Publication Number
160B22003
1200 Pennsylvania Avenue NW
Washington, DC 20460
September 2022
USEPA, OITA, AIEO
INDIAN ENVIRONMENTAL _
GENERAL ASSISTANCE
PROGRAM (GAP)
Guidance on Financial Assistance Agreements
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EPA would like to acknowledge the EPA staff and Tribal partners who provided the
photos used in this Guidance:
Photo Credit Front Cover:
New Water Organization; Oneida Nation of Wisconsin
Photo Credits Back Cover (clockwise starting from top left):
Larissa Pfleeger-Ritzman, Shoalwater Bay Tribe Natural Resources Department; Tokeland, WA
on Willapa Bay
Susan Conbere, EPA Region 10; Harding Icefield, Alaska
Michael Stover, EPA Region 1; Penobscot River
Larissa Pfleeger-Ritzman, Shoalwater Bay Tribe Natural Resources Department; Tokeland, WA
on Willapa Bay
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This Guidance identifies EPA policies and recommended procedures for coordinating activities
related to assistance agreements awarded under the Indian Environmental General Assistance
Program (GAP). The statutory provisions, EPA regulations, and other legally binding documents
described in this Guidance contain legally binding requirements that govern the use and
management of GAP resources. This Guidance and associated indicators do not substitute for
other binding requirements, and do not expressly or implicitly create, expand, or limit any legal
rights, obligations, responsibilities, expectations, or benefits to any person. In the event of a
conflict between the discussion in this Guidance and/or associated indicators and any legally
binding requirement, this Guidance document and/or associated indicators would not be
controlling. EPA retains discretion to use or deviate from this document as appropriate. EPA may
also make administrative changes to this Guidance, such as updating web links, with notification
to users.
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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D C. 20460
OFFICE OF
INTERNATIONAL & TRIBAL AFFAIRS
The U.S. Environmental Protection Agency (EPA) is pleased to release its new 2022 Indian Environmental
General Assistance Program Guidance on Financial Assistance Agreements (GAP Guidance). This Guidance
revises and supersedes the 2013 GAP Guidance. It reinforces the importance of the federal-tribal
partnership, as reflected in joint EPA-Tribal Environmental Plans (ETEPs) and broadens opportunities for
Tribes to achieve impactful environmental results.
This Guidance is the result of many years of internal deliberations and significant input, engagement and
consultation with Tribal governments, Tribal partnership groups and intertribal consortia. Tribes
requested more flexibility to address their priority environmental concerns, less administrative burdens
to spend more time on programmatic issues, and greater consistency in how the Guidance is
administered. In response to extensive Tribal input, the 2022 GAP Guidance:
• Includes greater flexibility and reduces administrative burdens in how EPA awards and
administers GAP resources,
• Provides flexible opportunities for Tribes to build and maintain environmental capacity to
administer or meaningfully participate in EPA programs,
• Includes information on how GAP funding can support activities related to indigenous
knowledge, climate change, and protection of treaty rights,
• Provides clarity in the use of GAP for implementation, use of capacity indicators, and EPA's
performance management responsibilities,
• Decreases the number of capacity indicators and delegates approvals to EPA Regional Offices,
where appropriate, and
• Improves readability to make information easier to find and use when applying for and
managing GAP awards.
EPA is committed to continued improvement in how we administer GAP. We look forward to
strengthening our partnership with Tribes as we work together to protect human health and the
environment in Indian Country.
Jane Nishida
Assistant Administrator
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
SECTION 1: AN INTRODUCTION TO GAP 1
1.1 What is the purpose of GAP? 1
1.2 What is EPA's authority to administer GAP grants? 2
1.3. How does GAP relate to EPA's Mission? 2
1.3.1 Unique Tribal Considerations and GAP 6
SECTION 2: GAP NATIONAL FRAMEWORK 7
2.1 GAP National Framework: National Program Priorities 7
2.1.1 What will GAP fund? 8
2.2 GAP National Framework: Performance Management 15
2.3 GAP National Framework: EPA-Tribal Environmental Plans (ETEPs) 16
2.3.1 ETEP Requirements 17
2.4 GAP National Framework: Technical Assistance 20
2.5 GAP National Framework: Allocation 21
SECTION 3: AWARD INFORMATION 22
3.1 General Information 22
3.2 EPA Roles and Responsibilities 22
3.3 Types of GAP Financial Assistance Agreements 23
3.4 Performance Partnership Grants (PPGs) 24
3.4.1 Why consider GAP in a PPG? 27
3.5 Eligibility Information 28
3.5.1 Intertribal Consortia and Performance Management 29
3.6 Cost-Sharing or Matching Requirement 30
3.7 Length of the Award 30
3.8 Intergovernmental Review 30
3.9 Competition Policy Exemption 30
3.10 Environmental Results Supported by Assistance Activities 30
3.10.1 GAP Example - Output 31
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
3.10.2 GAP Example - Outcome 31
SECTION 4: APPLICATION SUBMISSION, REVIEW, AND AWARD PROCESS 32
4.1 Submission Schedule and Requirements 32
4.2 Application Review 32
SECTION 5: AWARD ADMINISTRATION 34
5.1 Award Notices 34
5.2 Reporting Requirements 34
5.3 Quality Assurance Documentation 34
5.4 Disputes 35
APPENDIX 1. ACRONYMS 36
APPENDIX 2. REFERENCE LINKS 38
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
TABLE OF FIGURES & TABLES
Figure 1. GAP is used to build and maintain capacity related to EPA programs, in addition to solid
and hazardous waste implementation activities 3
Figure 2. GAP has many purposes 10
Figure 3. Different approval may be required for different stages of solid or hazardous waste
program development 12
Figure 4. Examples of other GAP-eligible activities 13
Figure 5. Will GAP fund my activity? A flowchart for determining if an activity may be funded by
GAP 14
Figure 6. EPA-Tribal Environmental Plans (ETEPs) help Tribes and EPA plan and manage areas of
joint responsibility 18
Figure 7. GAP can be combined with EPA program grants to form a PPG 24
Table 1. GAP helps recipients build capacity related to EPA programs. A complete list of EPA's
statutory authorities is available at https://www.epa.gov/laws-regulations/laws-and-
executive-orders 4
Table 2. The table below describes each factor of the national framework of GAP 7
Table 3. Role and relationship of ETEPs, capacity indicators, GAP work plans, and GAP progress
reports 15
Table 4. The options for long-term program development goals generally include the following 19
Table 5. EPA roles and responsibilities by office 22
Table 6. The following table is a list of programs eligible for including in a PPG as of September 30,
2022 25
Table 7. Outputs and outcomes resulting from GAP awards 31
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
SECTION 1: AN INTRODUCTION TO GAP
This Guidance provides information to Tribes and intertribal consortia on how to develop, apply for, and
manage Indian Environmental General Assistance Program (GAP) financial assistance agreements,
generally referred to as GAP grants. It also describes how the U.S. Environmental Protection Agency (EPA)
administers GAP grants to ensure national consistency in EPA's actions when negotiating, reviewing, and
administering GAP awards.
This Guidance reflects statutory and regulatory requirements, including binding requirements and federal
policies, that address how GAP funds are used and managed. This Guidance is effective for all GAP
financial assistance agreements beginning October 1, 2022, and supersedes previous guidance issued on
May 15, 2013.
Protecting human health and the environment is a shared responsibility of EPA and Tribal, state, and local
government partners. There are many ways that Tribes and EPA work together to achieve environmental
outcomes. GAP is one resource available to Tribes to build capacity to meaningfully participate in or
administer environmental protection programs.
1.1 WHAT IS THE PURPOSE OF GAP?
GAP is a grant opportunity for federally recognized Tribal governments1 and intertribal consortia.
The purpose of GAP is for recipients to:
• Plan, develop, and establish the capacity to implement programs administered by the EPA,
• Develop and implement solid and hazardous waste programs for Indian lands, and
• Collect, transport, backhaul, and dispose of solid waste and recovered materials.
Additionally, GAP authorizes EPA to provide technical assistance to Tribes and intertribal consortia in the
development of multimedia programs to address environmental issues.
There are multiple EPA financial and technical assistance resources available to Tribal governments and
intertribal consortia beyond GAP, including financial assistance to build capacity in a specific program
area. EPA's Grants for Tribes and Environmental Protection in Indian Country provides additional
information, including contact information for the American Indian Environmental Office (AIEO) and EPA
Tribal Program Managers.
1 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.
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
Planning, developing, and establishing capacity, or capacity building, refers to the administrative, technical, and
programmatic growth of a Tribe or intertribal consortium to advance its environmental priorities effectively and
efficiently. Capacity building is not a one-time effort to achieve a short-term level of effectiveness; it is a
continuous improvement approach to creating a sustainable Tribal environmental program.
See Section 3.5 Eligibility Information of this Guidance for more information on eligibility requirements
for Tribal and intertribal consortium applicants.
1.2 WHAT IS EPA'S AUTHORITY TO ADMINISTER GAP GRANTS?
The statutory authority for GAP is the Indian Environmental General Assistance Program Act of 1992 (42
U.S.C. § 4368b). Additionally, in 2018, Congress authorized GAP to fund the collection, transportation,
backhaul, and disposal of solid waste and recovered materials (Pub. L. 115-141, 132 Stat. 665, 668).
The implementing regulations for GAP and other EPA Tribal grant programs, including Performance
Partnership Grants, are located at 40 CFR Part 35, Subpart B, Environmental Program Grants for Tribes.
There are many other sources of law and policy that apply to all or a subset of EPA funding programs.
Tribes, intertribal consortia, and EPA Regional Offices should be knowledgeable of these requirements,
including this Guidance, when applying for and managing GAP grants.
• All federal assistance agreements, including GAP and Performance Partnership Grants
(PPGs), must comply with regulations in 2 CFR Part 200 and all EPA assistance agreements must
comply with regulations in 2 CFR Part 1500. Collectively, 2 CFR Parts 200 and 1500 are called the
Uniform Grant Guidance.
• 2 CFR Part 1536 Requirements for Drug-Free Workplace (Financial Assistance)
• 40 CFR Part 33 Participation by Disadvantaged Business Enterprises in United States
Environmental Protection Agency Programs
• EPA Guidance on Participant Support Costs Interim General Budget Development Guidance for
Applicants and Recipients of EPA Financial Assistance
1.3. HOW DOES GAP RELATE TO EPA'S MISSION?
EPA is responsible for administering federal statutes and their implementing regulations to protect public
health and the environment on all lands of the United States, including Indian country.2 Many of the
218 U.S.C. § 1151 and 40 CFR § 171.3 defines the term Indian country as: 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;
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
federal statutes that define EPA's authorities address a single environmental media (or program area),
such as air, water, or land. The GAP statute is unique because it supplements other EPA program area
resources to assist Tribes and intertribal consortia in developing capacity to implement programs related
to EPA statutory authorities (Table 1).
