and listen as you walk in the field. And they will let you know if they are in a good place,
or not. Then we can take the course of action needed to bring everything back in harmony again. As
caretakers, we can speak 'life' over the waters, and over the land."
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Denise Jensen, Winnebago Tribe
When I first started working with the Winnebago Tribe, I approached a Water Spirit Clan Elder asking
how I should approach the water. He stated, "Never curse the water for it never sleeps." Those words
have remained in my heart throughout all these years.
The water is a person deserving of respect and honor. When approaching the water, I greet the water by
name, such as "good morning, Omaha Creek"; request permission to step into its channel where upon
we, the water and myself have a conversation. Mostly I think I do most of the talking and the water
listens while still revealing things to me. As the water folds around my body, notice the temperature,
speed, presence of floating debris. Notice how the banks are doing, presence of animal tracks, and
anything else the water wants to tell me. After sampling is finished, thank the water for allowing me to
intrude upon its solitude and thank the water and the Creator for another safe sampling session while
leaving the area.
Nancy Schuidt, Fond du Lac Band of Lake Superior Chippewa
When I came to work for the Band, I had just finished grad school and moved to northern Minnesota for
the job, knowing very little about either Anishinaabe culture or the Northern Lakes and Forest
ecosystem. Within my first few weeks here, I attended a meeting of tribal staff working together on Lake
Superior-wide issues alongside state, federal, and provincial agencies. I learned from the Red Cliff Band's
cultural specialist that, "in Ojibwe culture (as in other Indigenous cultures), women are considered the
'keepers of the water.' Women carry the sacred water to ceremonies and act on its behalf; women have
a unique bond with water in that both are life-bearers. It is women's responsibility to safeguard the
water for all our relations."
In setting up the Band's WQS and monitoring program, that perspective has been an important guide.
Although I came to this place with training only in science, it has been through tribal members and their
willingness to share their knowledge of these waters with me that we have been able to define
beneficial uses and establish standards to protect those traditional practices; to know where and when
and how to respectfully access lakes, streams, and especially manoomin (wild rice) beds so that they are
not damaged by our paddles or probes; to pay close attention to "all the relatives" in the ecosystem, not
just the target species. They all have stories to tell us about the conditions they are experiencing, in the
short term (like a recent road construction project) and the long term (like a changing climate and
alterations to seasonal patterns).
Maddy Nybiade, Graduate Student in Earth and Environmental Sciences at the University of
Minnesota
Upper Great Lakes Tribes, intertribal treaty organizations, and University of Minnesota-Twin Cities have
come together to protect wild rice as the Kawe Gidaa-naanaagadawendaamin Manoomin (First We
Must Consider Wild Rice) research collaborative. Wild Rice (Ojibwe: manoomin, Dakota: psiq, scientific
name: Zizania palustris) grows naturally throughout the shallow lakes and streams of the upper Great
Lakes region and is dependent on clean waters for survival. This plant provides spiritual, cultural, and
physical sustenance as a sacred food for Anishinaabe, Dakota, Menominee, and many other Indigenous
Peoples in this region. This research collaborative centers tribal priorities and approaches in researching
Wild Rice and its waters. Both the partnership process and the scientific practice of this research
collaborative have been informed and led by the Indigenous Knowledge and Indigenous methodologies,
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as detailed in our paper, Transforming research and relationships through collaborative tribal-university
partnerships on Manoomin (wild rice).
Our emerging methodology centers humility, reciprocity, personal connection, interrelatedness, spirit,
and healing. Our values take shape through our practices, such as constructing Memoranda of
Understanding and Data Sharing Agreements between tribal governments and university researchers;
hosting knowledge-exchange workshops between tribal members and university researchers; learning
through observation and interactions on collective fieldwork outings; collaboratively building conceptual
models based in Ojibwe and western worldviews; engaging together in ceremony to respect the water
before sampling; and sharing gratitude before starting each meeting. Our co-production methodology
allows our science to connect to deeper understandings of the physical and relational dimensions of the
environment. We have shifted and expanded research based on Indigenous Knowledge and the
priorities of our tribal partners to encompass sites of cultural significance and to consider more
environmental dimensions such as the role of sediment deposition, climate change, and human
relationships.
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Chapter 5: Development and Implementation of a Monitoring
Program
Read this chapter...
• To learn what a Monitoring Strategy is and about its role in a water quality program.
• For an overview of how to implement a water quality monitoring program.
• To identify water quality parameters to monitor.
• To learn the importance of QAPPs and SOPs.
• To learn about collecting, managing, and analyzing data and conducting program evaluations.
Chapter highlights:
• Table of water quality parameters used to assess designated uses.
• Content from EPA's water quality parameter factsheets.
• Options for documenting assessment processes and participating in How's My Waterway.
This chapter is designed to help Tribes establish and implement a water quality monitoring program
(monitoring program). Conducting a monitoring program is a key component of a Tribe's overall water
quality program and is an ongoing and iterative process (Figure 8). An effective monitoring program
consists of several activities: developing water quality goals and a monitoring design to inform those
goals; monitoring water quality parameters; managing, analyzing, and assessing data; and evaluating the
effectiveness of the program. Tribes revisit each of these activities as they learn from and expand their
monitoring program. Together, these activities make up the components of a Section 106 Monitoring
Strategy (Figure 8).
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Figure 8. Monitoring program cycle
ELEMENTS OF A MONITORING STRATEGY
ELEMENTS
OF AN
ASSESSMENT
REPORT
Establishing
Monitoring Goals
Data Analysis
and
Assessment
Developing a
Monitoring Design
Selecting
Water Quality
Parameters
Determine
Monitoring
Frequency
Data
Management
ENTER DATA TO WQX
Sample
Collection
Developing QAPPs\
and SOPs
MONITORING
QAPPs: Quality Assurance Project Plans
SOPs: Standard Operating Procedures
WQX: Water Quality Exchange
Monitoring Strategy
A Monitoring Strategy is a long-term plan for meeting water resource goals. The document includes
current and future monitoring plans and incorporates a timeline for implementation including
milestones to accomplish tribal monitoring goals. The Monitoring Strategy is comprehensive in scope,
serving all water quality management goals and decision needs. It includes all tribal waters and all
waterbody types (for example, streams, rivers, lakes, Great Lakes, reservoirs, estuaries, coastal areas,
wetlands, and ground water). The Monitoring Strategy also identifies the technical issues and resource
needs that are current impediments to a Tribe's monitoring program. Where possible, a Monitoring
Strategy will document plans and needed resources such as field and lab equipment, for filling current
gaps and weaknesses in a monitoring program. A Monitoring Strategy can also help continuity in a
program (when staff change) and may be useful as a communication tool for other programs,
management, and the community. Tribes should review their Monitoring Strategy annually and revise
the document to incorporate program changes. Tribes should submit their Monitoring Strategy for EPA
review at least every 5 years.
Additional information and examples to assist Tribes in developing Monitoring Strategies can be found
in the Developing a Tribal Water Quality Program Monitoring Strategy supplement. Figure 8 also
identifies the components that contribute to the three grant programmatic deliverables described in
Chapter 6: Programmatic Reporting Requirements.
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Establishing Monitoring Goals
The primary purpose of a water quality monitoring program is to determine if the physical, chemical,
and biological conditions of tribal waters support tribal water quality monitoring goals. Tribes can base
their monitoring goals on historic knowledge, Indigenous Knowledge, and data they collect on or near
tribal waters. The monitoring goals, documented in the Tribe's Monitoring Strategy, help determine the
direction of the program and may evolve over time. Monitoring goals are one aspect of the program
goals referenced in Chapter 4: Program Development.
Monitoring goals will vary given geography, environmental conditions, history, values, and program
objectives. Tribes may want to consider the uses of tribal waters and include special cultural uses when
developing monitoring goals. Additionally, Tribes may seek elder and community input, and use
Indigenous Knowledge to help prioritize goals.
Defining Monitoring Goals
The Monitoring Strategy includes descriptions of the goals and the data needed to determine if the
water meets the corresponding goal. For example, if a goal is to determine whether the water is safe for
swimming, the Monitoring Strategy will include monitoring for pathogen indicators in waters used for
swimming. It may also include who will use the data and how the data will be used to inform decision
making for the Tribe and external partners where necessary.
EPA identifies five basic questions for a monitoring program to address. Tribes do not need to answer all
the questions immediately but may want to keep them in mind when developing their monitoring goals
and use them to help guide the direction of their monitoring program. The questions are:
1. What is the overall water quality of the waterbodies? The Tribe determines the extent to
which tribal waters meet the program goals. These may include the objectives of the CWA;
attainment of any applicable water quality standards (WQS) and designated uses; protection
and propagation of balanced populations offish, shellfish, and wildlife; water quality;
protection of ecosystem health; maintenance of pristine waters; or protection of public health.
Indigenous Knowledge can make important contributions to defining tribal water quality goals.
2. To what extent is water quality changing over time? The Tribe monitors to understand if and
how water quality has changed over time. This may help identify areas of concern and
determine whether the program's protection or restoration activities are working. Indigenous
Knowledge may be very useful for this evaluation.
3. What areas need protection, what are the problem areas? The Tribe identifies high-quality,
pristine waters that need protection from degradation and waters that have water quality
problems to address. If WQS are in place (EPA-approved or tribal), the Tribe uses them to
identify impaired or problem areas. If no WQS are in place, the Tribe uses proxies to determine
impairment (such as WQS from neighboring Tribes or states, regional thresholds, and EPA's
nationally recommended Water Quality Criteria where applicable for waterbody types).
4. What level of protection do these areas need? Current monitoring results combined with
historical water quality information help the Tribe develop appropriate levels of protection for
tribal waters and create WQS or other thresholds to evaluate monitoring results. These
thresholds serve as a guide for developing plans to reduce pollution entering tribal waters. For
example, a Tribe that has established water quality goals could use monitoring results to
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determine which waterbodies are not meeting the goals and identify which management
strategies for nonpoint sources (NPS) are most appropriate.
5. How are clean water projects and programs addressing tribal goals? Tribes with established
water quality programs regularly reflect on program accomplishments and determine how the
program supports water quality goals. The Tribe can then consider any program adjustments
necessary to help accomplish the goals.
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Hoopa Valley Tribe: Example in Setting and Assessing Goals
The Hoopa Valley Tribe uses Section 106 funding to support their goal of protecting tribal cultural
needs and the community drinking water supply, the Trinity River.
The Trinity River bisects the lush valley that is home to the Hoopa Valley Indian Reservation in
Northern California and is the community's sole source of drinking water. The Hupa people have
used it since time immemorial for ceremonial bathing, sacred world renewal ceremonies, and the
Tribe's boat dance ceremony, which is conducted to heal the Earth.
Hoopa's Tribal Environmental Protection Agency (TEPA) is the department delegated with
safeguarding the reservation's natural resources and water quality. From approximately 2010 to
2020, exceptional drought has exacerbated other related climate change-induced stressors such as
elevated water temperatures and low water flows in the Trinity River and its tributaries. These
conditions have caused a substantial increase of cyanotoxins in the free-flowing river, increasing risks
to the Tribe's drinking water system. Additionally, the cyanotoxins present a potential hazard to
those who have contact through recreational and ceremonial uses.
TEPA uses Section 106 funding for sampling activities necessary to identify toxic cyanotoxin levels in
the Tribe's drinking water source. During low flows and high river temperature conditions, TEPA
monitors for blue-green algae (BGA) concentrations utilizing a multiparameter sonde. TEPA also tests
water samples weekly for microcystin using Eurofins Abraxis test strips, and biweekly, using nutrient
and BGA samples. A lab also analyzes these samples for cyanotoxin concentrations. In addition to
these sampling activities, TEPA works with the Tribe's Public Utilities District (PUD) to implement a
treatment plan that is effective in combating and eliminating BGA toxins from the Tribe's drinking
water source.
TEPA also uses Section 106 funding to analyze current data about cyanotoxins, informs the
community about associated health risks, updates tribal members and decision makers on the causes
and effects of cyanotoxins in the watershed, and provides potential remedial options.
In 2006, EPA approved the Hoopa Tribe's nutrient criteria for the neighboring Klamath River and set
standards for cyanobacteria and associated toxins for the protection of recreational users. The
Hoopa Tribe is preparing a similar plan of action for the Trinity River to address cyanotoxin
occurrences and develop standards that are protective of recreational uses and cultural practices.
The Tribe's program will assist in developing this new regulatory framework to protect water quality
on the sacred Trinity River.
Figure 9. Cyanotoxin sampling on the Trinity River. Credit: Photo courtesy of Hoopa Valley Tribe
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Collecting Existing Information
As a first step, each Tribe may consider collecting as much existing information as possible about all the
waterbodies on the reservation to inform the monitoring program goals. (Information about identifying
basic tribal water resources and tribal water quality needs is in Chapter 4: Program Development.)
Tribes can find information in historical environmental data and can supplement it with existing tribal,
state, and federal data found on EPA's How's My Waterway application. Additionally, Tribes can use
maps, aerial photos, Indigenous Knowledge, and reports to support the quantitative information. As
Tribes collect existing information, the Tribe can identify information gaps and fill those gaps through
their monitoring program. To find additional existing data resources, examples can be found in the
Listening to Watersheds document.
Developing a Monitoring Design
A monitoring design is developed to address the monitoring goals the Tribe has identified. The
monitoring design should include:
• Priority areas for monitoring.
• Waterbodies monitored.
• Uses to assess.
• Parameters to monitor.
• Frequency and timing of monitoring.
• Sampling design.
Priority areas: When Tribes are prioritizing areas for addressing water quality problems, they should
consider all aspects of influence on the waterbody. Cultural significance, biological and ecological
factors, partner buy-in on the project, the cost and feasibility of possible solutions, and tribal members'
concerns are all factors which contribute to prioritizing areas in the monitoring design. For instance,
Tribes may want to consider prioritizing the protection of a high-quality water resource that is
vulnerable to threats by NPS pollution. Preventing pollution is often more cost-effective than restoring
impaired waterbodies.
Waterbodies differ in topography, degree of surrounding urbanization, and land use which can impact
the waterbody's susceptibility to pollution. Tribes may want to consider prioritizing more vulnerable
waters for monitoring. For instance, if a source water assessment shows that ground water sources are
vulnerable to contamination, monitoring and protection of wellhead areas may be prioritized.
Waterbodies Monitored: Each waterbody type outlined in the Monitoring Strategy may need a unique
sampling design to effectively assess for tribal monitoring goals and designated uses. For example, lakes
may require depth profile sampling and large rivers may require samples collected from equal width
increments across the width of the stream to be representative of the water quality at that station. For
more information see the Source Water Protection section in Chapter 7: Program Expansion - Additional
Activities.
Tribal Goals or Designated Uses: As part of developing a monitoring design, Tribes identify designated
uses for the waterbodies they plan to monitor. Designated uses are the goals for the waterbody and can
be used by Tribes with or without WQS. Both tribal goals and designated uses will help a Tribe
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determine the parameters to monitor, how to assess the locations, and sampling design(s) to
implement.
Parameters to Monitor: The Tribe's monitoring design will identify which water quality parameters to
sample and how often to sample. More information on sampling for common parameters is in the
Determine Monitoring Frequency section of this chapter.
Frequency and Timing of Monitoring: The frequency of monitoring is determined by tribal water quality
goals. For example, if a Tribe is interested in measuring pathogen exceedances for swimming and
recreational waters, monitoring frequency and times should align with the tribal thresholds or WQS and
the times of year those locations are used for recreation. The monitoring frequency should support the
amount of data needed to perform assessments of the waters to achieve tribal monitoring goals (for
example, 5 samples in 30 days to calculate a geomean).
Sampling Design: A sampling design is the type of monitoring approach the Tribe will implement to
successfully meet their monitoring goals. Depending on the number of waters on tribal lands, a Tribe
may be able to conduct a census to monitor and assess all waters every year. This sampling design type
can address all tribal goals when paired appropriately with sample collection method, location,
frequency, parameters, and spatial scale. Where Tribes have many water resources, they may consider
other monitoring designs to evaluate their designated uses. Table 5 shows four types of sampling
designs that Tribes can use to achieve water quality monitoring goals: targeted, fixed-site, statistical,
and census. Furthermore, Tribes may choose to focus on one watershed or a subset of watersheds each
year, known as the rotating basin approach.
Table 5. Sampling design summary
Sampling
Strengths
Products
Limitations
Design Type
Targeted
In-depth collection of data
• Decisions about
Generates site specific
for area(s) of interest.
individual assessment
units.
• Local action plan like
total maximum daily
loads (TMDLs).
• Effect of permitted
discharges.
data with limited ability to
extrapolate beyond sample
location.
Fixed-site
Long-term, routine water
• Historical record of water
Not designed to represent
quality data supports site-
quality trends.
trends beyond specific
specific trends like flow
• Loads (or amounts) of
monitoring locations.
and flux at a basin outlet.
key parameters like
nutrients.
Statistical
Cost-effective, statistically
• Broad, unbiased
Not designed for localized
representative method for
assessments of status
site assessments, except
assessing condition of a
and trends across
for the sites sampled.
broad population and
multiple scales.
tracking changes over
• Analysis of patterns in
time.
stressor-response
relationships.
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Sampling
Design Type
Strengths
Products
Limitations
Census
Monitor and assess all
waterbodies every year —
common when Tribes have
limited water resources.
• A complete assessment
of status and trends
within waterbodies.
Potentially expensive and
resource intensive.
A mix of sampling designs may be useful to inform various aspects of water quality. As shown in Figure
10, Tribes can pair statistical surveys (representative sampling) with a rotating basin survey approach to
better predict local water quality conditions and determine overall condition. This can inform the need
for a targeted sample design to assess specific areas, determine impairments, and identify possible
sources.
Figure 10. An example of how multiple sampling designs can be used together to inform water quality
protection and restoration
COMBINATION OF DESIGNS
Programs may also choose to combine
several of these methods. In this example,
randomly selected locations are monitored
across subwatersheds on a rotating basis.
RANDOM - Monitoring
locations are located at
or near centroids of a
random spatial overlay.
CENSUS - Intensive
monitoring is performed
to gather census level
information of a
waterbody.
TARGETED - Fixed stations in
this example are located at the
pour -points of subwatersheds
to gather information on loads
overtime.
ROTATING - In this
example, watersheds are
sampled in a rotating
basis of randomly
selected sites every three
years (blue, gray, orange).
Updating Monitoring Designs
As water quality programs grow and program priorities change, monitoring designs should be updated
to better represent the Tribe's monitoring goals. Additionally, Tribes may choose to include
effectiveness monitoring in their monitoring design to track water quality improvement, evaluate the
success of water quality restoration projects where applicable, and consider whether they need to
modify restoration projects.
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The Tribe's Monitoring Strategy may include multiple sampling designs to allow for flexibility in shaping
monitoring to the different waterbodies and waterbody goals.
Confederated Salish and Kootenai Tribes
The Flathead Indian Reservation is the native homeland of the Confederated Salish and Kootenai
Tribes (CSKT). The Kootenai, the Salish, and the Pend d'Qreille peoples comprise the Tribes of the
Flathead Reservation.
Water resources on the Flathead Indian Reservation are extensive and varied. The Reservation is
located within the lower portion of the Flathead River watershed in western Montana.
Approximately 1,317,399 acres lie within its exterior boundaries. There are approximately 76,155
acres of major waterbodies. This includes approximately 65,086 acres of the south half of Flathead
Lake. Additionally, the boundaries of the Reservation contain more than 1,200 miles of irrigation
canals and 17 reservoirs. Extensive wetland complexes are associated with these systems and over
10,000 individual pothole wetlands comprise the glacial pothole complex of the Mission Valley. Over
4,000 miles of streams and approximately 103,133 National Wetland Inventory wetland acres make
up the steam complex across the Reservation.
CSKT performs routine surface water quality sampling (Figure 11) within seven sub-basins on the
Reservation. Along with physical parameters, CSKT also collects samples that they ship to a
laboratory for analysis 182 miles away. Due to the rural status of Montana, the only location to drop
off samples is on the northern half of the Reservation. This shipping issue limits the amount of time
the field crew can spend collecting samples and make the same day shipping time requirements.
Due to the size of the Reservation, the number of sites that CSKT can sample within a working day is
limited. The Tribe not only samples sites that are within the Water Quality Program but also the Non-
Point Source Program restoration projects. Atypical sampling day for the program is to have the
vehicles and equipment ready by early morning, drive to the sites, and collect samples. The samples
must be at the shipping company by early afternoon, or they will not ship that day. The ability to
collect samples and make the shipping deadline dictates the Water Quality Program's sampling plan.
Figure 11. CSKT performing water quality sampling. Credit: Photo courtesy of CSKT
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Conducting Special Studies
Tribes may need to conduct special studies, a type of targeted monitoring, if through their routine
monitoring they identify areas of particular concern or interest that their routine monitoring does not
fully address. As areas of interest arise, Tribes should consider monitoring to identify the source of
impacts to a waterbody, such as new construction. Tribes may need to perform special studies to track
best management plan progress, determine loads for TMDLs, and identify pollution sources. They should
ensure existing project elements such as the QAPP, lab protocols, sampling design, and Monitoring
Strategy support special study designs.
Selecting Water Quality Parameters
The monitoring design identifies the parameters the Tribe plans to monitor to assess water quality and
meet monitoring goals. "Parameters" are properties of water quality. For use in this guidance, the terms
analytes, characteristics, and constituents are synonymous with parameters.
Table 6 highlights common and additional parameters Tribes monitor to assess their tribal goals or
designated uses. The common parameters provide basic information about the aquatic environment
and are usually less costly than more lab intensive parameters. Additional parameters may include
waterbody-specific pollutants, ambient and sediment toxicity, health of organisms, and nutrients. This
distinction may be useful when selecting parameters to monitor.
Adding or replacing parameters may also provide a more complete picture of water quality. As Tribes
analyze their monitoring data, they may partner with their EPA regional office, neighboring Tribes,
neighboring states, and appropriate federal agencies to help identify supplemental parameters. In some
cases, Tribes might consider reducing or eliminating monitoring parameters at sites where data indicate
there is no water pollution problem for the sampled parameter. However, Tribes should consider the
impact to long-term data records on parameters of interest when reducing or eliminating monitoring
parameters, and consider when to revisit those parameters to ensure there continue to be no water
pollution problems.
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Table 6. Common and additional parameters to assess tribal goals or designated uses
Parameters
Aquatic Life
Recreation
Drinking Water
Fish/Shellfish
Source
Consumption
Common
• Dissolved oxygen
• Pathogen (£.
• Metals.
Fish tissue
Parameters
(DO).
coli,
• Pathogens.
contaminant levels
• Temperature.
enterococci).
• Total dissolved
for:
• Conductivity.
• Turbidity.
solids (TDS),
• Mercury.
• pH.
• Secchi depth.
total
• Polychlorinated
• Nutrients (total
• Harmful algal
suspended
biphenyls (PCBs).
phosphorus (TP),
blooms
solids (TSS).
• Polycyclic
total nitrogen
(HABs), algal
• Nutrients.
aromatic
(TN)).
toxins.
• Salinity.
hydrocarbons
• Turbidity.
• HABs, algal
(PAHs).
• Biological
toxins.
• Legacy pesticides.
communities.
• Secchi depth.
• Habitat
assessment.
Additional
• Flow.
• Nuisance
• Flow.
• DDT.
Parameters
• Sediment
plant growth.
• Volatile
• Chlordane.
toxicity.
• Aesthetics.
organic
• Select Per- and
• Eutrophic
• Hazardous
carbons
polyfluoroalkyl
condition in
chemicals.
(VOCs).
substances
lakes.
• Pesticides.
