BEST PRACTICES GUIDE
for Performance Partnership Grants with
Tribes and Intertribal Consortia
Last updated:
December 2022
-------
Table of Contents
Purpose 4
Section I: Introduction to Performance Partnership Grants (PPGs) 5
What are Performance Partnership Grants? 5
Which statutes and regulations govern PPGs for Tribes? 5
What are the advantages of PPGs? 5
What are the challenges of PPGs? 6
How can new or existing grant programs be deemed eligible for inclusion in a PPG? 6
What Tribal entities are eligible to receive PPGs? 7
Can a Tribe or tribal consortium receive more than one PPG? 7
Which grant programs are eligible for inclusion in PPGs? 7
Section II: Applying for and Negotiating a PPG 9
What activities are eligible for funding under PPGs? 9
What is the period of performance for a PPG? 9
What needs to be included in a PPG work plan? 9
What is the relationship between PPGs and EPA-Tribal Environmental Plans (ETEPs)? 10
How do the National Program Guidances (NPGs) influence PPG work plans? 11
How do Tribes or Intertribal consortia apply for a PPG? 11
What needs to be included in a PPG application? 12
Can a Tribe or Intertribal consortium include competitive funds in a PPG? 12
Does a Tribe or Intertribal consortium need Treatment as a State (TAS) to include a given
programs' funds in a PPG? 13
What are the basic requirements for acquiring TAS? 13
Can a Tribe or Intertribal consortium perform program activities if they do not have TAS for
that program? 13
Do Tribal PPGs have any cost share requirements? 13
Do Tribal PPGs have any maintenance of effort (MOE) requirements? 14
Can voluntary cost share be included in a Tribal PPG? 14
Section III: Managing a PPG 15
How is PPG performance evaluated? 15
Can changes be made to an approved PPG work plan? 16
Can the period of performance for a PPG be extended? 16
What is the EPA Quality Program? 17
What is a Quality Management Plan (QMP)? 17
What is a Quality Assurance Project Plan (QAPP)? 17
What is the difference between a QMP and a QAPP? 18
How does a PPG recipient draw down funds? 18
Section IV: Closeout 19
If funds remain after all work is complete, what can a recipient use those funds on? 18
What does closeout mean? 19
2 | P a g e
-------
What is the process for closeout of a PPG? 19
Program-Specific Requirements 20
Appendix A: Glossary of Terms 21
Appendix B: Frequently Used Acronyms 23
3 | P a g e
-------
0
Purpose
This Best Practices Guide for Tribal Performance Partnership Grants serves as a reference tool for EPA
and Tribal officials, at both the management and staff level, to better understand and apply the
numerous features and benefits of Performance Partnership Grants (PPGs).
Tribes and Intertribal consortia continually seek to expand the use of PPGs to best leverage
resources and optimize the efficiencies and flexible approaches toward meeting joint environmental
goals and priorities. EPA and tribal counterparts regularly collaborate in sharing best practices and
approaches in managing PPGs, much of which is captured within this guide.
Using a question-answer format, this guide:
• Explains how PPGs can help achieve agreed-upon environmental goals and objectives.
• Highlights key regulations, policies, and procedures for developing and managing PPGs.
• Provides examples showing how PPGs have been used to achieve administrative efficiencies
and direct resources to support tribal priority environmental programs and results.
• Provides information and resources for tribal and federal personnel involved in negotiating,
managing, and maintaining PPGs.
• Offers a glossary of terms, and active links to training and reference materials to allow the
user to further explore the context and related information influencing PPG implementation.
This document is meant to provide supplemental information regarding PPGs that may not be
included in the Office of Congressional and Intergovernmental Relations' (OCIR) National Program
Guidance. The best practices guide will be continually updated as topics are raised by PPG recipients
and their EPA regional counterparts. To raise a topic or question that you believe should be
addressed in this guide, please email regionaloperations(5)epa.gov with 'Tribal PPG Best Practices
Guide" in the subject line.
4 | Page
-------
Section I: Introduction to Performance
Partnership Grants (PPGs)
What are Performance Partnership
Grants?
A Performance Partnership Grant (PPG) is a
single grant combining funds from two or
more eligible environmental program grants.
A PPG requires only a single application, work
plan, and budget, regardless of the number of
eligible programs included in the PPG.
Recipients are encouraged to use PPGs to
fully capitalize on their ability to leverage EPA
financial assistance and optimize flexibilities
through joint priority setting while minimizing
reporting requirements and financial
constraints. Once funds are awarded in a PPG,
the recipient can direct the funds as needed
to achieve work plan commitments and does
not need to account for funds in accordance
with their original program sources. Unlike
consolidated grants. PPGs have their own
statutory authority distinct from individual
program statutes, which provides unique
flexibilities to recipients enjoyed by no other
grant program at EPA.
Which statutes and regulations
govern PPGs for Tribes?
For many years, States, Tribes, and Intertribal
Consortia wanted greater flexibility in how
they use and manage the grant funds they
receive from EPA. In 1995, EPA asked
Congress for new authority to provide this
flexibility. In response, Congress authorized
EPA to award assistance agreements that
combine funds from two or more of the
eligible environmental program grants
without the restrictions of consolidated
grants, and those agreements were titled
Performance Partnership Grants or PPGs.
The statutory authority to award PPGs was
provided to EPA in the Omnibus Consolidated
Rescissions and Appropriations Act of 1996
(Public Law 104-1341 and in EPA's 1998
Appropriations Act (Public Law 105-65). EPA
established regulations governing the award
and administration of PPGs to Indian Tribes
and Intertribal Consortia in 40 CFR Part 35
Subpart B ("Environmental Program Grants
for Tribes").