EPA does not consider or administer GAP as an environmental media or program area. A more complete
list of the programs and statutes that EPA administers, or has a role in administering, is available at Laws
and Executive Orders.3
Figure 1. GAP is used to build and maintain capacity related to EPA programs, in addition to solid and
hazardous waste implementation activities
Under the EPA Policy for the Administration of Environmental Programs on Indian Reservations, often
referred to as the 1984 Indian Policy, EPA works with Tribes on a government-to-government basis and
recognizes Tribes as the primary parties for making environmental policy decisions and carrying out
federal program responsibilities that affect their lands, environments, and communities. Until EPA
a. all dependent Indian communities within the borders of the United States whether within the original or
subsequently acquired territory thereof, and whether within or without the limits of a state; and
b. all Indian allotments, the Indian titles to which have not been extinguished, including rights-of-way running
through the same.
Under EPA's longstanding approach, and consistent with relevant judicial precedent, lands held by the federal
government in trust for Indian Tribes that have not been formally designated as formal reservations are informal
reservations and thus have the same status as formal reservations for purposes of the EPA's programs.
3 To learn more about the work that EPA does and does not do, visit Our Mission and What We Do.
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
delegates, authorizes, or approves an eligible Tribe to administer a federal regulatory program, EPA
generally retains direct implementation (Dl) responsibilities.
Consistent with the 1984 Indian Policy, EPA:
• Directly implements programs in Indian country,
• Delegates, authorizes, or approves, where applicable, eligible Tribes to implement programs, or
• Coordinates, partners, and engages with Tribes on a government-to-government basis for
environmental protection.
In keeping with the federal trust responsibility, EPA works with Tribes to ensure that EPA's environmental
and human health protection programs are implemented in Indian country. There are many ways that
EPA and Tribal governments may work together to carry out federal program responsibilities and ensure
regulated sites, facilities, and activities comply with federal program requirements. Tribes may seek
opportunities to develop and implement federal program responsibilities, where applicable, and to
engage in policy making and standard setting in areas consistent with EPA authorities. No matter what
mechanism(s) EPA uses to carry out its mission, EPA strives to work closely with Tribal governments,
consider Tribal interests, and encourage Tribal governments to develop their own environmental
protection programs.
Table 1. GAP helps recipients build capacity related to EPA programs. A complete list of EPA's statutory
authorities is available at https://www.epa.gov/laws-reKulations/laws-and-executive-orders
STATUTE
GENERAL EPA AUTHORITY
SIGNIFICANT
PROGRAMS/ACTIVITIES
Clean Air Act (CAA)
42 U.S.C. Chapter 55
Regulates air emissions from stationary and
mobile sources. Among other things, this law
authorizes EPA to establish National Ambient
Air Quality Standards (NAAQS) to protect
public health and public welfare and to
regulate emissions of hazardous air pollutants.
Designations, National Emission
Standards for Hazardous Air
Pollutants, Permitting, Federal
Implementation Plans, Air
Mobile Sources
Clean Water Act (CWA)
33 U.S.C. 1251 et. seq.
Establishes the basic structure for regulating
discharges of pollutants into the waters of the
United States and regulating water quality
standards for surface waters.
Water Quality Standards (WQS),
Impaired Water Listing and Total
Maximum Daily Loads (TMDL),
Water Quality Certification,
National Pollutant Discharge
Elimination System (NPDES),
Dredge and Fill Permitting
Comprehensive
Environmental Response,
Compensation, and Liability
Act (CERCLA)
42 U.S.C. Chapter 103
Commonly referred to as Superfund. CERCLA
is the primary federal law that ensures
responses to releases or threatened releases
of hazardous substances that may endanger
public health or the environment.
CERCLA § 128(a) State and Tribal
Response Program grants fund
Tribes to establish and enhance
a response program which can
include addressing
contaminated lands
2002 Small Business Liability
Relief and Brownfields
Revitalization Act
Amended CERCLA by providing funds to assess
and clean up brownfields; clarified CERCLA
liability protections; and provided funds to
enhance state and Tribal response programs.
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
STATUTE
GENERAL EPA AUTHORITY
SIGNIFICANT
PROGRAMS/ACTIVITIES
Emergency Planning and
Community Right-to-Know
Act (EPCRA) 42 U.S.C. Ch.46
and the Oil Pollution Act of
1990 (OPA) 33 U.S.C. Ch. 40
§2701
These statutes, along with CAA, CWA and
CERCLA, contain provisions designed to
prevent, prepare for, and respond to releases
of oil and hazardous substances. Under
each Act, EPA implements emergency
prevention, preparedness, and response
activities.
Emergency Planning, Facility
Reporting, Toxics Release
Inventory (TRI)
Federal Insecticide,
Fungicide, and Rodenticide
Act (FIFRA)
7 U.S.C. § 136
Governs the registration, distribution, sale,
and use of pesticides in the U.S.
Restricted Use Pesticide
Applicators, Integrated Pest
Management (IPM), pesticide
education, training, and
enforcement grants
National Environmental
Policy Act of 1969 (NEPA)
42 U.S.C. Chapter 55
Requires federal agencies to assess the
environmental and related social and
economic effects of their proposed actions
prior to making decisions
Tribes as Cooperating Agencies
Pollution Prevention Act
(PPA)
42 U.S.C. Chapter 133
Reduces pollution through cost-effective
changes in production, operation, and raw
materials use.
Pollution Prevention (P2) Grants
Safe DrinkinR Water Act
(SDWA)
42 U.S.C. Chapter 6A
EPA sets standards for drinking water quality
and with its partners implements technical
and financial programs to ensure public
drinking water safety.
Public Water System Supervision
(PWSS)
Underground Injection Control
(UIC)
Solid Waste Disposal Act as
amended, 42 U.S.C. Chapter
82
Commonly known as the Resource
Conservation and Recovery Act (RCRA), this
Act creates the federal framework for the
proper management of hazardous and non-
hazardous solid waste.
Hazardous Waste, Solid Waste,
Underground Storage Tanks
(UST)
Toxic Substances Control
Act (TSCA)
15 U.S.C. § 2601 et seq.
Provides EPA with authority to require
reporting, record-keeping and testing
requirements, and restrictions relating to
chemical substances and/or mixtures. Certain
substances are generally excluded from TSCA,
including, among others, food, drugs,
cosmetics, and pesticides.
Asbestos, Radon, Lead
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
1.3.1 UNIQUE TRIBAL CONSIDERATIONS AND GAP
TRIBAL TREATY RIGHTS
Under the U.S. Constitution, treaties have the same legal force as federal statutes. The United States'
government-to-government relationship with and trust responsibility to federally recognized Tribes
reinforces the importance of making sure EPA actions consider treaty rights. While treaties do not
expand EPA's authority, EPA must ensure its actions do not conflict with applicable Tribal treaty rights.
Some activities related to the protection of treaty rights may be GAP-eligible, such as reviewing and
submitting comments on draft environmental permits a state (or EPA) proposes and engaging in
consultation where Tribal treaty rights related to natural resources may exist. The use of GAP funds in
ceded territories where Tribes hold reserved rights is subject to the same eligibility requirements as
other activities funded under the GAP program. EPA Regional Offices and applicants should refer to
program area staff and the Office of Regional Counsel when considering GAP funded activities in
ceded territories.
TRADITIONAL ECOLOGICAL KNOWLEDGE (TEK), OR INDIGENOUS KNOWLEDGE (IK)
EPA recognizes the value that TEK, or Indigenous Knowledge, adds to the protection of human health
and the environment and supports the use of GAP funding to incorporate TEK/IK in the development
of program-related documents, procedures, guidelines, and related efforts to engage with EPA, where
appropriate. Some examples of TEK/IK-related activities that may be GAP-eligible include
incorporating existing cultural and historical knowledge to develop Tribal beneficial uses for water
quality, gathering cultural knowledge stories from elders to teach the community about environmental
protection, and developing a process for sharing TEK/IK with EPA, if desired. EPA may provide
additional information on the use of GAP funds related to TEK/IK when government-wide guidance on
TEK/IK in federal decision-making is final.
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
SECTION 2: GAP NATIONAL FRAMEWORK
EPA considers several factors when awarding and administering GAP grants.4 These factors all work
together to form the national framework of GAP. Each part of the framework plays an important role in
helpingTribes and intertribal consortia to develop environmental capacity:
Table 2. The table below describes each factor of the national framework of GAP
FACTOR
DESCRIPTION
NATIONAL
PROGRAM
PRIORITIES
The national program priorities are rooted in the GAP statute and applicable regulations
and provide the foundation for eligible activities and performance management.
PERFORMANCE
MANAGEMENT
EPA uses performance management information to demonstrate whether the national
program is meeting its goals and objectives, including reports to Congress and others.
EPA-TRIBAL
ENVIRONMENTAL
PLANS (ETEPS)
Jointly developed documents that provide an understanding of how EPA and Tribes plan
to work together to address shared environmental priorities. ETEPs also provide a linkage
between GAP funded activities and performance management.
TECHNICAL
ASSISTANCE
EPA provides technical information, training, and tools to assist GAP recipients in meeting
work plan objectives and shared ETEP priorities.
ALLOCATION
EPA's process for distributing financial resources from AIEO to EPA Regional Offices to
fund approved GAP work plans.
2.1 GAP NATIONAL FRAMEWORK: NATIONAL PROGRAM PRIORITIES
The national program priorities of GAP provide national consistency in how EPA approaches,
communicates, and applies this Guidance when soliciting and awarding GAP grants and when conducting
performance management efforts.5 The priorities provide direction and consistency for the
administration of GAP grants. They also offer flexibility for recipients to engage in EPA programs based on
their own environmental priorities and program development interests.
4 Throughout this Guidance, reference to GAP grants, work plans, and progress reports include GAP funded activities
that are part of a Performance Partnership Grant (PPG).
5 This Guidance incorporates, with amendments, and supersedes the 2017 GAP Guiding Principles.
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
The national program priorities for the administration of GAP are to:
1. Ensure Tribal governments have the opportunity to build the capacity to:
a. Implement federal environmental programs though EPA delegations, authorizations, and
approvals, where applicable;6 and
b. Meaningfully participate in environmental protection activities that inform, support, or
enhance direct implementation under federal environmental statutes administered by
EPA.
Meaningful participation is active engagement in EPA programs or processes affecting human
health and the environment for which the Tribe is concerned.
2. Promote Tribal self-governance by working closely with Tribes to:
a. Accomplish Tribal environmental program goals in EPA-Tribal Environmental Plans
(ETEPs) that reflect federal environmental program areas of need to protect human
health and the environment;
b. Support Tribes' development of strong core environmental program capacities for media-
specific programs administered by EPA; and
c. Foster Tribes' capacity to assume the authority to implement programs administered by
EPA.
3. Promote intergovernmental collaboration and partnership among EPA, Tribes, states, and others,
and focus GAP financial and technical assistance to protect human health and the environment.
4. Support implementation of established solid and hazardous waste regulatory programs in
accordance with the purposes and requirements of applicable provisions of law, including the
Solid Waste Disposal Act (commonly known as the Resource Conservation and Recovery Act).
5. Maintain strong national program management practices to produce compelling results that align
with EPA's statutory authorities.
2.1.1 WHAT WILL GAP FUND?
EPA Project Officers and applicants should consider this Guidance and applicable statutes and grant
regulations when determining if a proposed activity is eligible for GAP funding (Section 1.2 What is EPA's
authority to administer GAP grants?).