(PFAS),
• Nutrients (NH3,
• Emerging
Perfluorooctanoic
DIN, DIP, P04).
contaminants.
acid (PFOA).
• Chlorophyll 0.
• Emerging
• Pesticides.
contaminants.
• TSS.
• Metals.
• Emerging
contaminants.
• Floristic quality.
• Metals.
• Ions (Ca, CI, Mg,
Na, K, S04).
• Continuous (high
frequency
sensor)
monitoring.
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Top 15 Parameters Reported by Tribes
Reflective of results at the release of this guidance
1. Water temperature.
2. DO.
3. pH.
4. Turbidity.
5. Specific conductance/conductivity.
6. Salinity.
7. TSS.
8. Air temperature.
9. Fecal coliform.
10. Flow.
11. E. coli.
12. Phosphorus.
13. Nitrogen.
14. Benthic macroinvertebrates.
15. Fish assemblage.
The following sections provide information on how and why Tribes sample the most common
parameters. Factsheets for each parameter are available on EPA's Factsheets on Water Quality
Parameters website.
Water Temperature
Water temperature influences the majority of physical, biological, chemical, and ecosystem processes in
aquatic environments. Altered stream temperature is a significant cause of water quality impairment in
the United States and influences other water quality parameters. Measuring temperature helps to
understand the magnitude and variability of temperature fluctuations and anticipate the consequences
for water quality and ecosystem health (Figure 12).
Figure 12. Measuring temperature in the field. Credit: Photo courtesy of USGS
In general, increased water temperature can result in:
• Decreased DO available to aquatic life.
• Increased solubility of metals and other toxins in water.
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• Possible increased toxicity of some substances to aquatic organisms.
• Algal blooms, which typically occur during the summer season or periods of unusually warm
temperatures.
Dissolved Oxygen
DO is an important parameter of the overall biological health of a waterbody and is required for a
waterbody to support aquatic life. It is generally measured in the field along with water temperature,
turbidity (clarity), specific conductance, and pH using a water quality probe. This information is then
assessed against thresholds or WQS to determine whether the water is fit for aquatic life.
DO affects fish health and sensitivities vary by species. A high DO is needed to be "supportive" offish
spawning, growth, and activity. Different levels of DO are required to support aquatic life depending on
the species present and their stages of life (such as spawning, larvae). Trout, for example, require a high
DO, while carp can survive in lower DO conditions. Among the macroinvertebrates, many immature
insects require a high DO content, while other species, such as aquatic worms and snails, can tolerate
lower DO concentrations. Hypoxic (low DO concentration) or anoxic (virtually no DO) conditions do not
support fish or macroinvertebrate populations.
pH
pH is an important parameter of chemical, physical, and biological changes in a waterbody and plays a
critical role in chemical processes in natural waters. pH values are on a scale from 0 to 14, with 7.0
considered neutral. Solutions with a pH below 7.0 are considered acidic, and those with a pH above 7.0
are considered basic. The pH scale is logarithmic, meaning that every one-unit change represents a ten-
fold change in pH. In other words, pH 6.0 is ten times more acidic than pH 7.0; pH 5.0 is one hundred
times mores acidic than pH 7.0.
pH is a key factor in water chemistry and toxicity. A change in pH can alter the concentrations and forms
of toxic chemicals in water. Metals such as aluminum, lead, mercury, copper, and arsenic are generally
more soluble at a lower pH. Therefore, higher concentrations can be absorbed into the tissues of
organisms, rendering these metals more toxic to aquatic life. In more basic waters (pH > 8.5), the
conversion of the nontoxic form of ammonia to the toxic form is increased.
pH also plays a key role in aquatic health by affecting biochemical processes and the metabolism of
aquatic organisms. Generally, if water is too acidic or too basic, damage can occur to an organism's gills,
exoskeleton, fins, and other critical components. Of particular concern are pH-sensitive
macroinvertebrates (small organisms without a backbone), fish eggs (most fish eggs cannot hatch at a
pH less than 5), and juvenile fish. Organisms vary in the pH ranges they can tolerate. Furthermore, even
though an organism itself may tolerate a more extreme pH, its food source may not.
Turbidity
Turbidity and TSS are different ways to measure similar water quality characteristics. Turbidity is the
clarity of the water and TSS is the concentration of suspended particles, which include soil particles
(clay, silt, organic matter), algae, and microscopic organisms.
An increase in turbidity or suspended solids can also negatively affect aquatic health by:
• Clogging fish gills or the filter-feeding systems of other aquatic animals.
• Hindering visibility, making it difficult for predators to find prey.
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• Decreasing light penetration into water and thereby the ability of submerged aquatic plants to
photosynthesize, reducing biomass and growth rates of aquatic plants.
• Reducing fish resistance to disease.
• Altering egg and larval development.
Changes in turbidity can also affect other water quality parameters; increased turbidity is likely to be
accompanied by the following:
• Higher temperature and reduced DO due to increased heat absorption of the water.
• Reduced DO due to decreased light penetration into the water and an associated decrease in
photosynthesis by aquatic plants.
Suspended solids contributing to turbidity can affect water chemistry and microbiology. The particles
can adsorb (take up on their surfaces) pollutants, including nutrients, metals, and organic compounds. If
the particles settle on the bottom of the waterbody, then the pollutants settle with them. If bottom
sediments are subsequently disturbed and resuspended, the aquatic community can be exposed to any
adsorbed toxins or nutrients.
E. coli or Enterococci
Water samples are collected to measure E. coli to make sure water is safe for public recreation, such as
swimming, fishing, or canoeing. E. coli is considered a parameter organism, used to identify fecal
contamination in freshwater and indicate the possible presence of disease-causing bacteria and viruses
(pathogens). Individuals that swim or come into contact with water containing elevated levels of E. coli
and other fecal parameter organisms such as enterococci are at an increased risk of getting sick because
of potential exposure to fecal pathogens. Common symptoms of ingesting a pathogenic strain of E. coli
include vomiting and diarrhea. High numbers of E. coli (and other) bacteria may contribute to cloudy
water, unpleasant odors, and increased oxygen demand (which may reduce levels of DO in the water).
E. coli concentrations may be linked with other parameters such as high TSS and turbidity
concentrations because the bacteria tend to be found with particles. E. coli concentrations may also be
linked with high phosphorus, nitrate, and biological oxygen demand (BOD) concentrations.
Nutrients
Excess (or elevated) nutrients is among the most common water pollution problems affecting
waterbodies in the United States. High nutrient concentrations resulting from human activities can
diminish ecosystem health. Excess nutrients in a waterbody can lead to excess biological growth
(eutrophication) and HABs. In freshwater, HABs are often caused by cyanobacteria (for example, blue-
green algae) and may have negative effects on humans and ecosystems.
Certain types of cyanobacteria can produce toxins that are harmful to humans and animals through
recreational exposure or through consumption of drinking water. Toxins can also work their way into the
aquatic and terrestrial food webs and potentially harm animals and humans. Additionally, algal blooms
can lead to hypoxia, or low DO in the water, either through algal respiration or consumption of oxygen
by decomposers when the algae die off. Persistently low DO can harm sensitive aquatic animals,
resulting in chronic stress or even mortality.
Nutrient concentrations are highly variable in waterbodies across the United States. To interpret
monitoring data, it is helpful to be familiar with typical nutrient concentrations for healthy and disturbed
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waterbodies in the area. When nutrient concentrations are higher than an aquatic system's natural
background concentrations, the water has most likely been affected by urban or agricultural activities,
including both point source and NPS contributions.
Metals
It is important to measure metals because all metals can be toxic at high concentrations, even those that
are nutritionally essential for sustaining life in aquatic ecosystems in small amounts (such as copper and
manganese). Metal toxicity negatively affects the health of aquatic organisms. For example, metal
toxicity:
• Decreases abundance and diversity of species.
• Changes reproduction, juvenile growth, and behavior.
• Causes spinal abnormalities, gill damage, and death.
In a waterbody, metals are either dissolved or in particulate form. Dissolved metals are small enough to
pass through a 0.45 micron (nm) filter and are more easily absorbed by organisms. Metals can bind to
particulates such as clay, sand, or organic matter. Particulate metals are larger and typically less
bioavailable than dissolved metals, but organisms can still uptake particulate metals through their gut.
Over time, dissolved and particulate metals in the water can build up in the tissue of fish and other
aquatic organisms. This process, called bioaccumulation, occurs when an organism absorbs or uptakes
metals more quickly than their body can eliminate them.
Biomagnification of some metals (such as mercury) can also occur in an aquatic ecosystem.
Biomagnification occurs when concentrations of metals increase from transfer up through the food
chain as larger organisms feed on many smaller organisms who have each bioaccumulated metals in
their bodies. Biomagnification and bioaccumulation can cause concentrations of metals in larger aquatic
organisms to be toxic to humans, and to the birds and other wildlife, that consume them.
Macroinvertebrates
Insects are the most common macroinvertebrates in aquatic systems, living in water as nymphs or
larvae until they reach their adult stages. Common insects in aquatic systems include dragonflies,
caddisflies, stoneflies, beetles, midges, and mayflies. Others, such as aquatic worms, leeches, and small
crustaceans (crayfish and fairy shrimp), live entirely in water. Most species live in the bottom sediments
of the waterbody or attached to rocks, vegetation, logs, and sticks.
Lifespans range from a few weeks to several years. Macroinvertebrates are most frequently used for
biological monitoring, or "biomonitoring," because of their prevalence in aquatic habitats and their
differing sensitivities to chemical pollution and physical disturbances. Biomonitoring is the use of
organisms to assess the overall quality of their environment or habitat. Because they generally have
limited mobility and cannot escape pollution, macroinvertebrates better reflect the long-term water
quality of a site compared to a single sample of chemical constituents that only provides a snapshot in
time. Table 7 shows examples of generalized pollution sensitivity (tolerant or intolerant of pollution) for
several common macroinvertebrates.
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Table 7. Examples of macroinvertebrates and their pollution sensitivity levels
Macroinvertebrate
Pollution Sensitivity
Stonefly
Intolerant
Mayfly
Intolerant
Crayfish
Range
Leech
Tolerant
Aquatic worm
Tolerant
Source: Maine Department of Education Outdoor Learning Opportunities: Macroinvertebrates.
Knowing the typical variety and abundance of Figure 13. The mayfly, a type of
macroinvertebrates in a healthy waterbody in a region can help insect, under the view of a
when evaluating waterbodies for signs of poor ecosystem health, microscope. Credit: Photo courtesy
Generally, healthy waterbodies support a diverse population of
macroinvertebrates. Samples yielding only pollution tolerant
species, a low abundance of organisms, or very little diversity
(primarily one or two species) might indicate a degraded
waterbody. Figure 13 shows an example of a mayfly, a type of
pollution sensitive macroinvertebrate.
Basic Habitat Information
Healthy and intact habitat is critical for supporting biological
communities, protecting water quality, and preserving the overall ecological integrity of aquatic
ecosystems. Fish, insects, and other organisms find food and shelter near and in streams, lakes, and
wetlands. Vegetation growing in the riparian zone provides shade, stabilizes sediment, and can filter
pollutants before they enter the waterbody.
Alterations to the physical structure of the habitat surrounding waterbodies can negatively impact
instream physical characteristics, water chemistry, and aquatic communities. Specifically, if vegetation in
the riparian zone is removed, runoff of sediment into the stream can increase. As a result, stream
embeddedness (the amount of sediment covering "substrate," or bottom material) changes as excess
sediment fills pools and reduces the available substrate for fish and other aquatic organisms to shelter.
The water chemistry may also change as the excess sediment alters turbidity and pH levels. These
changes affect the potential for the habitat to support the aquatic community.
Habitat assessments help determine whether alterations to the riparian zone or instream features may
negatively impact water quality and aquatic communities. Rapid Bioassessment Protocols (RBPs) is a
popular, efficient, and cost-effective method to assess habitat. Evaluating changes in the condition of
habitat parameters helps anticipate potential effects on the aquatic ecosystem, provides clues toward
sources of degradation, and can inform restoration projects and waterbody management strategies.
Determine Monitoring Frequency
When determining the monitoring frequency for each parameter, consider factors such as cost, time,
resources, accessibility of monitoring site(s), seasonal flows and conditions, and the desired level of
confidence in the data and the decision it supports. Waterbody conditions change over the course of a
day, from season to season, and from year to year. These changes can be the result of natural variability
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or human activities. Listening to Watersheds contains some general information that will help
deciding when and how often to collect monitoring samples.
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Fort Belknap Indian Community Water Quality Program Development - Lake Monitoring Training
The Fort Belknap Indian Community (FBIC) Water Quality (WQ) Program strives to incorporate and
implement new methodologies and strategies that ensure the water quality of their tribal waters
remains healthy, supports designated uses, and protects tribal members from harmful levels of
pollution. To further this on-going effort, the WQ Program partnered with EPA and the USGS,
resulting in a successful experience that gave FBIC more insight on the future direction of their WQ
Program.
The FBIC WQ Program first reached out to USGS in June 2018 for guidance on lake monitoring. This
led to a joint funding agreement using Section 106 grant funds and a working relationship.
The WQ Program gained momentum to develop tribal WQS. They first needed to collect water
quality data. Several reservoirs and ponds on the reservation have limited recreational uses. For this
project, they selected two highly used recreational reservoirs: Snake Butte Reservoir and Strike
Reservoir. The WQ Program and USGS then coordinated a training on lake monitoring, which
included:
• Vertical profiling.
• Photic zones measurements.
• Water samples:
o Nutrients - assessing the N:P ratio and harmful algal blooms,
o E. coli- using the on-site filtering and dilution method.
• Cyanobacteria.
• Fish tissue.
• Quality control (QC) samples - replicate data.
• Collected parameters with a multiparameter sonde.
• Chlorophyll a sample demonstration
• Depth readings.
The WQ Program discovered new monitoring concepts to support future monitoring goals for their
tribal reservoirs. They also discovered more information to investigate. They developed a fish tissue
collection project for the Snake Butte Reservoir and Strike Reservoir, including an analysis for
mercury, selenium, and arsenic. They also initiated an E.coli sampling project with the local Aaniiih
Nakoda College laboratory. This greatly increased the opportunity to collect more water samples
from both reservoirs in May, July, and September, and supported their goal to develop tribal WQS.
Figure 14. FBIC WQ Program conducting lake monitoring. Credit: Photo courtesy of FBIC
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Developing QAPPs and SOPs
Developing QAPPs
A QAPP is a written document that outlines the procedures the Tribe will follow to meet the monitoring
program goals and ensure sufficient quality of the samples collected and analyzed, how the data are
stored and managed, and the reports produced. The QAPP outlines the technical and quality aspects of
a project (for example, monitoring data collection, detection limits, analytical methods, data
management, data analysis, reporting) and provides a blueprint for obtaining the type and quality of
environmental data and information needed. Any EPA-funded project that includes the collection and
analysis of data must have an EPA-approved QAPP before any monitoring activities may begin (2 CFR
1500.12).
The QAPP must include data quality objectives (DQOs).
DQOs are the qualitative and quantitative statements that:
• Clarify monitoring goals.
• Define the appropriate type of data to meet the goals.
• Specify tolerable levels of potential decision errors that Tribes will use as the basis for
establishing the quality and quantity of data they need to support decisions.
Data validation procedures should also be included in the QAPP. Chapter 4 of EPA's The Volunteer
Monitor's Guide to Quality Assurance Project Plans and EPA's Managing the Quality of Environmental
Data in EPA Region 9 document contain further information on data validation and QAPPs. Data should
be validated according to tribal program procedures before submission to EPA.
Additionally, QAPPs may include data quality indicators (DQIs). DQIs are an entity, process, or
community whose characteristics show the presence of specific environmental conditions. DQIs are
based on the DQOs and are meant to help assess the sufficiency of using a particular dataset for a
particular purpose. There are six DQIs:
• Accuracy - A measure of confidence that describes how close a measurement is to its true
value. It is a combination of systemic errors associated with bias and random errors associated
with precision, or imprecision.
• Bias - A systemic error in a method or measurement system that can affect all results. It is
coupled with precision to determine data accuracy.
• Comparability - The degree to which data can be compared directly to similar studies.
• Completeness - Comparison between the amounts of usable data collected versus the amount
of data called for in the sampling plan. This is measured as a target percentage of valid results
obtained compared to the total number of samples taken for a parameter.
• Precision - An assessment of the degree that two or more replicate measurements are in
agreement. It is coupled with bias to determine data accuracy.
• Representativeness - The extent to which measurements characterize the true environmental
condition or population at the time a sample was collected.
EPA has guidance for developing QAPPs for all types of monitoring programs, from a simple volunteer
monitoring initiative to established state programs. Some additional tools include EPA's:
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• Requirements for Quality Assurance Project Plans.
• Guidance for Quality Assurance Project Plans.
• Quality Assurance Project Plan Development Tool.
More information on DQIs can be found in Listening to Watersheds and Tribes can contact their EPA
regional office and Quality Assurance (QA) Manager for more information on developing a QAPP. EPA's
Guidance for Data Quality Objectives Process contains more information on DQOs and DQIs.
QAPPs for Ground Water Monitoring
Because of regional variations in geology and hydrology, there are multiple methods for ground
water monitoring. By establishing a comprehensive ground water QAPP with field, sampling, lab, and
assessment protocols, Tribes can effectively sample wells for contaminants such as metals, volatile
organic compounds, and nutrients. Research into past land use as well as hydrogeological surveys of
the area will supply knowledge regarding the characteristics of aquifers as well as potential sources
of contamination. Sound data collection will help Tribes develop the foundation they need to
determine their ground water protection needs. Additional information on eligible ground water
sampling activities is in Chapter 4: Program Development.
EPA Review and Approval of QAPPs
The Tribe will submit the QAPP to the EPA regional Project Officer who will then forward it to the
appropriate EPA regional staff for review and approval (EPA Order 5360.1 A2). QAPPS should be
submitted to EPA approximately 60 days before the start of the sampling activity to ensure it is
approved prior to sampling. Once EPA has approved the QAPP, the Tribe can begin implementing their
tribal water quality monitoring program. Monitoring activities must be described in the approved QAPP.
Over time, Tribes may need to modify or refine their water quality monitoring program to address new
water quality issues or concerns. If changes to the QAPP are needed, contact the EPA Project Officer to
determine if the changes are substantive, requiring a revision to the QAPP, or non-substantive. Non-
substantive changes can be documented in the QAPP as a pen and ink change but must be noted in the
progress report. A Tribe may have several QAPPs covering different aspects of their monitoring program
(for example, wetlands, surface water, and fish tissue). If the Tribe does not follow the procedures
outlined in the QAPP, the quality of the data may not meet the tribal water quality expectations or be
adequate for the analysis and assessment activities. The Tribal Assessment Modules on EPA's Ambient
Water Monitoring and Assessment website includes additional information on QAPPs.
Developing SOPs
Once Tribes have determined the monitoring goals, sampling design, and parameters to collect as
outlined in their QAPP, it will be important to document how the information collected will remain
consistent through time. Tribes can document this information in SOPs, checklists, or other internal
operation documents. Tribes develop SOPs to achieve consistency, uniformity, and program continuity
when performing monitoring tasks. SOPs are particularly useful to maintain tribal program continuity
through staff turnover. Some of the information that Tribes will develop and document includes proper
procedures for:
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• Sample collection: equipment needed, sampling plan, frequency, and timing for sample
collection.
• Storage: bottle types and sizes, labels, refrigerator or freezer space, use of coolers.
• Preservation methods and holding times: ice (wet or dry), chemicals.
• Accessibility of sampling locations and permission to access locations.
• Tracking: databases, forms.
• Shipping: time needed to transport samples to the lab or shipping center, shipping drop off
times, and the analytical lab's receiving days.
• Chain of custody: forms needed to ensure proper documentation for the handoff of samples.
• Data validation: ensuring the data are accurate (for example, no out-of-range data, decimals in
the wrong place for a result value, or incorrect units associated with the result).
• QA: spikes, duplicates, blind samples.
• Analysis: the use of the data for assessment purposes.
In addition, the SOPs should document the maintenance of their equipment, including how the
equipment is calibrated and used. SOPs may align with a field or laboratory manual and can help specify
implementation of tasks, such as frequency of calibrating equipment. Tribes typically develop separate
Field SOPs for monitoring equipment, including parameters they measure on-site using in-situ field
instruments (for example, water temperature and stream flow). If the Tribe is performing sample
analysis in its own laboratory, they will have lab SOPs describing their analytical and preparation
methods and the level of precision and accuracy they can provide.
The National Environmental Methods Index database website may include many field and analytical
methods. The website is searchable, useful for finding and comparing analytical and field methods for all
phases of environmental monitoring.
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Wetlands Monitoring
Because of their composition, wetlands are more complicated to monitor than most surface water
bodies. A wetland monitoring program can consist of several components:
• Establishing the current condition of wetlands, including their extent and condition.
• Measuring the physical and chemical properties of the wetland, including pH, color, turbidity,
DO, total phosphorus, and sediment/soil samples.
• Determining the hydrogeomorphic setting and function.
• Cataloguing biodiversity, the presence of rare or endangered species, and items of cultural
significance.
• Inventorying potential local contamination sources, such as stormwater culverts and septic
fields.
Tribes conducting wetlands monitoring can consult EPA Region 9's Wetlands Quality Assurance
Project Plan Guidance and Template, which is designed to assist in documenting procedural and data
requirements for projects involving environmental measurements and wetlands monitoring. For
information on beginning a wetland monitoring program, refer to EPA's Volunteer Monitoring Can
Protect Wetlands website to find "Volunteer Wetland Monitoring: An Introduction and Resource
Guide" and other resources. Tribes can view EPA's Wetlands Monitoring and Assessment website
and Protecting Waters and Wetlands in Indian Country: A Guide for Developing Tribal Wetland
Management Programs for additional information.
Analyzing Monitoring Samples Using Outside Laboratories
Many water quality programs use outside laboratories to analyze water quality samples and provide
taxonomy identification of biological samples. Outside laboratories are also used to complete QC checks
such as verification of taxonomy on a subset of samples. The Tribe's QAPP should document how the
laboratory will carry out these activities. It is helpful to communicate with laboratories on how each
entity will track samples; how Tribes need to preserve, pack, and ship samples; the reporting limits the
lab can meet and what corrective actions they will take if there are issues; and how and when
laboratories will confirm sample receipt to ensure the samples are processed efficiently and accurately.
When tribal water quality programs are choosing a laboratory to analyze their water quality samples,
consider providing the laboratory with a list of questions regarding the analyses they anticipate and talk
directly with the laboratory manager. When developing a contract, factors to consider include: the
specific period that the contract will cover, the scope of work (including materials the laboratory will
furnish), terms for payment, a provision for giving both the Tribe and EPA the right to audit the
laboratory, and other terms and conditions as required or recommended by the tribal water quality
program. Programs will need to agree on documentation of analytical methods and turnaround time in
advance. When contracting with a laboratory, the tribal water quality program will need to obtain a
copy of the laboratory's QA/QC plan.
The tribal water quality program should consider requiring the lab supply the data in a format
compatible with the Tribe's data management system or WQX. At a minimum, the data should be
provided in an electronic data deliverable (such as an Excel or CSV file). Receiving data elements and
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results from the lab in a WQX-compatible format will reduce a Tribe's data management burden. EPA's
Water Quality Exchange Web Template Files website contains WQX templates. EPA regional technical
advisors or other Tribes in the region can help identify qualified labs in an area that may be able to
provide sample analysis. See Chapter 6: Programmatic Reporting Requirements for more information on
data reporting requirements.
Sample Collection
Sample collection methods will vary depending on the monitoring purpose, parameters collected,
waterbody type, and geography. Details that are necessary to consider when planning a collection
activity include:
• Planning out the full sampling season.