In addition, all EPA grants, including PPGs,
must comply with the assistance regulations
in 2 CFR Parts 200 and 1500. known
collectively as the Uniform Administrative
Requirements, Cost Principles, and Audit
Requirements for Federal Awards, or Uniform
Grants Guidance (UGG), and 40 CFR Part 33.
Participation by Disadvantaged Business
Enterprises in United States Environmental
Protection Agency Programs.
What are the advantages of PPGs?
A Performance Partnership Grant may
provide for administrative savings or
programmatic flexibility to direct grant
resources where they are most needed to
address public health and environmental
priorities. PPGs streamline administrative
requirements, give Tribes greater flexibility to
direct resources to their most pressing
environmental problems, and make it easier
to fund efforts that cut across program
boundaries. Under standalone environmental
program grants, Tribes and Intertribal
Consortia receive funds to administer and
implement air, water, waste, pesticides, and
toxics programs. Each standalone grant can
only be used for the specific purposes set out
in the authority for that grant.
As provided at 40 CFR §35.535. Tribes and
Intertribal Consortia can use PPG funds for
any environmental activity that is eligible
5 | P a g e
-------
under the environmental programs listed in
Table 1 (except EPA delegated. EPA approved,
or EPA authorized activities, which still require
delegation, approval or authorization),
regardless of whether a Tribe applied for or
was selected for funding for that particular
activity, provided that the Regional
Administrator consults with the appropriate
National Program Managers (NPMs).
With PPGs, Tribes can:
Reduce administrative costs through
streamlined paperwork and accounting
procedures, e.g., single performance/
progress reports, Federal Financial Reports
(Standard Form 425).
Fund efforts that involve multiple
programs and activities that are eligible
under the environmental programs
listed in 40 CFR §35.501.
Focus EPA grant funds on priority
environmental program needs.
k
Eliminate cost share requirements.
What are the challenges of PPGs?
While PPGs can afford Tribes more financial
and administrative flexibility during the
grant's period of performance, PPGs require
increased collaboration and coordination
upfront to successfully negotiate a work plan
and throughout the grant to report and track
progress. This guide will delve deeper into
these challenges and present best practices to
help alleviate them.
How can new or existing grant
programs be deemed eligible for
inclusion in a PPG?
For grant programs to be deemed eligible for
inclusion in a PPG, they must be funded
through the same specific appropriation as
the funds for PPGs: Categorical State and
Tribal Assistance Grants (STAG). Only funds
included in the categorical earmark within the
STAG appropriation account are available for
inclusion in PPGs because the statutory
authority to award a PPG (Public Laws 104-
134 and 105-65) is limited to those funds.
Additional grant programs are thus made
eligible for inclusion in PPGs if they are
funded in the same line item for the
categorical environmental program grants. If
grant programs are funded in a separate line
item, they can be made eligible if Congress
makes clear through statutory language that
the program should be eligible for inclusion in
PPGs.
As provided in 40 CFR §35.533(bl the EPA
Administrator may, in guidance or regulation,
describe subsequent additions, deletions, or
changes to the list of environmental programs
eligible for inclusion in Performance
Partnership Grants.
EPA policy presumes that any new STAG
categorical grant program will be approved
for inclusion in a PPG unless there is specific
legislative language stating the program may
not be included in a PPG. The Office of
Congressional and Intergovernmental
Relations (OCIR) will coordinate with the
appropriate EPA program offices to develop a
decision package for the Administrator's
signature approving new programs for PPG
eligibility. If an EPA program office believes a
new STAG program should be excluded from
PPGs, the office must notify OCIR. OCIR will
convene meetings with interested offices and
raise the issue, as necessary. The
Administrator makes the final decision as to
6 | P a g e
-------
whether or not a grant program is approved
for inclusion in PPGs.
What Tribal entities are eligible to
receive PPGs?
Under 40 CFR 35 Subpart B. a Tribe or
Intertribal Consortium is eligible for a PPG if
the Tribe or each member of the Intertribal
Consortium is eligible for and receives funding
from more than one of the eligible
environmental program grants in accordance
with the requirements for those
environmental programs. For grants to Tribes,
a Tribal agency must be designated by a Tribal
government or other authorized Tribal
process to receive grants under each of the
environmental programs to be combined in
the PPG.
Can a Tribe or tribal consortium
receive more than one PPG?
Yes. Some situations where a Tribe or Tribal
consortium may opt to have multiple PPGs
include:
~ Tribe has multiple PPGs in order to
effectively align grant work based on
Tribal programs/departments (e.g.,
media-specific PPGs like a "water PPG"
and an "air PPG")
~ Timing of multi-year grant project would
cause an existing PPG to go beyond the
5-year limit, so a second PPG may be
awarded with new funds that overlaps
an existing PPG for a year or more.
Tribes and Tribal consortia can have more
than one active PPG, but careful
considerations must be made, such as:
~ Expenditures must be carefully tracked
and documented to ensure costs are
charged to the appropriate grant.
~ The recipient must ensure records
support the distribution of the
employee's salary or wages among
specific activities or cost objectives, as
required by 2 CFR §200.430.
Big Pine Paiute Tribe's uses PPG funds to grow
native plants. The plants will be used for
restoration activities on the reservation
Which grant programs are eligible
for inclusion in PPGs?
There are currently 19 environmental
program grants eligible for inclusion in a PPG,
listed in able with the corresponding
Assistance Listing number. Assistance listings
are detailed public descriptions of federal
programs that provide grants, loans,
scholarships, insurance, and other types of
assistance awards. The assistance listing
number for PPGs is 66.605. For more
information on Assistance Listings, please
refer to https://sam.gov/content/assistance-
listings.
Since the inception of the National
Environmental Performance Partnership
System (NEPPS), there have been other EPA
grant programs eligible for inclusion in a PPG.
However, these programs were either
discontinued or are inactive and excluded in
the table below. Examples include Multimedia
Sector Program Grants and Water Quality
Cooperative Agreements (CWA §104(b)(3)).