6 Not all EPA programs can be delegated, authorized or approved to Tribes; see Tribal Assumption of Federal Laws -
Treatment as a State (TAS) for information.
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
GAP funds activities that are closely related to building environmental capacity consistent with EPA's
statutory authorities, and activities that assist recipients to implement solid and hazardous waste
programs. Generally, this includes activities that are necessary for the recipient to:
1) PLAN, DEVELOP, ESTABLISH, AND MAINTAIN CAPACITY TO:
• Implement programs under statutes administered by EPA;
• Meaningfully participate in federal environmental programs that are administered by EPA, states,
otherTribes, or local governments, including capacities needed to consult government-to-
government with EPA and implementation of programs consistent with EPA authorities under
Tribal laws, codes, and regulations.
Under some federal statutes, 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 seekingto 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.
Recipients cannot use GAP funds to support activities in a program area where EPA has delegated,
authorized, or approved the Tribe to administer an EPA program or function.7 Once a Tribe is
administrating an EPA program, activities performed in the assumed program area are implementation
activities for the purposes of GAP.
EPA has identified some exclusions where GAP may fund implementation activities. The exclusions are:
I. When capacity building occurs in another related area, such as developing standards for a
new land parcel or addressing a new pollutant;
II. When GAP funds are in a Performance Partnership Grant (PPG) and approved regulatory
flexibilities apply;
III. When the Tribe has demonstrated there is a continuing capacity building need.
i. Using GAP funds for capacity building needs after the Tribe receives delegation,
authorization, or approval to administer the EPA program under Exception III will require
American Indian Environmental Office (AIEO) approval and may not exceed four years;
and
IV. For solid and hazardous waste implementation purposes identified in the GAP statute.
7 This limitation does not include grant programs for which EPA has approved federally recognized Tribes for TAS to
receive funding, including Clean Air Act § 105 -Air Pollution Planning and Control Grants, Clean Water Act § 106
-Water Pollution Control Grants, and Clean Water Act § 319 - Nonpoint Source Management Grants.
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
Figure 2. GAP has many purposes
Plan, develop, establish, and
maintain capacity
Implement
Solid arid hazardous
waste programs,
including service
delivery
2) IMPLEMENT SOLID AND HAZARDOUS WASTE PROGRAMS AND SOLID WASTE AND
RECOVERED MATERIALS COLLECTION, TRANSPORTATION, BACKHAUL, AND DISPOSAL
SERVICES.
A unique aspect of GAP is that it gives EPA the authority to fund both capacity building and
implementation of Tribal solid and hazardous waste programs consistent with the Resource Conservation
and Recovery Act (RCRA). Additionally, recipients may use GAP funding to provide service delivery
activities, such as the collection, transportation, backhaul, and disposal of solid waste and/or recovered
resources. This means that recipients now have the flexibility to develop and administer most aspects of
their solid and hazardous waste program under GAP, including:
• Salary for personnel,
• Developing and enforcing Tribal waste management codes and ordinances,
• Waste stream assessments,
• Management planning and waste reduction activities,
• Community education and outreach,
• Demonstration projects on sustainable materials management (reducing, reusing, recycling, etc.),
• Compliance assistance activities, and
• Door-to-door collection services.
EPA strongly supports the development of Tribal Integrated Waste Management Plans (IWMPs). An
IWMP outlines a Tribe's overall long-term approach for managing waste and serves as a roadmap for
developing an effective waste management program. Tribes can use the IWMP to identify their waste
management funding needs and potential funding sources, and outline how they will use the funds. By
promoting sustainable materials management practices, IWMPs can also help Tribes address existing
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
open dumps and prevent new ones. Additional information on the development of an IWMP is available
at PevelopinR InteRrated Waste ManaRement Plans.
The conditions below apply to GAP awards that include solid waste and recovered materials collection,
transportation, backhaul, and disposal services. This includes service support activities, such as
equipment, facility operation and maintenance costs (including fuel), and the construction, repair,
upgrade, and replacement of municipal solid waste supplies, equipment, and facilities.
• The Tribe's EPA-Tribal Environmental Plan (ETEP) lists solid waste program development and/or
implementation as a priority.
• The Tribe's work plan includes solid waste program development and/or implementation as a
standalone GAP work plan component and separately outlines the associated component costs.
• The Tribe has a Tribally approved IWMP that addresses the current service delivery activities. If
the Tribe does not have an approved IWMP in place, or if the Tribe's IWMP does not address the
service delivery activities funded by GAP, the EPA Project Officer should confirm that the Tribe's
ETEP includes a description of the Tribe's waste management program structure and
administration, current and proposed waste management practices, and a description of the
community service area.
• Service delivery activities that support for-profit commercial operations and/or activities outside
of Indian country include justification of direct or indirect Tribal benefit (for example, a Tribal
partnership with the local jurisdiction to increase recycling volume to support program
sustainability) and appropriate award conditions, such as those related to program income.
Progress reports for work plans that include solid or hazardous waste implementation, including service
delivery activities, should include information on the amount of waste collected, transported, backhauled,
and disposed, the types of wastes handled, origination, and the final disposition of the waste. This
includes recycled or reused portions of the waste stream.
Additional information on Tribal waste management programs is available at Tribal Waste ManaRement
ProRram.
Unauthorized dumping of solid waste is often related to a lack of access to, or participation in, sustainable
waste management systems. EPA strongly encourages recipients to have an established solid and/or
hazardous waste program in place or under development before initiating cleanup and closure activities
to prevent new, or continuing, unauthorized dumping in Tribal lands.
EPA will evaluate the use of GAP funding for cleanup and closure activities on a case-by-case basis before
the activity occurs. To approve a Tribal request for cleanup and closure activities, the EPA Regional Office
will review supporting documentation from the Tribe, including assurance that the Tribe has
administrative controls in place to oversee the cleanup. Where a Tribe does not have a solid waste
program in place or under development, requested cleanup and closure activities will require American
Indian Environmental Office (AIEO) approval. AIEO will consider funding cleanups in situations that pose
risks to human health and the environment. The approving authority, whether AIEO or the Region, will
work with other program offices, such as the Office of Land and Emergency Management, Office of
Enforcement and Compliance Assurance, and the Office of General Counsel, as appropriate. EPA will
decide on whether to approve the proposed activity within 30 days of receiving the request. If funded,
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Guidance on Assistance Agreements for Recipients and EPA (September 2022)
cleanup and closure work should include documentation on the amount of waste removed, recycled, or
both, the types of wastes removed, and the final disposition of the waste in the recipient's progress
report.
Figure 3. Different approval may be required for different stages of solid or hazardous waste program
development
The recipient is not actively
developing the elements of an
established solid and/or
hazardous waste management
program.
The recipient can demonstrate
that they are actively developing
the elements of an established
solid and/or hazardous waste
management program.
Completed a waste
stream assessment and
infrastructure feasibility analysis.
Engaged the Tribal government
and community in education and
outreach on waste management.
Developed an Integrated Waste
Management Plan (IWMP).
Established a waste minimization
program {recycling, composting,
hazardous waste, etc.).
Completed an inventory of open
dumps.
Enacted Tribal waste management
laws, codes, and regulations.
Construction Activities: Construction activities are generally not allowable under GAP. However, GAP may
fund the construction, repair, upgrade, and replacement of resource recovery, resource conservation,
and source separation facilities, including construction feasibility studies. GAP may fund other
construction activities when necessary for building environmental protection program capacity. For
example, for a Tribe to establish an environmental protection program, the Tribal environmental staff
must have a place to work. If existing office space or rental space is not available, the Tribe may decide to
build office space or purchase a modular building. Any construction activities funded under GAP must
meet the requirements of 2 CFR Part 200 Subpart E. For information on what happens to the title of a
building paid for with GAP funds following completion of the grant, see 2 CFR §200.311.
EPA will evaluate proposed construction activities, including those related to solid and hazardous waste
facilities, on a case-by-case basis to determine whether the proposed construction activity is allowable.
The EPA Regional Office will evaluate requests from applicants for construction activities and refer
requests to the American Indian Environmental Office (AIEO) Director with justification for recommended
approval or non-approval of the request, including provisions for compliance with the National
Environmental Policy Act (NEPA). AIEO will make the determination on the proposal within 30 days in
coordination with the appropriate EPA program office and the Office of General Counsel (OGC).
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
Proposal Preparation Costs: 2 CFR 200.460 states that proposal preparation costs are normally covered by
recipients' indirect cost rates. However, directly charging proposal preparation costs in GAP work plans is
allowable, subject to limitations and requirements in the EPA Guidance on Selected Items of Cost, and
with approval by an EPA Grants Official (i.e. a Regional Grants Management Officer or Award Official).8 To
qualify for direct charging of proposal costs in a GAP work plan, the recipient must provide EPA with
assurance that the same cost is not included in its indirect cost rate. Proposal preparation costs cannot
exceed 5% of the total budget, but the EPA Office of Grants and Debarment (OGD) may provide an
exception to this limitation based on extraordinary circumstances.9
GAP recipients may also directly charge proposal preparation costs when recipients are seeking funding
from other EPA programs, federal agencies, state, or local governments, and public or private
foundations, when such proposal preparation activities are allowable, allocable, necessary, and
reasonable to achieve the environmental capacity building capacity or to assist in the development and
implementation of solid and hazardous waste programs. EPA Grant Management Officers or Award
Officials will generally make proposal preparation cost determinations for sources of funding other than
GAP grants on a case-by-case basis in collaboration with AIEO and the Office of General Counsel (OGC). To
promote national consistency, AIEO, working with OGD and OGC, may make national allowability
determinations regarding the direct charging of proposal preparation costs from specific funding sources.
Where an intertribal consortium provides technical assistance to a GAP-eligible member Tribe for the
Tribe's development of grant proposals, EPA does not consider the associated consortia costs as
"proposal costs." Technical assistance provided to GAP-eligible member Tribes is allowable if reasonable,
allocable, necessary, and otherwise in compliance with 2 CFR Part 200 and the terms and conditions of
the consortium's grant.
Figure 4. Examples of other GAP-eligible activities
Example 1:
Each Tribe experiences their own
unique climate change impacts
and vulnerabilities. GAP funding
can be used to support Tribal
climate change adaptation efforts
related to EPA programs, such as
working with other Tribal
departments to identify and
address vulnerabilities, include
climate resiliency in source water
protection programs for drinking
water systems, and develop a map
of climate change hazards.
Example 2:
Federal environmental actions and
decisions may impact Tribal
governments and lands. GAP
funding can be used to help the
Tribe better understand the
potential impacts of these actions
and provide input in the decision-
making process. An example
includes reviewing and
commenting on National
Environmental Policy Act (NEPA)
documents and federal permits
provided from another entity.
Example 3:
GAP funds can be used to provide
or receive technical assistance
from another GAP recipient.
Technical assistance should be
identified in the assistance
provider's GAP work plan and help
the receiver of the assistance
achieve GAP work plan
commitments and ETEP priorities.
Examples of technical assistance
are regionally facilitated peer
matching, Tribal circuit riders, and
Tribe-to-Tribe exchanges.