• Organizing field crew training and sampling OA checks.
• Evaluating the potential sites to be sampled.
• Procuring supplies and equipment suitable for sampling needs.
• Instrument cleaning and calibration.
• Creating a sampling plan to execute the collection of the samples.
For more information on how to plan out and execute sample collection, please see USGS National Field
Manual for the Collection of Water-Quality Data and the Manuals Used in the National Aquatic Resource
Surveys.
Data Management
Data management is the process of managing, storing, and maintaining monitoring results in a format
that allows Tribes to use the data to make decisions about their water quality programs. Monitoring
data results and metadata are most useful when they are in a format that Tribes can manipulate,
summarize, and analyze. This section provides information on managing data, including how to compile
useful datasets, store and manage data in an electronic format, validate data, and report the results.
Understanding Metadata and Compiling Useful Datasets
Metadata are "data about data" that include information about a specific water quality sample that
provides context for the sampling activity. Metadata contain information about when, where, why, and
how the Tribe collected a water quality sample. When monitoring, record the necessary metadata. For
example:
• The location where each sample was collected, such as longitude and latitude and the
waterbody name.
• The conditions at the time of collection: such as water temperature, flow, atmospheric
conditions.
• The units for each parameter.
• Any replicate data, which are data from two or more samples collected at the same time.
• The date and time of sample collection.
• The reason the sample was collected: such as to determine if phosphorus threatens the
waterbody.
• The sample and analytical methods used to collect and analyze the sample.
• The method's detection limit.
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Recording metadata is valuable for three primary reasons:
1. Metadata are important for the immediate use of the data by the Tribe because it provides
more information for making decisions.
2. With the necessary metadata, the Tribe can continue to use the data in the future while
identifying changes to monitoring goals, determining restoration activities, and identifying
sources of water quality pollution.
3. Metadata are valuable beyond the original collection purpose and data re-users (those who did
not originally collect the data but are using them for a separate purpose) can determine if the
samples are comparable and thus reusable for their environmental needs.
Certain metadata are required when collecting and reporting data to EPA as part of the Section 106
programmatic reporting requirements, discussed in more detail in Chapter 6: Programmatic Reporting
Requirements. Templates and other resources are available on EPA's Water Quality Data Upload with
WQX website to ensure Tribes include required metadata with their data submittal.
Developing Electronic Data Storage Capacity
Data should be stored so Tribes can easily organize, summarize, and manipulate the data. Electronic
spreadsheets allow the Tribes to easily store data in tables where they can rearrange, sort, search, and
perform calculations for analyses. Many spreadsheet-based software programs are commercially
available for Tribes to use (for example, Microsoft Excel). Some of these programs also include tools (for
example, graph-building, calculator, modeling functions) that help analyze, manipulate, and report data.
Managing data in spreadsheets may be most appropriate for Tribes that are just beginning to monitor or
that do not have large datasets (for example, few sampling locations, few parameters, infrequent
monitoring).
Databases organize data in tables and can be set up to make interactions simple. Data entry screens
ensure that data entry follows a structure and can automatically check user entries for correct data
types (numbers versus text) or range of data (such as pH must be greater than 0 and less than 14).
Although a database takes a considerable amount of time to set up, it can ultimately make it very easy
to enter, store, retrieve, and report data, and to perform relationship queries. Microsoft Access and
Oracle are examples of database programs. Managing data in a database makes more sense for larger,
more complex datasets, such as those with many sampling locations, parameters, or frequent
monitoring.
Geographic Information System (GIS) Software is a tool that can be used to display data in a map. GIS is
a computer system for capturing, storing, manipulating, analyzing, and displaying data related to
positions on the Earth's surface. This is equivalent to displaying a monitoring location's latitude and
longitude measurements as a point on a map. These points, along with their results and metadata,
create a set of map events for display and analysis.
Performing Data Validation
Data validation is the process of evaluating field, lab, and data management activities, organizations
(such as labs), and personnel. This can include evaluating performance, such as sample collection
techniques; systems, such as equipment and analytical procedures; and data quality, such as
comparisons of actual data results with project quality goals. Examples of data validation procedures
include:
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• Reviewing field data sheets for completeness and accuracy before leaving the field.
• Ensuring entries copied from field data sheets into electronic spreadsheets are accurate.
• Examining unexpectedly high or low results (outliers) and investigating for possible issues.
• Checking calculations.
• Correcting errors such as decimal places in the wrong spot and incorrect units.
• Comparing project data to specific QA/QC criteria (DQOs and DQIs).
• Calculating precision and accuracy of instruments and placing this information in the metadata
file.
• Reviewing QC sample results to ensure attainment of acceptance criteria (either established by
the Tribe or defined in the laboratory's QA plan and SOPs).
As described in the section above on Developing SOPs, Tribes should consider documenting the data
validation process so they can replicate the process each time data are validated.
Backing Up Electronic Data
Regularly backing up data ensures information is not completely lost if the Tribe ever has a computer
failure, software problem, user error, or office damage. A Tribe can back up data in several ways, such as
by copying the information to an external hard drive or backing up documents to a cloud service. Some
computer systems include built-in backup tools. Tribes that collect water quality data using Section 106
funds must upload that data to WQX and can also use WQX as an off-site data repository backup.
Uploading Data to the Water Quality Exchange
Templates and guidance for submitting data into WQX are available on EPA's Water Quality Data Upload
with WQX website. Once Tribes submit data to WQX, the data are available in the Water Quality Portal.
a cooperative data service sponsored by the USGS, EPA, and the National Water Quality Monitoring
Council (NWQMC). Metadata accompany each sampling result in the Water Quality Portal. Additional
information on submitting information to WQX can be found in the Tribal Data Management for WQX
Submission supplement.
Data reporting requirements are discussed further in Chapter 6: Programmatic Reporting Requirements.
Updating and Upgrading Electronic Data Systems
Manufacturers of hardware (such as computers and monitors) and software (such as spreadsheet and
database programs) often develop new and improved products that, over time, might make the existing
system obsolete. Periodically investing in new hardware and software products is necessary, and Tribes
should build those costs into the work plan. The grant budget should account for the entire life-cycle of
work and the associated tools and technology needed to ensure grant work plan activities can be
accomplished. Tribes can regularly check manufacturers' websites or product centers to see if any
upgrades are available. Many times, software manufacturers issue product upgrades or modifications
free of charge.
As Tribes accumulate years of data and add more monitoring parameters, the amount of data they
collect and store increases. Tribes may find their hardware and software tools no longer address all their
data management needs. In this case, Tribes may consider upgrading to a more powerful computer with
greater storage space, processing capacity, or a more powerful software package. Tribes may need to
upgrade from a spreadsheet-based program to a database management system. When investing in new
software, consider how best to transfer data from the existing system into a new software program.
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Database management systems allow programs to easily import spreadsheets and verify that the
transferred information is compatible with the new software. Data management procedures will
naturally evolve when programs gain new software, hardware, parameters, or other significant updates.
Tribes that plan to use Section 106 funds to upgrade computer systems may work with their EPA Project
Officer to understand any budget proposals or modifications.
The Exchange Network grants are a funding source to leverage when updating and upgrading electronic
data systems and are discussed further in Chapter 9: Other Funding Options. For additional information
on data management, please see the Tribal Data Management for WQXSubmission supplement.
Data Analysis and Assessment
Data analysis and assessment is the process of performing statistical summaries, assessing data against
water quality thresholds or WQS, determining if waters are meeting designated uses, and describing
water quality trends. These analyses identify whether tribal waters are meeting tribal goals for the
waters and inform future water quality protection, preservation, and restoration practices. During data
analysis, Tribes also evaluate whether they need additional data. Listening to Watersheds lists some
typical ways in which Tribes analyze data, including:
• Status: comparing parameters against WQS or water quality thresholds that the Tribe
establishes for a waterbody.
• Trends/changes over time: comparing parameter(s) at a site over time.
The Tribal Assessment Modules on EPA's Ambient Water Monitoring and Assessment website have more
information on data validation, analysis, and assessment.
Documenting Assessment Processes
Preparing for data analysis begins with documenting a process to utilize the data to make water quality
management decisions. The assessment process is the pinnacle of the water quality program because it
is the process of evaluating monitoring results against thresholds or WQS and determining whether
waters are meeting tribal goals.
Tribes will need to document how they can make decisions with small sample sizes, how conflicting
parameter assessments contribute to overall water quality status decisions, the percent exceedances
allowed while still meeting thresholds or WQS, and how other types of best professional judgements will
be used during the assessment processes. By documenting assessment decision processes, Tribes can be
confident that they are assessing and reporting data in a consistent way.
One way to document assessment processes is to develop an assessment methodology documenting
how the current tribal staff perform assessments and how others can reproduce the results.
Documenting the assessment process also ensures consistency in data interpretation from year to year
and provides transparency to stakeholders. The assessment methodology should describe:
• How the Tribe will aggregate data and information relevant to tribal use assessments.
• The extent of the waters to which the decision is applicable.
• How the Tribe evaluates the suitability of the data or information for decision making.
• How the Tribe analyzes and interprets the data to make attainment or nonattainment decisions.
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To start, the assessment methodology should include four common elements to inform the water
quality decision processes:
1. The waterbodies monitored: assessment units (AUs).
• AUs are the location of the decision and the extent to which it applies. For example,
when a station is monitored, is the data representative of a single point in the stream or
the water quality of a reach of the stream? AUs include monitoring locations, lengths of
stream, and polygons (for example, lake, ocean, or wetland area).
• To determine whether it is appropriate to represent decisions for a reach of stream,
gather data to understand where water quality changes occur in the reach, evaluate
mixing zones, consider point source and non-point source introductions along the
waterbody, elevation, land use, and physical characteristics of the waterbody.
2. The number of results the Tribe needs to make a decision.
• The goal is to collect enough samples to characterize the true environmental condition
of the waterbody for the tribal goals being evaluated. Include in the assessment
methodology if and how the data will be assessed in the event a sample size is not met.
Consider the sample size needed to assess thresholds or WQS as well as the magnitude,
duration, and frequency of the exceedances.
3. The decision criteria for determining attainment and nonattainment of the tribal use for the
waterbody.
• Decision criteria may include a 10 percent exceedance allowance of the threshold or
WQS.
4. The thresholds or WQS the Tribe uses to assess each use.
• Thresholds can typically be represented in a table containing each parameter sampled,
the WQS or threshold, the use assessed, and any rules for assessing. For example, DO
for aquatic life: 3 mg/L in the spring season with a 10 percent exceedance threshold.
EPA advises Tribes to revisit their assessment methodology as they grow their programs and expand it
as necessary. Tribes with TAS for Section 303(d) will also have to include additional elements in their
decision-making process and assessment methodology. Additional information regarding assessment
methodologies can be found in EPA's Consolidated Assessment and Listing Methodology.
Performing Analyses
Once the Tribe determines how to perform the assessment, data analysis will begin with:
1. Identifying all data for use in analysis.
2. Compiling, running QA measures, and standardizing data and metadata.
3. Assessing data against thresholds or WQS.
Identifying all data for use in analysis: Monitoring data are not the only data that Tribes can use to
evaluate the condition of tribal waterbodies. If available, Tribes can incorporate any other data into the
analysis, such as the waterbody's geological characteristics, recreational advisories, fish consumption
advisories, fish kills, and data from upstream and downstream Tribes or states. EPA maintains a number
of online databases containing data related to water quality that may be used to supplement or support
tribally collected data. For example: the Water Quality Portal contains hundreds of millions of results
from around the country including data from Tribes, states, academia, USGS, nongovernmental
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organizations (NGOs) and more. EPA's How's My Waterway application provides a user-friendly way to
view data from the Water Quality Portal collected on or near tribal lands as well as other information
about nearby water quality. When Tribes use data from any secondary source in decision making, their
QAPP needs to include a discussion of how they review the data and determine that the data are
suitable for the intended purpose. In addition, Tribes can perform analyses using more than one year of
data and may use external data sources to better understand trends in water quality and supplement
data for low sample sizes.
Compiling, conducting QA measures, and standardizing data: The next step is compiling the data into
one format for analysis. Specifically, Tribes might need to standardize parameter names, check data
ranges, determine outliers, convert units, and compare methods for laboratory analysis.
Assessing data against thresholds or WQS: Once data is compiled into one format, Tribes can then
compare each parameter against the corresponding WQS or threshold. Tribes with approved WQS will
use them to perform assessments (see Chapter 8: Program Expansion - Regulatory Authorities for more
information about WQS). Tribes without EPA-approved WQS use other thresholds, including tribally
adopted WQS to determine whether tribal waters are meeting tribal water quality goals or designated
uses. Tribes can adopt relevant thresholds from neighboring Tribes or states or use EPA's National
Recommended Water Quality Criteria Tables. The thresholds chosen should align with their tribal
designated uses and water quality goals.
Some thresholds or WQS have a multi-step assessment process. For example, to analyze zinc or nickel, a
Tribe needs to collect and assess not only metals but water hardness. Multi-step assessments can be
complex to analyze.
Compiling Water Quality Assessments
Once the Tribe compares the data against thresholds or WQS, the next step is to associate those
outcomes to the tribal goals or designated uses for which they apply. As shown in Table 6, Tribes use
many parameters to evaluate water quality and determine designated use support such as aquatic life
use or fish consumption. In the assessment phase, Tribes will compile parameter analyses against
thresholds or WQS to determine whether a designated use is being supported. For example, if E. coli
values exceed the thresholds or WQS, the tribal goal/designated use of primary contact recreation is not
supported.
Please see EPA's Consolidated Assessment and Listing Methodology and the Tribal Assessment Modules
on EPA's Ambient Water Monitoring and Assessment website for more information on Water Quality
Assessments including exercises to practice assessing data against thresholds and WQS.
Developing a Water Quality Assessment Report
First and foremost, Water Quality Assessments are for tribal use to communicate the status of water
quality on tribal lands and secondarily for EPA.
The Water Quality Assessment Report commonly includes:
1. The Tribe's interests and goals for water quality.
2. A description of the work achieved.
3. Water quality status and trends.
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4. A discussion of how the results might inform future actions to help measure progress with
meeting the tribal water quality monitoring goals and address water quality concerns.
5. Visual displays of results from analyses, such as in charts and graphs to present to the tribal
community.
The Water Quality Assessment also serves as a grant deliverable and informs EPA about water quality on
tribal lands. The Water Quality Assessment can include information such as evaluating program
effectiveness, water quality improvements such as effectiveness monitoring, and identifying trends in
water quality. Chapter 6: Programmatic Reporting Requirements has more information on Water Quality
Assessment requirements.
Water Quality Assessments may lead to Tribes re-evaluating their water quality program and
considering future enhancements. Tribes can review the Updating Monitoring Designs, Conducting
Special Studies, and Monitoring Strategy sections of this chapter to adjust their monitoring design as the
Tribe re-evaluates the water quality program to address new monitoring goals. Figure 8 shows the
continuous process of learning, adjusting, and expansion of a monitoring program.
As an alternative to a written Water Quality Assessment, Tribes can choose to submit Water Quality
Assessment decisions through the Assessment and TMDL Tracking and Implementation System
(ATTAINS) and make these decisions available through How's My Waterway (Figure 15). ATTAINS
provides a national platform for reporting tribal and state water quality decisions. This e-reporting
process makes tribal decisions available, alongside decisions that states, and territories make, and shows
a more complete picture of water quality across the nation. This e-reporting process not only helps
inform EPA of water quality issues on tribal lands, but it also helps make tribal information more
accessible in decision making by watershed partners. For more information on ATTAINS, including
eligibility requirements and the new training schedule, Tribes can reach out to their EPA Project Officer,
e-mail attains@epa.gov, or visit the ATTAINS website.
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Figure 15. Snapshot of pages containing Tribal Water Quality Assessments in EPA's How's My Waterway
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Identifying Issues of Concern
Tribes may find water quality issues after performing Water Quality Assessments that need to be
addressed. Several factors can contribute to water quality problems in surface water and ground water.
Common pollutants and stressors that may impact a Tribe's water quality include:
• Pesticides: Pesticides are used in agriculture, animal feeding operations, and other activities.
Many pesticides are toxic to animals and may bioaccumulate in the environment. Any pesticides
used in or near surface waterbodies or aquifer recharge areas may lead to residues in water,
fish, and shellfish. Sources of pesticides include crop and urban runoff. EPA's About the Office of
Chemical Safety and Pollution Prevention (OCSPP) website and EPA's Pesticides website have
more information about pesticides.
• Salinity: Salinity is a measure of the total salt content in water. Excess salinity can harm wildlife
and the suitability of water for drinking. Agricultural irrigation can cause excess salinity. Urban
and industrial uses can also cause salinity problems. Saltwater intrusion into fresh water sources
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is a related problem that can occur where fresh and saltwater are in near proximity. Salinity
measurements are often included in measurements of TDS.
Flow Alterations: Activities such as dam construction and water withdrawals can alter natural
water flow and threaten waterbodies. Reduced flows impair the ability of waterbodies to flush
out nutrients and organic matter, thereby increasing contaminant concentrations. Additionally,
lower water levels can affect aquatic species that require specific water levels and flow rates to
survive. In contrast, problems such as degradation of river and stream bottoms, may also occur
when water flow increases. Lack of riparian buffer and excess impervious surface without
modern drainage techniques, such as bioretention ponds or green stormwater infrastructure,
cause flow alterations, scouring of stream banks, and excess sedimentation. When rain falls on
these surfaces and is directly routed to a river, it can cause rapid changes in flow volume and
velocity. Additionally, impervious surfaces can limit ground water recharge, diminishing the
quantity of ground water available for use, and increasing the cost of obtaining ground water.
Channelization: Changes created by channelization and channel modification can harmfully alter
waterbodies. Channel modifications alter the natural flow of water, as well as water
temperature and sediment characteristics, which in turn can affect the water quality and wildlife
in the waterbody.
Streambank Modification: Lack of healthy vegetation buffers, channelization, and shoreline and
streambank erosion can result in excessive sediment loads and increased turbidity and nutrient
levels that can adversely affect aquatic vegetation, shellfish beds, and tidal flats.
Feedlots and Livestock Operations: Animal waste can pose a significant threat to water quality.
Oxygen-demanding substances such as aerobic bacteria, ammonia, nutrients (including nitrogen
and phosphorus), solids, pathogens, and odorous compounds are common pollutants associated
with animal waste. Manure is also a potential source of salts, trace metals, and, to a lesser
extent, antibiotics, pesticides, and hormones. Animal waste and wastewater can enter
waterbodies from spills or breaks of waste storage structures due to accidents or excessive rain.
Pastureland: Overgrazing exposes soils, increases erosion, encourages invasion by undesirable
plants, and reduces buildup of sediment on streambanks, wet meadows, and floodplains. This
may result in nutrient runoff and sediment deposition in nearby waterways.
Irrigated Cropland: Irrigation waters transported in open, unlined canals can seep into adjacent
soils and carry soluble pollutants into ground or surface waters. Too much irrigation causes
excess water to run off the land into surface waters or seep through the soil into the ground
water. Irrigation waters can include pollutants such as sediment and organic solids, nutrients,
including nitrogen and phosphorus, chemicals, metals, pesticides, salts, bacteria, viruses, and
other microorganisms.
Land Disposal of Hazardous Waste: While landfill units have safeguards, hazardous waste can
still contaminate ground water if not properly treated before land disposal. Rain can also filter
through hazardous waste and leach out hazardous chemicals into the ground water.
Municipal Discharges: Wastewater is a potential source of pollution because it may contain
organic and inorganic materials, especially if the wastewater is untreated or only partially
treated. Discharged wastewater, particularly if untreated or partially treated, may increase
excess nutrients in the receiving stream and can be a source of E. coli, enterococci, and other
pathogens. EPA's Office of Wastewater Management (OWM) website has more information on
wastewater management and municipal discharges.
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• Forestry: Certain timber harvesting practices can disturb natural areas contributing to erosion,
soil loss, and sedimentation. Forestry can also increase water flow through cleared sites and
cause erosion along streambanks.
• Mining: Mining and mining waste can cause acid mine drainage, a metal-rich water formed by
the chemical reaction between water and rocks containing sulfur-bearing minerals. Acid mine
drainage is typical in areas where there is ore, or where coal mining activities have exposed
rocks containing pyrite, which is a sulfur-bearing mineral. Even mineralized areas that have not
been mined can have metal-rich drainage, which may be acidic. Mine drainage can contaminate
drinking water and disrupt the growth and reproduction of aquatic plants and animals.
Monitoring Effectiveness of Protection and Restoration Activities
The goal of protection and restoration is to achieve quantifiable improvements in water quality. When
designing and implementing water quality protection and restoration activities, the project plan should
include measures and milestones to help determine whether the management measures are being
completed and are addressing the water quality concerns. Consider short-term and long-term water
quality measures as some parameters may change sooner than others. For example, riparian buffer
zones and other stormwater management measures may reduce scouring and excess sedimentation
before benthic macroinvertebrate community health improves. Consider that upstream stressors may
limit the ability to demonstrate the effectiveness of a downstream best management practices (BMPs).
It may be appropriate to update the QAPP and related documents to include the data requirements
necessary to determine if the restoration activities are effective.
If the measures are not improving water quality as expected, then consider if:
• Management measures are being properly implemented by all responsible parties.
• There are other sources of the pollutant that the measures do not cover.
• There is a need to implement further special studies to evaluate effectiveness.
Program Evaluation
Program evaluations are important to ensure the program is still providing the information needed to
advance and accomplish tribal goals. As Tribes accumulate monitoring data and perform assessments, it
is necessary to evaluate whether the monitoring data are adequate to meet water quality goals. If the
right data are not collected to meet water quality goals, Tribes may identify what additional information
is needed and consider adjusting the monitoring program accordingly. If the Tribe wants to change an
aspect of the water quality monitoring program, they will also need to update their QAPP and SOP
documents and submit them to the EPA regional office for approval. EPA's Developing a Tribal Water
Quality Program Monitoring Strategy supplement has more information on CWA goals.
Tribal Environmental Education and Outreach
Tribes may choose to provide information about the program to the community, including the results of
the Water Quality Assessments. Water quality programs, particularly ones that involve voluntary
activities, rely on active community involvement and public participation to succeed. A Tribe's
community outreach and awareness program may include several topics related to the monitoring
program, including information on waterbodies on the reservation, volunteer activities, human health
concerns, management measures, pollution prevention, education, and general information. When
conducting any public outreach activities, Tribes can reinforce the message with monitoring and
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assessment data. The community may be more likely to share concerns or understand accomplishments
if they see quantitative data that support the claims.
Informed and involved members of the community are more likely to support the Tribe's efforts to
protect the environment. For example, if a goal is to address leaching from septic systems, the water
quality program may work closely with homeowners and small businesses that use septic systems
(Chapter 7: Program Expansion - Additional Activities has more information on septic systems). Taking
pictures of activities and events and posting on social media may help illustrate work being completed.
Depending on the activities that the Tribe chooses to implement, they may target different groups of
the population. For example, if the Tribe wants to prevent pesticides from entering surface water, they
may work with farmers or gardeners in the community to implement a pesticide and fertilization
management program.
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Salt River Pima-Maricopa Outreach Example
The Salt River Pima-Maricopa Indian Community (SRPMIC) considers the education of Native youth
one of their most important goals. The SRPMIC Environmental Protection & Natural Resources
Division's Water Quality Program (WQP) organizes community events to engage youth in learning
about the natural resources and wildlife around them, and how their protection is vital. Despite the
tumultuous year of 2020, the WQP made continuous efforts toward their ambitious environmental
education and outreach goals.
During 2020, the WQP conducted presentations for high school students to discuss what the WQP
does on tribal land to protect their water resources. Students learned about the importance of water
quality, how to sample, and saw firsthand the important work the WQP staff were doing.