7 | P a g e
-------
Table 1. Eligible Environmental Programs for Inclusion in PPGs
EPA Office
Assistance Listing
Number
Environmental Program Grant
Office of the Administrator
66.204
Multipurpose Grants to States and Tribes
Office of Air and Radiation
66.001
Air Pollution Control Program Support
66.032
State Indoor Radon Grants
Office of Chemical Safety
and Pollution Prevention
66.707
TSCA Title IV State Lead Grants Certification of Lead-Based Paint Professionals
66.708
Pollution Prevention Grant Program
Office of Enforcement and
Compliance Assurance
66.700
Consolidated Pesticide Enforcement Cooperative Agreements1
66.701
Toxic Substances Compliance Monitoring Cooperative Agreements
Office of International and
Tribal Affairs
66.926
Indian Environmental General Assistance Program (GAP)
Office of Land and
Emergency Management
66.801
Hazardous Waste Management State Program Support
66.804
Underground Storage Tank Prevention. Detection, and Compliance Program
66.812
Hazardous Waste Management Grant Program for Tribes
66.817
State and Tribal Response Program Grants
Office of Mission Support
66.608
Environmental Information Exchange Network Grant Program and Related
Assistance
Office of Water
66.419
Water Pollution Control State. Interstate, and Tribal Program Support
66.432
State Public Water Svstem Supervision
66.433
State Underground Water Source Protection
66.460
Nonpoint Source Implementation Grants
66.461
Wetland Program Development Grants
66.472
Beach Monitoring and Notification Program Implementation Grants
1 Pesticide cooperative enforcement (section 23(a)(1) of the Federal Insecticide, Fungicide, and Rodenticide Act (FIFRA)), pesticide applicator
certification and training (section 23(a)(2) of FIFRA), and pesticide program implementation (section 23(a)(1) of FIFRA) fall under this assistance
listing.
8 | P a g e
-------
Section II: Applying for and Negotiating a PPG ((§|
What activities are eligible for
funding under PPGs?
As provided at 40 CFR §35.535. Tribes and
Intertribal Consortia may use PPG funds for
any environmental activity that is eligible
under the environmental programs listed in
40 CFR §35.501 (except EPA delegated, EPA
approved, or EPA authorized activities, which
still require delegation, approval, or
authorization), regardless of whether a Tribe
applied for or was selected for funding for
that particular program, provided that the
Regional Administrator receives concurrence
from the appropriate NPMs, when necessary.
The terms "delegated", "approved", and
"authorized" refer to terms used in applicable
statutes. While there may be other activities
that fall within these bounds, the two most
common activities that require proper
delegation, approval, or authorization are
issuing a permit or carrying out an
The La Jolla Band of Luiseho Indians uses
PPG funds to monitor air quality on their
reservation.
enforcement action. Tribes may conduct
activities that ultimately support the media
program that requires a separate delegation
or approval. For example, a Tribe could collect
information that is then used by EPA to issue
a permit on Tribal lands.
What is the period of performance
for a PPG?
The period of performance for a PPG is
flexible and can be negotiated between EPA
and the recipient for up to a maximum of five
years. To maximize flexibilities and ensure
program continuity, it is a best practice to
apply for multi-year PPGs. Recipients are
encouraged to align their multi-year PPG work
plans with EPA's 2-vear National Program
Guidances fNPGs) to streamline the work plan
negotiation process and reduce
administrative burden.
What needs to be included in a PPG
work plan?
A PPG work plan should be the product of
joint planning, priority setting, and mutual
agreement between the recipient and EPA.
The PPG grant work plan is the result of
negotiations between EPA and tribal program
managers and staff.
Successful PPG work plan negotiations rely on
a predictable process that fosters prompt
resolution of issues, including elevation of
issues to senior management levels if
necessary. In successful work plan
negotiations, EPA and the recipient will reach
a mutual understanding and agreement
about what will be accomplished under the
agreement.
9 | P a g e
-------
An approvable work plan, as outlined at 40
CFR §35.507. must specify:
~ The work plan components to be
funded under the grant;
~ The estimated work years and the
estimated funding amounts for each
work plan component;
~ The work plan commitments for each
work plan component and a time frame
for their accomplishment;
~ A performance evaluation process and
reporting schedule in accordance with
40 CFR §35.515: and
~ The roles and responsibilities of the
recipient and EPA in carrying out the
work plan commitments.
The work plan must also be consistent with
applicable federal statutes; regulations;
circulars; executive orders; and EPA
delegations, approvals, or authorizations.
COMPONENTS AND COMMITMENTS*
A work plan component is a negotiated set or
group of work plan commitments established
in the grant agreement. A PPG work plan
typically has more than one work plan
component. All Tribes are provided flexibility
through the work plan negotiation process
and have the ability to organize work plan
components in whatever way fits the Tribe
best. For example, components can be media
specific, or they can be cross-media, grouping
together similar activities that fall within
multiple media.
Work plan commitments are the outputs and
outcomes associated with each work plan
component. Outputs may be quantitative or
qualitative but must be measurable during an
assistance agreement funding period, while
outcomes must be quantitative and may not
necessarily be achievable within an assistance
agreement funding period. Outcomes may be
environmental, behavioral, health-related, or
programmatic in nature.
It is EPA policy to link proposed assistance
agreements to the Agency's Strategic Plan and
ensure that outputs and outcomes are
appropriately addressed in work plans and
performance reports.
What is the relationship between
PPGs and EPA-Tribal Environmental
Plans (ETEPs)?
An ETEP is a jointly developed plan outlining
how each Tribe and EPA will work together to
address shared environmental priorities
under the Indian Environmental General
Assistance Program (GAP). It serves as a
planning and communication tool for the
Tribe and EPA that provides a road map for
future decision-making. Tribes and Intertribal
Consortia, when applicable, should have an
ETEP in place to receive GAP funds.
