OFFICE OF INSPECTOR GENERAL 

Catalyst for Improving the Environment 

Audit Report 

Promoting Tribal Success 

in EPA Programs 

 Report No. 2007-P-00022 

 May 3, 2007 
Report Contributors: Kevin Lawrence 

 Jennifer Hutkoff

 Madeline Mullen 

 Robert Adachi 

 Janet Kasper 

Abbreviations 

EPA U.S. Environmental Protection Agency 

OIG Office of Inspector General 

DOI U.S. Department of the Interior 

Cover photo: Wolf River, Wisconsin (EPA OIG photo) 
U.S. Environmental Protection Agency 2007-P-00022

Office of Inspector General May 3, 2007

At a Glance 

Catalyst for Improving the Environment 

Why We Did This Review 

At the suggestion of the 

U.S. Environmental Protection 

Agency (EPA) Administrator, 

the Offices of Inspector 

General for EPA and the 

U.S. Department of the Interior 

(DOI) performed a joint audit 

to identify Tribal positive 

practices. The detailed joint 

report is provided separately. 

The purpose of this additional 

report is to provide 

recommendations to assist EPA 

in better managing Tribal 

environmental programs. 

Background 

There are more than 560 

Federally recognized Tribes in 

the United States. Each Tribe 

is an individual, sovereign 

government unique in structure 

and culture. EPA funds tribal 

core environmental programs 

through the General Assistance 

Program. 

For further information, 

Contact the EPA Office of 

Congressional and Public 

Liaison at (202) 566-2391. 

To view the full EPA report, 

click on the following link: 

www.epa.gov/oig/reports/2007/ 

20070503-2007-P-00022.pdf 

To view the joint EPA-DOI report, 

click on the following link: 

www.epa.gov/oig/reports/2007/ 

20070503-2007-P-00022JT.pdf 

Promoting Tribal Success in EPA Programs

 What We Found 

Tribes have made progress in overcoming barriers to successful management of 

environmental programs. Innovation is the key for Tribes to maximize the 

effectiveness of their programs and overcome barriers. The 14 visited Tribes 

provided examples of innovative practices, including: 

Collaboration and Partnerships. Many of the successful projects result 

from efforts to foster good communication and positive relationships with 

others. Tribes work cooperatively with Federal agencies, other Tribes, State 

and local governments, educational institutions, and the private sector. 

Education and Outreach. Tribes educate the community regarding 

environmental programs. Further, Tribes value community input and 

understand that project success often depends on community support. 

Expanding Resources. Based on its size, capacity, and structure, each of the 

visited Tribes has its own processes for finding alternative sources of revenue 

to ensure sustainability of natural resource and environmental programs. 

We based our findings and recommendations in this report on the information 

contained in the joint EPA-DOI report Tribal Successes: Protecting the 

Environment and Natural Resources. That report provides details on specific 

successful practices implemented by each of the 14 visited Tribes. 

What We Recommend 

To further help Tribes build on successful practices, we recommend that the EPA 

Assistant Administrator for Water: 

• Work with Tribes to promote collaboration and partnerships. 

• Identify and make available relevant education and outreach materials. 

• Work with Tribes to identify economic resources and funding alternatives. 

The Agency concurred with the recommendations and agreed that the practices 

outlined will lead to Tribal successes. 
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

WASHINGTON, D.C. 20460 

OFFICE OF 

INSPECTOR GENERAL

May 3, 2007 

MEMORANDUM 

SUBJECT: Promoting Tribal Success in EPA Programs 

Report No. 2007-P-00022 

TO: Benjamin Grumbles 

Assistant Administrator, Office of Water 

The Offices of Inspector General (OIG) of the U.S. Environmental Protection Agency (EPA) and 

U.S. Department of the Interior (DOI) have completed a joint report on Tribal positive practices 

related to environmental and natural resource programs. We are separately providing a copy of 

that report, Tribal Successes: Protecting the Environment and Natural Resources. This 

additional report provides recommendations specifically to EPA to assist it in promoting Tribal 

success. 

This report contains findings that describe the problems the OIG has identified and corrective 

actions the OIG recommends. This report represents the opinion of the OIG and does not 

necessarily represent the final EPA position. EPA managers will make final determination on 

matters in this report in accordance with established audit resolution procedures. 

The estimated EPA OIG cost of this report – calculated by multiplying the project’s staff days by 

the applicable daily full cost billing rates in effect at the time – is $473,283. 