8 EPA Grants Officials have re-delegated authority to make determinations required by the Grant Regulations.
9 Procedures for EPA Project Officers to use to obtain exceptions are described in section G of OGD's Internal
Frequent Questions for EPA Subaward Policy, EPA Guidance on Participant Support Costs, and Selected Items of Cost
Guidance.
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Figure 5. Will GAP fund my activity? A flowchart for determining if an activity may be funded by GAP
This low chart outlines the general process for determining if an activity may be funded by GAP but is not a guarantee of approval. GAP work plan activities must be consistent with programs
and authorities administered by the EPA. The Unform Grants Guidance (2 CFR Part 200 and 2 CFR Part 1500) and other factors are also applicable to approved work plan activities,
Is the applicant eligible?
(Guidance Section 3.5)
No Yes
Is this a solid or hazardous
waste implementation/
service delivery activity?
(GAP Guidance Section 2.1)
EPA may assist the
applicant to find other
funding souroes.
Yes No
Does the applicant have program
delegation, authorization or
approval for the proposed activity
area?
Mo
Do any of the following capacity building approaches apply?
(Guidance Section 2.1)
• Does the activity support the applicant's goals to meaningfully
participate in an EPA administered program? For example, is
the activity advancing the applicant's partnership with a local
jurisdiction?
• Does the activity help the applicant advance toward
implementation of an EPA administered program?
¦ Is the activity needed to maintain easting capacity?
Yes
Yes
Does the activity have a
measurable output and outcome?
(GAP Guidance Section 3,1.0)
No
Yes
Excluding solid and hazardous
waste, GAP funds may not be
used to implement an EPA
administered program. Other
exceptions may apply, (GAP
Guidance Section 2.1)
Modify the activity to ensure
a measurable result.
Is the activity aligned with
the applicant's ETEP?
(GAP Guidance Section 2.3)
Generally funded by GAP
GAP funds generally not available
No
Modify the activity to align
with the ETEP or update the
ETEP to include the new
environmental priority.
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2.2 GAP NATIONAL FRAMEWORK: PERFORMANCE MANAGEMENT
As the National Program Manager for GAP, the American Indian Environmental Office (AIEO) is
responsible for the financial and performance reporting of GAP resources. AlEO's reporting and
performance evaluation responsibilities include timely and accurate reports to Congress, the Office of
Inspector General, EPA Senior Leadership, Tribes, and others, on the overall impact of GAP. These reports
provide information on how the funds are spent and whether GAP is making progress in meeting its
statutory purpose.
AIEO will use existing sources of performance management information - EPA-TribaI Environmental Plans
(ETEPs), capacity indicators, GAP work plans, and progress reports, to meet our reporting and evaluation
responsibilities. More specifically, AIEO will use the Tribe's environmental priorities and the status of
related indicators, largely informed by progress reports, in the national performance management and
evaluation process. Table 3 describes the role and relationship of ETEPs, capacity indicators, GAP work
plans, and GAP progress reports in GAP performance management and evaluation efforts.
Table 3. Role and relationship of ETEPs, capacity indicators, GAP work plans, and GAP progress reports
ROLE DESCRIPTION
The role of EPA-Tribal
Environmental Plans
(ETEPs)10
ETEPs (further described in Section 2.3 GAP National Framework: EPA-Tribal
Environmental Plans (ETEPs)) are documents that describe how EPA and a Tribal
government plan to work together to address shared environmental priorities. ETEPs
identify pollution sources on or impacting Indian country, describe how the pollution is
addressed and by whom, outline the Tribe's environmental program priorities and
related goals, and inform the development of GAP work plans. They also provide a basis
for understanding changes in capacity development with GAP resources.
The role of capacity
indicators
Indicators provide alignment between the Tribe's long-term program development goals
in ETEPs and annual GAP work plan commitments. An ETEP defines a Tribe's
environmental priorities and long-term program development goals. Indicators identify
the Tribe's short-term goals, or milestones, to address those priorities with GAP funding.
The GAP work plan lists the Tribe's commitments toward achieving the indicators. There
are often many activities, or work plan commitments, that must occur to accomplish a
single indicator.
Capacity indicators are measurable conditions that demonstrate environmental program
capacity achieved with GAP funding. Capacity indicators are not a list of allowable
activities. The range of allowable activities for GAP is very broad, and activities may be
specific to an action, output, and/or deliverable. AIEO will use indicators, including
indicators developed by Tribes, to convey a Tribe's environmental program development
and progress toward meeting their identified priorities. Tribes may recommend
additional indicators for EPA approval at www.epa.gov/tribal.
10 EPA developed and implemented the use of ETEPs to plan and demonstrate capacity built with GAP funding In
response to the 2008 Office of Inspector General Audit Report, Framework for Developing Tribal Capacity Needed in
the Indian General Assistance Program.
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ROLE
DESCRIPTION
The role of GAP work
plans
The GAP work plan is the mechanism for putting capacity building into action - each GAP
work plan should outline the actual work commitments, timeline, and deliverables
associated with the Tribe's ETEP priorities. Additional information on requirements for
GAP work plans is in Section 4.2 Application Review.
The role of progress
reports
EPA uses progress and financial reporting to evaluate the recipient's performance. GAP
progress reports should inform EPA on the progress toward indicators identified by the
Tribe. Additional information on requirements for progress reports is in Section 5.2
Reporting Requirements.
GAP Capacity Indicators
• Measure significant milestones of capacity.
• Do not represent all GAP eligible activities.
• Do not have to tie directly to all GAP work plan commitments.
• Should be flexible and can be added or removed during the lifespan of the ETEP.
• Do not have a set timeframe in which they are required to be completed.
2.3 GAP NATIONAL FRAMEWORK: EPA-TRIBAL ENVIRONMENTAL PLANS (ETEPS)
As of 2022, Tribes and EPA have developed more than 500 ETEPs nationally, and ETEPs play a significant
role in EPA's management of GAP. EPA expects Tribes and intertribal consortia, where applicable (Section
3.5 Eligibility Information), to have an ETEP in place to receive GAP funds. If the Tribe is a first-time
applicant, the Tribe's work plan should include a commitment to develop an ETEP. ETEPs should include
the environmental priorities and capacity indicators that the Tribe plans to complete with GAP funding.
While informative of a Tribe's priorities, EPA should not use ETEPs to limit otherwise allowable EPA
actions or responses to emerging challenges, opportunities, or changing needs a Tribe may face. Similarly,
although GAP supports capacity building activities in a range of EPA program areas, other EPA financial
assistance programs do not require an ETEP to receive funding.
ETEPs promote self-governance and reflect the Tribe's and EPA's government-to-government relationship.
To be an effective planning tool, ETEPs should cover a period of at least three but not more than five
years. The format, length, and process to develop an ETEP may vary among EPA Regions and Tribes in
each EPA Region. Tribes may have existing planning documents, including Tribal Environmental
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
Agreements (TEAs),11 that form the basis of an ETEP. Similar to the regulatory flexibility to combine TEAs
and PPGs, AIEO strongly encourages a combined GAP work plan and ETEP to streamline required
planning, reporting and information sharing, and will provide templates to assist recipients considering
this format. Any alternative document must include the required components of an ETEP and be easy for
recipients and EPA Project Officers to reference when developing GAP work plans.
Tribes and EPA Project Officers should review the ETEP annually and make updates to priorities,
indicators, and anticipated time frames. This review may occur during annual work plan joint evaluations,
or when an applicant is developing a new work plan. The American Indian Environmental Office (AIEO)
recommends a comprehensive revision to ETEPs every three to five years, depending on the Tribe's
planning cycle, or when there are special circumstances that warrant a substantial revision. This revision
should consider priorities for the next three to five years (including ongoing and new priorities), indicators
(both new and still in process), new or revised timelines, and an updated inventory of regulated entities.
Recipients may use GAP funds to develop, review, and revise their ETEP.
2.3.1 ETEP REQUIREMENTS
The requirements associated with ETEPs in this Guidance, including the use of current capacity indicators,
are effective with each comprehensive ETEP revision. Given that EPA recommends ETEP revisions at least
every five-years, current capacity indicators should be in use by all GAP recipients by FY2028. The current
list of capacity indicators is available at https://www.epa.gov/tribal/gap-capacity-indicators.
Each Tribal government has individualized priorities for building environmental program capacities that
enrich the cultural landscape, address threats to the health of its citizens and natural resources, and
promote the economic well-being of their communities. A Tribe may decide to use its ETEP as a strategic
plan to address a broad range of priorities, including priorities that extend beyond the scope of EPA's
mission. However, EPA's technical and financial assistance provided through GAP is limited to activities
that align with EPA authorities.
Each Tribe's ETEP should contain three components:
• EPA Regulated Entities,
• Tribal Environmental Priorities, and
• EPA Program Priorities, including direct implementation responsibilities.
1140 CFR § 35.502, Tribal Environmental Agreement (TEA). A dynamic, strategic planning document negotiated by
the Regional Administrator and an appropriate Tribal official. A Tribal Environmental Agreement may include long-
term and short-term environmental goals, objectives, and desired outcomes based on Tribal priorities and available
funding. A Tribal Environmental Agreement can be a very general or specific document that contains budgets,
performance measures, outputs and outcomes that could be used as part or all of a Performance Partnership Grant
work plan, if it meets the requirements of section 35.507(b).
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
Figure 6. EPA-Tribal Environmental Plans (ETEPs) help Tribes and EPA plan and manage areas of joint
responsibility
1) EPA REGULATED ENTITIES
The primary way EPA protects human health and the environment is by regulating pollution sources. In
general, the presence of regulated entities, including sites, facilities, and activities subject to federal
environmental compliance requirements, determines where EPA has a regulatory role and which federal
environmental statutes apply. For example, EPA implements the federal underground storage tank
program for gas stations in Indian country with underground storage tanks that are regulated under the
Resource Conservation and Recovery Act (RCRA) Subtitle I.
EPA Regional Offices should develop and provide each Tribe with a draft inventory of federally regulated
entities in Indian country. Tribes may also consider adding regulated entities that are not within Indian
country but that may impact the Tribe's environment. EPA maintains program-specific databases of
regulated entities and data query tools, such as EnviroFacts, that Tribes may use to identify additional
regulated entities of interest.
Tribes may use GAP funds to verify facility information in Indian country and to work with EPA to update
regulated facility information in EPA databases. This helps EPA and the Tribe to jointly protect the public
health and environment by ensuring facilities comply with applicable regulations.
2) TRIBAL ENVIRONMENTAL PRIORITIES
GAP work plans provide a snapshot of environmental protection work that a Tribal government is
currently performing. An ETEP should provide the context for how the activities funded over multiple
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
years fit together. Understanding a Tribe's intended path forward helps the Tribe to identify indicators of
interest and work plan commitments. This understanding also assists EPA to plan for technical assistance,
training, funding, and other resources that may be needed to help the Tribe address their priorities and
achieve their long-term environmental goals.
Tribal Environmental Priorities should be descriptive. Priorities should include information on the Tribe's long-
term program development goals, indicators, and requested assistance.