An ETEP can be a standalone document that is
referenced when developing a PPG work plan
or combined with the PPG work plan. While
Tribes are not required to negotiate ETEPs
with EPA in order to receive financial
assistance from other EPA programs or to
combine multiple programs into a PPG, Tribes
can use their ETEP as their PPG work plan, or
as a part of it, as long as their ETEP meets the
work plan requirements listed in 40 CFR
§35.507(bV The portion(s) of the ETEP being
used as the work plan must be clearly
identified. Addressing both the ETEP and PPG
activities in a single document can be
beneficial for strategic planning since it draws
a direct link between short and long-term
goals.
10 | Page
-------
How do the National Program
Guidances (NPGs) influence PPG
work plans?
EPA program offices issue NPGs to serve as
the two-year framework for EPA regions and
grant recipients to meet Agency national
priorities, strategies, and goals.
EPA regions and grant recipients should
consider the priorities in the NPGs when they
negotiate PPG work plans. To allow flexibility
when addressing regional and Tribal needs,
Tribes and Intertribal consortia are
encouraged to develop work plans that reflect
jointly identified priorities as well as Tribal-
specific environmental and programmatic
needs.
EPA typically issues the NPGs every two years,
typically in April. EPA encourages grant
negotiations to continue in the event a
program office is late in issuing its NPG, or
when a grant recipient's fiscal year begins
earlier than a federal fiscal year. As outlined in
40 CFR §35.507(aH3V Tribes and Intertribal
consortia should use the NPG in place at the
time the Tribe prepares its grant application.
CONSIDERATION OF TRIBAL PRIORITIES
The PPG regulations require that tribal
priorities be considered, along with national
program and, if applicable, regional
supplemental guidance, in developing grant
work plans (see 40 CFR §35.507(aM1H. This
allows for Tribal flexibilities to be applied to
propose grant work plans that differ from the
goals, objectives, and measures in the NPM
guidance.
If the Tribe proposes a work plan that is
significantly different from the National
Program Guidance, the Regional
Administrator must consult and approve this
with the affected National Program Manager
before agreeing to the work plan. For PPGs
where the proposed differences affect more
than one program, the Regional Administrator
must consult with each affected National
Program Manager, along with OCIR.
How do Tribes or Intertribal
consortia apply for a PPG?
All applications for new EPA assistance
agreement awards must be submitted using
www.grants.gov. Applicants that have limited
or no internet capacity should refer to the PDF
on the Exceptions to the Grants.gov
Requirement webpage describing the process
to request an exception.
PPG applications are to be submitted through
grants.gov at least 60 days before the
beginning of the proposed funding period. As
a best practice, applicants should consult their
regional NEPPS Coordinator or EPA Project
Officer (PO) to discuss submitting an
application and determine if more time is
needed for review. The steps to apply are as
follows:
1. Go to www.grants.gov.
2. Under the "Applicants" tab, click "How to
Apply for Grants."
3. Near the bottom-right of the page, click
the red button, "Search for Opportunity
Package."
4. In the field "Funding Opportunity
Number," type EPA-CEP-01 (leave the
"Opportunity Package ID" field blank)
and click "Search."
5. CFDA 66.605 can be found at the
bottom of the list; users can click
"Preview" to download the required
forms or "Apply" to begin the application
process.
Applicants with questions about submission
requirements, including required forms and
other materials, should contact their PO,
11 | P a g e
-------
regional Grants Management Official (GMO),
or regional NEPPS Coordinator.
What needs to be included in a PPG
application?
An application for a PPG must contain:
1. A list of the environmental programs
and the amount of funds from each
program to be combined in the PPG;
2. A consolidated budget (SF 424, 424A
and a budget narrative);
3. A consolidated work plan (including a
project narrative) that addresses each
program being combined in the grant
and meets the requirements of 40 CFR
§35.507:
4. EPA Form 4700-4: and
5. EPA Key Contacts Form.
Can a Tribe or Intertribal
consortium include competitive
funds in a PPG?
Yes, a Tribe or Intertribal consortium may
include their competitively awarded funds
from PPG-eligible programs in a PPG. Tribes
and Intertribal consortia must apply for
competitive grants individually and indicate in
their application if they anticipate
incorporating the proposed project, if selected
for funding, into an already existing PPG or if
they intend to create a new PPG. The PPG
should be in place before the time of grant
award or created concurrently with the award
of the grant funds.
Tribal and Intertribal consortium applications
must first be selected under the competitive
grant process in accordance with the relevant
program competition. If a proposed PPG work
plan differs significantly from the work plan
selected for funding under a grant
competition, the Regional Administrator must
confer with the National Program Office (see
40 CFR §35.535). The purpose of this
consultation requirement is to address the
issue of ensuring that a project which is
awarded funding under a competition is
implemented as proposed during the
competition once the funds are combined
with other grant programs in a PPG.
ADDING A COMPETITIVE GRANT TO PPGS •
If a recipient opts to include competitive funds
in a PPG, the budget and work plan
commitments from the competitively selected
application will be incorporated into the
budget and work plan of the PPG. This can be
done with an initial PPG award or through a
supplemental amendment to an existing PPG.
If the time required to complete work plan
commitments from the competitive program
is longer than the funding period for the
existing PPG, recipients must make provisions
to carry the activities (and funds, if
appropriate) to subsequent PPG funding
period to complete them. In some cases,
extending the period of performance for the
PPG may be a suitable option to ensure all the
work plan commitments are completed. In
other cases, opening a new PPG for the
competitive program to ensure ample time to
complete work plan commitments may be a
better option. This option would require the
applicant to identify an additional eligible
program to be combined in the competitive
program into the PPG.