Action Required 

In accordance with EPA Manual 2750, you are required to provide a written response to this 

report within 90 calendar days. You should include a corrective actions plan for agreed upon 

actions, including milestone dates. We have no objections to the further release of this report to 

the public. This report will be available at http://www/epa/.gov/oig. 

If you or your staff have any further questions, please contact me at 202-566-0847 or 

roderick.bill@epa.gov; or Janet Kasper, Director, Assistance Agreement Audits, at 312-886-3059 

or kasper.janet@epa.gov. 

Bill A. Roderick 

 Acting Inspector General 
Purpose 

At the suggestion of the U.S. Environmental Protection Agency (EPA) Administrator, the 

Offices of Inspector General for EPA and the U.S. Department of the Interior (DOI) performed a 

joint audit to identify Tribal positive practices for managing environmental programs. The 

purpose of this separate report is to provide recommendations to assist EPA in better managing 

Tribal environmental programs. The findings and recommendations are based on information in 

the joint EPA-DOI report, Tribal Successes: Protecting the Environment and Natural Resources. 

Background 

There are more than 560 Federally recognized Tribes in the United States. Currently, these 

Tribes hold more than 50 million acres of land, or approximately 2 percent of the United States. 

Each Tribe is an individual, sovereign government unique in structure and culture. As a result, 

each Tribe operates its programs differently. Common differences include varying goals and 

objectives, administrative systems, funding resources, and the capacity to implement projects. 

Land has always had great spiritual and cultural significance for Tribes. To preserve the land, 

Tribes are committed to implementing environmental and natural resource programs. These 

programs include internal environmental regulations. Tribes address such issues as solid and 

hazardous waste management, safe drinking water, sanitation, subsistence hunting and fishing, 

and cultural heritage preservation. 

Within EPA’s Office of Water, the American Indian Environmental Office coordinates the 

Agency-wide effort to strengthen public health and environmental protection in Indian Country, 

with a special emphasis on building Tribal capacity to administer their own environmental 

programs. 

Scope and Methodology 

We performed our work in accordance with Government Auditing Standards, issued by the 

Comptroller General of the United States. We identified general activities administered through 

EPA Program Offices and DOI Bureaus related to Tribal implementation of environmental and 

natural resource programs. We visited 14 Tribes to gain an understanding of how they 

implement environmental and natural resource programs. We identified factors that contributed 

to their success. Further details on our scope and methodology are in the joint EPA-DOI report, 

Tribal Successes: Protecting Environment and Natural Resources. 

Results of Audit 

Tribes have made progress in overcoming barriers through innovative practices. Innovation is 

the key for Tribes to maximize the effectiveness of their programs. Innovative practices are 

consistent with the EPA Administrator’s Principles to Accelerate the Pace of Environmental 

Protection. The second principle, Innovation and Collaboration, states that meeting today's 

environmental challenges requires new approaches. It also states that EPA will identify and 

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foster approaches that promote environmental stewardship and produce results though innovation 

and collaboration. 

The joint EPA-DOI report describes the innovative practices that the 14 Tribes we visited 

successfully used to implement environmental programs. Common practices the Tribes used to 

successfully implement their programs included: 

• Collaboration and Partnerships. Tribes achieve environmental goals by working 

cooperatively with Federal agencies, other Tribes, State and local governments, 

educational institutions, and the private sector. One Tribe worked extensively with 

non-profit organizations, other Tribes, and local municipalities to protect water. Tribal 

successes increase Tribal influence and enhance their reputation as protectors and 

stewards of nature and the environment. 

• Education and Outreach. Tribes educate the community regarding environmental 

programs. Tribes have produced educational materials, such as booklets, to disperse 

important information. Education and outreach garner community support and 

understanding of issues facing the Tribes. 

• Expanding Resources. Tribes strive for economic sustainability while ensuring a 

balance between economic development and resource preservation. By developing and 

cultivating relationships with non-profit organizations, Tribes have used such 

organizations as alternative funding sources. Tribes are also able to expand the scope and 

sustainability of environmental programs by applying for grants from multiple sources. 

The innovative practices help Tribes overcome barriers to successful management of 

environmental programs. Common barriers include: 

• Resource limitations. Tribes are continually looking for funds to initiate and 

successfully implement programs. Limited funding is especially problematic for Tribes 

with a limited ability to generate their own funds. Some Tribes consist of only a few 

thousand people or less. 

• Administrative and Managerial Requirements. Tribes face the challenge of 

complying with rules and regulations that vary among Federal agencies. Procedures and 

processes that Tribes use to meet one agency’s requirements may not apply when dealing 

with another agency. 