As part of the EPA-Tribal environmental planning process, each Tribal government receiving GAP funding
should:
• Include a short description of each priority area the recipient plans to address with GAP funds,
• Identify capacity indicators the recipient intends to pursue that is associated with that priority,
• Identify the anticipated timeline for completing capacity indicators, and
• Establish the recipient's long-term program development goal(s).
A Tribe's ETEP often represents a combination of long-term program development goals, depending on
the presence of regulated pollution sources, existing Tribal capacity, and program management priorities.
The options for long-term program development goals are listed in Table 4.
Table 4. The options for long-term program development goals generally include the following
TRIBE'S LONG-TERM PROGRAM
DEVELOPMENT GOAL(S)
DESCRIPTION
Tribal Assumption of Program
Authority
An eligible Tribe may receive EPA delegation, authorization, or approval
to administer certain EPA programs. This option includes the process of
researching, investigating, developing, and applying for administration of
a particular regulatory program.
Meaningful Participation in EPA
Programs
Tribes may actively engage with EPA and neighboring jurisdictions to
jointly plan for, monitor, and/or regulate activities of mutual concern
that are consistent with EPA's programs. Meaningful participation is
often demonstrated by partnerships, intergovernmental agreements,
data-sharing, and/or Memorandums of Understanding (MOUs) and
Memorandums of Agreement (MOAs).
Development and enactment of Tribal laws, codes, and regulations is
another way to meaningfully participate in EPA programs. Tribes may
develop environmental program capacities to establish their own
environmental protection programs that are consistent with EPA's
authorities.
Solid and Hazardous Waste
Implementation
Tribes may implement solid and hazardous waste programs, including
collection, disposal, backhaul, and transportation of solid waste and
recovered materials.
Tribal environmental priorities and related capacity indicators may change for several reasons, including
newTribal leadership, staff turnover, and new pollution sources, regulated facilities, or areas of concern.
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
The American Indian Environmental Office (AIEO) encourages EPA Regional Offices to support ETEP
flexibilities to accommodate for when a Tribe's capacity building process is non-linear and forthe
variation of capacity built, lost, and regained over time. Since ETEPs are flexible planning documents,
they do not require EPA or Tribal leadership signatures, and do not represent commitments for the Tribe
or EPA.
3) EPA PROGRAM PRIORITIES, INCLUDING DIRECT IMPLEMENTATION (Dl) RESPONSIBILITIES
This section of the ETEP is to provide EPA and Tribes an understanding of EPA program priorities,
including Dl. This information may also be beneficial to Tribes to identify where they may wish to seek
assumption of federal laws or seek to conduct specific roles and responsibilities in partnership with EPA.
EPA program priorities may include regional and national priorities identified in the EPA Strategic Plan or
included in National Program Guidance.
EPA Regional Offices should identify EPA's direct implementation responsibilities for each Tribe. EPA's
direct implementation responsibilities may include, but are not limited to, the following actions and
activities:
• Permitting,
• Conducting inspections and taking enforcement actions,
• Developing inventories of regulated entities,
• Issuing identification numbers for regulated entities, and
• Issuing certifications.
EPA's Direct Implementation of Federal Environmental ProRrams in Indian Country provides additional
information on EPA's direct implementation responsibilities.
2.4 GAP NATIONAL FRAMEWORK: TECHNICAL ASSISTANCE
The GAP statute authorizes EPA to provide technical assistance to Tribal governments and intertribal
consortia in the development of multimedia programs to address environmental issues. Technical
assistance in the context of GAP includes providing information or support to a GAP recipient to directly
assist them in achieving GAP work plan activities and ETEP priorities. EPA or another organization with
subject matter expertise, including contractors, other Tribes, and intertribal consortia12 may provide
technical assistance. The delivery of technical assistance may be formal or informal and may happen on a
regular or infrequent basis.
Recipients may choose to include technical assistance needs in the ETEP. Some examples of the types of
technical assistance EPA commonly provides are:
12 GAP funds for technical assistance activities cannot pay for duplicate activities in the work plans of both the
technical assistance provider and the technical assistance recipient.
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• Facilitating meetings between Tribes, contractors, and others on an environmental issue;
• Reviewing and commenting on draft documents or reports;
• Troubleshooting an equipment, monitoring, or modelling issue;
• Site visits to provide hands-on support;
• Responding to questions about new regulations and/or grant guidance;
• Training, including tabletop exercises;
• Helping to interpret information and environmental data.
2.5 GAP NATIONAL FRAMEWORK: ALLOCATION
Congress provides GAP funding to EPA in the annual budget process through the State and Tribal
Assistance Grants (STAG) Appropriation. Since EPA receives GAP funding from Congress as part of the
annual budget process, the total amount of grants dollars may change from year to year. The American
Indian Environmental Office (AIEO) determines the distribution of GAP funds to EPA Regional Offices
using a national methodology. Once determined, AIEO notifies EPA Regional Offices of their distributions
in an annual decision memorandum.
Consistent with the GAP statute, each initial GAP assistance agreement will be for at least $75,000 and a
single award may not exceed ten percent of the total annual funds appropriated for the GAP.
EPA may choose to partially fund proposals by funding discrete portions or phases of proposed projects.
AIEO may set aside a portion of GAP funds to support specific Tribal or intertribal consortia projects for
environmental capacity building or solid and hazardous waste implementation, or both. These projects
should have national or region-wide application, address a national or regional program priority, or seek
to broadly demonstrate the applicability of innovative program activities. The Office of International and
Tribal Affairs (OITA) National Program Guidance13 will include the AIEO GAP set aside information.
EPA will evaluate and approve associated program support cost project proposals in accordance with
OITA's December 2016 Guidance on Associated Program Support Costs under the Indian Environmental
General Assistance Program.
13 EPA's National Program Guidances communicate operational planning priorities, strategies, and key activities for
advancing the EPA's Strategic Plan and guide grant work planning with states, Tribes, and territories.
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Guidance on Assistance Agreements for Recipients and EPA (September 2022)
SECTION 3: AWARD INFORMATION
3.1 GENERAL INFORMATION
If you need assistance or guidance in applying for or managing a GAP grant, please contact your Regional
Tribal ProRram ManaRer.
The Assistance ListinR for the Indian Environmental General Assistance Program is 66.926.
3.2 EPA ROLES AND RESPONSIBILITIES
EPA Project Officers will work with applicants to provide technical assistance on finalizing project work
plans and budgets. Project Officers should coordinate with EPA program staff for programmatic expertise
and to align and leverage program resources, as appropriate. The Regional Administrator, or their
designee, will review completed GAP applications and either approve, conditionally approve, or
disapprove those applications within 60 days of receipt.14 Once approved, the EPA Regional Office will
formally notify the applicant.
Table 5. EPA roles and responsibilities by office
OFFICE TYPE RESPONSIBILITY
As the National Program Manager for GAP, AIEO is responsible for:
• Establishing guidance to administer the program;
• Providing oversight and evaluating the effectiveness and efficiency of the program;
• Annually distributing funding allocations to EPA Regional Offices;
• Providing training and technical assistance to EPA Regional Offices regarding the
administration of GAP resources and EPA-TribaI environmental planning activities;
and
• Maintaining a GAP performance management approach, including collecting
regional data and reporting results achieved through GAP.
AIEO is also responsible for approving Tribally developed capacity indicators for
performance reporting and evaluation purposes. Using the reported information provided
by EPA Regional Offices, AIEO will prepare national GAP performance reports and use this
information to report to Congress, the Office of Management and Budget (OMB), Tribal
governments, and others. EPA may also use this information to develop annual budget
requests, identify potential focus areas for funding and technical assistance, and identify
funding trends, best practices, and GAP successes. GAP success stories may include
supporting information from recipients to document the scope, successes, challenges,
and efforts of Tribal environmental programs.
14 40 CFR§ 35.510
American Indian
Environmental
Office (AIEO)
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OFFICE TYPE
RESPONSIBILITY
AIEO may also work in partnership with EPA Regional Offices to provide GAP related
technical assistance to Tribes and intertribal consortia. AIEO and EPA Regional Office
coordination may occur through internal meetings, Regional Tribal Operations
Committees, guidance, and other information sources.
EPA Regional Offices
EPA Regional Offices are responsible for:
• Coordinating with EPA staff and each Tribe or intertribal consortia, where
applicable, in developing, reviewing, and updating ETEPs;
• Negotiating GAP work plans linked to ETEPs;
• Processing GAP applications;
• Making award decisions consistent with this Guidance and applicable grant
requirements;
• Collecting data and information from award recipients that demonstrate outputs
and outcomes achieved through GAP;
• Conducting joint periodic reviews;
• Inputting information into GAP performance management applications(s); and
• Conducting grant close-outs and post-award management.
EPA Regional Offices serve as the direct contact for applicants and recipients. Any
supplemental guidance, policy, or criteria Regional Offices propose to apply to GAP grants
awarded after the effective date of this Guidance should be provided to the AIEO Director
for review and concurrence at least 30 days before being finalized to ensure consistency
in how this national Guidance is interpreted and applied.
EPA Project Officers will use progress reports to determine the recipient's progress
toward meeting working commitments and to gather the information needed to evaluate
GAP nationally. EPA Project Officers will provide status updates on identified capacity
indicators to AIEO annually.
To reduce administrative burden for recipients, AIEO encourages EPA Regional Offices
and EPA Project Officers to:
• Implementthe flexibilities in GPI-13-02: "StreamliningTribal Grants Management"
when managing GAP funds;
• Review EPA and Tribal environmental priorities, indicators, work plan
commitments, and timelines during the annual joint evaluation discussion; and
• Consistent with this Guidance, provide flexibility to Tribes when developing ETEPs,
GAP work plans, and other GAP related planning or reporting documents.
3.3 TYPES OF GAP FINANCIAL ASSISTANCE AGREEMENTS
Generally, GAP funds two types of financial assistance agreements. The types of financial assistance
agreements are:
• Grant: Grants represent direct funding to a recipient to support a specific project with defined
environmental results.
• Cooperative Agreement: Unlike a grant, a cooperative agreement anticipates substantial
involvement from EPA, in collaboration with the recipient, to achieve project results after making
the award.
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The applicant should include the type of assistance preferred on the grant application. If EPA expects to
have substantial involvement, then EPA will issue the assistance agreement as a cooperative agreement.
If there is no substantial involvement by EPA expected, then EPA will issue a grant.15
3.4 PERFORMANCE PARTNERSHIP GRANTS (PPGS)
A Performance Partnership Grant (PPG) is a grant that lets the recipient combine funds from more than
one EPA program funding source into one grant. GAP is one of several EPA programs that are eligible for
combining into a PPG. Table 6 includes a list of EPA programs that are eligible for combining into a PPG as
of September 30, 2022. A complete list of currently eligible programs, features, and benefits of PPGs,
including best practices for PPGs with Tribes is available at NEPPS: Implementing Performance
Partnerships.
PPGs support GAP recipients to improve environmental protection by increasing administrative and
programmatic flexibilities. More specifically, a PPG gives the recipient flexibility to use grant resources
where they are most needed to address public health and environmental priorities.