Activities such as these raise environmental awareness and give youth an opportunity to see some of
the career opportunities that exist within tribal governments. The SRPMIC's outreach goals
emphasize the impact of engaging community members in environmental issues and the importance
of training future generations to be good environmental stewards.
Additional methods that communities have used to raise public awareness about water quality issues
include:
• Tours of restored or impaired waterbodies.
• Educational workshops on pollution, source water protection, and septic system
management.
• Events and programs such as "adopt-a-river," river cleanup days, and volunteer monitoring
networks.
• Brochures, flyers, and newsletters on pollution, source water protection, and septic system
management.
• No-penalty hazardous waste collection programs.
• Solicitation of public input in developing a septic system management program.
The Tribe may have public participation requirements that apply to tribal law. Tribes should consult a
tribal attorney general or equivalent officer to see if any tribal public participation requirements
apply. Partnering with the community (including potentially regulated entities), watershed groups,
and others will help the Tribe understand the community's perspective and may give the Tribe access
to data and information to make their program more effective. In addition, including those affected
by the quality of the reservation waters may build support for the standards development process.
Figure 16. The SRPMIC Young River People's Council leading a student activity. Credit: Photo courtesy
of the SRPMIC
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Volunteer Programs
Volunteers from the community may be able to help Tribes implement their program, allowing Tribes to
devote funding to other program areas. Community members may also have ideas that help Tribes
define their program's needs and priorities. Tribes may also encourage volunteer groups to form and
independently conduct activities that will support their water quality program goals. Tribes may
consider incorporating volunteer recruitment into community outreach efforts and use available
resources, such as:
• Staff from neighboring water quality programs who can provide technical assistance. Some
Tribes with established water quality programs have mentored Tribes developing new
programs.
• Volunteers who can help carry out some of the activities in the work plan. Several water quality
programs have used volunteers from the community, local high schools, tribally sponsored
internship programs, community colleges, and university programs.
EPA's Volunteer Monitorinc, website has more information about volunteer monitoring programs.
Northern California Tribal Stream Team
The Northern California Tribal Stream Team facilitates water quality monitoring knowledge and
equipment sharing among tribal environmental staff primarily in Mendocino, Lake, and Sonoma
counties in Northern California. Participating Tribes take turns hosting the meetings. This
collaborative group has helped maintain tribal water quality programs during times of staff turnover
and equipment failures. The Stream Team also works with youth through schools and other science,
technology, engineering, and math (STEM) programs, demonstrating modern monitoring and
restoration techniques and connecting those concepts to Indigenous values and knowledge.
Figure 17. Northern California Tribal Stream Team meeting at the Hopland Band of Pomo Indians
Reservation, May 2018. Credit: Photo courtesy of the Northern California Tribal Stream Team
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Working in Partnership with Other Tribes and States
Collaborating with neighboring Tribes, states, and EPA is a sound environmental planning and
management practice because they often share the same environmental problems. Working together to
resolve these problems benefits everyone. The Tribe may also benefit from contacting other
organizations in the watershed, including local governments and watershed organizations.
Depending on the types of activities a tribal water quality program conducts in the watershed, they may
be able to support regulatory programs of neighboring Tribes and states. For example, the Penobscot
Indian Nation shares their water quality monitoring data with the Maine Department of Environmental
Protection not only for resource management and planning purposes but also Section 305(b) reporting
to Congress, which Maine is required to perform as part of their Integrated 303(d)/305(b) Report.
In some cases, Tribes may want to work even more closely with neighboring Tribes and states regarding
WQS on common waterbodies or modify and adopt the WQS of an adjacent Tribe or state. These
options can be quick and cost-effective ways to establish WQS that are more likely to result in consistent
upstream and downstream standards.
There are many opportunities for negotiation, agreement, and cooperation between Tribes and states
that can benefit both parties. Usually, these agreements have focused on information exchanges such as
those in Oklahoma's Submitting Assessments or Water Quality Data to the State of Oklahoma for
Inclusion in the Integrated Report: A Guide for Tribes and transboundary coordination, much like
agreements commonly reached between states. Some agreements have also allowed Tribes to access
state resources such as training, to protect water resources.
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Chapter 6: Programmatic Reporting Requirements
Read this chapter...
• To understand the three programmatic reporting deliverables for the Section 106 Program.
• To identify the ten elements of a Monitoring Strategy.
• To understand flexibilities in the WQX data reporting requirement.
• To see what content to include in a Water Quality Assessment.
Chapter highlights:
• Table summarizing the three programmatic reporting deliverables for the Section 106 Program.
• Tables summarizing the frequency, due date, and relevant work plan component of each of the
reporting deliverables.
Tribes are critical partners in helping demonstrate environmental results achieved using Section 106
funds. Tribal information furthers the understanding of national water quality and can be used by local,
regional, and national decision makers.
Regular grant performance and programmatic reporting are typical components of EPA grants.
Specifically, performance reports help EPA regional Project Officers ensure that Tribes are meeting their
work plan objectives and project schedules. Programmatic reports provide specific information about a
Tribe's water quality activities. This chapter focuses on:
• The three required programmatic reporting deliverables that Tribes provide to EPA:
o A Monitoring Strategy.
o Water quality data submitted into EPA's Water Quality Exchange (WQX).
o A Water Quality Assessment.
• Resources available to assist with their development.
• Considerations for providing additional reporting flexibilities.
• A summary of the programmatic and grant performance reporting requirements.
EPA needs to demonstrate regional and national results for the Section 106 Program and to understand
conditions on Indian reservations in sufficient detail to make effective decisions at a national level. EPA
is also responsible for ensuring that funding provided to grantees is used in accordance with the work
plan and the grant terms and conditions.
The three required programmatic reporting deliverables contain tribal water quality information that
support the program priorities of the Tribe. The Monitoring Strategy serves as the foundation and guide
for tribal monitoring and assessment programs. The water quality data and Water Quality Assessments
help Tribes compare water quality over time and make informed decisions about their program's future.
Table 8 is a summary of the three required programmatic reporting deliverables for the Section 106
Program.
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Table 8. Summary of required programmatic reporting deliverables for the Section 106 Program
Required Programmatic
Reporting Deliverable
Description
1. Monitoring Strategy
A Monitoring Strategy is a forward-thinking long-term plan for meeting
water resource objectives. The document describes current and future
monitoring plans and incorporates an implementation timeline and
milestones, and identifies necessary enhancements.
2. Water quality data
submitted through WQX
The water quality data collected by a Tribe and submitted to WQX is raw
sampling information and part of many forms of information a Tribe might
use to understand their water quality. Tribes should upload their data into
WQX at least once a year.
3. Water Quality
Assessment
The Water Quality Assessment is a backward looking or summary
document that documents the data collected and how the Tribe is
comparing water quality results over time. The assessment portion can
help a Tribe make informed decisions about the conditions of their water
and how their program will address their water quality needs in the future.
Monitoring Strategy
Comprehensive Monitoring Strategies help Tribes define water quality goals, document their existing
water quality concerns, and plan, build, and expand their water quality programs. Tribes can develop
new Monitoring Strategies or submit Monitoring Strategies they already developed using Section 106
funds or other funding sources such as Section 319 funds. More information is in Chapter 5:
Development and Implementation of a Monitoring Program.
A 5-year Monitoring Strategy is a long-term plan for meeting each Tribe's identified water resource
goals. The document describes current and future monitoring plans while incorporating a timeline and
milestones for project implementation. The Monitoring Strategy should be comprehensive in scope. For
instance, it should serve all water quality management needs while addressing as many tribal waters as
possible, such as streams, rivers, lakes, reservoirs, estuaries, coastal areas, wetlands, and ground water.
The strategy should also identify issues and needs hindering an adequate monitoring program. Where
possible, a Monitoring Strategy should document the plans and resources needed to address existing
gaps or weaknesses in a monitoring program.
Ten Elements of a Monitoring Strategy
1. Monitoring program strategy.
2. Monitoring goals.
3. Monitoring design.
4. Core and supplemental water quality parameters.
5. Quality assurance (QA).
6. Data management.
7. Data analysis/assessment.
8. Reporting.
9. Programmatic evaluation.
10. General support and infrastructure.
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Tribes should review their Monitoring Strategy annually and revise the document to incorporate
program changes. Tribes should submit their Monitoring Strategy for EPA review at least every 5 years.
Chapter 5: Development and Implementation of a Monitoring Program has more information on each
element of a Monitoring Strategy.
How Monitoring Strategies Differ from QAPPs
While a Monitoring Strategy is a long-term general plan for meeting all water quality management
needs, a Quality Assurance Project Plan (QAPP) is project specific. As described in Chapter 5:
Development and Implementation of a Monitoring Program, the QAPP documents the type and quality
of data that the program needs for specific environmental decisions and is directly connected to the
activities in a Tribe's EPA-funded grant work plan. Each program's QAPP describes:
• Why, where, and how samples will be collected.
• How samples will be analyzed.
• Necessary data quality.
• How the Tribe will use and evaluate the data.
• The types of decisions that will result from data analysis.
Components of the Monitoring Strategy may be found in existing QAPPs and in some cases, the
Monitoring Strategy is included as part of the Tribe's QAPP. Tribes and EPA regional staff may evaluate
existing QAPPs and other programmatic documents to determine which Monitoring Strategy elements
they cover. Based on these evaluations, EPA regions then determine the additional information the
Tribes need to document to meet the Monitoring Strategy requirements.
How Monitoring Strategies Differ from Grant Work Plans
An annual work plan is more project-specific than a Monitoring Strategy. The work plan identifies the
activities Tribes will accomplish for a set period and budget. Work plans include activities related to:
• Administering the water program.
• Managing the grant.
• Training.
• Conducting public education and outreach.
• Monitoring and assessment.
• Reporting.
• Other deliverables.
The monitoring and assessment components of a Tribe's work plan are the activities a Tribe will conduct
during the grant period to support the long-term goals and objectives of the Tribe's Monitoring Strategy.
However, the work plan does not necessarily include all plans and goals identified in a Monitoring
Strategy. A Monitoring Strategy describes activities and enhancements the Tribe incorporates into their
program over a longer time, making it more comprehensive and strategic in scope than a work plan. EPA
does not require Tribes to submit monitoring strategies annually, therefore, this output may not be
found in every annual work plan. However, review and revision of an existing Monitoring Strategy may
be found routinely in multi-year work plans.
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Water Quality Data Submitted Through WQX
At least annually, Tribes must submit water quality data to WQX for all water quality data they collect
with EPA funding. Tribes should identify annual milestones for data input in their grant work plan. If
Tribes cannot submit their data directly to WQX, they must submit a justification as to why they could
not load data to WQX and provide the Project Officer with the data in a WQX compatible format. (The
Alternate Data Submission section below has more information.)
EPA Headquarters, EPA regional offices, and Tribes have developed training materials and templates for
data submission. More information is available through EPA regional offices and EPA's Water Quality
Data Upload with WQX website and additional support is available at wqx@epa.gov.
WQX Compatible Data
To submit data into WQX, there is some required information about the data, known as metadata.
Required metadata include:
• Project name.
• Project identifier.
• Monitoring location name.
• Monitoring location type, such as river, stream, or lake.
• Collection method.
• Characteristic name, for example, pH, turbidity.
• Results metadata such as date, analytical methods, unit of measure, sample fraction, and other
conditional metadata depending on media type (biological, water, sediment).
Alternate Data Submission
While EPA requires Tribes to upload all tribal data to WQX, EPA
may waive this requirement in some instances and allow the
Tribe to submit their water quality data to their Project Officer
in a WQX compatible format, along with a justification. Tribes
can use the WQX Web Template for their data, even if they do
not submit the data directly to WQX. Another option is to
provide an Excel spreadsheet with the required metadata.
The Tribe's justification for waiving the WQX submission should include: a description of the limitation
or impediment to water quality data entry directly to WQX (see the "Justification examples" text box), a
proposed plan to address the issue, and a proposed time frame to meet the programmatic reporting
requirement. Information provided in the justification will assist EPA in addressing barriers to data
submission to WQX, where possible. Tribes should send WQX compatible data and justification details to
their regional Project Officer in accordance with the annual milestone in their grant work plan. A sample
justification is provided in Appendix C: Sample Justification for WQX.
Water Quality Assessment
Tribes develop a Water Quality Assessment every one to two years, with the due date found in the EPA-
approved grant work plan. Tribes should discuss the frequency of submitting their Water Quality
Assessment with their EPA regional Project Officer to determine if annual or two-year reporting best
supports their program objectives and retains capacity. The complexity and length of the Water Quality
Justification examples:
• Inadequate internet access.
• Funding limitations.
• Loss of key staff.
• Training needed.
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Assessment will vary based on the Tribe's monitoring program, staff experience, capacity, and available
funding. For instance, Tribes with established programs may include more complex narrative and
graphical descriptions of water quality goals and how to achieve them, while Tribes that have started
their programs more recently may deliver baseline monitoring type reports. Tribes might be able to
identify the causes and possible sources of water quality impairment/degradation in their Water Quality
Assessments. Table 9 lists questions that the Water Quality Assessment addresses and examples of
content to include.
Table 9. Questions that the Water Quality Assessment addresses along with example content
Potential Questions when
Developing Assessments
Information to Consider
What data are available?
• Narrative text with site descriptions.
• Basic data summary table(s).
• QA/Quality Control (QC) review.
What do the data represent?
May include information above, plus:
• Map of monitoring locations.
• Data displayed graphically.
• QA/QC summary.
• Thresholds for results comparison.
• Data observations.
What progress has the program
made toward their water quality
management goals?
• Assessment of condition and trends, as available.
• Identify causes and possible sources of impairments.
• Assessment methodology.
The Water Quality Assessment contains basic information about water quality monitoring activities,
assessment decisions, and describes how the program is meeting the goals laid out in the Monitoring
Strategy. As more monitoring is conducted, the Tribe's Water Quality Assessment becomes increasingly
comprehensive. The major components of a Water Quality Assessment for a Tribe should include the
following:
1. An atlas table of tribal water resources. An atlas should include the estimated number of stream
miles, lake acres, wetland acres, or estuarine square miles on the Tribe's reservation. This
information will most likely stay the same from year to year unless the land base changes.
2. A narrative description of tribal water quality monitoring programs and assessment methods.
This information will most likely stay the same from year to year unless the land base changes.
Refer to Chapter 5: Development and Implementation of a Monitoring Program for more
information on developing a water quality monitoring program.
3. Narrative description of results of water quality monitoring on the Tribe's reservation. This
should include an interpretation and summary of the findings of tribal monitoring activities,
including probable causes and sources of impairment.
4. Brief narrative descriptions of issues of tribal concern and potential actions to address them.
The Tribal Assessment Modules on EPA's Ambient Water Monitoring and Assessment website have more
information on Water Quality Assessments, including examples and technical guidance.
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Programmatic Reporting Flexibilities
EPA recognizes that staffing, financial constraints, and other factors vary among Tribes. Therefore, EPA
regional Project Officers may adjust individual reporting requirements on a case-by-case basis. EPA may
waive a specific requirement, for instance, if a Tribe can demonstrate that the required deliverables
would cause an undue hardship, or that there are circumstances beyond the Tribe's control. Some
potential examples include, but are not limited to, natural disasters, such as fire or drought, and other
hardships, such as a pandemic, that may limit the Tribe's ability to conduct and report monitoring
activities.
Freedom of Information Act
Tribes may need to protect certain information from release. For example, confidential business
information, some personal privacy information, and limited other tribal information may be exempt
from disclosure under the Freedom of Information Act (FOIA) or special provisions at the EPA
regional level. Tribes should discuss any data sensitivity issues with the Project Officer during work
plan negotiations.
Grant Performance Reporting
All grantees are required to provide performance reports and to participate in joint evaluations. Chapter
3: Grant Requirements includes more information on financial and performance reporting requirements.
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Summary of Reporting Deliverables
Table 10 provides a summary of the three required programmatic reporting deliverables and other
common deliverables for the Section 106 Program. Tribes must include all the elements in Table 10 in
their work plan as programmatic reporting and performance deliverables and provide the deliverables
to EPA no less frequently than listed in Table 10. Tribes may be responsible for other administrative and
financial reporting requirements under 2 CFR 200.328.
Table 10. Reporting deliverables for the Section 106 Program
Monitoring Strategy
Frequency
Submit at least every 5 years.
Review annually to identify any necessary revisions.
Due Date
Due 5 years after the previous Monitoring Strategy was reviewed and submitted to
EPA.
Work Plan
Component
At least every 5 years a commitment and output to develop, review, or revise a
Monitoring Strategy when appropriate.
EPA encourages Tribes to include an annual review of their Monitoring Strategy as a
work plan commitment to identify any necessary revisions.
Format
See the Developing a Tribal Water Qualitv Proaram Monitorina Strateav supplement.
WQX Data Submittal
Frequency
Annually, for all water quality data they collect with EPA funding.
Or, if the Tribe cannot submit data directly to WQX, then annually submit data in a
WQX compatible format directly to EPA regional staff along with a justification of why
they could not load their data to WQX.
Due Date
Due with the Final Performance Report (120 days after grant project period ends).
Work Plan
Component
Annual submittal as a work plan commitment and an output.
Format
More information is in the Tribal Data Management for WQX Submission supplement.
Also see the Water Qualitv Data Upload with WQX website or e-mail wqx@epa.gov.
Water Quality Assessment
Frequency
Every one or two years. Tribes should work with their EPA regional Project Officer to
determine if the tribal water quality program is best supported by an annual or two-
year reporting cycle.
Due Date
Due with the Final Performance Report (120 days after grant project period ends).
Work Plan
Component
Identified as a commitment and output in the grant work plan every 1 or 2 years.
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Quality Assurance Project Plans
Frequency
Submit with each new sampling project and as specified in the grant award.
Complete an Annual Review each year.
Due Date
EPA must approve the QAPP before Tribes can collect or use environmental data
described in the QAPP.
Work Plan
Component
Required annual work plan commitment to review QAPP.
Format
Quality Assurance Project Plan Development Tool.
Performance Report
Frequency
The grant agreement will specify quarterly, semi-annually, or annually.
Due Date
Select one that corresponds to the frequency (example dates for a grant awarded on
October 1):
Quarterly
1. Quarter 1 Progress Report (October to December).
2. Quarter 2 Progress Report (January to March).
3. Quarter 3 Progress Report (April to June).
4. Quarter 4 Progress Report (July to September).
Semi-annually
1. Semi-annual Progress Report (October to March).
2. Semi-annual Progress Report (April to September).
Annually
Annual Progress Report (October to September).
Reports submitted annually by the non-Federal entity and/or pass-through entity must
be due no later than 90 calendar days after the reporting period. Reports submitted
quarterly or semiannually must be due no later than 30 calendar days after the
reporting period.
Work Plan
Component
Listed as a work plan commitment and output.
Submitted as a deliverable.
Format
Detailed progress reports for each grant component and describes achievement of
milestones.
40 CFR 35.515
2 CFR 200.329
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Final Performance Report ("close-out report")
Frequency
Submit 120 days after grant closes.
Due Date
Due 120 days after grant project period ends.
Work Plan
Component
Submitted as a deliverable at the end of the grant period.
Format
Summary of activities successfully completed to address all work plan commitments.
40 CFR 35.515
2 CFR 200.329
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Chapter 7: Program Expansion - Additional Activities
Read this chapter...
• To learn about optional activities that expand water quality protection efforts.
• To understand what is meant by a watershed approach.
• To consider how a watershed approach can develop into a Tribal Nonpoint Source Program.
Chapter highlights:
• Strategies to protect source water.
• Activities to properly manage decentralized systems to protect water quality.
• Major steps of the watershed planning process.
This chapter contains information on additional, activities that tribal water quality programs can
implement to expand their water quality protection efforts using Section 106 funding. The activities in
this chapter are organized into three categories: source water protection, decentralized wastewater
treatment systems, and watershed planning. None of the activities in this chapter are required by
federal regulations or require Tribes to obtain CWA authorities. However, Tribes may find these
activities especially valuable as they look for ways to work toward their water quality program goals or
are interested in obtaining treatment in a similar manner as a state (TAS) for the Section 319 Program.
The activities in this chapter support addressing nonpoint source (NPS) pollution using a watershed
approach. NPS pollution is from diffuse sources without a single point of origin, including pollution from
agricultural lands, urban areas, and failing on-site wastewater treatment systems.
The Watershed Approach
A watershed is a geographic area in which all falling water drains to a common waterbody (Figure
18). Everyone lives in a watershed. Watersheds may be as small as a few acres or extend over
thousands of square miles. Reservations often cover only part of a watershed. A watershed can cross
tribal and state boundaries and fall under the jurisdiction of tribal, state, and local governments.
The watershed approach focuses efforts on a particular watershed, which is the area of land that
drains to a specific point, such as the confluence of two rivers, a lake, or a coastal estuary. The
watershed approach looks holistically at the interaction between activities on the land and the
health of the waterways, wetlands, lakes, streams, rivers, and estuaries that the land drains into. The
watershed approach is characterized by these unique features:
1. A geographic area that is hydrologically defined (a watershed or drainage area).
2. Includes a community-based coordinating framework to involve all stakeholders.
3. Uses adaptive management to strategically address priority water resource goals.
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Figure 18. Illustration of a watershed
Source Water Protection
Source water includes any reservoirs, streams, rivers, and aquifers used by public water systems10 to
supply drinking water to their customers. Regardless of whether a Tribe operates their own drinking
water system, a Tribe can still participate in source water and wellhead protection activities to ensure
access to safe drinking water into the future.
Strategies for Source Water Protection
Source water protection involves:
• Identifying any significant potential source water contaminants.
• Maintaining source water quality.
• Preventing contamination from occurring (for example, with contingency planning).
• Determining the best available source water.
10 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 public water system may be publicly or privately owned.
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As a first step in source water protection, Tribes can conduct a source water assessment. A source water
assessment identifies public drinking water sources in the watershed and any current or potential
sources of contamination. Tribes can connect with local watershed collaboratives, neighboring states, or
others who are working on source water protection to leverage goals and potential funding for source
water protection efforts.
Source water assessments provide basic information to determine the source water quality, whether
the source water is safe for drinking, and how to prioritize actions to protect the source water from
contamination. The final product of a source water assessment is a report that includes the
following three major elements:
• A delineation or map of the land that contributes to the drinking water supply (often called the
source water protection area).
• An inventory of all existing and potential sources of contamination in the delineated area.
• A determination of how susceptible the water supply is to sources of contamination.
Tribes can summarize their source water assessment results and make them available to the public for
knowledge sharing and further engagement. For example, Tribes can convene public workshops; make
copies available at public libraries, local government offices, or water systems; and post the assessment
results online.
The results of the assessment are used to develop a Source Water Protection Plan. A Source Water
Protection Plan is an action plan that identifies and prioritizes long-term management strategies for
protecting sources of drinking water.
Connection to Section 106
Increasingly, EPA, Tribes, states, and interstate agencies are working together to develop basin-wide
approaches to water quality management, which coincides with the watershed-based approach that
source water protection also encourages. The following are eligible activities for Section 106 funding:
• Developing source water assessments and protection strategies and plans.
• Monitoring to determine source water quality.
• Outreach and communication on source water activities.
Additional Resources
• EPA's Source Water Protection website has more information on source water assessments.
• Tribes can use EPA's Contact Us about Ground Water and Drinking Water form to inquire for
more information.
• EPA's FITS: Funding Integration Tool for Source Water is a tool that explains how users can
integrate various federal funding sources to support activities that protect sources of drinking
water.