As a best practice, the recipient should
consult with their Project Officer to determine
which option may work best.
12 | Page
-------
Does a Tribe or Intertribal
consortium need Treatment as a
State (TAS) to include a given
programs' funds in a PPG?
If a program requires treatment in a manner
similar to a State, the Tribe or Tribal members
of a Consortium must satisfy that
requirement in order to include that
program's funds in a PPG. Before a Tribe or
Intertribal Consortium can include funds
from an EPA environmental program in a PPG,
it must meet the eligibility requirements for
that program with a few specified exceptions.
However, program requirements that restrict
the use of funds after an award do not apply
when funds are awarded in a PPG. Once
funds are awarded in a PPG, they may be
used for cross-media activities or strategies
and do not need to be accounted for in
accordance with their original program
sources.
What are the basic requirements
for acquiring TAS?
\
Be federally recognized
Have a governing body carrying out
substantial governmental duties and
powers
/*
Have appropriate authority
Be capable of carrying out the
functions of the program
Additional information on TAS is available at:
https://www.epa.gov/tribal/tribal-assumption-
federal-laws-treatment-state-tas
Can a Tribe or Intertribal
consortium perform program
activities if they do not have TAS for
that program?
Yes, as stated in 40 CFR §35.532. if funds from
an environmental program are not included
in a PPG, an applicant is not required to meet
the eligibility requirements for that
environmental program in order to carry out
activities eligible under that program, except
in cases where the recipient needs proper EPA
delegation, approval, or authorization as
provided in 40 CFR §35.535.
For example, a Tribe can use PPG funds to
conduct water quality monitoring even if they
do not have TAS for CWA §106. Additionally,
PPGs allow the flexibility for Tribes to work
toward obtaining TAS for PPG-eligible
programs that have not contributed funding
to the PPG. EPA regions must discuss these
types of work plan activities with the
appropriate NPM before approving the
proposed work plan.
Do Tribal PPGs have any cost share
requirements?
For awards made on or after October 1, 2021,
there are no cost share requirements for
Tribal PPGs. OGD approved a regulatory class
exception from 40 CFR §35.536. to reduce the
required Tribal PPG cost share to 0% for all
included programs, with the following
conditions:
~ The class exception is effective
October 1, 2021 and applies only to
new Tribal or Intertribal consortia
PPGs and new funding awarded via
supplemental amendments to Tribal
or Intertribal consortia PPGs awarded
on or after October 1, 2021.
~ The class exception is in place until
EPA can revise or remove cost share
13 | Page
-------
requirements from 40 CFR Part 35
Subpart B.
Can voluntary cost share be
included in a Tribal PPG?
If cost share was included in the budget of a
new award or supplemental amendment to a
Tribal or Intertribal consortia PPG awarded
after October 1, 2021, the recipient is required
to comply with the cost share contribution
and reporting requirements; however, the
recipient can request removal of the voluntary
cost share. Cost share associated with funds
approved and/or awarded prior to October 1,
2021, remain unaffected by this regulatory
exception.
Do Tribal PPGs have any
maintenance of effort (MOE)
requirements?
No, there are no maintenance of effort
requirements for PPGs awarded to Tribes or
Intertribal consortia.
Yes. As defined in 2 CFR §200.1. voluntary
committed cost sharing (referred to within
this document simply as "voluntary cost
share") means cost sharing specifically
pledged on a voluntary basis in the proposal's
budget or the Federal award on the part of
the non-Federal entity and that becomes a
binding requirement of Federal award.
Because cost share initially included on a
voluntary basis becomes legally binding after
the PPG is awarded, applicants are
discouraged from including voluntary cost
share in their proposed work plans and
budget. Instead, as a best practice, any Tribe
funding put towards eligible PPG activities
beyond the required cost share (which is 0%
for Tribes) should be reported on in the
recipients FFRs. This amount can be reported
on in line "j. Recipient share of expenditures".
This additional funding is considered
overmatch and can be used to replace any
costs that may be disallowed over the course
of the PPG project period to minimize any
potential repayments.
14 | P a g e
-------
Section III: Managing a PPG
How is PPG performance
evaluated?
Tribal PPGs are subject to the reporting, joint
evaluation, and other accountability
requirements of 40 CFR Part 35. Tribes are
held accountable for achieving the
commitments set out in approved PPG work
plans. Tribes with PPGs continue to report
information into national data systems and
submit any other reports required by
regulation, as outlined in the terms and
conditions of the award.
As discussed in EPA Order 5700.7.
Environmental Results Under EPA Assistance
Agreements, program offices must review
performance reports submitted by recipients
under 2 CFR §200.329 to determine whether
the recipient achieved the environmental
and/or public health outputs and outcomes
contained in the assistance agreement work
plan. This includes ensuring that performance
reports provide a satisfactory explanation if
outcomes or outputs were not achieved. The
review is to be documented in the official
project file.
REPORTING
PPGs can be comprised of program grants
that require different frequencies of
reporting. While a reporting schedule can vary
across programs, recipients are required to
report at least annually and must satisfy the
requirements for progress reporting under 2
CFR §200.329. Some programs may ask
recipients to report more frequently, either
semi-annually or quarterly. In these instances,
only those programs requiring more frequent
reports would need to be reported on as
specified in the terms and conditions of the
award; the other programs included in the
PPG would provide updates in an annual
progress report that covers all programs in
the PPG.
JOINT EVALUATION
As required bv40 CFR §35.515. PPG
performance is assessed by reviewing
reported outputs and outcomes according to
an agreed upon joint evaluation process. EPA
and the Tribe develop a joint evaluation
process that is intended to analyze and report
progress on accomplishments under the work
plan. A description of the evaluation process
and a reporting schedule must be included in
the work plan and the schedule must require
the recipient to report at least annually and
satisfy the requirements for progress
reporting.