Figure 7. GAP can be combined with EPA program grants to form a PPG
Program Z
Program oo
15 EPA Order 5700.1, Policy for Distinguishing Between Assistance and Acquisition (March 22, 1994). More
information on types of EPA funding instruments is available at EPA Funding instruments and Authorities.
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Table 6. The following table is a list of programs eligible for including in a PPG as of September 30, 2022
EPA OFFICE
ASSISTANCE
LISTING
ENVIRONMENTAL PROGRAM GRANT
Office of Congressional and
Intergovernmental Relations
66.605
Performance Partnership Grant (PPG)
Office of International and Tribal Affairs
66.926
Indian Environmental General Assistance
Program (GAP)
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 Agreements
66.701
Toxic Substances Compliance Monitoring
Cooperative Agreements
Office of Land and Emergency Management
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
66.801
Hazardous Waste Management State
Program Support
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 System Supervision
66.433
State Underground Water Source Protection
66.460
Nonpoint Source Implementation Grants
66.461
Regional Wetland Program Development
Grants
66.472
Beach Monitoring and Notification Program
Implementation Grants
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PPG Benefits
• Single multimedia grant.
• One work plan + budget for application.
• One progress report.
• One Federal Financial Report (FFR).
• Share resources between programs.
• Choose eligible programs for PPG.
• Ftave multiple media-specific PPGs.
• Program funding not required to include as work plan component.
• No cost match requirement.
• Multi-year award (up to 5 years).
Tribes and intertribal consortia may choose to use PPG flexibilities by combining GAP funds into an
existing PPG or establishing a new PPG. Recipients should discuss which of the following may be most
appropriate with their EPA Project Officer:
• Recipients that have an existing PPG may add GAP funds to the PPG through an amendment.
• Recipients nearing the end of their existing PPG, or negotiating a new PPG, may include GAP
funding in a new PPG award.
• Recipients that wish to use a PPG, but who do not already have one, may combine GAP funds with
one or more PPG-eligible standalone grant(s) into a new PPG.
Once EPA awards program funds into a PPG, the reflations for PPGs apply. While this results in several
programmatic and administrative flexibilities, it also means that there are other grants management
changes that are important to know. For example, unlike standalone GAP grants, GAP funds can be
included in PPGs for up to five years.
As of October 1, 2021, EPA waived the match requirements for grants included in a Tribe or intertribal
consortium's PPG. See RAIN-2022-G01, Class Exception to the Cost Share Requirements for Tribal and
Intertribal Consortia Performance Partnership Grants (PPGs) for more information.
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3.4.1 WHY CONSIDER GAP IN A PPG?
Recipients who chose to include GAP in a PPG can greatly increase grants management
flexibilities and expand the scope of GAP funded activities, results, and outcomes.
Tribes and intertribal consortia who combine GAP funding in a PPG may, with approval, use GAP
funds to conduct any eligible activity under the programs eligible for inclusion in a PPG,
regardless of whether the Tribe applies for or receives funding for that program. This includes
activities that extend beyond generally eligible activities in a standalone GAP award. The ability
to use PPG funds for any eligible activity, even if the Tribe did not apply for or was not selected
for funding for that environmental program, is a unique flexibility only available to Tribal and
intertribal consortia recipients. Where applicable, Tribes must have the required delegation,
approval, or authorization to carry out the activities. EPA Regional Offices must seek AIEO
concurrence to exercise this flexibility when using GAP funds, and the activity must be
approved in the applicant's proposed GAP work plan prior to including it in the PPG work plan
(40 CFR Section 35.535).
Recipients can design the PPG to meet their organizational needs. For example, a recipient may choose
to:
1. Combine all their eligible grants (2-19 separate grants) into a single PPG, or
2. Combine only GAP and eligible water program grants in a PPG, or
3. Combine only eligible water grants into one media specific PPG.
These flexible approaches let the recipient tailor the grant in a way that completes the tasks effectively
while supporting their programmatic priorities and administrative structures.
The process of applying for a PPG is similar to the process of applying for a GAP grant. The individual
program activities are generally negotiated with each program and then combined into one PPG work
plan. This means an applicant would first negotiate their GAP work plan with the EPA Project Officer
before combining it into a PPG.
PPGs generally require a single application package16 instead of individual applications for each program.
With one budget and one work plan, the recipient can direct funds as needed to achieve their approved
work plan commitments without having to account for the use of funds in accordance with the original
program source. For example, staff funded by the PPG can work across all program areas included in the
PPG, and all the staff funded by the PPG can use the grant resources, such as vehicles, office supplies, and
field equipment. In addition, PPGs simplify timekeeping and can reduce or even eliminate administrative
burdens and potential audit issues.
16 Separate applications are required in grants.gov for competitive grants. If selected and funded, the eligible
competitive grant may be combined with a new or existing PPG at the recipient's request.
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After completing initial work plan commitments, recipients may use remaining funds in the PPG to
address additional environmental priorities. The recipient should work with the EPA Project Officer to add
new tasks to the PPG work plan. Changes to the work plan may require a formal amendment to the grant.
The scope of allowable activities using GAP funds, the use of ETEPs, indicators, and other criteria outlined
in this Guidance remain the same when GAP funds are in a PPG. ETEPs and associated indicators only
apply to GAP funded components of the PPG.
AIEO strongly supports the use of PPGs and encourages EPA Regional Offices to fully utilize the flexibilities
provided by PPGs when combining GAP funds.
EPA acknowledges that not all Tribes choose to receive a PPG. This Guidance seeks to facilitate a broad
range of flexibilities that assists all GAP recipients in achieving environmental protection.
3.5 ELIGIBILITY INFORMATION
Indian Tribal governments and intertribal consortium are eligible to receive GAP grants. The eligibility
information is included in the GAP statute, and further defined in EPA regulations (40 CFR §35 Subpart B)
as follows:
The term Indian Tribal government (Tribe) means 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 (DOI) for the special services provided by the United States to Indians because of their status as
Indians.17
The term intertribal consortium or consortia means a partnership between two or more Tribes authorized
by the governing bodies of those Tribes to apply for and receive assistance under this program.18
An intertribal consortium, including consortium where not all members are federally recognized Tribal
governments, is eligible to receive a GAP grant if the consortium demonstrates that:
1. A majority of the consortium members Tribes are eligible to receive GAP grants;
2. All members of the consortium that meet GAP eligibility requirements authorize the consortium
to apply for and receive the award; and
3. Accounting controls are in place to ensure that only GAP-eIigible member Tribes will benefit
directly from the award and the consortium agrees to an award condition to that effect.19
With each new GAP grant application, excluding supplemental awards and incremental actions, an
intertribal consortium must include documentation of: (1) the existence of the partnership between
eligible Tribal governments; and (2) the authorization of the consortium by all GAP-eligible member
Tribes to apply for and receive the grant. Documentation sources may include letters, emails, resolutions,
or a combination of these written sources, provided by the GAP-eligible member Tribe's duly authorized
17 40 U.S.C. § 4368b (c)(1)
18 40 U.S.C. § 4368b (c)(2)
19 40 CFR 35.504
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representative. The Tribe determines who their duly authorized representative is, and may include, for
example, Tribal leadership, Tribal environmental directors, or Tribal administrators. If documentation
includes consortium resolutions, the resolution must have unanimous support, meaning no abstentions
and no majority approvals, from all board members.20
The Office of Regional Counsel or Office of General Counsel should evaluate applications to determine
whether the documents submitted for a particular grant meet the regulatory requirements. If not, EPA
will work with the consortium to clarify additional documentation needed. Applications that do not
contain adequate documentation will be considered incomplete.
3.5.1 INTERTRIBAL CONSORTIA AND PERFORMANCE MANAGEMENT
Intertribal consortia significantly contribute to Tribal environmental capacity development and
implementation of solid and hazardous waste activities. To represent the important role of
intertribal consortia, consortium that receive GAP grants are to provide ETEPs, where applicable,
indicators, work plans and progress reports that inform EPA's national performance management
efforts.
Generally, intertribal consortia support the environmental capacity building and solid waste
implementation priorities of GAP-eligible memberTribes in one of two ways:
1. Intertribal consortium recipients may use GAP funds to provide training and technical
assistance to support the environmental priorities of GAP-eligible member Tribes. Consortia
work plans that use GAP for this purpose should reflect the ETEP priorities of GAP-eligible
memberTribes and assist Tribe's in achieving their identified long-term environmental goals.
The work plan should also outline the consortium's own capacity building activities and
indicators relevant to the support proposed for member Tribes.
2. Alternatively, Tribal governments may choose not to receive GAP funds directly but decide
instead to work with an intertribal consortium to address their environmental priorities.
Tribes who do not receive GAP funding directly may make a request to the EPA Regional
Office for an intertribal consortium to receive funding to conduct environmental activities for
the benefit of the Tribe. Intertribal consortia that receive GAP funding on behalf of member
Tribes should develop an ETEP following the guidance in Section 2.3.1. The scope of the
intertribal consortium's ETEP should include GAP-eligible member Tribes who have requested
the consortium to receive GAP funding on their behalf.
Intertribal consortia that provide training and technical assistance to all GAP-eligible memberTribes
and receive GAP funding on behalf of some memberTribes should:
• Develop GAP work plans that reflect the ETEP priorities of GAP-eligible member Tribes and
assist Tribe's in achieving their identified long-term environmental goal,
• Outline the consortium's own capacity building activities in the work plan and indicators
relevant to the support proposed for member Tribes, and
• Develop an ETEP that includes the GAP-eligible member Tribes who have requested the
consortium to receive GAP funding on their behalf.
20 It is not necessary for board members to be Tribal chairpersons for a board resolution to constitute adequate
documentation of support from all member Tribes.
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3.6 COST-SHARING OR MATCHING REQUIREMENT
There are no cost-share or matching requirements from applicants.
In addition, recipients cannot use GAP to meet cost-sharing or match requirements of other federal
grants. Among other criteria, federal grant regulations require that the program's authorizing statute
specifically state that the program funds can be applied to match or cost sharing requirements of other
federal programs. The GAP statute does not authorize GAP funds for use as a match for any other
program.
3.7 LENGTH OF THE AWARD
The recipient and EPA Project Officer negotiate the length of a GAP award. Standalone GAP awards may
not exceed four years. GAP awards included in a PPG may not exceed five years. The work plan must
describe the anticipated length and will be determined and documented when the award is issued.21
3.8 INTERGOVERNMENTAL REVIEW
This funding opportunity is not subject to Executive Order (EO) 12372, Intergovernmental Review of
Federal Programs.
3.9 COMPETITION POLICY EXEMPTION
This assistance agreement program is exempt from competition under EPA Order 5700.5A1, Policy for
Competition of Assistance Agreements, Section 6(c)(2).22 In any funding materials distributed, EPA should
not use the terms "request for proposals; solicitations; ranking criteria" or similar terms that may create
the impression that EPA is awarding GAP funds competitively.
EPA Regional Offices should not use any allocation factors which have the effect of measuring the relative
quality or merit of one work plan against the other.