• Legal and Regulatory Issues. Federal program regulations limit the use of funds to 

particular activities or functions. This limitation may affect Tribes’ ability to manage 

their programs, and in some cases Tribes have refused funding because of it. In other 

cases, confusion arises when authority overlaps among multiple Federal agencies. 

• Communication and Relationships. Non-Tribal officials do not always consider unique 

Tribal cultures. Some Tribes believe that Federal officials do not adequately understand 

Tribal sovereignty or the Federal trust responsibility. Further, Federal agencies do not 

always coordinate when they share program oversight. 

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Tribes are able to overcome barriers and achieve environmental success through innovative 

practices. EPA can take further actions to assist Tribes in successfully implementing 

environmental and natural resource programs and overcoming common barriers. 

Recommendations 

To further help Tribes build on successful practices, we recommend that the EPA Assistant 

Administrator for Water: 

1. Work with the Tribes to promote place-based collaboration and partnerships in line with 

the Administrator’s principle for innovation and collaboration. 

2. Identify and make available education and outreach materials relevant to Tribes. 

3. Work with Tribes to identify economic resources and alternatives to fund future 

activities.

EPA Response and OIG Comment 

The Agency concurred with the recommendations and agreed that the practices outlined in the 

report will lead to Tribal successes. The Agency also agreed to perform the following actions 

related to the recommendations above: 

• Continue to promote innovation and collaboration on all levels of the EPA Tribal 

Program. 

• Compile a list of all materials produced at EPA that are relevant to Tribal culture and 

determine the need for any additional printings or distribution as well as the need for 

developing any new materials. 

• Consider and adopt all recommendations in the Innovative Funding Workgroup report to 

be completed in 2007, promoting the identification of economic resources and alternative 

funding sources. 

We recognize the Agency’s responsiveness to the audit findings and recommendations and its 

willingness to assist Tribes with their environmental programs. In responding to the final report, 

the Agency needs to provide dates for completing its proposed actions for recommendations 2 

and 3. The Agency’s complete response is included in Appendix A. 

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Status of Recommendations and 

Potential Monetary Benefits 

POTENTIAL MONETARY 

RECOMMENDATIONS BENEFITS (in $000s) 

Rec. 

No. 

Page 

No. Subject Status1 Action Official 

Planned 

Completion 

Date 

Claimed 

Amount 

Agreed To 

Amount 

1 

2 

3 

3 

Work with the Tribes to promote place-based 

collaboration and partnerships in line with the 

Administrator’s principle for innovation and 

collaboration. 

Identify and make available education and 

outreach materials relevant to Tribes. 

O 

O 

Assistant Administrator 

for Water 

Assistant Administrator 

for Water 

3 3 Work with Tribes to identify economic resources 

and alternatives to fund future activities. 

O Assistant Administrator 

for Water 

O = recommendation is open with agreed-to corrective actions pending;

C = recommendation is closed with all agreed-to actions completed;

U = recommendation is undecided with resolution efforts in progress 

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Appendix A 

MEMORANDUM

SUBJECT: Promoting Tribal Success in EPA Programs Assignment No. 2006-302 

FROM: Benjamin H. Grumbles 

Assistant Administrator 

TO: Janet Kasper, Director 

Assistance Agreement Audits 

Thank you for the opportunity to respond to the draft audit report titled Promoting Tribal 

Success in EPA Programs, Assignment No. 2006-302. It is my understanding that this draft audit 

is based upon information obtained during development of the Draft Report, Tribal Successes: 

Protecting the Environment and Natural Resources on positive tribal practices related to 

environmental and natural resource programs which is a joint effort of the Offices of Inspector 

General (OIG) of the U.S. Environmental Protection Agency (EPA) and the Department of the 

Interior (DOI) and which you have also forwarded. 

Your three audit recommendations are well received, and I am in agreement that the three 

successful practices you identify do, in fact, lead to tribal program successes. As your companion 

Draft Report determined, these practices are currently deeply incorporated within the EPA’s 

Indian Program both at the American Indian Environmental Office (AIEO) and in the EPA 

program offices working with tribes. 

Nevertheless, I recognize that we must continually strive to improve our progress. As 

National Program Manager for the EPA Indian Program, I therefore concur with the 

recommendations and suggest several actions to sustain and increase the currently successful 

practices that the EPA Indian Program utilizes during its interactions with tribes. 

IG Recommendation 1: Work with the Tribes to promote place-based collaboration and 

partnerships in line with the Administrator’s principle for innovation and collaboration. 