The elements of the joint evaluation process
must provide for:
~ A discussion of accomplishments as
measured against work plan
commitments
~ A discussion of the cumulative
effectiveness of the work performed
under all work plan components
~ A discussion of existing and potential
problem areas; and
~ Suggestions for improvement, including,
where feasible, schedules for making
improvements.
The purpose of the joint evaluation process is
to assess progress in accomplishing the
commitments in a grant agreement. Joint
evaluations produce valuable performance
15 | Page
-------
information to support Tribal and EPA
program planning and decision making and
provide assurance that EPA and the recipient
are meeting their environmental program
responsibilities.
Can changes be made to an
approved PPG work plan?
Yes, the regulations at 2 CFR §200.308 and 40
CFR §35.514 provide information on when
prior approval from the agency is necessary. A
best practice that is embedded in the terms
and conditions of a PPG award is for the
recipient to consult with their EPA Project
Officer (PO) before making a post-award
change to the work plan. Consulting the PO
will help the recipient determine whether
their proposed work plan change is significant
or not. If the PO determines the change is
significant, the recipient must work with the
EPA PO and Grant Specialist (GS) to create a
formal amendment to the PPG, to be
approved by EPA's GMO.
Per the 'Transfer of Funds" General Term and
Condition, the recipient will notify the EPA PO
and GS of any transfers of funds of among
direct budget categories, programs, functions
and activities or transfers that change
amounts budgeted for indirect costs. If the PO
determines that a transfer of funds
significantly changes work plan commitments,
or involves an item of cost subject to a prior
approval requirement under 2 CFR §200.407.
the recipient must consult with the PO and
obtain approval by EPA's GMO prior to making
the transfer of funds. All transfers must be
reported in performance reports.
If the recipient and PO cannot agree on
whether a significant change to work plan
commitments will take place, the matter will
be elevated to the EPA approval official for the
assistance agreement and an appropriate
senior manager for the recipient for a
negotiated resolution. The recipient cannot
make the change until the matter is resolved.
If a negotiated resolution is not achieved the
EPA's GMO or other authorized official will
issue an Agency Decision under the 2 CFR Part
1500. Subpart E Dispute Procedures.
Can the period of performance for a
PPG be extended?
Yes. If the original project period for a PPG is
less than five years, and a recipient needs
more time to finish the work plan
commitments, they can request an extension.
The administrative terms and conditions of
each assistance agreement dictate where to
send requests for an extension. Typically,
requests for extensions are sent to the EPA
GS and PO.
EXTENSIONS BEYOND FIVE YEARS
I
When necessary, PPG recipients can request
an extension to the period of performance
beyond five years. To request an extension,
recipients should work with their PO to
submit the request, which must include:
~ Grantee Name
~ Grant Number
~ Current and Proposed Budget/Project
Periods
~ Remaining Award Amount
~ A justification for the extension,
including pertinent background
information, a description of their
circumstances, and what the extension
will allow the recipient to do.
The PO will submit the extension request on
the recipient's behalf to the Office of Grants
and Debarment (OGD) for consideration,
following standard agency procedure. As a
best practice, PPG recipients that anticipate
needing an extension beyond five years
should notify their PO six months before their
16 | Page
-------
project end date to ensure it is processed in
time.
What is the EPA Quality Program?
EPA organizations and non-EPA organizations
performing environmental information
operations funded by or on behalf of EPA are
required to participate in the EPA Agency-wide
Quality Program. EPA's Quality Program
supports EPA's mission to protect human
health and the environment and to ensure
environmental information operations
products and services are of known and
documented quality for their intended use(s).
Project-specific details of individual projects
are documented in a Quality Assurance
Project Plan (QAPP). Thus, the Quality
Management Plan (QMP) may be viewed as
the "umbrella" document under which
individual projects are conducted.
Requirements for QMPs can be found in EPA
OA/R-2. EPA Requirements for Quality
Management Plans. Please also contact your
sponsoring organization for additional
requirements for QMPs.
The terms and conditions of the award will
specify a recipient's quality assurance
responsibilities. Any data collection that does
not follow quality assurance procedures is
unusable and therefore the costs must be
disallowed. For more information on EPA's
Quality Program, please visit
www, e pa. gov/q u a I itv.
What is a Quality Management Plan
(QMP)?
A Quality Management Plan (QMP) describes
an organization's Quality Program. It
documents how an organization structures its
Quality Program including descriptions of its
internal quality procedures for implementing
and assessing the effectiveness of the
program; criteria for and areas of application;
and roles, responsibilities, and authorities.
The QMP must also document all technical
activities to be performed under the Quality
Program and how the program will integrate
quality assurance (QA), quality control (QC),
and Quality Assurance Project Plans (QAPP)
into all its environmental information
operations.
What is a Quality Assurance Project
Plan (QAPP)?
A QAPP is a planning document related to a
project that describes in comprehensive detail
the necessary QA/QC requirements and other
technical activities that must be implemented
to ensure that the results of the work
performed will satisfy the stated performance
and acceptance criteria. It integrates all the
technical and quality aspects of the project in
order to provide a "blueprint" for obtaining
the type and quality of environmental
information needed for a specific decision or
use. All work performed or funded by EPA
that involves environmental information
operations must have an approved QAPP.
A QAPP is a post-award requirement that
needs to be completed and approved
before environmental information
operations are conducted. Environmental
information operations is a collective term
that encompasses the collection, production,
evaluation, or use of environmental
information by or for EPA and the design,
construction, operation, or application of
environmental technology. Additionally,
activities involving environmental information
operations in the grant work plan may not be
funded until the QAPP is approved.
Requirements for QAPPs can be found in EPA
OA/R-5. EPA Requirements for Quality Assurance
Project Plans. Please also contact your
sponsoring organization for additional
requirements for QAPPs.