3.10 ENVIRONMENTAL RESULTS SUPPORTED BY ASSISTANCE ACTIVITIES
Under EPA Order 5700.7A1, Environmental Results under EPA Assistance ARreements, EPA must link
proposed assistance agreements to EPA strategic goals. The Order requires grant applicants to define
environmental outputs and environmental outcomes expected to result from the award. EPA is
2142 U.S.C. § 4368b (d)(3).
22 The Order reads, in part: "The requirements of this Order do not apply to... programs available by statute,
appropriation act, or regulation only to Indian Tribes and Intertribal Consortia."
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committed that these outputs and outcomes are also part of specific environmental goals as determined
by each Tribe.
Table 7. Outputs and outcomes resulting from GAP awards
OUTPUT VS. OUTCOME
DETAILS
Outputs
• Outputs are specific activities, efforts or associated work products related to
an environmental goal within a grant work plan that the recipient plans to
complete over time or by a specific date.
• An example would be creating a solid waste management plan or an air
emissions inventory. The outputs may be qualitative or quantitative but must
be measurable during an assistance agreement funding period and targeted to
support an agreed-upon goal of both EPA and the Tribe.
Outcomes
• Outcomes are the results, effects or consequences that will occur from
carrying out an environmental program or activity that is related to an
environmental or programmatic goal or objective.
• Outcomes may be environmental, behavioral, health-related, or programmatic
and quantitative in nature.
• Examples include level of reduction in unauthorized discharges to the air or
changes in knowledge and understanding. Outcomes should also be in the
grant work plan, but benefits may occur within or beyond the timeframe of the
grant.
3.10.1 GAP EXAMPLE-OUTPUT
There is a new biodiesel facility transfer station within the exterior boundaries of a Tribe's lands. The
Tribe is concerned that the Health Department may see increased asthma cases and other long-term
effects because of the emissions coming from the facility. The Tribe decides to develop an air emissions
inventory (output) to better understand affects to their air quality.
3.10.2 GAP EXAMPLE-OUTCOME
The emissions inventory shows that there are high levels of PM2.5 and NOx levels. The Tribe applies for
and receives a Clean Air Act (CAA) 103 grant to monitor the operations. As a result of this air emissions
inventory, there are changes in knowledge and understanding about the emissions produced from the
biodiesel facility and increased capacity to reduce or respond to poor air quality and to protect its citizens
(outcome). Using the data gained from the emissions inventory and the monitoring done under their CAA
103 grant, the Tribe can now educate their community about how the ambient air quality may affect their
community.
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SECTION 4: APPLICATION SUBMISSION, REVIEW, AND
AWARD PROCESS
4.1 SUBMISSION SCHEDULE AND REQUIREMENTS
EPA Regional Offices are responsible for establishing the timeframe for application submission,
negotiation of work plans and budgets, and awarding decisions. Regional Offices should provide early
notice to each eligible Tribe and intertribal consortium of the availability of GAP funds, program
requirements, and submission process.
Applicants must submit initial GAP applications to www.Rrants.Rov by the date provided by the EPA
Regional Office. Applicants must register with Grants.gov before applying; registration requires a Unique
Entity Identifier with an active SAM.gov registration. More information on the registration process is
available at: http://www.Rrants.Rov/web/Rrants/applicants/orRanization-reRistration.html
Applicants that have limited or no internet capacity should refer to Exceptions to the Grants.rov
Requirement to learn about how to request an exception.
4.2 APPLICATION REVIEW
Approvable GAP work plans must meet the requirements of grant regulations and should include all
information requested in the funding announcement. This includes:
1. The applicant's portion of an ETEP, or if new, the applicant's plan to develop an ETEP
2. If not included in the ETEP, a description of how the proposed activities support achieving the
applicant's short-term goals, or indicators, and long-term program development goals
3. A description of proposed eligible GAP activities;
4. A description of how proposed activities support the GAP national priorities; and
5. The roles and responsibilities of the applicant and EPA in carrying out the work plan
commitments.
EPA Project Officers will use the information below when reviewing applications:
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APPLICATION
REVIEW STEPS
APPLICATION REVIEW DETAILS
Step 1
Do the proposed activities in the work plan support environmental capacity building
consistent with EPA statutory programs and/or solid and hazardous waste
implementation? Proposed activities should focus on building capacity to implement an
EPA administered program or meaningfully participate in an EPA program, and/or
implementing a solid or hazardous waste management program.
Step 2
Are the proposed activities feasible and effective? The work plan should provide enough
detail to demonstrate that the applicant has a comprehensive, well-thought-out plan that
includes proposed activities, responsible persons, milestones, and timelines. The work
plan should show that it is reasonable that the applicant can achieve the purpose of the
project within the proposed project time and budget. The section does not focus on the
budget and personnel resources identified for the project.
Step 3
Is the budget, resources, and requested funds for key personnel reasonable and sufficient
to accomplish the proposed project? The amount requested to complete the work plan
activities is adequate to support the proposed activities, the allocations are in the
appropriate budget classes for the proposed work, and the applicant has the personnel
and program resources to accomplish the project. This section does not focus on the
feasibility and effectiveness of the proposed activities.
Step 4
Does the work plan identify the expected environmental results of the proposed project?
The work plan should provide details on the likely outcomes and outputs of the proposed
project. Outputs and outcomes should link to the proposed activities and resulting
improvements to environmental and/or human health conditions. Outputs and outcomes
should be measurable and achievable.
Step 5
Do the proposed activities in the work plan support achieving long-term goals identified in
the ETEP? The work plan should indicate how the proposed activities relate to the
priorities and long-term development goal(s) identified in the Tribe's ETEP.
Step 6
Prior performance. Generally, work plan components and commitments should
demonstrate clear progress over time toward achieving the Tribe's long-term goals or
specify new priority areas.
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SECTION 5: AWARD ADMINISTRATION
5.1 AWARD NOTICES
An authorized EPA Grants Official signs a funding award notice and sends it to each recipient. This is the
official document that authorizes the recipient to start work on approved work plan activities.
5.2 REPORTING REQUIREMENTS
The recipient and the EPA Regional Office will develop a process for jointly evaluating and reporting
progress and accomplishments under the work plan. The final work plan must include a description of the
evaluation process and reporting schedule. Recipients must submit progress reports at least annually.
40 CFR § 35.515 outlines the requirements of the evaluation process, including:
• A discussion of accomplishments measured against work plan commitments (activities);
• A discussion of the cumulative effectiveness of the work performed under all work plan
commitments;
• A discussion of existing and potential problem areas; and
• Suggestions for improving the work plan, including the timeline for making improvements if
possible.
In addition to progress reports, GAP recipients and their EPA Project Officer should have frequent contact
to keep EPA informed of progress and to resolve any problems that may arise. Recipients should
inform their EPA Project Officer in the event problems, delays, or adverse conditions arise that may
impact or change identified outputs and/or outcomes specified in the work plan.
5.3 QUALITY ASSURANCE DOCUMENTATION
GAP recipients are subject to EPA's quality assurance grant requirements in 2 CFR § 1500.12 and 40 CFR §
35 Subpart B. If a recipient's project involves the collection, production, evaluation, or use of
environmental information or the design, construction, operation, or application of environmental
technology, the recipient must develop and implement quality management plans and/or quality
assurance project plans sufficient to produce environmental information of known and documented
quality. EPA-approved plans must be in place before environmental information collection can occur.
More information is available at Implementation of Quality Assurance Requirements.
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5.4 DISPUTES
EPA is committed to working cooperatively with GAP applicants and recipients to resolve disputes
informally and expeditiously. If EPA and the applicant/recipient are unable to resolve a dispute informally,
disputes will be resolved in accordance with formal procedures described in 2 CFR Part 1500, Subpart E.
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APPENDIX 1. ACRONYMS
The following table lists the acronyms used throughout this document.
ACRONYM
FULL NAME
AIEO
American Indian Environmental Office
CAA
Clean Air Act
CERCLA
Comprehensive Environmental Response, Compensation, and Liability Act
CFR
Code of Federal Regulations
CWA
Clean Water Act
Dl
Direct Implementation
DITCA
Direct Implementation Tribal Cooperative Agreements
DOI
U.S. Department of the Interior
EO
Executive Order
EPCRA
Emergency Planning and Community Right-to-Know Act
ETEP
EPA-Tribal Environmental Plans
FFR
Federal Financial Report
FIFRA
Federal Insecticide, Fungicide, and Rodenticide Act
GAP
Indian Environmental General Assistance Program
GPI
Grants Policy Issuance
IPM
Integrated Pest Management
IWMP
Integrated Waste Management Plan
MOA
Memorandum of Agreement
MOU
Memorandum of Understanding
NAAQS
National Ambient Air Quality Standards
NEPA
National Environmental Policy Act of 1969
NEPPS
National Environmental Performance Partnership System
Nox
Nitrogen Oxides
NPDES
National Pollutant Discharge Elimination System
OGD
Office of Grants and Debarment
OGC
Office of General Counsel
OITA
Office of International and Tribal Affairs
OMB
Office of Management and Budget
OPA
Oil Pollution Act of 1990
P2
Pollution Prevention
PM2.5
Particulate Matter, 2.5 micrometers and smaller
PPA
Pollution Prevention Act
PPG
Performance Partnership Grant
PWSS
Public Water System Supervision
RAIN
Recipient/Applicant Information Notice
RCRA
Resource Conservation and Recovery Act
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ACRONYM
FULL NAME
SDWA
Safe Drinking Water Act
STAG
State and Tribal Assistance Grants
TAS
Treatment in A similar manner as a State
TMDL
Total Maximum Daily Load
TRI
Toxics Release Inventory
TSCA
Toxic Substances Control Act
UIC
Underground Injection Control
U.S.C.
U.S. Code
UST
Underground Storage Tanks
WQS
Water Quality Standards
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APPENDIX 2. REFERENCE LINKS
The following tables include all reference links used in this document. Reference links correspond with
each document section.
AN INTRODUCTION TO GAP
REFERENCE NUMBER
REFERENCE LINK
1
EPA Grants for Tribes
Full Link: https://www.epa.gov/tribal/grants-tribes
2
Environmental Protection in Indian Country
Full Link: http://www.epa.gov/tribal
3
Indian Environmental General Assistance Program Act of 1992, 42 U.S.C. §436b
Full Link: https://www.govinfo.gov/content/pkg/USCODE-2020-title42/html/USCODE-2020-
title42-chap55-subchaplll-sec4368b.htm
4
Consolidated Appropriations Act, 2018, Pub. L. 115-141
Full Link: https://www.govinfo.gov/content/pkg/PLAW-115publl41/html/PLAW-
115publl41.htm
5
Regulations: Environmental Program Grants for Tribes, 40 CFR Part 35, Subpart B
Full Link: https://www.ecfr.gov/current/title-40/chapter-l/subchapter-B/part-35/subpart-
B/subiect-group-ECFR7560dablb022383/section-35.500
6
Together, CFR Part 200 and 2 CFR 1500 are called the Uniform Grant Guidance.