• The Drinking Water Mapping Application to Protect Source Waters IDWMAPS) is an online
mapping tool that helps tribal, state, and utility drinking water professionals in concert with
other mapping tools to update their source water assessments and protection plans.
• EPA Region 10's Environmental Finance Center created the Tribal Source Water Protection Plan
Guidance Document to assist tribal systems in protecting their drinking water sources from
potential sources of contamination.
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• For Tribes that use ground water for their sources of drinking water, see information and
guidance on wellhead protection at Washington State's Wellhead Protection Program Guidance
Document.
Decentralized Wastewater Treatment Systems
Decentralized wastewater treatment systems (or
"septic systems") are a significant component of
the U.S. wastewater infrastructure and are used
by approximately 20 percent of U.S. households.
They derive their name from their location—they
treat and dispose of relatively small volumes of
wastewater close to the source, typically on the
property of individual homes and businesses. A
typical onsite (single home) decentralized system
consists of a septic tank and either a drain field or
soil absorption field. These systems are common
in suburban and rural locations not served by a centralized public sewer system.
The performance of decentralized systems is a national issue of great concern to EPA. Decentralized
systems can significantly threaten public health and water quality when they are not properly sited,
designed, installed, operated, and maintained. Few decentralized systems receive proper maintenance
because homeowners are either unaware of the need for maintenance or find it too costly. In addition,
most regulatory programs do not hold homeowners accountable for the performance of their
decentralized system after installation.
Decentralized systems can contribute to an overabundance of nutrients in ponds, lakes, and coastal
estuaries, leading to an overgrowth of algae and other nuisance aquatic plants. The concentration of
fecal coliform bacteria associated with human sewage and with organic wastes from livestock and
wildlife have caused closures and harvest restrictions in shellfish growing areas. EPA is also concerned
with the presence of nitrates in ground water, particularly in rural areas where residents rely on
individual wells and decentralized systems to serve relatively small lots. Improving the performance of
decentralized systems through better management and proper maintenance is essential to improve the
quality of U.S. waters.
Strategies for Decentralized System Management
Proper management of decentralized systems involves:
• Public education, participation, and engagement.
• Planning, design, site evaluation, construction, and permitting.
• Oversight of system performance, including inspections and monitoring, and operation and
maintenance.
• Septage disposal.
• Training and certification or licensing.
• Recordkeeping, inventorying, and reporting.
• Financial assistance and funding.
Decentralized systems are also called:
• Onsite wastewater treatment systems.
• Septic systems.
• Cluster systems.
• Package plants.
• On-lot systems.
• Individual sewage disposal systems.
• Private sewage systems.
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Taking decentralized systems into account is part of effective watershed-based planning. Appropriate
management programs for on-site systems support the activities and approaches in other EPA
programs, such as watershed management, NPDES, total maximum daily loads (TMDLs), water quality
standards (WQS), source water assessment and protection, and NPS control. They also contribute to
achieving WQS and public health goals. EPA's Septic Systems website has more information about
decentralized systems.
Connection to Section 106
A Tribe may use Section 106 funds for activities related to decentralized systems, including the
following:
• Participating in public outreach, education, and engagement programs.
• Participating in programs to promote stakeholder and partner agency involvement.
• Conducting watershed and ground water assessments.
• Establishing public health and water resource protection goals.
• Conducting targeted surface and ground water monitoring studies to characterize the impact of
malfunctioning decentralized systems, discharging and non-discharging, on surface and ground
water quality.
• Assessing the water quality impacts from decentralized systems.
• Identifying critical areas where decentralized systems pose elevated risks (for example, sites
with high water tables, high densities of existing systems, near sensitive surface waters, or in
floodplains).
A Tribe may not use Section 106 funds to construct, maintain, or replace decentralized systems.
Additional Resources
EPA regional and state offices have more information on eligible activities related to decentralized
systems. EPA's Contact Us About Septic Systems website includes links to EPA regional and state
contacts.
EPA Resources
• EPA's Frequent Questions on Septic Systems includes general information about septic systems,
caring for and maintaining septic systems, signs of system failure, inspection and compliance,
paying for septic systems, and the environmental and public health impacts of septic systems.
• EPA's Septic Systems Reports, Regulations, Guidance, and Manuals website includes the
"Voluntary National Guidelines for Management of Onsite and Clustered (Decentralized)
Wastewater Treatment Systems" and "Handbook for Management of Onsite and Clustered
(Decentralized) Wastewater Treatment Systems" which guides entities through preventing
decentralized system failure, improving decentralized system management practices, and
enhancing the performance and reliability of decentralized systems. The guidelines help
improve system performance by encouraging the institutionalization of management concepts
and raising the quality of tribal, state, and local management programs.
• EPA's Using a Responsible Management Entity (RME) to Manage Tribal Onsite (Septic)
Wastewater Treatment Systems is a document developed by EPA in cooperation with the Indian
Health Service (IHS) that describes a centralized approach for managing decentralized systems
using a responsible management entity for oversight and maintenance.
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• EPA's SepticSmart Week seeks to inform homeowners on proper septic system care and
maintenance, assist local agencies in promoting homeowner education and awareness, and
educate local decision makers about infrastructure options to improve and sustain their
communities. EPA's SepticSmart Education Materials includes educational resources such as
brochures, factsheets, videos, and posters.
• EPA's Decentralized Wastewater Partnership, created in 2005, seeks to improve the overall
performance and management of decentralized systems. EPA Headquarters, EPA regions, state
and local governments, and national organizations facilitate the exchange of information on
decentralized system technology, collaborate to support training efforts, promote public
awareness of septic system care and maintenance, and produce informational materials on
decentralized systems.
Watershed-Based Approaches to NPS Management
The following subsections identify some NPS activities Tribes can conduct using Section 106 funding in
advance of establishing a Section 319 funded NPS Program. The NPS Assessment Report and NPS
Management Program Plan establish the basis for a Tribal NPS Program. Tribes seeking TAS for Section
319 funding are required to submit an EPA-approved NPS Assessment Report and NPS Management
Program Plan with their application. Chapter 9: Other Funding Options has more information about
Section 319 NPS grants.
Developing an NPS Assessment Report
The NPS Assessment Report is a comprehensive technical summary of the condition of tribal water
resources. The report provides the foundation for the scope and direction of the Tribe's NPS Program. It
is important to characterize all waterbodies, including those that are partially on nontribal lands, if
possible. Thus, partnering with external entities can be important to the overall process. Two types of
information that will determine the scope and direction are:
• NPS-related impairments for targeting restoration efforts.
• Waterbodies of high quality or cultural significance that need protection from existing or future
sources of polluted runoff.
The NPS Assessment Report must include four types of information (referred to as the four legislative
conditions):
1. An identification of waters that cannot be expected to attain or maintain tribal WQS or
thresholds without the control of NPS pollution.
2. An identification of the categories and subcategories of NPS pollution that contribute to the
water quality problems for the individual waters identified in 1 above.
3. A description of how the Tribe will identify the best management practices (BMPs) needed to
control each category and subcategory of NPS pollution identified in 2 above, as well as a
description of how the BMPs will be used to reduce the level of pollution resulting from these
sources.
4. A description of any existing tribal, state, federal, and other programs that might be used for
controlling NPS pollution.
Tribes should utilize the Section 106 Water Quality Assessment as the foundation for building an NPS
Assessment Report. Additional information on developing an NPS Assessment Report is in EPA's
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Handbook for Developing and Managing Tribal Nonpoint Source Pollution Programs under Section 319 of
the Clean Water Act.
NPS Management Program Plan
The NPS Management Program Plan (Management Plan) describes how the Tribe will use the
information in the NPS Assessment Report to address the water quality impairments and threats they
identified. The Management Plan elaborates on the specific activities they will undertake to improve or
maintain conditions as documented in the NPS Assessment Report. CWA Section 319(b)(2) specifically
requires the following minimum components to be covered in an approvable Management Plan:
1. Identification of BMPs and other measures to reduce NPS pollutant loadings by category and
subcategory.
2. Identification of programs that can help implement an NPS Management Program.
3. A schedule containing annual milestones for using the program implementation methods
identified in 1 and 2 above.
4. Certification from the tribal legal counsel that the Tribe's laws provide adequate tribal authority
to implement the program.
5. Identification of all potential sources of federal and other financial assistance programs and
funding that might support an NPS program.
6. Identification of the federal financial assistance programs and federal development projects that
affect tribal water resources.
7. Identification of local and private experts (such as range conservationists, fish and wildlife staff,
hydrologists, agricultural experts) to help develop and implement an NPS Management
Program.
8. Development and implementation, to the maximum extent practicable, of the program on a
watershed basis.
EPA's Handbook for Developing and Managing Tribal Nonpoint Source Pollution Programs Under Section
319 of the Clean Water Act has more information on developing an NPS Management Program Plan.
Tribes can use EPA's Handbook for Developing Watershed Plans to Restore and Protect Our Waters
framework to organize activities on the basis of watershed boundaries.
Connection to Section 106
Tribes can use Section 106 grants to establish watershed-based goals that relate to and help achieve
their water quality goals. Watershed-based goals can address current and historical distribution and
condition of important resources in a watershed, or the physical and ecological setting of the watershed.
Common watershed-based activities that Section 106 grants can fund include:
• Characterizing water quality.
• Evaluating the impacts of forestry, agriculture, urbanization, septic systems, or construction and
effects of land use on water quality.
• Identifying causes of streambank erosion.
• Investigating causes of declines in ground water quantity.
• Characterizing stormwater runoff.
• Conducting community education and outreach about the watershed.
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• Developing watershed maps showing waterbody types, tribal cultural sites, species distribution,
and sites of water quality impairment.
• Developing local and community watershed organizations.
• Inventorying possible restoration sites.
• Determining causes of floods.
• Collecting the information needed to develop NPS Assessment Plans and NPS Management
Plans and to write the plans.
Tribes cannot use Section 106 funds to install BMPs and conduct restoration activities that implement
watershed-based plans.
Additional Resources
The resources below can help develop an effective watershed-based plan.
• EPA maintains How's My Waterway, a website with information about watersheds.
• EPA's Community-Based Watershed Management Handbook and Watershed Analysis and
Management IWAM) Guide for Tribes may also be helpful.
• The Center for Watershed Protection also provides many tools and guidance materials.
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Chapter 8: Program Expansion - Regulatory Authorities
Read this chapter...
• To learn how CWA regulatory programs expand water quality protection efforts: CWA Sections
303(c), 401, 303(d), 402, and 404.
• To obtain information about TAS requirements for each CWA regulatory program.
• To identify tools and resources to develop CWA regulatory programs.
Chapter highlights:
• Developing WQS under Section 303(c).
• Conducting the certification process under Section 401.
• Listing impaired waters and developing TMDLs under Section 303(d).
• NPDES permits under Section 402.
• Permits for the discharge of dredged or fill material into "waters of the United States" under
Section 404(g).
Once Tribes have established their water quality programs, they can consider options to expand their
water quality programs to include additional CWA regulatory authorities using their Section 106 funding.
These CWA authorities help restore and maintain the chemical, physical, and biological integrity of
waters by focusing on water quality and protection of aquatic resources. Many Tribes grapple with
water quality challenges ranging from climate change, drought, population growth, aging infrastructure,
and other factors. EPA collaborates with Tribes and other partners, including states and municipalities,
to identify how existing CWA programs can support their water quality needs.
Information collected as part of the monitoring program can help Tribes understand the status and
variability of water quality on the reservation, make informed management decisions, and identify
sources of impairment from point source and nonpoint source (NPS) pollution. Additionally, monitoring
results provide information to identify specific parameters of concern for waterbodies (such as high
levels of toxic chemicals) and support effective water quality management. This information also helps
Tribes that want to develop and implement a water quality standards (WQS) program.
The sections in this chapter provide information on the following CWA regulatory programs:
• Section 303(c): the WQS program.
• Section 401: the water quality certification program.
• Section 303(d): listing of impaired waters and development of total maximum daily loads
(TMDLs).
• Section 402: the National Pollutant Discharge Elimination System (NPDES) permitting program.
• Section 404: the permitting program for discharges of dredged or fill material.
This chapter provides informational resources that help Tribes determine which CWA regulatory
programs to consider in order to meet their water quality goals. Tribes exploring the CWA authority
approach to water quality management often consider developing and submitting WQS for EPA
approval as a first step. EPA strongly recommends that Tribes also collaborate with their EPA regional
office when considering which CWA approaches best address their water quality needs.
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Eligibility for Treatment in a Similar Manner as a State (TAS)
Consistent with Section 518, Tribes may apply for TAS to administer specific programs in the CWA.
General statutory requirements for TAS in Section 518(e):
1. The Tribe is recognized by the Secretary of the Interior.
2. The Tribe has a governing body carrying out substantial governmental duties and powers.
3. The functions to be exercised by the Tribe pertain to the management and protection of
water resources that are held by an Indian Tribe, held by the United States in trust for
Indians, held by a member of an Indian Tribe if such property interest is subject to a trust
restriction on alienation, or otherwise within the borders of an Indian reservation.
4. The Tribe is reasonably expected to be capable, in EPA's judgment, of carrying out the
functions to be exercised in a manner consistent with the terms and purposes of the CWA
and all applicable regulations.
Where the Tribe has previously qualified for eligibility or "TAS" under a CWA program, the Tribe need
only provide the required information which has not been submitted in a previous TAS application.
Each of the CWA regulatory programs may have regulations that further define the specific TAS
requirements for each CWA program. The statute and regulations provide complete statements of
the TAS requirements. Tribes should also work with their Project Officer to identify specific needs for
their TAS application.
Section 303(c) WQS
Section 303(c) WQS are central to the CWA regulatory programs. WQS establish a foundation for
measuring the success of water quality programs and serve as the regulatory basis for controlling
pollutants entering the "waters of the United States." Tribes and EPA consider WQS when evaluating
Section 401 certifications. Tribes and EPA also rely on WQS for listing impaired waters and developing
TMDLs under Section 303(d). Permitting programs use WQS to calculate water quality-based effluent
limits (WQBELs) for discharges to waters. Those effluent limits must also ensure compliance with any
downstream WQS. Setting clear WQS is also important for watershed planning, protection, and
restoration.
Tribes can develop WQS solely for their own use under tribal law, or they can obtain authority to adopt
and administer WQS under the CWA. Both approaches are eligible uses for Section 106 grant funding.
Tribes establish WQS to meet the following objectives set forth in CWA Section 101(a):
• Restore and maintain the chemical, physical, and biological integrity of the Nation's waters.
• Wherever attainable, achieve a level of water quality that provides for the protection and
propagation offish, shellfish, and wildlife and recreation in and on the water.
WQS consist of the following elements:
• Designated uses such as water recreation, aquatic life, and public water supply.
• Water quality criteria necessary to protect the designated uses, both numeric and narrative.
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• Antidegradation requirements to maintain and protect existing uses, protect high-quality
waters, and maintain water quality in waterbodies designated as Outstanding National Resource
Waters.
• General WQS policies, such as to allow mixing zones, issue WQS variances, or issue compliance
schedules.
When establishing WQS, the Tribe considers the water's use and value for public water supply,
agriculture, industry, navigation, and other purposes.
Developing WQS
When developing WQS, some Tribes may decide that WQS effective under tribal law are sufficient to
meet their WQS goals, while others may wish to develop WQS with the intention of submitting them to
EPA for approval under the CWA. Relying on the tools and resources described in this section can help
ensure a Tribe's WQS are protective of their water resources in either case.
Some Tribes have used WQS to achieve the following goals:
• Assess existing water quality.
• Protect aquatic life.
• Protect fish consumers.
• Define allowable levels and types of discharges.
• Establish priorities for the allocation of treatment resources and cleanup efforts.
• Ensure additional protection for source water.
Table 11 provides information on some of the differences between WQS under tribal law and CWA
authority.
Table 11. WQS under tribal law and under CWA authority
Action
WQS under Tribal Law
WQS under CWA Authority
Designate water uses
Tribal choice of uses.
Include aquatic life, human health, and
recreation uses unless justified as
unattainable.
Set water quality criteria
Tribal choice of criteria.
Protect designated uses.
Protect against
degradation of water
quality
Tribal choice to
protect.
Have an antidegradation policy and
implementation methods.
Involve public
Tribal choice.
Include holding public hearings and
addressing public comments.
Adopt WQS formally by
tribal government
*Tribal choice.
Adopt under tribal law and submit to EPA
for approval.
Regulate discharges based
on complying with WQS
Under tribal law.
EPA can enforce through CWA permits
(tribal and upstream waters).
Keep WQS up to date with
new scientific information
Tribal choice.
Conduct public review every three years
(triennial review).
*lf Tribes adopt WQS formally under tribal law they may apply under certain circumstances for regulatory purposes.
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EPA has developed several tools and resources to help Tribes develop WQS. EPA's Model WQS Template
for Waters on Indian Reservations can serve as a foundation for Tribes seeking to develop their own
WQS. This template provides basic language covering the primary elements of WQS that a Tribe can
adopt directly, while allowing a Tribe to add or modify language to align with their own water quality
goals. Given that each Tribe's situation and local conditions are unique, coordinating with their EPA
regional office is important to ensure successful use of the template.
The template draws information from various WQS resources available on EPA's website. This includes
numeric water quality criteria for human health and aquatic life, which EPA periodically updates in the
template to reflect its latest national recommendations. EPA's Water Quality Criteria website provides
more information about these criteria, including information about how to adjust criteria values to best
reflect local conditions and ensure protection of designated uses.
EPA's Tribal/State Human Health Criteria Calculator generates a customized numeric human health
criteria table. The table is based on EPA's national recommended human health water quality criteria,
adjusting for a selected fish consumption rate (FCR) and cancer risk level (CRL). EPA's default subsistence
FCR may lead to human health criteria values that are more protective of human health. Tribes can
adjust these inputs to generate criteria specific to their waters. For example, Tribes with supporting
documentation, such as a FCR survey, can enter their own FCR. EPA encourages Tribes to work with their
EPA regional office to determine the appropriate FCR.
EPA's Water Quality Standards Handbook has additional WQS-related information and is a compilation
of EPA's WQS program guidance. The handbook includes recommendations for reviewing, revising, and
implementing WQS.
Drafting Tribal Code Based on WQS
Once the Tribe has drafted their WQS standards, they should pursue a mechanism to incorporate
them into law or regulation on their reservation (for example, by amending their tribal code). Tribes
may wish to work with their legal department during this process. The department can help with the
structure and language of the WQS, and with acquiring the appropriate approvals and signatures.
Tribes may want to share a draft of their tribal code with others for informal review (including their
tribal council, EPA, and neighboring Tribes and states) to identify any potential problems or
additional topics to address, and to confirm that the WQS will help meet their program goals.
Obtaining TAS
Many Tribes consider it an expression of tribal sovereignty to have TAS to administer regulatory
programs, such as WQS, over their reservations. Tribes seeking the authority to adopt and use WQS
under the CWA must apply to EPA for TAS. Tribes should reference EPA's TAS for the Water Quality
Standards Program: Overview for a general summary of the TAS process and some of its benefits. EPA's
TAS for the Water Quality Standards Program: Frequently Asked Questions provides answers to
questions regarding the TAS for WQS application process, such as why a Tribe might seek TAS for WQS,
and eligibility requirements.
EPA's TAS for the Water Quality Standards Program: Procedural Steps for Tribal TAS Applications
resource outlines the steps for tribal TAS applications. These steps include the application submission
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process, comment period, EPA's review, and the final stage when EPA conveys to the Tribe its decision
regarding an application.
EPA's Water Quality Standards Tools for Tribes website includes a TAS application template that
provides an explanation and organization of the information Tribes must submit to demonstrate they
meet the eligibility requirements for TAS approval for the WQS program.
EPA's Actions on Tribal Water Quality Standards and Contacts website has a complete list of Tribes that
have been approved for TAS and the subset of Tribes that have EPA-approved WQS. This website
contains links to pages associated with each Tribe. These pages each have the decision document
outlining EPA's TAS for WQS decision and a copy of the Tribe's EPA-approved WQS.
Tribes should submit complete TAS applications to the appropriate EPA regional office in accordance
with EPA's regulations at 40 CFR 131.8. Tribes that receive TAS for WQS are also granted TAS for Section
401 certification. See 40 CFR 131.4(c). More detail on Section 401 is below. In addition, Tribes with TAS
for WQS are also "affected states" under the Section 402 NPDES program (CWA Sections 402(b)(3) and
(5); 40 CFR 122.4(d)). As affected states, the Tribes receive notice and an opportunity to comment on
certain permits, including upstream state permits, issued under the CWA NPDES program.
Submitting WQS for EPA Approval
EPA recommends that Tribes with TAS for the WQS program (hereafter authorized Tribes within this
Section 303(c) WQS section) work closely with EPA to develop a WQS package for submission and
approval. EPA reviews all new and revised WQS that authorized Tribes submit to ensure that they
comply with the CWA and EPA's WQS regulation. Upon EPA approval, the tribal WQS become effective
under the CWA. EPA has authority to propose and promulgate federal WQS, if necessary, to replace or
augment tribal WQS. Federally promulgated WQS are also effective under the CWA.
Under the CWA, the public must have an opportunity to participate in developing and reviewing WQS.
Authorized Tribes accomplish this by holding a public hearing and public comment on their proposed
WQS before the WQS become effective, and on existing WQS at least once every three years thereafter
(triennial review). For authorized Tribes that wish to conduct online public hearings in lieu of in-person
public hearings, EPA's Options for Modernizing Public Hearings for Water Quality Standard Decisions
Consistent with 40 CFR 25.5 may be useful.
EPA can help resolve disputes concerning WQS. EPA generally recommends that authorized Tribes and
states work together to ensure their WQS consider neighboring authorized Tribes' and states' WQS, and
downstream WQS. EPA has a mechanism to resolve any unreasonable consequences caused by differing
WQS set by authorized Tribes and states for common bodies of water. According to EPA's Tribal-State
WQS Dispute Resolution Mechanism resource, an authorized Tribe or state may request EPA
involvement in a dispute. If appropriate, the EPA Regional Administrator will work with the parties to
reach an agreement.
Connection to Section 106
Tribes can use their Section 106 funds to support developing TAS packages and developing and
implementing WQS for use under tribal law or use under the CWA. Chapter 9: Other Funding Options
provides information on how Tribes can also use General Assistance Program (GAP) funds for capacity
development activities including to develop TAS packages and developing WQS.
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Participation Opportunities for Tribes without Assuming the WQS Program
There are many reasons a Tribe might not seek TAS for Section 303(c) WQS. For example, Tribes might
have limited funding or staff resources, or might prioritize other environmental needs. Without TAS,
Tribes can participate in other ways. For instance, when a Tribe elects to develop WQS under tribal law,
the Tribe can seek informal review and suggestions from EPA staff to help the Tribe build capacity for
administering CWA WQS in the future. See Developing WQS section above.
A Tribe can also participate by providing comments on the WQS of neighboring authorized Tribes or
states for waterbodies that are shared with or upstream from the Tribe. For example, the CWA requires
authorized Tribes and states to hold public hearings and seek public comments on all of their WQS at
least once every three years and whenever they adopt new or revised WQS. A Tribe could provide
comments and data in those situations to help the neighboring authorized Tribe or state provide
adequate protection for the shared or upstream waters.
Finally, if EPA has promulgated federal WQS for the Tribe's waters, the Tribe can provide water quality
monitoring data, data on tribal FCRs, or other information to assist EPA in adjusting or applying the
federal water quality criteria to reflect local circumstances.
Additional Resources
For the regulations underlying the WQS program, visit the Code of Federal Regulations Part 131. EPA's
Tribes and Water Quality Standards and Water Quality Standards Tools for Tribes websites contain many
of the resources mentioned above, in addition to other documentation that may help Tribes navigate
the TAS application and WQS development processes. EPA encourages Tribes to work with their EPA
regional office when using these resources but does not require use of these resources. EPA also
encourages tribal staff members responsible for WQS to participate in EPA's intensive one-week training
course, the Water Quality Standards Academy.