17 | Page
-------
What is the difference between a
QMP and a QAPP?
How does a PPG recipient draw
down funds?
A QMP is a document that describes a quality
program in terms of the organizational
structure, policy and procedures, functional
responsibilities of management and staff,
lines of authority, and required interfaces for
those planning, implementing, documenting,
and assessing all activities conducted. A QAPP
is a document that describes the necessary
quality assurance, quality control, and other
technical activities that must be implemented
to ensure that the results of the work
performed will satisfy the stated performance
criteria. A QMP documents the overall
organization/program whereas a QAPP
documents project-specific information.
Usually, a quality program is documented
once (and updated on a regular basis), but the
quality assurance activities are documented
for each project.
As required by 2 CFR §200.305(b1. recipients
must only draw funds for the minimum
amounts needed for actual and immediate
cash requirements to pay employees,
contractors, subrecipients or to satisfy other
obligations for allowable costs under the
assistance agreement. The timing and
amounts of the drawdowns must be as close
as administratively feasible to actual
disbursement of EPA funds. Disbursement
within five business days of the drawdown will
materially comply with this requirement.
Excess funds drawn down not meeting this
requirement should be returned to EPA. More
information on receiving assistance
agreement payments can be found here on
EPA's website.
PPG recipients do not need to account for
PPG funds in accordance with the funds'
original environmental program sources; they
need only account for total PPG expenditures.
When drawdowns are made, they are charged
proportionately to each source of funds in the
PPG.
If funds remain after all work is
complete, what can a recipient use
those funds on?
If funds remain on the grant after all work
plan commitments have been accomplished,
PPG recipients may use those remaining
funds for additional activities that fall within
the scope of work. Recipients must contact
their PO to confirm proposed activities fall
within the scope of work before proceeding.
The Pechanga Band of Indians used
competitive CWA §319 funds in their PPG for
creating a rain garden to capture pollutants.
18 | Page
-------
Section IV: Closeout
What does closeout mean?
Closeout refers to the systematic process EPA
uses to determine that a recipient has
completed all the required work under a grant
and to confirm that all applicable financial and
administrative requirements have been met.
Most grants follow the closeout procedures
that are outlined in the Office of Management
and Budget's (OMB) Uniforrn Administrative
Requirements. Cost Principles, and Audit
Requirements for Federal Awards regulations,
located at 2 CFR Part 200. In addition, EPA
grant policy requires all grants to be closed as
soon as possible prior to the end of the
calendar year following the project end
date(s):
~ 90 days before the project expiration,
the Agency Finance Center sends a
reminder to the grant recipient with
closeout procedures and
requirements
~ No later than 120 days after the
project is complete, the grant recipient
should submit a final Federal Financial
Report (FFR) to the Agency Finance
Center
~ Grant recipient should also submit a
Final Technical Report for EPA review
and approval
~ The PPG Project Officer must
complete the PO certification form
and return to the EPA Grants Office
What is the process for closeout of
a PPG?
About 90 days before the PPG expires, EPA's
Research Triangle Park Finance Center
(RTPFC) will send a letter to remind the
recipient about the approaching end date and
explain the grant closeout requirements.
Under Federal grant regulations as noted in 2
CFR §200.344. grants must be closed out
within 120 days of the end of the
performance period, meaning all final
progress and federal financial reports have
been submitted. More information and
training modules can be found on EPA's
website. Module 6, as depicted below, offers
insight on closing out a grant.
MODULE 6 ^
out w
aGrant
Module 6
Reviews guidelines and information about
closing out an EPA grant in accordance with
EPA's grant regulations and the terms and
conditions of the award.
Approximately 60 minutes \ Launch
19 | Page
-------
Program-Specific Requirements
There are program-specific requirements that do not apply to program funds when they are
included in a PPG. The following provides examples, but is not an exhaustive list, of program-specific
requirements that do not apply to PPGs:
~ 35.548(c): The project period of a General Assistance Program award may not exceed four
years.
~ 35.638(b): Financial assistance to persons. Tribes or Intertribal Consortia may use funds for
financial assistance to persons only to the extent that such assistance is related to the cost
of demonstration projects. (Nonpoint Source Management Grants (Sections 319(h) and
518(f)))
~ 35.638(c): Administrative costs. Administrative costs in the form of salaries, overhead, or
indirect costs for services provided and charged against activities and programs carried out
with these funds shall not exceed 10 percent of the funds the Tribe or Intertribal Consortium
receives in any fiscal year. The cost of implementing enforcement and regulatory activities,
education, training, technical assistance, demonstration projects, and technology transfer
programs are not subject to this limitation. (Nonpoint Source Management Grants (Sections
319(h) and 518(f)))
~ 35.691: Recipients must use the Lead-Based Paint program funding in a way that
complements any related assistance they receive from other federal sources for lead-based
paint activities.
~ 35.708(c): The costs of radon measurement equipment or devices (see § 35.820(b)(1)(iv)) and
demonstration of radon mitigation, methods, and technologies (see § 35.820(b)(1)(ix)) shall
not, in aggregate, exceed 50 percent of a Tribe's or Intertribal Consortium's radon grant
award in a fiscal year.
~ 35.708(d): The costs of general overhead and program administration (see § 35.820(b)(1)(vii))
of an indoor radon grant shall not exceed 25 percent of the amount of a Tribe's or Intertribal
Consortium's Indoor Radon Grant in a fiscal year.
~ 35.708(e): ATribe or Intertribal Consortium may use funds for financial assistance to persons
only to the extent such assistance is related to demonstration projects or the purchase and
analysis of radon measurement devices.