Full Link: https://www.ecfr.gov/current/title-2/subtitle-A/chapter-ll/part-200?toc=l
Full Link: https://www.ecfr.gov/current/title-2/subtitle-B/chapter-XV/part-1500
7
Requirements for Drug-Free Workplace (Financial Assistance), 2 CFR Part 1536
Full Link: https://www.ecfr.gov/current/title-2/subtitle-B/chapter-XV/part-1536
8
Participation bv Disadvantaged Business Enterprises in EPA Programs, 40 CFR Part 33
Full Link: https://www.ecfr.gov/current/title-40/chapter-l/subchapter-B/part-33?toc=l
9
EPA Guidance on Participant Support Costs
Full Link: https://www.epa.gov/sites/default/files/2020-ll/documents/epa-guidance-on-
participant-support-costs.pdf
Interim General Budget Development Guidance for Applicants and Recipients of EPA
10
Financial Assistance
Full Link: https://www.epa.gov/grants/rain-2019-g02
11
List of Programs and Statutes Administered bv EPA, Laws and Executive Orders
Full Link: https://www.epa.gov/laws-regulations/laws-and-executive-orders
12
Our Mission and What We Do
Full Link: https://www.epa.gov/aboutepa/our-mission-and-what-we-do
EPA Policy for the Administration of Environmental Programs on Indian Reservations (1984
13
Indian Policy)
Full Link: https://www.epa.gov/tribal/epa-policv-administration-environmental-programs-
indian-reservations-1984-indian-policy
Indian country defined, 18 U.S.C. § 1151 and 40 CFR § 171.3
Full Link: https://www.govinfo.gov/content/pkg/USCODE-2020-titlel8/html/USCODE-2020-
14
titlel8-partl-chap53-secll51.htm
Full Link: https://www.ecfr.gov/current/title-40/chapter-l/subchapter-E/part-171/subpart-
A/section-171.3
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REFERENCE NUMBER
REFERENCE LINK
15
Overview of the Clean Air Act and Air Pollution (CAA)
Full Link: https://www.epa.gov/clean-air-act-overview
16
Summary of the Clean Water Act (CWA)
Full Link: https://www.epa.gov/laws-regulations/summary-clean-water-act
17
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA)
Full Link: https://www.epa.gov/superfund/superfund-cercla-overview
2002 Small Business Liability Relief and Brownfields Revitalization Act
18
Full Link: https://www.epa.gov/brownfields/summarv-small-business-liabilitv-relief-and-
brownfields-revitalization-act
19
Emergency Planning and Community Right-to-Know Act (EPCRA)
Full Link: https://www.epa.gov/epcra/what-epcra
20
Oil Pollution Act of 1990 (OPA)
Full Link: https://www.epa.gov/enforcement/oil-pollution-act-opa-and-federal-facilities
21
Federal Insecticide, Fungicide and Rodenticide Act (FIFRA)
Full Link: https://www.epa.gov/laws-regulations/summarv-federal-insecticide-fungicide-
and-rodenticide-act
22
National Environmental Policy Act of 1969 (NEPA)
Full Link: https://www.epa.gov/laws-regulations/summary-national-environmental-policy-
act
23
Pollution Prevention Act (PPA)
Full Link: https://www.epa.gov/laws-regulations/summary-pollution-prevention-act
24
Safe Drinking Water Act (SDWA)
Full Link: https://www.epa.gov/sdwa
Solid Waste Disposal Act/Resource Conservation and Recovery Act (RCRA)
25
Full Link: https://www.epa.gov/laws-regulations/summarv-resource-conservation-and-
recovery-act
26
Toxic Substances Control Act (TSCA)
Full Link: https://www.epa.gov/laws-regulations/summary-toxic-substances-control-act
GAP NATIONAL FRAMEWORK
REFERENCE NUMBER
REFERENCE LINK
27
Tribal Assumption of Federal Laws - Treatment as a State (TAS)
Full Link: https://www.epa.gov/tribal/tribal-assumption-federal-laws-treatment-state-tas
28
Clean Air Act § 105 -Air Pollution Planning and Control Grants
Full Link: https://www.epa.gov/grants/air-grants-and-funding
29
Clean Water Act § 106 - Water Pollution Control Grants
Full Link: https://www.epa.gov/water-pollution-control-section-106-grants/tribal-grants-
under-section-106-clean-water-act
30
Clean Water Act § 319 - Nonpoint Source Management Grants
Full Link: https://www.epa.gov/nps/tribal-nonpoint-source-program
31
Developing Tribal Integrated Waste Management Plans
Full Link: https://www.epa.gov/tribal-lands/developing-tribal-integrated-waste-
management-plans
32
Tribal Waste Management Program
Full Link: https://www.epa.gOv/tribal-lands/tribal-waste-management-program#tools
33
Construction 2 CFR Part 200 Subpart E
Full Link: https://www.ecfr.gov/current/title-2/subtitle-A/chapter-ll/part-200/subpart-E
34
Real Property 2 CFR §200.311
39
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
REFERENCE NUMBER
REFERENCE LINK
Full Link: https://www.ecfr.Rov/current/title-2/subtitle-A/chapter-ll/part-200/subpart-
D/subiect-group-ECFR8feb98c2e3e5ad2/section-200.311
35
Proposal Preparation Costs 2 CFR 200.460
Full Link: https://www.ecfr.Rov/current/title-2/subtitle-A/chapter-ll/part-200/subpart-
E/subiect-Rroup-ECFRedlf39f9b3d4e72/section-200.460
36
EPA Guidance on Selected Items of Cost
Full Link:
https://www.epa.Rov/sites/default/files/201805/documents/recipient Ruidance selected
items of cost final.pdf
PERFORMANCE MANAGEMENT
REFERENCE NUMBER
REFERENCE LINK
37
Framework for Developing Tribal Capacity Needed in the Indian General Assistance
Program
Full Link: https://www.epa.gov/sites/default/files/2015-ll/documents/20080219-08-p-
0083.pdf
ETEP REQUIREMENTS
REFERENCE NUMBER
REFERENCE LINK
38
Tribal Environmental ARreement (TEA), 40 CFR § 35.502
Full Link: https://www.ecfr.Rov/current/title-40/chapter-l/subchapter-B/part-35/subpart-
B/subiect-Rroup-ECFR7560dablb022383/section-35.502
39
EnviroFacts
Full Link: https://enviro.epa.Rov/
40
EPA's Direct Implementation of Federal Environmental ProRrams in Indian Country
Full Link: https://www.epa.Rov/tribal/epas-direct-implementation-federal-environmental-
proRrams-indian-country
ALLOCATION
REFERENCE NUMBER
REFERENCE LINK
41
EPA's National ProRram Guidances
Full Link: https://www.epa.Rov/planandbudRet/national-proRram-Ruidances
AWARD INFORMATION
REFERENCE NUMBER
REFERENCE LINK
42
Tribal ProRram ManaRer
Full Link: https://www.epa.Rov/tribal/epa-tribal-proRram-manaRers
43
The Indian Environmental General Assistance ProRram Assistance ListinR is 66.926
Full Link: https://sam.Rov/fal/7928e47f7b314bb990f22f78fd79791e/view
44
Time frame for EPA action, 40 CFR § 35.510
Full Link: https://www.ecfr.Rov/current/title-40/chapter-l/subchapter-B/part-35/subpart-
B/subiect-Rroup-ECFR6332a01c7f809al/section-35.510
40
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
REFERENCE NUMBER
REFERENCE LINK
Grants Policy Issuance (GPI) 13-02: StreamlininRTribal Grants ManaRement
45
Full Link: https://www.epa.Rov/sites/default/files/2015-
03/documents/Rrants policy issuance 13 02.pdf
National Environmental Performance Partnership System (NEPPS)
46
Full Link: https://www.epa.Rov/ocir/national-environmental-performance-partnership-
system-nepps
47
EPA FundinR Instruments and Authorities
Full Link: https://www.epa.Rov/Rrants/epa-fundinR-instruments-and-authorities
48
PPG ReRulations
Full Link: https://www.ecfr.Rov/current/title-40/chapter-l/subchapter-B/part-35/subpart-
B
49
Class Exception to the Cost Share Requirements for Tribal and Intertribal Consortia
Performance Partnership Grants (PPGs) at 40 CFR 35.536, RAIN-2022-G01
Full Link: https://www.epa.Rov/Rrants/rain-2022-R01
50
Cost share requirements, 40 CFR 35.536
Full Link: https://www.ecfr.Rov/current/title-40/chapter-l/subchapter-B/part-35/subpart-
B/subiect-Rroup-ECFR832711b28c33684/section-35.536
51
EliRibilitv, 40 U.S.C. § 4368b (c)(1)
Full Link: https://www.Rovinfo.Rov/content/pkR/USCODE-2020-title42/html/USCODE-
2020-title42-chap55-subchaplll-sec4368b.htm
52
EliRibilitv, 40 U.S.C. § 4368b (c)(2)
Full Link: https://www.Rovinfo.Rov/content/pkR/USCODE-2020-title42/html/USCODE-
2020-title42-chap55-subchaplll-sec4368b.htm
53
EliRibilitv, 40 CFR 35.504
Full Link* https://www.ecfr.gov/current/titie-40/chapter-1/subchapter-B/part-35/subpart-B/subiect-group-
ECFR7560dablb022383/section-35.504
54
ReRulations for usinR federal Rrants to meet cost-sharinR or match requirements
Full Link: https://www.ecfr.Rov/current/title-2/subtitle-A/chapter-ll/part-200/subpart-
D/section-200.306
55
EPA's Policy for Competition of Assistance ARreements, Section 6(c)(2), EPA Order
5700.5A1
Full Link: https://www.epa.Rov/Rrants/epa-order-57005al-epas-policv-competition-
assistance-aRreements
56
EPA's Policy for Environmental Results under EPA Assistance ARreements, EPA Order
5700.7A1
Full Link: https://www.epa.Rov/Rrants/epa-order-57007al-epas-policv-environmental-
results-under-epa-assistance-aRreements
APPLICATION, SUBMISSION, REVIEW, AND AWARD PROCESS
REFERENCE NUMBER
REFERENCE LINK
57
In Grants.rov
Full Link: www.Rrants.Rov
58
ReRisterinR an orRanization
Full Link: https://www.Rrants.Rov/web/Rrants/applicants/orRanization-reRistration.html
59
Exceptions to the Grants.rov Requirement
Full Link: https://www.epa.Rov/Rrants/exceptions-RrantsRov-submission-requirement
41
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM (GAP)
Guidance on Assistance Agreements for Recipients and EPA (September 2022)
AWARD ADMINISTRATION
REFERENCE NUMBER
REFERENCE LINK
60
Requirements of joint evaluation, 40 CFR § 35.515
Full Link: https://www.ecfr.gov/current/title-40/chapter-l/subchapter-B/part-35/subpart-
B/subiect-group-ECFR5aeeelc862a90c9/section-35.515
61
Quality Assurance, 2 CFR § 1500.12
Full Link: https://www.ecfr.gov/current/title-2/subtitle-B/chapter-XV/part-1500
62
Implementation of Quality Assurance Requirements
Full Link: https://www.epa.gov/grants/implementation-qualitv-assurance-requirements-
organizations-receiving-epa-financial
63
Disputes, 2 CFR Part 15002 CFR Part 1500, Subpart E
Full Link: https://www.ecfr.gov/current/title-2/subtitle-B/chapter-XV/part-1500/subpart-E
42
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