Concurring Response 1: The Administrator’s call for innovation and collaboration across the 

Agency has been long instituted within the EPA Indian Program and in the manner in which 

tribes conduct business. As the draft audit states, “innovative practices help Tribes overcome 

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barriers to successful management of environmental programs.” The historical lack of program 

funding to tribal efforts has resulted in the need to find mechanisms that work. 

EPA tribal collaboration occurs on many levels. Within EPA, AIEO and our program 

offices work with numerous tribal advisory groups including those for toxics, pesticides, air, 

water, solid waste and the National Tribal Caucus of the National Tribal Operations Committee 

on budgetary and co-regulator matters. EPA also seeks out other fora for collaboration as 

appropriate. EPA agrees that success in Indian country requires more than collaboration and 

partnership with federal partners alone, and so we continue to believe in one of the bedrock 

principles of the 1984 EPA Indian Policy which is to “encourage cooperation between tribal, 

state, and local governments.” The 1984 Indian Policy states it best by saying “in the field of 

environmental regulation, problems are often shared and the principle of comity between equals 

and neighbors often serves the interests of both.” AIEO has long tracked partnerships and 

voluntary agreements as one indicator of current and future program success. 

As the Draft Audit indicates, to make partnerships work place-based personnel are a 

necessary component to success. Since 1992 EPA has worked to promote place-based activity 

through EPA’s Indian General Assistance Program (IGAP) which strives to provide base funding 

for all tribes to create an environmental presence; this literally means a tribal government staff 

position in many cases. The program goal has consistently been to provide base funding for all 

tribes desiring such assistance. Currently approximately 500 tribes receive funding. 

Actions under IG Recommendation 1. EPA will continue to promote innovation and 

collaboration on all levels of the EPA Tribal Program. 

IG Recommendation 2: Identify and make available education and outreach materials relevant to 

Tribes. 

Concurring Response 2: As EPA has done in the past, non-tribal materials will be adjusted for 

the tribal audience as needs arise and program offices will continue to develop tribal culturally 

relevant materials. EPA will also continue to support tribal efforts to create their own culturally 

relevant materials by making available EPA funding and EPA staff time as allowable for such 

activities. As an indication of the effectiveness of EPA’s actions I would note that the awardwinning, culturally-relevant lead-based paint educational booklet “How Mother Bear Taught the 

Children about Lead” highlighted in the draft IG Report, Tribal Successes: Protecting the 

Environment and Natural Resources was developed by the tribe with EPA financial support and 

the input of several EPA staff members including one of my staff at AIEO. 

Actions under IG Recommendation 2. EPA’s Indian Program Policy Council (IPPC) will compile 

a log of all tribal culturally relevant materials that have been produced at EPA and direct AIEO 

to review this information to determine the need for additional new materials and/or additional 

printings or distributions of existing materials. I will ask AIEO to work with the Tribal Caucus of 

the National Tribal Operations Committee to conduct a separate review and make the same 

recommendations. 

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IG Recommendation 3: Work with Tribes to identify economic resources and alternatives to fund 

future activities. 

Concurring Response 3: Historically, the economic conditions of tribes within the United States 

has hindered the success of environmental programs in Indian country. The EPA Indian Program 

recognizes this unfortunate fact and works to provide alternatives in positive, innovative ways to 

accomplish the goal of environmental protection. While much of this interaction is outside the 

scope of direct EPA staff interaction, tribal personnel funded under the IGAP program make 

tremendous progress in seeking alternative and supplemental funding. Under the auspices of the 

IPPC, EPA created a cross-program workgroup to examine innovative and alternative funding 

sources and ideas. This workgroup has nearly completed its report and the information will be 

considered by the IPPC for further action. 

Action under IG Recommendation 3: Upon completion of the Innovative Funding Workgroup 

report in 2007, the IPPC will consider all recommendations and adopt those promoting the 

identification of economic resources and alternate funding sources for environmental activities. 

Overall it gives me great pleasure to know that the 20 year EPA-Tribal partnership that was 

instrumental in the creation of the 1984 Indian Policy, the development of EPA’s Indian 

Program, including AIEO, in the 1990’s, and which continues to this day had it right from the 

beginning. EPA’s current role, and my goal as National Program Manager, is simply to 

continue the successes within this proven framework. 

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Appendix B 

Distribution 

Office of the Administrator 

Assistant Administrator for Water 

Agency Followup Official (the CFO) 

Agency Followup Coordinator 

Audit Followup Coordinator, Office of Water 

Associate Administrator for Congressional and Intergovernmental Relations 

Associate Administrator for Public Affairs 

General Counsel 

Acting Inspector General 

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