While 40 CFR §35.532 states that §35.708(g) does not apply to PPGs, EPA has a class exception in
place that requires recipients of State Indoor Radon Grant (SIRG) funds to maintain and make
available to the public, a list of firms and individuals in the State that have received a passing rating
under the EPA proficiency rating program, regardless of whether those funds are in a standalone
SIRG award or a PPG.
20 | P a g e
-------
Appendix A: Glossary of Terms
Consolidated Grant: A single grant made to a recipient consolidating funds from more than one
environmental grant program. After the award is made, recipients must account for grant funds in
accordance with the funds' original environmental program sources. Consolidated grants are not
Performance Partnership Grants.
Environmental program: A program for which EPA awards grants under the authorities listed in 40
CFR §35.501. The grants are subject to the requirements of 40 CFR Part 35 Subpart B.
Federal Indian reservation: All land within the limits of any Indian reservation under the
jurisdiction of the United States Government, notwithstanding the issuance of any patent, and
including rights-of-way running through the reservation.
Funding period: The period of time specified in the grant agreement during which the recipient may
expend or obligate funds for the purposes set forth in the agreement.
Intertribal Consortium or Consortia: A partnership between two or more Tribes that is authorized
by the governing bodies of those Tribes to apply for and receive assistance under one or more of
the programs listed in 40 CFR §35.501.
Maintenance of effort: A requirement contained in certain legislation or regulations that a
recipient must maintain/contribute a specified level of financial effort in a specified area in order to
receive Federal assistance funds, which ensures that those Federal funds are used to supplement,
but not supplant, expenditures of the recipient's funds.
National program guidance: Guidance issued by EPA's National Program Managers for
establishing and maintaining effective environmental programs. This guidance establishes national
goals, objectives, and priorities as well as other information to be used in monitoring progress. The
guidance may also set out specific environmental strategies, core performance measures, criteria
for evaluating programs, and other elements of program implementation.
Outcome: The environmental result, effect, or consequence that will occur from carrying out an
environmental program or activity that is related to an environmental or programmatic goal or
objective. Outcomes must be quantitative, and they may not necessarily be achievable during a
grant funding period. See "output."
Output: An environmental activity or effort and associated work products related to an
environmental goal or objective that will be produced or provided over a period of time or by a
specified date. Outputs may be quantitative or qualitative but must be measurable during a grant
funding period. See "outcome."
Pre-award costs: Pre-award costs, as defined in 2 CFR §200.458. are those incurred prior to the
effective date of the Federal award or subaward directly pursuant to the negotiation and in
anticipation of the Federal award where such costs are necessary for efficient and timely
21 | P a g e
-------
performance of the scope of work. Such costs are allowable only to the extent that they would have
been allowable if incurred after the date of the Federal award and only with the written approval of
the Federal awarding agency. If charged to the award, these costs must be charged to the initial
budget period of the award, unless otherwise specified by the Federal awarding agency or pass-
through entity.
Tribes in a similar manner as a state, or treatment as a state (TAS): EPA is authorized to treat
eligible Tribes in a similar manner as a state (TAS) for implementing and managing certain
environmental programs. An EPA TAS approval makes a Tribe eligible to implement a particular
program or function within the area covered by the approval. Where a Tribe is seeking to administer
an environmental regulatory program, the Tribe will also need EPA approval of the program itself.
EPA generally refers to the delegation, authorization, or approval of a federal program to Tribes as
assumption of program authority. As part of the eligibility requirements for receiving a program
delegation, authorization, or approval, the Tribe must demonstrate that they have the capacity to
carry out, or implement, the functions of the program.
Tribe: Except as otherwise defined in statute or this subpart, Indian Tribal Government (Tribe)
means: Any Indian Tribe, band, nation, or other organized group or community, including any Alaska
Native village, which is recognized as eligible by the United States Department of the Interior for the
special services provided by the United States to Indians because of their status as Indians.
Work plan: The document which identifies how and when the applicant will use funds from
environmental program grants and is the basis for management and evaluation of performance
under the grant agreement to produce specific outputs and outcomes (see 35.507). The work plan
must be consistent with applicable federal statutes; regulations; circulars; executive orders; and EPA
delegations, approvals, or authorizations.
Work plan commitments: The outputs and outcomes associated with each work plan component,
as established in the grant agreement.
Work plan component: A negotiated set or group of work plan commitments established in the
grant agreement. A work plan may have one or more work plan components.
22 | P a g e
-------
Appendix B: Frequently Used Acronyms
CAA
Clean Air Act
CERCLA
Comprehensive Environmental Response, Compensation and Liability Act
CFDA
Catalog of Federal Domestic Assistance
CFR
Code of Federal Regulations
CEP
Continuing Environmental Program
CWA
Clean Water Act
ECOS
Environmental Council of the States
ETEP
EPA-Tribal Environmental Plan
FFR
Federal Financial Report
FIFRA
Federal Insecticide, Fungicide and Rodenticide Act
GAP
Indian Environmental General Assistance Grant
GMO
Grants Management Official
GPI
Grants Policy Issuance
GPRA
Government Performance and Results Act
GS
Grant Specialist
MOE
Maintenance of Effort
MPG
Multipurpose Grant
NEPPS
National Environmental Performance Partnership System
NPM
National Program Manager
OCFO
Office of the Chief Financial Officer
OCIR
Office of Congressional and Intergovernmental Relations
OGD
Office of Grants and Debarment
OMB
Office of Management and Budget
PO
Project Officer
PPA
Performance Partnership Agreement
PPG
Performance Partnership Grant
PRC
Program Resource Code
RA
Regional Administrator
SDWA
Safe Drinking Water Act
SWDA
Solid Waste Disposal Act
STAG
State and Tribal Assistance Grant
TAS
Treatment in A Similar Manner as a State, or Treatment as A State
TPC
Total Project Costs
TSCA
Toxic Substances Control Act
23 | P a g e
------- |