Section 401 Certification
Section 401 gives authorized Tribes the authority to grant, deny, or waive certification of proposed
federal licenses or permits which may result in a discharge into "waters of the United States," including
the territorial seas. Water quality certification is a powerful tool to protect reservation water quality
from adverse impacts from federally licensed or permitted projects. Under Section 401, a federal agency
may not issue a license or permit to conduct any activity that may result in any discharge into "waters of
the United States" unless the authorized Tribe, state, or interstate water pollution control agency
(interstate agency) with jurisdiction over where the discharge will originate does one of the following:
• Issues Section 401 water quality certification finding "that any such discharge will comply with
the applicable provisions of Sections 301, 302, 303, 306, and 307" of the CWA.
• Waives Section 401 water quality certification (33 U.S.C. 1341(a)(1)).
An authorized Tribe, state, or interstate agency may issue a Section 401 water quality certification with
conditions. Section 401(d) provides that the certification include "any effluent limitations and other
limitations, and monitoring requirements" necessary to assure the applicant for a federal license or
permit will comply with the applicable provisions of CWA Sections 301, 302, 306, and 307. Conditions
also include any other appropriate requirement of tribal or state law set forth in the certification (33
U.S.C. 1341(d)).
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Some of the major federal licenses and permits subject to Section 401 include:
• Section 402 and 404 permits issued by EPA or the U.S. Army Corps of Engineers (the Corps).
• Federal Energy Regulatory Commission (FERC) licenses for hydropower facilities and natural gas
pipelines.
• Rivers and Harbors Act Section 9 and 10 permits.
Certification Process
Federal license or permit applicants must seek certification from a certifying authority if their activity
may result in a discharge into "waters of the United States." The appropriate Section 401 certifying
authority is the authorized Tribe, state, or interstate agency that has jurisdiction over where the
discharge originates or will originate (33 U.S.C. 1341(a)(1)). In cases where no authorized Tribe, state, or
interstate agency has authority to issue Section 401 certification, EPA is responsible for issuing
certification.
A certifying authority must act on a request for certification within "a reasonable period of time (which
shall not exceed one year) after receipt of such request" (33 U.S.C. 1341(a)(1)). The federal licensing or
permitting agency determines the reasonable period of time. Within that period of time, the certifying
authority may grant, grant with conditions, deny, or explicitly waive certification. If the certifying
authority fails or refuses to act on a request for certification in that period of time, the certification
requirement for the federal license or permit shall be deemed waived (33 U.S.C. 1341(a)(1)).
When evaluating a Section 401 request, certifying authorities must determine whether the potential
discharge would comply with the following:
• Effluent limitations for conventional and non-conventional pollutants.
• WQS.
• New source performance standards.
• Toxic pollutant limitations.
• Other appropriate requirements of tribal law or state law.
Once the federal licensing or permitting agency receives both the application for the license or permit
and a certification, they must immediately notify EPA under the neighboring jurisdiction process set
forth in CWA Section 401(a)(2) (33 U.S.C. 1341(a)(2)).
Whenever EPA determines, upon receiving such notification, that the discharge from the certified
activity may affect the water quality of a neighboring jurisdiction (authorized Tribe or state), the CWA
Section 401(a)(2) process is as follows (33 U.S.C. 1341(a)(2)).
• EPA must provide notice to the neighboring jurisdiction, the licensing or permitting agency, and
the license or permit applicant within 30 days of the notification from the federal agency.
• The neighboring jurisdiction has 60 days to determine if the discharge will violate their water
quality requirements.
o The neighboring jurisdiction must notify EPA and the federal licensing or permitting
agency, in writing, of the objection within the 60-day period,
o The neighboring jurisdiction can request a public hearing within the 60-day period.
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o The federal licensing or permitting agency must hold a public hearing. At the public
hearing, EPA will provide its evaluation and recommendations on the objection to the
federal licensing or permitting agency.
The federal licensing or permitting agency, based on the recommendations of the neighboring
jurisdiction and EPA, and any additional evidence presented at the hearing, must condition the license
or permit to ensure compliance with the neighboring jurisdiction's water quality requirements.
However, if the federal licensing or permitting agency cannot condition the license or permit to ensure
compliance with the neighboring jurisdiction's water quality requirements, then they shall not issue the
license or permit. Ultimately, the federal licensing or permitting agency cannot issue a federal license or
permit until the CWA Section 401(a)(2) process is complete (33 U.S.C. 1341(a)(2)).
Obtaining TAS
Tribes have the opportunity to participate directly in the certification process by obtaining TAS for
Section 401. Tribes that receive TAS for WQS are also granted TAS for purposes of Section 401 (40 CFR
131.4(c)). Tribes should consider TAS if they are interested in issuing certification decisions for their
reservation (CWA Section 401(a)(1)) or participating in the neighboring jurisdiction process (CWA
Section 401(a)(2)).
Once a Tribe receives TAS for Section 401 certification, the Tribe becomes the certifying authority. That
Tribe has the authority to issue water quality certifications for federal licenses or permits that may result
in any discharge to "waters of the United States" on their reservation.
Connection to Section 106
Tribes may use Section 106 funding to develop and implement water quality ordinances and tribal WQS.
Additionally, Tribes may use Section 106 funds to support capacity building for a Section 401
certification program and apply for TAS for WQS and for Section 401 in a single application. Tribes can
also use Section 106 funds to review permits and conduct the certification process.
Participation Opportunities for Tribes without the Section 401 Program
There are many reasons a Tribe might not seek TAS for Section 401 certification. For example, the Tribe
might have limited funding or staff resources, or might prioritize other environmental needs. Without
TAS, Tribes can still participate in Section 401 certification in other ways. For instance, EPA as the
certifying authority on behalf of non-TAS Tribes can consider the Tribe's water quality requirements,
even if the Tribe does not have EPA-approved WQS, when reviewing requests for certification.
When EPA acts as a certifying authority on behalf of a Tribe without TAS, EPA will provide public notice
on the certification request, and will conduct a public hearing if necessary or appropriate (33 U.S.C.
1341(a)(1)). During the public notice process, a Tribe may submit public comment regarding the request
for certification.
Additional Resources
EPA's Section 401 of the Clean Water Act website.
EPA recently announced that it intends to revise the 2020 CWA Section 401 Certification Rule at 40 CFR
part 121 (Notice of Intention to Reconsider and Revise the CWA Section 401 Certification Rule, 86 FR
29541, June 2, 2021).
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Section 303(d) Impaired Waters and TMDLs
Tribes with TAS for Section 303(d) develop lists of impaired waters, establish priority rankings for those
waters, and develop TMDLs for those waters. A TMDL includes a calculation of the maximum amount of
a pollutant that a waterbody can receive and still meet applicable WQS, and an allocation of that
amount to the pollutant's sources.
Requirements under Section 303(d) do not apply to Tribes until the Tribe has chosen to apply for, and
has received, TAS to administer the program (authorized Tribes). Tribes can begin developing capacity to
receive TAS for Section 303(d) by creating assessment methodologies and voluntarily publishing their
water quality reports to the Assessment and TMDL Tracking and Implementation System (ATTAINS).
Once Tribes have TAS for Section 303(d) and EPA-approved WQS in place, impaired waters lists will be
required. For more information on assessment methodologies and ATTAINS, see Chapter 5:
Development and Implementation of a Monitoring Program.
Listing Impaired Waters
Every two years, Tribes with Section 303(d) TAS must develop lists of waters not meeting, or expected
not to meet, applicable WQS. These lists are commonly called "impaired waters lists" or "303(d) lists."
Impaired waters are waters for which technology-based limitations and other required controls are not
stringent enough to meet applicable WQS. In developing their Section 303(d) list, authorized Tribes must
assemble and evaluate all existing and readily available information (40 CFR 130.7(b)(5)). EPA's
regulations include a non-exhaustive list of water quality-related data and information to consider.
Tribes establish priorities for developing TMDLs for waters on the Section 303(d) list based on the
severity of the pollution and the target uses for the waters.
EPA's Overview of Listing Impaired Waters under CWA Section 303(d) website includes additional
information about listing impaired waters.
Developing TMDLs
Each authorized Tribe must, from time to time, establish and submit TMDLs for pollutants causing
impairments in all waters on their 303(d) list (CWA Section 303(d)(2)). A TMDL is the calculation of the
maximum amount of a pollutant that can enter a waterbody so that the waterbody will meet and
continue to meet WQS for that particular pollutant. A TMDL determines a pollutant reduction target and
allocates load reductions necessary to the source(s) of the pollutant. Expressed mathematically, the
TMDL equation is:
TMDL = ZWLA + ZLA + MOS
WLA is the sum of wasteload allocations (point sources), LA is the sum of load allocations (NPS and
background), and MOS is the margin of safety.
Authorized Tribes and states generally implement TMDL wasteload allocations through Section 402
NPDES permits. WQBELs in NPDES permits must be "consistent with the assumptions and requirements"
of wasteload allocations in EPA-approved or established TMDLs.
A wide variety of state-, local-, and federal-level programs implement NPS load allocations. These
programs may be regulatory, nonregulatory, or incentive based. Additionally, voluntary actions on the
part of citizen and environmental groups can assist with waterbody restoration. Section 319 provides
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grant money for specific projects that reduce NPS pollution. Section 303(d) does not establish any new
or additional implementation authorities for controlling NPS pollutants.
EPA's Overview of Total Maximum Daily Loads ITMDLs) website includes additional general information
about TMDLs.
Obtaining TAS
EPA regulations (40 CFR 130.16) establish a process for Tribes to obtain TAS authority to administer the
water quality restoration provisions of Section 303(d), including the issuing of lists of impaired waters
and developing TMDLs. Key information on EPA's Final Rule - Treatment of Indian Tribes in a Similar
Manner as States for Purposes of Section 303(d) of the Clean Water Act website includes:
• Responsibilities Tribes would have under Section 303(d).
• Regulatory procedures for a Tribe to apply for Section 303(d) TAS.
• Regulatory procedures for EPA to review a TAS application.
• Expectations regarding WQS and WQS TAS for Tribes seeking Section 303(d) TAS.
• Availability of EPA support for Tribes seeking Section 303(d) TAS.
• Special circumstances regarding qualification for Section 303(d) TAS.
Authorized Tribes must submit their 303(d) lists to EPA for approval every two years on April 1 of even-
numbered years. A Tribe gaining TAS status would have at least 24 months to submit their first impaired
waters list to EPA (40 CFR 130.16(c)(5)). The list is due to EPA in the next listing cycle that is at least 24
months from the date the Tribe's TAS application is approved or the date that EPA approved or
promulgated WQS for the Tribe's waters become effective, whichever is later (40 CFR 130.16(c)(5)).
By obtaining TAS authorization for the Section 303(d) program, Tribes would have the opportunity to
take the lead role under the CWA in restoring and protecting their reservation waters. Tribes would
assume the primary responsibility in deciding what waters on their reservations are impaired and in
need of TMDLs, the priority ranking for TMDL development, and the nature of TMDLs and pollutant
source allocations for those waters.
EPA's Treatment of Indian Tribes in a Similar Manner as States for Purposes of Section 303(d) of the
Clean Water Act "frequently asked questions" document provides additional information about tribal
responsibilities under Section 303(d), benefits of assuming the program, and other questions related to
Section 303(d) TAS. EPA developed a working-draft TAS Application Template for the CWA Section 303(d)
Impaired Water Listing and TMDL Program to help streamline the TAS application process.
Connection to Section 106
Tribes can use their Section 106 funds to create assessment methodologies, voluntarily publish their
water quality reports to ATTAINS, support the development of Section 303(d) TAS applications, develop
303(d) lists, and develop TMDLs. Chapter 9: Other Funding Options provides information on how Tribes
can use GAP funds for capacity development activities (including to develop TAS packages) and can use
Section 319 funds to support TMDL development and developing WQS.
Most Tribes with Section 303(d) TAS are likely to be recipients of Section 106 grants. EPA encourages
Tribes with TAS for Section 303(d) to combine their Section 303(d) impaired waters list with their
Section 106 assessment report. Tribes should submit the combined report electronically through
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ATTAINS. EPA's Get Data: Access Public ATTAINS Data website includes data that entities report to EPA
and links to the ATTAINS website.
A combined Section 303(d)/Section 106 report is similar to a state's Section 303(d)/Section 305(b)
"Integrated Report." The Guidance for the 2006 Assessment, Listing, and Reporting Requirements
Pursuant to CWA Sections 303(d), 305(b), and 314 on EPA's Water Topics website has more information
on the Integrated Report.
Participation Opportunities for Tribes without Assuming the Section 303(d) Program
Tribes do not need Section 303(d) TAS to engage with EPA on state and federal Section 303(d) actions
that are relevant to protecting and restoring waters of interest to them.
The Code of Federal Regulations requires states to evaluate all readily available water quality-related
data and information in developing their Section 303(d) lists (40 CFR 130.7(b)(5)). Therefore, when
Tribes provide their data to the Water Quality Exchange (WQX) the data are readily available for
consideration in the Integrated Reports for their respective states and all other data reuse purposes.
The EPA Policy on Consultation and Coordination with Indian Tribes website states EPA's commitment to
consult on a government-to-government basis with federally recognized governments when EPA actions
and decisions may affect tribal interests. This applies to EPA actions regarding impaired waters lists and
TMDLs when such action may impact a Tribe's interest.
In addition to government-to-government consultation between EPA and Tribes, Tribes may provide
comment during states' public notice periods. States describe in their Continuing Planning Processes
(CPP) the process for involving the public and other stakeholders in the development of the Section
303(d) list and TMDL calculations (40 CFR 130.7(a) and 130.7(c)(ii)). EPA encourages the state to provide
opportunities for public participation in the development of the Integrated Report and demonstrate
how they considered public comments in their final decisions. EPA has 30 days to approve or disapprove
a TMDL or impaired waters list that a state submits. Where EPA disapproves a submittal, EPA must
identify waters and loadings necessary to implement the applicable WQS within 30 days and then issue
public notice seeking comment.
Additional Resources
• EPA's Clean Water Act Section 303(d): Impaired Waters and Total Maximum Daily Loads website
has general information about Section 303(d).
• EPA's Contact Us About Impaired Waters and TMDLs website lists the EPA regional 303(d)
program offices for Tribes to contact for additional information or questions related to Section
303(d) activities.
• EPA's Final Rule - Treatment of Indian Tribes in a Similar Manner as States for Purposes of
Section 303(d) of the Clean Water Act website has more information about the final TAS rule for
Section 303(d).
• EPA's TAS Application Template for the CWA Section 303(d) Impaired Water Listing and TMDL
Program - Working Draft website has a TAS application template.
Section 402 NPDES Permitting Program
The NPDES permitting program is a cornerstone of the CWA. The program regulates the point source
discharge of pollutants into "waters of the United States." Point source discharges include discharges
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from publicly owned treatment works (POTWs), industrial process wastewater discharges, runoff
conveyed through a storm sewer system, and discharges from concentrated animal feeding operations
(CAFOs), among others. Until a Tribe, state, or territory has authority to administer their own NPDES
permitting program, EPA issues all permits, conducts all compliance and monitoring activities, and
enforces all program requirements. Currently, EPA issues and enforces NPDES permits in all of Indian
Country.
EPA's NPDES and Sewage Sludge Program Authority Handbook for Federally Recognized Indian Tribes
contains more information on the NPDES program for Tribes. EPA's National Pollutant Discharge
Elimination System website has general information and links to guidance, regulations, and training
information.
Issuing NPDES Permits
Pollutant discharges may come from direct and indirect sources. Direct sources discharge wastewater
directly to a receiving waterbody; indirect sources discharge wastewater to a POTW that discharges to
the receiving waterbody. The primary focus of the NPDES permitting program is permit issuance for
municipal and industrial direct discharges. The NPDES program has other components, such as
pretreatment programs, the industrial stormwater program, the construction stormwater program,
CAFOs, and biosolids. EPA's National Pollutant Discharge Elimination System website has more
information on these components.
The NPDES program regulates different types of sources. Municipal sources are POTWs that receive
primarily domestic sewage from residential and commercial customers. Larger POTWs also typically
receive and treat wastewater from industrial facilities (indirect dischargers) connected to the POTW
sewage system. The types of pollutants treated by a POTW always include conventional pollutants (for
example, human wastes, ground-up food from sink disposals, laundry and bath waters) and may also
include toxic pollutants (such as pesticides, solvents, dioxin, lead, silver, mercury, copper) or
nonconventional pollutants (all other pollutants, including nutrients such as nitrogen and phosphorus)
depending on the characteristics of the commercial and industrial sources discharging to the POTW.
Some older POTWs have the additional concern of combined sewer overflow (CSO) systems that can
release untreated effluent during storms that can reach "waters of the United States." CSOs were an
economical way for municipalities to collect both sanitary sewage and stormwater and are controlled
under the NPDES program. A number of municipalities have municipal separate storm sewer systems
(MS4s) that are also subject to NPDES requirements.
Nonmunicipal sources, which include industrial and commercial facilities, have unique products and
processes. At industrial facilities, the types of raw materials, production processes, treatment
technologies, and pollutants discharged vary widely and depend on industry and facility characteristics.
Industrial facilities generally operate within a clearly defined plant area; thus, the collection systems are
typically less complex than those for POTWs. Examples of nonmunicipal commercial sources include
CAFOs, which must obtain NPDES permits to control runoff of nutrients and manure, and the
construction stormwater program.
Permit Overview
An NPDES permit authorizes a facility to discharge a specific amount of a pollutant to a receiving
waterbody, subject to certain conditions. Permits may also authorize facilities to process, incinerate,
send to a landfill, or beneficially use sewage sludge.
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The two basic types of permits that the NPDES program can issue are individual permits and general
permits.
• An individual permit is tailored to an individual facility based on information from the permit
application and other sources (such as from previous permit requirements, discharge
monitoring reports, technology and WQS, TMDLs, ambient water quality data (from WQX),
special studies). The permitting authority then issues the permit to the facility for a specific
period, not to exceed five years, with a requirement to reapply before the expiration date. The
largest category of dischargers requiring individual NPDES permits are POTWs owned by a state
or municipality.
• A general permit is a permit for multiple facilities in a single category of discharges, sludge use,
or disposal practices. General permits can be a cost-effective option for agencies because of the
large number of facilities that they can cover. The permitting authority can write general
permits to cover stormwater point sources or other categories of point sources that (40 CFR
122.28(a)(2)):
o Involve the same or substantially similar types of operations,
o Discharge the same types of wastes or engage in the same types of sludge use or
disposal.
o Require the same effluent limitations or operating conditions, or standards for sewage
sludge use or disposal,
o Require the same monitoring where tiered conditions may be used for minor
differences within a class (such as size or seasonal activity),
o Are more appropriately regulated by a general permit.
While these permit types share the same components, the permitting authority uses them under
different circumstances, and they involve different permit issuance processes.
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Permit Sections
At a minimum, all NPDES permits consist of the following five sections:
1. Cover Page: Contains the name and location of the permittee, a statement authorizing the
discharge, and a listing of the specific locations for which a discharge is authorized.
2. Effluent Limitations: The primary mechanism for controlling discharges of pollutants to
receiving waters. When drafting a permit, permit writers spend most of their time deriving
appropriate effluent limitations based on applicable technology and WQS.
3. Monitoring and Reporting Requirements: Used to characterize waste streams and receiving
waters, evaluate wastewater treatment efficiency, and determine compliance with permit
conditions.
4. Special Conditions: Conditions developed to supplement numeric effluent limitations.
Examples include additional monitoring activities, special studies, best management
practices (BMPs), and compliance schedules.
5. Standard Conditions: Pre-established conditions that apply to all NPDES permits and
delineate the legal, administrative, and procedural requirements of the NPDES permit.
In addition to the five sections, the supporting documentation for the draft permit also includes a
factsheet or statement of basis explaining the rationale for permit conditions.
Although these five sections are part of all permits, the contents of some sections vary depending on
the nature of the discharge.
Effluent Limitations
The first major step in the permit development process is deriving technology-based effluent limitations
(TBELs). Following that step, the permit writer derives WQBELs as needed, which are effluent limitations
that are protective of state WQS.
Technology-Based Limitations
TBELs aim to prevent pollution by requiring a minimum level of effluent quality that is attainable using
demonstrated technologies for reducing discharges of pollutants or pollution into "waters of the United
States." NPDES permit writers develop TBELs independently of the potential impact of a discharge on
the receiving water, which WQS and WQBELs address. NPDES permit writers must develop technology-
based treatment requirements that represent the minimum level of control that a permit must impose
(40 CFR 125.3(a)). Permit writers must also include in permits additional or more stringent effluent
limitations and conditions, including those necessary to protect water quality.
When developing TBELs for industrial (non-POTW) facilities, the permit writer must consider all
applicable technology standards and requirements for all pollutants discharged. If there are no
applicable effluent guidelines for the discharge or pollutant, permit writers must identify any needed
TBELs on a case-by-case basis, in accordance with the factors detailed in CWA Sections 301(b)(2) and
304(b). The permit writer also should consider whether state laws or regulations govern TBELs and
might require more stringent performance standards than those required by federal regulations. In
some cases, a single permit could have TBELs based on effluent guidelines, best professional judgement,
and state law, as well as WQBELs based on WQS.
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Water Quality Based Limitations
By analyzing the effect of a discharge on the receiving water, a permit writer could find that TBELs alone
will not achieve the applicable WQS. In such cases, the CWA and its implementing regulations require
permit writers to develop WQBELs. WQBELs protect water quality by ensuring that receiving waters
meet WQS. WQBELs help meet the CWA objective of restoring and maintaining the chemical, physical,
and biological integrity of the nation's waters and the goal of protecting water quality for the
propagation offish, shellfish, and wildlife and for recreation in and on the water (fishable and
swimmable). A Tribe's WQS serve as a basis for establishing WQBELs for facilities with NPDES permits
that discharge to waters on their reservation. EPA's NPDES Permit Writers' Manual has more
information about NPDES permits.
NPDES Program Authorization
EPA may authorize a tribal government, state, or territorial agency to implement all or parts of the
NPDES program. EPA approves Tribes, states, or territories through a process detailed in CWA Section
402(b) and in 40 CFR Part 123 of the NPDES regulations.
Obtaining TAS
As with obtaining TAS for other CWA authorities, Tribes must meet basic requirements found at Section
518 of the CWA and in the regulations at 40 CFR 123.32. Tribes do not need TAS for any other CWA
regulatory program to demonstrate that they meet the TAS requirements for Section 402.
If the Administrator or their delegate has previously determined that a Tribe has met the TAS
prerequisites under the Safe Drinking Water Act, the CWA, or the Clean Air Act, then that Tribe only
needs to provide the information that is unique to the NPDES program which is requested by the
Regional Administrator.
In evaluating whether a Tribe is capable of implementing an NPDES program in a way that is consistent
with the CWA and applicable regulations, EPA will consider:
• The Tribe's previous management experience.
• Environmental or public health programs that the Tribe currently administers.
• Existing mechanisms to carry out the executive, legislative, and judicial functions of tribal
government.
• The relationship between the entities they will regulate and the agency of the tribal government
that is designated as the primacy agency.
• The technical and administrative capabilities of the staff responsible for administering and
managing the program.
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Considering NPDES Program Authorization
Before deciding to pursue NPDES program authorization, Tribes should consider all the benefits and
costs associated with it, such as:
• Tribal interest in furthering autonomy and self-determination.
• Whether the program has the organizational ability to develop and maintain a permitting
authority.
• New tribal statutes or regulations that a Tribe needs to manage an NPDES program.
• Costs associated with expanding the Tribe's regulatory role and ability to protect public
health and the environment.
• The infrastructure necessary to implement the program.
• The ability to support this type of program for many years.
Tribes planning to seek NPDES program authorization should contact their EPA regional office to
discuss the process. EPA regional offices can help guide Tribes through the process and can provide
technical assistance as Tribes develop their application materials.
Preparing for NPDES Program Authorization
Tribes must have the ability to implement all portions of an NPDES program, including the ability to
write permits, track compliance, and enforce permit conditions at the time of program authorization (40
CFR 123.23(a)). To help meet this requirement, Tribes should consider training engineers and permit
writers. The extent to which permit writers participate in monitoring, compliance, and enforcement
activities will depend on the size of the Tribe's water quality program. In smaller programs, an individual
or a small group of individuals may be responsible for all activities. In larger programs, individuals may
specialize in different functions. For example, in a large program, the permit writer may be aware of the
general activities of the permittee but not as involved with monitoring, compliance, and enforcement.
Developing Tribal Code and Obtaining Approval from the Tribal Government
Tribes will need to follow their tribal mechanisms to develop any necessary legal authorities to
administer the NPDES program. Tribes should work with their tribal attorney general or equivalent office
during this process to produce a tribal code that meets tribal and NPDES program requirements. Tribes
should also work with their tribal council to make sure they cover all applicable tribal requirements
when adopting the NPDES program.
Inventorying Existing Point Sources
Point sources are defined in the CWA and in the NPDES regulations. Point sources include POTWs and
industrial facilities. Tribes should coordinate with the existing (state or federal) permitting authority on
or near their reservation to make sure they have a complete list of all point source dischargers currently
regulated by NPDES permits.
Establishing Sources of Funding to Run the NPDES Program
Prior to seeking authorization for an NPDES program, each Tribe should consider if they can commit to
the long-term financial support of the program. The Tribe must determine whether they have, or can
obtain, the revenue to hire and train staff to run the NPDES program. The Tribe might be able to collect
some funding through program and permit fees but might also need additional dedicated tribal
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appropriations or other sources of EPA funding to fully fund the program. EPA regional offices may be
able to help locate additional sources of funding.
Connection to Section 106
Tribes can use Section 106 funds to develop their TAS application, develop training and capacity for
permit writers, establish the necessary tribal code, inventory existing point sources, and implement a
NPDES program. Chapter 9: Other Funding Options provides information on how Tribes can use GAP
funds for capacity development activities including to develop TAS packages.
Participation Opportunities for Tribes without Assuming the Section 402 Program
In accordance with EPA's Consultation and Coordination Policy, EPA regions coordinate with Tribes and
provide for consultation opportunities when issuing or reissuing permits that may affect Tribes.
Tribes can also participate in the public comment processes required by the NPDES regulations. When
states and EPA are considering whether to issue or reissue an NPDES permit, they must provide notice
to the public and an opportunity to provide comments. The regulations also require permitting
authorities to hold public hearings if they determine that there is "significant public interest." Hearings
can also be held at the permitting authority's discretion.
States and EPA must develop and maintain a mailing list of the members of the public who are
interested in permit actions. They must provide notice to those on their mailing list when a permitting
authority takes an action requiring public notice. Tribes can join those mailing lists (by submitting a
request in writing or by responding to a notification from the permitting authority) to learn about
permitting actions under consideration in their geographic area.
The NPDES regulations require that permitting authorities provide notice to "affected states," which
includes Tribes with TAS. Tribes with TAS thus would receive notice when the NPDES permitting
authority is taking a permitting action that requires public notice.
Additional Resources
EPA provides a range of training opportunities focused on various aspects of the NPDES program. EPA
has also issued a number of guidance documents and technical resources, for permit writers that
contain information on developing, issuing, ensuring compliance with, and enforcing NPDES permits.
The links to the following websites have more information about these opportunities, documents, and
resources.
• EPA's All NPDES Program Areas website.
• EPA's NPDES Recorded Training and Webinars website.
• EPA's NPDES Training website.
• EPA's NPDES Technical Resources website.
• EPA's Small and Rural Wastewater Systems website.
• EPA's Water Enforcement Policy, Guidance, and Publications website.
Section 404(g) Permitting Program for Dredged or Fill Material
Section 404 establishes a program to regulate discharges of dredged or fill material into "waters of the
United States," as described on EPA's Statutory and Regulatory Requirements for Assumption under
CWA Section 404 website. Activities that Section 404 regulates include dredged or fill material for
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development purposes, water resource projects (such as docks, dams, and levees), infrastructure
development (such as highways, bridges, and airports), and dredging and mining projects. Section 404
requires a permit to discharge dredged or fill material from these activities to "waters of the United
States," unless Section 404 exempts the activity (for example, certain farming and forestry activities).
Administering the 404 Permitting Program
The Corps is the permitting authority for Section 404 discharges of dredged or fill material into "waters
of the United States" where no Tribe or state has assumed responsibility for administering the program.
(Tribes and states may place conditions on or deny certification on Corps permits, see discussion on
Section 401 Certification). EPA jointly administers the federal permitting program with the Corps and
EPA is responsible for approval and oversight of tribal and state Section 404 programs.
Section 404(g) provides Tribes and states the option to assume administration of the Section 404 permit
and enforcement program for certain waters within their jurisdiction (CWA Section 404(a), (g)-(i)).
Prior to issuing a Section 404 permit, the permitting authority (Tribe, Corps, or state) reviews the
application to ensure the permit complies with the requirements at 40 CFR 230, commonly called the
"Section 404(b)(1) Guidelines." The Section 404(b)(1) Guidelines are the environmental review criteria
for permits allowing for the discharge of dredged or fill material into "waters of the United States."
An applicant must show that they have taken steps to avoid impacts to wetlands, streams, and other
aquatic resources; that they have minimized potential impacts; and that they will provide compensation
for all remaining unavoidable impacts (40 CFR 230.10(a)-(d)).
A particular discharge of dredged or fill material may be subject to other laws such as the Endangered
Species Act as well as other procedural or substantive requirements established by the permitting
authority. As such, a discharge request complying with the Section 404(b)(1) Guidelines will not
automatically receive a permit.
Assumption allows a Tribe to operate a program that is consistent with national environmental
standards, while adapting the program to best address the Tribe's resources, issues, and needs. A Tribe
may choose to assume the Section 404 permitting program to increase their role in management of
tribal resources, reduce duplication between tribal and federal programs, or streamline the regulatory
program. Tribes can use assumption as a way to carry out a fully integrated and comprehensive program
addressing the full range of tribal and Section 404 authorities.
EPA's State or Tribal Assumption of the CWA Section 404 Permit Program website has more information.
Obtaining TAS
A Tribe must demonstrate that it meets the TAS requirements for Section 404 to assume and administer
a Section 404(g) program. A Tribe would generally make that demonstration as part of their request to
assume the Section 404 program. Tribes do not need TAS for any other CWA regulatory programs to
demonstrate that they meet the TAS requirements for Section 404 or to assume the Section 404
program. The criteria for TAS for Section 404 can be found at 40 CFR 233.60-61.
The regulations are available on EPA's website, 40 CFR Part 233: CWA Section 404 State Program
Regulations.
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Program Approval
Tribal programs must be consistent with and no less stringent than the CWA and EPA's regulations at 40
CFR Part 233. In general, a tribal program must:
• Have an equivalent scope of jurisdiction.
• Regulate at least the same activities as the federal program.
• Provide for sufficient public participation.
• Ensure compliance with the Section 404(b)(1) Guidelines.
• Have an enforcement program that abates violations and ensures compliance. Enforcement
responsibilities are to be laid out in the Tribal-EPA Memorandum of Understanding, to ensure
consistency with the Tribe's authorities.
Program Scope
• Geographic Scope.
o A tribal Section 404 program must cover all "waters of the United States" within its
jurisdiction not retained by the Corps,
o A Tribe's program can cover additional waters; however, the scope of the approved
program and EPA oversight is limited to "assumed" waters which are "waters of the
United States" within their jurisdiction and not retained by the Corps,
o Tribal waters are generally not assumable under a state Section 404 program.
• Programmatic Scope.
o A Tribe's Section 404 program must regulate all discharges of dredged and fill material
into "waters of the United States" as the federal program,
o A Tribe may regulate additional activities than those covered by the federal program,
o A Tribe may choose to regulate, and not exempt, activities listed in Section 404(f).
o EPA oversight of the tribal program is limited to activities within the scope of Section
404.
Assumption does not affect the scope of CWA jurisdiction, rather it shifts responsibility for administering
the Section 404 program for certain waters from the Corps to the authorized Tribe. Tribes should
reference the U.S. Army's Army Issues Memorandum to Empower States & Tribes in their Permitting
Authority to learn how the Corps will identify "waters of the United States" for which they will retain
Section 404 permitting authority. The memo directs the Corps to work with the Tribe to identify an
administrative line to determine the extent of adjacent wetlands that the Corps will retain.
Preparing for Program Assumption
EPA encourages Tribes that are seeking to assume Section 404 permitting authority to contact the
applicable EPA Regional Administrator and Corps District. EPA also encourages Tribes to:
• Confer with EPA regional and Headquarters staff on the assumption process substantive
requirements.
• Identify program modifications and legislative needs by reviewing existing tribal programs, laws,
and resources.
• Conduct outreach with the public and regulated community.
• Obtain from the Corps the list of waters that they will retain and work to identify an
administrative line associated with adjacent wetlands.
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Once the Tribe has established statutory authorities, developed the program, and secured funding,
staffing, and resources, the tribal leader will submit the program request package to the appropriate
EPA Regional Administrator for review.
The CWA and implementing regulations provide EPA 120 days to review and either approve or deny a
tribal program request unless the Tribe and EPA agree to an extension. If EPA fails to make a decision on
the program request within this timeframe, the program request is statutorily approved. During the 120-
day review, EPA must determine if the proposed program meets the requirements of the Act and
regulations. EPA accomplishes this by performing its own review, seeking comment from other federal
agencies (such as the Corps and the U.S. Fish and Wildlife Service), holding public hearings, soliciting
public comment, consulting with tribal governments as appropriate, documenting its review and
decision, and undertaking consultations on the program approval if applicable to the program request.
The procedures EPA will follow, and the criteria EPA will apply in approving, reviewing, and withdrawing
approval of a tribal program under Section 404, are specified in 40 CFR 233.1.
Connection to Section 106
Tribes can use Section 106 grants to assume and administer an approved Section 404 program. Funding
can be used to receive TAS for Section 404, develop a Section 404 assumption package, and implement
the program upon EPA approval. Additionally, Tribes can use Section 106 funds to review and staff
mapping programs, identify impaired waters, clarify what waters they have assumed, and identify the
pollution abatement requirements for those waters. Tribes may also use the funds to help staff in
permitting and enforcement positions ensure compliance with the assumed programs.
Chapter 9: Other Funding Options provides information on how Tribes can use GAP funds for capacity
development activities including to develop TAS packages and apply for funding through EPA's Wetland
Program Development Grants (WPDGs) to develop a dredged or fill permitting program. However,
WPDGs are competitively awarded and may only be used for program development including to seek
TAS authority.
Participation Opportunities for Tribes without Assuming the Section 404 Program
If a Tribe does not have TAS for Section 404, the Tribe can still participate in the following ways:
• Consultation on program assumption request: EPA will reach out to Tribes and offer
government-to-government consultation on Section 404 program requests.
• Comment on permits: Section 404 programs must provide the opportunity for states and
eligible Tribes to comment on permits if the permit may adversely affect their waters. When the
permitting state or Tribe does not address these comments, the permit is sent to EPA for
review.
• Public comment on permits: Tribes and individual tribal members may provide comments
during the public comment period on tribal or state Section 404 permits.
Additional Resources
• EPA's State and Tribal Assumption of Section 404 of the Clean Water Act website.
• EPA's Statutory and Regulatory Requirements for Assumption under CWA Section 404 website.
• EPA's Assumption Reguest Package under CWA Section 404 website.
• 40 CFR Part 233: 404 State Program Regulations.
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EPA conducts consultations on program requests as appropriate. Policies on consultations include:
• EPA's Consultation and Coordination with Tribes website.
• EPA's Consultation on CWA Section 404 Program Requests: Endangered Species Act and National
Historic Preservation Act website, which includes Section 7 of the Endangered Species Act and
Section 106 of the National Historic Preservation Act.
For an overview of the Section 404(g) permitting process, see slide 9 in EPA's presentation on CWA
Section 404 Assumption: Background and EPA's Efforts.
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Chapter 9: Other Funding Options
Read this chapter...
• To identify EPA and other government programs that provide funds to support tribal water
quality programs.
• For examples of how Tribes have used government program funds.
• For links to find more information about government programs.
Chapter highlights:
• At-a-glance table of EPA tribal grant programs, how to qualify for each, and their connection to
the Section 106 Program.
• List of other EPA grant programs and tribal project examples.
• Links to other non-EPA federal grant programs that may be relevant to tribal water quality
programs.
Section 106 funding supports each Tribe's ability to manage and improve water quality. As water quality
programs identify other needs, such as implementing best management practices (BMPs), Tribes will
need to identify additional funding and resources. This chapter gives examples of government programs
that provide technical and financial assistance to support tribal water quality programs.
It is important for water quality programs to define their program goals before seeking funding,
technical assistance, and partnerships. Clearly established goals allow Tribes to pursue the opportunities
that are best suited to meet their needs.
Tribes should consider applying for additional funding programs in coordination with other tribal
departments and external partners that share priorities. For example, Tribes may coordinate with public
works and transportation departments for trash reduction in waters or with tribal air quality programs
for climate change planning efforts. Tribes can learn more about these programs and determine the best
way to leverage funding options by contacting their EPA regional office.
Explore and Apply for Federal Funding at Grants.gov
Grant opportunities available across the federal government are posted on Grants.gov. This website
allows users to sign up to receive e-mail alerts about new grant opportunities in relevant areas.
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Table 12. EPA funding programs at-a-glance
General Assistance Program Grants
(Assistance Listing #: 66.926)
Program Description
Assistance to Tribes and intertribal consortia to build tribal capacity to
administer environmental regulatory programs and provide technical
assistance in the development of multimedia programs. Supports activities
such as planning, developing, and establishing the capability to implement
programs that EPA administers, including to develop and implement solid and
hazardous waste programs.
For more information, visit: Indian Environmental General Assistance Proqram
How it Works with
Section 106
Tribes can use General Assistance Program (GAP) funding to:
• Develop an initial Section 106 grant application or a treatment in a similar
manner as a state (TAS) application.
• Establish a Section 106 grant management program.
• Conduct capacity building activities (for example, participate in training
opportunities, develop Quality Assurance Project Plans (QAPPs), develop a
Monitoring Strategy).
• Expand water quality program activities (for example, TAS packages for
water quality standards (WQS), listing and total maximum daily loads
(TMDLs), Section 319).
Tribal Eligibility
Federally recognized Tribes and intertribal consortia.
Grant Funding and
Match Requirement
• $75,000/year or more, depending on allocation formula.
• No match required.
Section 319 Nonpoint Source Grants
(Assistance Listing #: 66.460)
Program Description
Assistance to states, Tribes, and intertribal consortia for implementing
Nonpoint Source (NPS) Programs.
For more information, visit: Tribal Nonpoint Source Proqram
How it Works with
Section 106
Tribes can use Section 106 funds to:
• Develop the NPS Assessment Report and NPS Management Program.
• Conduct monitoring and assessment work to identify NPS pollution
problems and threats.
• Develop non-structural controls to reduce NPS pollution.
• Form partnerships to address NPS issues.
• Conduct watershed-based planning.
• Conduct water quality monitoring to determine effectiveness of NPS BMPs.
Tribal Eligibility
• Federally recognized Tribes that meet the criteria in CWA Section 518(e)
and intertribal consortia.
• TAS for Section 319 is required, including an EPA-approved NPS Assessment
Report and NPS Management Plan.
Grant Funding and
Match Requirement
• Base Grants: $36,000 or $60,000/year, depending on tribal land area.
• Competitive Grants: Up to $125,000/project for water quality protection or
restoration projects.
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• 40 percent match; can be reduced to 10 percent match with demonstration
of hardship.
• No match required if funds are included in a Performance Partnership
Grant (PPG).
Section 104(b)(3) Wetlands Program Development Grants
(Assistance Listing #: 66.461)
Program Description
• Assistance to states, Tribes, intertribal consortia, and other groups to build
wetland programs. A secondary focus is to build local (county or municipal)
programs.
• Regions issue a Request for Applications (RFAs) for Tribes, states,
territories, intertribal consortia, interstate agencies, and local governments
every two years.
• EPA Headquarters (HQ) and regions issue tribal-only RFAs every two years.
For more information, visit: Wetland Proqram Development Grant
How it Works with
Section 106
Tribes can use Section 106 funds to support and implement wetland program
activities, including to:
• Identify wetlands.
• Monitor wetlands.
• Implement a Wetlands Program.
• Develop a Section 404 dredge and fill permit program.
• Implement a dredge and fill permit program.
Tribal Eligibility
Federally recognized Tribes and intertribal consortia.
Grant Funding and
Match Requirement
• Competitive grants: Funding at the regional level ranges from $50,000 to
$550,000 per award.
• 25 percent match.
• No match required if funds are included in a PPG.
Exchange Network Grants
(Assistance Listing #: 66.608)
Program Description
The Exchange Network (EN) Grant Program provides funding to help Tribes
develop the information management and technology capabilities they need to
participate in the EN.
For more information, visit: Exchanqe Network Grant Proqram
How it Works with
Section 106
Tribes can use EN funds to:
• Establish data storage and retrieval systems for water quality data.
• Establish data flow to Water Quality Exchange (WQX).
Tribal Eligibility
Federally recognized Tribes and intertribal consortia.
Grant Funding and
Match Requirement
• Competitive Grants: Eligible Tribes received from $130,000 to $400,000 per
award in 2020.
• No match required.
Clean Water State Revolving Funds
(Assistance Listing #: 66.458)
Program Description
• The Clean Water State Revolving Fund (CWSRF) program is a federal-state
partnership that provides communities low-cost financing for a wide range
of wastewater infrastructure projects.
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• Tribes are eligible to apply for state funds and should contact the
appropriate state agency for information on the program.
For more information, visit: Clean Water State Revolvinq Fund
How it Works with
Section 106
Tribes may be eligible to use CWSRF to:
• Construct, upgrade, repair, or replace community decentralized
wastewater systems.
• Set up a special district or Responsible Management Entity for
management of decentralized systems.
• Implement a watershed-based plan and watershed pilot projects.
• Implement an NPS management plan.
• Implement riparian buffers.
• Restore habitat.
• Develop public outreach materials.
Tribal Eligibility
Tribes may be eligible for CWSRF loans. Specific eligibilities vary by state.
Grant Funding and
Match Requirement
Funding ranges and match requirements vary by state.
Drinking Water State Revolving Funds
(Assistance Listing #: 66.468)
Program Description
The Drinking Water State Revolving Loan Fund (DWSRF) is a federal-state
partnership that distributes funds to states to provide low-interest loans to
eligible recipients for drinking water infrastructure projects. DWSRF also allows
states to set-aside a portion of their funds to finance source water protection
activities.
For more information, visit: Drinkinq Water State Revolvinq Fund
How it Works with
Section 106
Tribes may be eligible to use DWSRF to:
• Implement source water protection activities.
• Acquire land or conservation easements to protect source water.
Tribal Eligibility
Tribes may be eligible for DWSRF loans. Specific eligibilities vary by state.
Grant Funding and
Match Requirement
Funding ranges and match requirements vary by state.
EPA Geographic Programs
Program Description
• EPA Geographic Programs include Puget Sound, Columbia River, Great
Lakes, Chesapeake Bay, Gulf of Mexico, Lake Champlain, Long Island Sound,
Lake Pontchartrain, S. New England Estuary, South Florida, and San
Francisco Bay.
• Tribes can monitor Grants.qov for requests for proposals from these
programs.
How it Works with
Section 106
Tribes can use EPA Geographic Program funds to support and expand Section
106-funded activities, such as those that improve knowledge and protect and
restore critical aquatic ecosystems.
Tribal Eligibility
Tribal eligibility may vary by Geographic Program.
Grant Funding and
Match Requirement
Funding amount and match requirements may vary by Geographic Program.
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EPA Tribal Grant Programs
This section provides more detail on EPA funding sources that tribal programs commonly pursue.
General Assistance Program Grants
• Assistance Listing #: 66.460.
• Statutory Authority: Indian Environmental General Assistance Program Act.
Program Description
The Indian Environmental GAP provides grants to Indian tribal governments or intertribal consortia to
support activities such as planning, developing, and establishing environmental protection programs
consistent with other applicable provisions of law providing for enforcement of such laws by Indian
Tribes on Indian lands. The purposes of GAP funding are to:
1. Provide general assistance grants to Indian tribal governments and intertribal consortia to build
capacity to administer environmental regulatory programs that EPA may delegate on Indian
lands.
2. Provide technical assistance from EPA to Indian tribal governments and intertribal consortia in
the development of multimedia programs to address environmental issues on Indian lands.
3. Develop and implement solid and hazardous waste programs.
EPA's GAP Guidance on Financial Assistance Agreements has more information.
How to Qualify
Federally recognized Tribes and tribal consortia interested in planning, developing, and establishing
environmental protection programs in Indian Country, and developing and implementing solid and
hazardous waste programs on tribal lands, can submit applications for funding to their EPA region.
Tribes and consortia are required to have an EPA-Tribal Environmental Plan (ETEP) in place. If they do
not have an ETEP, their GAP work plan should include a commitment to develop one.
Funding Amount
The Indian Environmental General Assistance Program Act states that each grant that EPA awards for
general assistance for a fiscal year shall be no less than $75,000, and EPA may not award a single grant
to an Indian tribal government or intertribal consortium for more than 10 percent of the funds
appropriated.
Match Requirements
None.
Connections with the Section 106 Program
GAP funding can help Tribes build capacity for water related environmental programs and develop TAS
applications. Capacity development activities include participating in water quality training; developing a
QAPP, initial Monitoring Strategy, and water quality database; and building capacity for CWA authorities
including to develop TAS packages, WQS, and assessment methodologies.
Examples of GAP-Funded Activities
The GAP program can support tribal environmental program work in the following areas: water, air,
solid waste, pesticides, emergency response, border issues, land use, and regulatory actions.
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Hoh Indian Tribe
The Hoh Indian Tribe of western Washington has called the Hoh River watershed home since time
immemorial. The 1.5-square mile Hoh Indian Reservation sits adjacent to the mouth of the Hoh River
on the Olympic Peninsula, The river originates from glacial terminuses on Mount Olympus in the
Olympic National Park, flowing 56 miles from its headwaters to the Pacific Ocean. As it travels
westward, the river flows through one of the largest temperate rainforests in the United States. Due
to the prolific nature of the forest, logging is pervasive in the watershed outside of the Olympic
National Park. Many native fish species reside in the Hoh River and its tributaries, including runs of
steelhead, chinook, coho, pink, and chum salmon. The Hoh Indian Tribe depends on healthy
populations of these fish for their cultural, ecological, and economic values.
In 2005, the Tribe established the Hoh River Watershed Monitoring Program to monitor water
quality in the Hoh River and its tributaries with support from GAP. At the time of the monitoring
program's inception, water quality data were largely lacking for the Hoh River watershed. There
were no long-term monitoring programs for the area outside of the Olympic National Park and little
was known about the effects of timber harvest on water quality and salmon habitat in the Hoh River
and its tributaries. The Hoh River Watershed Monitoring Program was created to: 1) establish
baseline conditions of water quality, 2) document changes from baseline conditions, and 3) monitor
for compliance with relevant regulatory standards. The program monitors the following water quality
parameters: instantaneous temperature, dissolved oxygen (DO), turbidity, conductivity, and pH;
continuous temperature and DO; and summer low flow in tributaries.
Over the years, the Tribe expanded their water quality program with GAP by incorporating new core
capacities, such as developing a water quality Monitoring Strategy, submitting and routinely
updating a Quality Assurance Project Plan, developing an EPA-TEP, enhancing staff expertise through
training opportunities, and adding baseline environmental data by incorporating new tributaries into
the monitoring network. After building the capacity of the monitoring program through GAP, the
Tribe received TAS for the Section 106 Program in 2021. With support from GAP and Section 106
grants, the Hoh River Watershed Monitoring Program will continue to enhance water quality
monitoring efforts, thereby striving for protection of the waters that are integral to the longevity of
salmon and the Hoh Indian Tribe's way of life.
Figure 19. South Fork of the Hoh River during autumn. Credit: Photo courtesy of the Hoh Indian Tribe
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Section 319 Nonpoint Source Grants
• Assistance Listing #: 66.460.
• Statutory Authority: CWA Section 319.
Program Description
The Section 319 NPS Program provides grants and technical assistance to Tribes, states, and territories
to support the control of NPS pollution. NPS water pollution comes from diffuse sources, including
agricultural lands, failing septic systems, developed lands, and other runoff that does not come from a
discrete source, such as a pipe. The NPS Program also supports restoration actions to reverse
hydromodification and habitat loss. Across the United States, NPS pollution is a major contributor
to water quality problems. EPA's Polluted Runoff: Nonpoint Source (NPS) Pollution website has more
information.
How to Qualify
Tribes must apply for TAS for the NPS Program. Tribes interested in TAS for NPS are encouraged to work
with their EPA regions and submit a draft NPS Assessment Report and NPS Management Program Plan
for review and approval before submitting a TAS application. Developing the NPS Assessment Report
and NPS Management Program Plan can be a lengthy process and Tribes might need to submit multiple
drafts before the EPA region can approve the documents. These documents serve as the foundation for
how Tribes implement their NPS Program. To qualify for Section 319 grants TAS, Tribes must
demonstrate that they meet the CWA Section 518(e) TAS criteria and have an approved NPS Assessment
Report and NPS Management Program Plan. For details on 319 TAS process, Tribes should consult EPA's
Handbook for Developing and Managing Tribal Nonpoint Source Pollution Programs Under Section 319
of the Clean Water Act. Tribes should also contact their EPA regional Tribal NPS Coordinator for region-
specific information.
Funding Amount
Tribal NPS grants are for $36,000 or $60,000 per year, depending on a Tribe's land area. Tribes with TAS
for NPS can apply for these base program amounts annually. EPA also conducts a national tribal Section
319 grant competition each year, where Tribes can apply for funds for on-the-ground, "implementation"
projects. Tribes can apply for up to $125,000 in competitive tribal Section 319 funding.
Match Requirements
Section 319 has a 40 percent tribal match requirement based on the total amount of the approved work
plan. For example, a Tribe submitting a $50,000 work plan will receive a $30,000 NPS grant and will
match that grant at $20,000. Tribes can request a financial hardship regulatory exception to reduce the
40 percent match to 10 percent. Tribes should consult with their EPA regional office for specifics on
requesting match regulatory exceptions. To receive a regulatory exception, Tribes typically
provide documentation of a hardship, such as the Tribe's per capita income or unemployment rate in
comparison to the state or local area.
EPA waived the required cost share when Section 319 funds are included in PPGs for new funding
awarded or supplemental amendments to tribal or intertribal PPGs awarded on or after October 1,
2021. More information is in Chapter 3: Grant Requirements.
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Connections with the Section 106 Program
Tribes can use Section 106 funds to support a range of NPS activities, such as developing the NPS
Assessment Report and NPS Management Program Plan and conducting NPS effectiveness monitoring.
Examples of Section 319-Funded Activities
Depending on the Tribe's NPS management program, grants may be available to fund activities such as:
• Replacing, constructing, upgrading, or repairing failing septic systems to protect source water.
• Installing BMPs to reduce soil erosion near roads.
• Developing a watershed-based plan to guide NPS management work.
• Protecting or restoring wetlands to manage NPS pollution.
Section 104(b)(3) Wetlands Program Development Grants
• Assistance Listing #: 66.461.
• Statutory Authority: CWA Section 104(b)(3).
Program Description
Wetland Program Development Grants (WPDGs) assist tribal, state, territorial, and local government
agencies, as well as intertribal and interstate entities, in developing or refining programs which protect,
manage, and restore wetlands. The secondary focus is to develop or refine programs for local entities,
such as counties or municipalities.
Wetland programs help conserve and restore wetland acreage and improve wetland condition. The
grant recipients use one or more of the primary activities, known as Core Elements, to achieve this goal.
Core Elements include the following:
• Monitoring and assessment.
• Voluntary restoration and protection.
• Regulatory approaches (including Section 401 certification).
• Wetland-specific WQS.
How to Qualify
Tribes do not need TAS to apply for WPDGs. WPDGs are competitive grants and EPA regions issue
regional RFAs every two years for projects that can last for four years from time of award. EPA regions
usually issue the announcement in the spring of odd numbered years. Tribes should follow the
application requirements listed in the RFA. The RFA includes two tracks:
• Track One or the Wetland Program Plan Track is for Tribes, states, and local governments that
have or are developing/refining a Wetlands Program Plan.
• Track Two or the Non-Wetland Program Plan Track is open to intertribal consortia and states, as
well as local governments, interstate agencies, and eligible colleges and universities that are
agencies of a state government.
Funding Amount
• Approximately $25,000 to $550,000 for the regional RFAs.
• From $25,000 to $250,000 in the tribal-only RFA.
Match Requirements
Individual WPDGs have a 25 percent match requirement.
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EPA waived the required cost share when WPDGs are included in PPGs for new funding awarded or
supplemental amendments to tribal or intertribal PPGs awarded on or after October 1, 2021. More
information is in Chapter 3: Grant Requirements.
Connections with the Section 106 Program
Tribes can use Section 106 grant funds for the following wetlands-related activities:
• Identify wetlands.
• Monitor wetlands.
• Develop and implement wetland programs.
• Develop Section 404 dredge and fill permit programs.
• Implement dredge and fill permit programs.
Examples of WPDG-Funded Activities
• Develop an inventory of wetlands on tribal lands.
• Develop a Wetland Protection Program.
Other Considerations
Tribes cannot use WPDGs for implementation. EPA intends for Tribes to use WPDGs to develop or refine
wetland programs. Therefore, ongoing, routine activities, such as managing a Section 401 program
would not qualify for funding. Additionally, these funds cannot be used to purchase land or easements.
In addition to the EPA regional RFA, EPA HQ also issues a tribal-only RFA every other year. Tribes
interested in applying should follow the directions in the tribal-only RFA. Tribes can apply for both the
HQ RFA as well as the regional RFA, using the same proposal.
Exchange Network Grants
• Assistance Listing #: 66.608.
• Statutory Authority: Reorganization Plan No. 3 of 1970, 84 Stat. 2086, as amended by PL 98-80,
97 Stat. 485 (codified at Title 5, App.) (EPA's organic statute).
Program Description
The EN is an information network that facilitates environmental data sharing among EPA, Tribes, states,
and territories. The EN streamlines data collection and exchange and increases data quality and access.
Ultimately, this supports decision making on environmental and health issues. The EN grant program
provides funds for Tribes and intertribal consortia to develop the information management and
technology capabilities they need to participate in the EN. This includes funding for specific program
data enhancements such as WQX and ATTAINS.
How to Qualify
Tribes must be federally recognized to qualify for EN grants. Tribal consortia, tribal councils (on behalf of
two or more tribal environmental or health agencies), and tribal water quality administrations that
consist of federally recognized Tribes can also apply for EN grants.
Funding Amount
Typically, EPA expects that most awards will range from $50,000 to $200,000. Individual opportunity
applicants may request up to $200,000, while partnership opportunity applicants may request up to
$400,000.
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Match Requirements
The EN grant program does not have a match requirement.
Connections with the Section 106 Program
Tribes can use EN grants to establish data storage and retrieval systems for the water quality data they
gather using Section 106 funds. Tribes can also use EN grants to establish data flow to WQX to load the
water quality data they gather using Section 106 funds.
Examples of Activities
Example activities that Tribes can fund with EN grants include:
• Mapping data systems to WQX schema and collaborating with eligible entities collecting
monitoring data.
• Developing Quality Assurance (QA)/Quality Control (QC) checks and reports to improve data
consistency.
• Developing capability for integrating WQX and Assessment and TMDL Tracking and
Implementation System (ATTAINS) workflows and making use of monitoring data for automated
water quality analyses.
EPA's Previous Exchange Network Grant Projects website has a list of projects, including many tribal
projects, that EPA has awarded.
Other Considerations
Tribes may consider joining the Tribal Exchange Group to address issues involving data management,
technology access, and information exchange. The Tribes and the Exchange Network website has more
information and updated resources on open grant solicitation.
Dry Creek Band of Pomo Indians
The Dry Creek Band of Pomo Indians in Region 9 received $200,000 from the EN in 2021 to do the
following:
• Develop a strategic plan for collecting, managing, and assessing data and making the best
use of available technology to support water quality monitoring of the Tribe's resources.
• Develop, test, and implement the electronic discharge monitoring report (eDMR) system
within a tribal environment.
• Develop websites, including website content and user tools, to inform the public of critical
environmental projects undertaken or issues monitored.
• Develop and implement innovative geospatial tools and technologies to improve monitoring,
reporting, data visualization, and analysis of environmental and public health.
Clean Water State Revolving Funds
EPA's Clean Water State Revolving Fund program is a federal-state partnership that provides
communities with low-cost financing for water quality infrastructure projects. State CWSRF programs
provide eligible recipients loans to construct municipal wastewater facilities, control NPS pollution, build
decentralized wastewater treatment systems, repair or replace failing decentralized systems, create
green infrastructure projects, protect estuaries, and fund other water quality projects. Each state's
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CWSRF program is responsible for selecting the projects that receive assistance. Tribes are eligible to
apply for state funds and should contact the appropriate state agency for information on this program.
EPA's State CWSRF Program Contacts website has contact information for states' CWSRF
representatives along with links to states' CWSRF websites. The CWSRF program offers a variety of types
of financial assistance that can fund projects that do not fall within the mainstream of
traditional wastewater infrastructure. EPA's Financing Options for Nontraditional Eligibilities in the Clean
Water State Revolving Fund Programs, Financing Decentralized Wastewater Treatment Systems, and
CWSRF Best Practices Guide for Financing Nonpoint Source Solutions documents have more information.
The Yurok Tribe
The Yurok Tribe received an $18.7 million loan at zero percent interest. This loan, provided by
California CWSRF, allowed the Tribe to acquire 22,237 acres of forestland to protect water quality
and beneficial uses. Sustainable harvesting practices generated carbon credits, a partial repayment
source. The California CWSRF required the Tribe to provide a contract for the sale of carbon reserves
as a condition to receive funding. EPA's Funding Land Conservation Projects with the Clean Water
State Revolving Fundfactsheet has more information.
Drinking Water State Revolving Funds
EPA's Drinking Water State Revolving Fund program is a financial assistance program that provides loans
for infrastructure projects that protect public health. Projects may include those to improve drinking
water treatment, fix leaky or old pipes for water distribution, improve sources of water supply, and
replace or construct finished water storage tanks. Tribes can apply to states for funds to implement
source water protection activities and acquire land or conservation easements to protect source water.
Other EPA Programs
In addition to the EPA grant programs above that are specifically for Tribes or have established tribal set-
asides, there are several other EPA programs that provide financial and technical assistance that may be
relevant to tribal water programs.
BEACH Act Grants
EPA awards grants under authority of the Beaches Environmental Assessment and Coastal Health
(BEACH) Act to eligible Tribes, states, and territories that have oceans, or Great Lakes recreation waters,
that are designated for primary contact use with EPA-approved WQS. BEACH Act funds can help
establish or supplement water quality monitoring and public notification activities. Specifically, tribal,
state, local health and environmental protection agencies, and other local authorities use BEACH Act
funds to monitor beach water quality during each swimming season. When bacteria levels in the water
are too high, these entities notify the public of unsafe swimming conditions by either posting beach
warnings or closing the beach.
EPA allocates the BEACH Act grants using a formula based on the length of the beach season, number of
miles of shoreline, and population of coastal counties. There are currently four eligible Tribes, each
receiving approximately $50,000 per year.
EPA's Beach Grants website has more information.
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Swinomish Department of Environmental Protection
The Swinomish Department of Environmental Protection conducts bacteria monitoring along their
recreational beaches using BEACH Act funds. They update their community on their monitoring
activities, as shown in a post to their Twitter account (Figure 20).
Figure 20. A post to Twitter by the Swinomish Department of Environmental Protection
^ Swinomish Department of Environmental Protection
April 13 at 3:02 PM ¦ 0
RECREATIONAL BEACHES BACTERIA MONITORING
Six monitored beaches OPEN for water contact activities as of
4/11/2022. Next sampling scheduled for May 12, 2022.
-Snee-Oosh Beach: 10 MPN/100mL... See more
National Estuary Program
EPA's National Estuary Program (NEP) is a non-regulatory, place-based program designed to protect and
restore water quality and ecological integrity in estuaries that EPA designates as having national
significance. There are currently 28 NEPs across the United States, located along the Atlantic, Gulf, and
Pacific coasts, and Puerto Rico. Each of the 28 NEPs focuses within a study area that includes the estuary
and surrounding watershed. A Comprehensive Conservation and Management Plan (CCMP) guides NEP
priorities and actions to address challenges to water quality, living resources that are found in or use
estuaries, and local priorities. EPA provides annual funding, national guidance, and technical assistance
to local NEPs.
The NEP Coastal Watersheds Grant (CWG) Program is a competitive grant program that supports
projects addressing urgent and challenging issues that threaten estuaries of national significance.
Restore America's Estuaries (RAE) administers the NEP CWG Program under a cooperative
agreement with EPA. RAE conducts an annual solicitation with approximately $1 million awarded each
year. Subawards range between $75,000 and $250,000, resulting in approximately three to ten total
subawards per funding year, depending on Congressional appropriations. Tribes and intertribal
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consortia are eligible applicants. Project proposals must occur in their entirety within NEP geographic
areas.
The Lowlander Center
The Lowlander Center supports coastal and bayou lowlands (both human and natural) by honoring
residents. It also supports Indigenous and diverse historied groups by helping them achieve full
engagement for a resilient future. The Lowlander Center received a $250,000 Coastal Watersheds
Grant in 2020 to strengthen Louisiana's marshes by backfilling canals to reduce flood risk, protect
sacred sites, and enhance tribal communities' resilience.
Urban Waters Program
The Urban Waters Federal Partnership seeks to connect overburdened or economically distressed urban
communities with their waterways so that they become stewards for clean urban waters. Through the
Partnership, communities gain economic, environmental, and social benefits. Communities also
collaborate with federal agencies, state and local agencies, and community-led efforts to achieve
common goals. The Partnership currently supports efforts in 20 designated Urban Waters locations in
the United States.
The Urban Waters Learning Network, led by a partnership between River Network and Groundwork
USA, is a peer-to-peer network of people and organizations working to restore and revitalize local
waterways. Pollution, economic distress, and related challenges disproportionately impact many of
these waterways. Its purpose is to strengthen the effectiveness of urban waters practitioners across the
country by providing them with opportunities to share experiences, exchange technical expertise, and
learn about funding and technical resources available to support their work.
The Five Star and Urban Waters Restoration Grant Program, managed by the National Fish and Wildlife
Foundation and Wildlife Habitat Council, in cooperation with EPA and other partners, seeks to develop
community capacity to sustain local natural resources for future generations by providing financial
assistance to diverse local partnerships focused on improving water quality, watersheds, and the species
and habitats they support. Awards range from $20,000 to $50,000 with an average size of $35,000 and
40 to 50 grants awarded per year. Grants span from 12 to 18 months. Program grants support projects
for ecological improvements along with targeted community outreach, education, and stewardship.
Tribes are eligible applicants.
For a tribal project example, see the Urban Waters and the Green-Duwamish Watershed (Washington)
website.
Office of Environmental Justice Grants
EPA's Environmental Justice Small Grants (EJSG) program supports and empowers communities working
on solutions to local environmental and public health issues. EPA designed the program to help
communities understand and address exposure to multiple environmental harms and risks. EJSG
fund one-year projects up to $75,000, depending on the availability of funds. All projects must include
activities that relate to at least one of the following qualified environmental statutes: Clean Air Act
Section 103(b)(3); CWA Section 104(b)(3); Federal Insecticide, Fungicide, and Rodenticide Act Section
20(a); Marine Protection, Research, and Sanctuaries Act Section 203; Safe Drinking Water Act Section
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1442(c)(3); Solid Waste Disposal Act Section 8001(a); or Toxic Substances Control Act Section 10(a).
Federally recognized and state-recognized tribal governments, Alaska Native Villages, and tribal
organizations are eligible applicants.
Penobscot Indian Nation
The Penobscot Indian Nation received an EJSG in 2019 to study mercury contamination of fish and
crayfish, key components of the traditional sustenance diet of the Penobscot Indian Nation, Maine.
This project provided species- and site-specific information on mercury concentrations offish and
crayfish in lakes subject to tribal sustenance fishing rights. Findings from this project are being used
to inform the tribal community and to influence behavior to minimize mercury exposure during
sustenance fishing. Finally, data on mercury in fish and crayfish will provide the baseline data needed
to design a long-term mercury monitoring program that informs policymakers on the effectiveness of
current mercury water quality regulations. Activities include sampling (approximately 500 samples of
2 to 8 species of fish and crayfish in 8 to 10 lakes), forming community forums on the project,
conducting several school presentations, and developing a summary brochure and a technical report
on the sampling results. For more information about past EJSG grantees, visit EPA's Environmental
Justice Small Grants Program - Grant Recipients website.
EPA Geographic Programs
Gulf of Mexico Division: The Gulf of Mexico Division (GMD) is a non-regulatory program focused on 1)
assisting Tribes, states, interstate agencies, and other public or nonprofit organizations in developing,
implementing, and demonstrating innovative approaches relating to the causes, effects, extent,
prevention, reduction, and elimination of water pollution; and 2) expanding and strengthening
cooperative efforts to restore and protect the health and productivity of the Gulf of Mexico in ways
consistent with the economic well-being of the region. The GMD utilizes competitive funding
opportunities to fund projects that will deliver significant results to achieve the environmental outcomes
of improved health of the Gulf of Mexico by restoring, protecting and enhancing habitat, improving
water quality, enhancing community resilience, and furthering environmental education. Tribes and
intertribal consortia are eligible applicants.
Great Lakes Restoration: The Great Lakes Restoration Initiative (GLRI) accelerates efforts to protect and
restore the Great Lakes which is the largest system of fresh surface water in the world. Built upon the
foundation of the Great Lakes Regional Collaboration Strategy, the multi-agency GLRI has provided
funding to 16 federal organizations to address threats to the Great Lakes ecosystem and to accelerate
progress toward achieving long-term goals since 2010. The GLRI Action Plan III outlines the priorities and
goals of the GLRI for fiscal years 2020 to 2024, which work to accelerate environmental progress in five
focus areas: toxic substances and areas of concern, invasive species, NPS pollution impacts on nearshore
health, habitats and species, and foundations for future restoration actions. Tribes and intertribal
consortia are eligible for GLRI funding. GLRI includes the Distinct Tribal Program administered by the
U.S. Department of the Interior (DOI) Bureau of Indian Affairs under which tribal projects are supported
that are consistent with GLRI goals and objectives in the spirit of self-determination, maximum
flexibility, and consistent with federal Indian trust responsibilities.
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Puaet Sound: Since 2010, Congress has appropriated over $350 million in CWA Section 320 funds for
Puget Sound. Under Section 320, EPA has provided NEP and Geographic Program funding and support to
help communities make on-the-ground improvements for clean and safe water, protected and restored
habitat, thriving species, and a vibrant quality of life for all, while supporting local jobs. Currently, EPA
helps fund the Puget Sound Partnership's Action Agenda for protecting and restoring Puget Sound, but
federal support of Puget Sound recovery also comes from many programs. Administrators of most of
these programs include the National Oceanic and Atmospheric Administration, U.S. Department of
Agriculture (USDA), DOI, and the U.S. Army Corps of Engineers. Funding is made available directly to
Tribes from EPA Region 10 and through the Northwest Indian Fish Commission subawards.
Other Non-EPA Federal Programs
U.S. Department of Agriculture
The USDA provides services related to food, agriculture, natural resources, rural development, nutrition,
and related issues. The U.S. Department of Agriculture website and 2016 USDA Resource Guide for
American Indians and Alaska Natives have more information. USDA's Grants and Loans website has
information on their financial assistance programs.
• Natural Resource Conservation Service (NRCS) offers grants to Tribes through its Conservation
Partnership Initiative. NRCS staff have worked closely with many Tribes to help them identify
additional funding opportunities. USDA's Regional Conservation Partnership Program website
has more information.
• Farm Services Agency provides farm commodity and disaster assistance programs, as well as
other forms of financial assistance. USDA's Farm Service Agency website has more information.
• U.S. Forest Service works to maintain and improve the health, diversity, and productivity of the
nation's forests and grasslands to meet the needs of current and future generations. The Forest
Service performs functions such as natural resource stewardship, management of lands and
realty, and minerals and geology management. USDA's Forest Service website and Grants &
Agreements website have more information.
U.S. Department of the Interior
DOI manages and protects America's federal lands, national parks, and other resources. The U.S.
Department of the Interior website has more information.
• Bureau of Indian Affairs within the DOI provides Water Resources on Indian Lands Grants to
Tribes to assist in the management, planning, and development of their water and related land
resources.
• U.S. Fish and Wildlife Service works to conserve, protect, and enhance fish, wildlife, and plants
and their habitats for the continuing benefit of the American people. The U.S. Fish and Wildlife
Service website and Financial Assistance website have more information.
• U.S. Geological Survey (USGS) monitors, assesses, and conducts targeted science research.
USGS works in the fields of water, earth, and biological science as well as serving as a civilian
mapping agency. The USGS website and Financial Assistance website have more information.
Federal Emergency Management Agency
Nature-based solutions are increasingly recognized as important tools to mitigate disasters. EPA and the
Federal Emergency Management Agency (FEMA) are working together to align EPA water quality actions
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with nature-based solutions that improve water quality and mitigate disasters. FEMA has a variety of
funding programs that support the implementation of nature-based solutions. FEMA's Mitigation
Assistance Resource Guide for Tribal Nations has more information.
Department of Health and Human Services
The Administration for Native Americans, within the Administration for Children and Families in the
Department of Health and Human Services, provides Environmental Regulatory Enhancement grants to
Tribes to develop tribal environmental projects that are responsive to tribal needs. The About
Environmental Regulatory Enhancement website has more information.
State Programs
State agencies manage many EPA grant programs, such as the NPS Program and the State Revolving
Funds program. These agencies set their own priorities and have their own procedures for providing
funding. Tribes should contact the relevant state agency for specific information on whether Tribes are
eligible to receive funding and what projects are eligible for funding. In addition, other state natural
resources agencies, such as those related to fish and wildlife or forestry, might also provide sources
of funding or opportunities to collaborate.
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vvEPA
United States Environmental Protection Agency
Office of Water
Office of Wastewater Management
EPA 832-K-23-001
January 2023
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