INDIAN ENVIRONMENTAL

GENERAL ASSISTANCE PROGRAM

Guidance on the Award and Management of

General Assistance Agreements

for Tribes and Intertribal Consortia

May 15, 2013

U.S. Environmental Protection Agency

Office of International and Tribal Affairs

American Indian Environmental Office
This Guidance identifies Agency 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 document does not 

substitute for other binding requirements and it does not expressly or 

implicitly create, expand, or limit any legal rights, obligations, 

responsibilities, expectations, or benefits to any person. In the event of a 

conflict between the discussion in this Guidance and any legally binding 

requirement, this Guidance document would not be controlling.
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

OFFICE OF INTERNATIONAL AND TRIBAL AFFAIRS

1200 PENNSYLVANIA AVENUE NW

WASHINGTON, DC 20460

REPLY TO THE ATTENTION OF: 2610R

May 15, 2013

SUBJECT: Final Guidance on the Award and Management of General 

Assistance Agreements for Tribes and Intertribal Consortia

FROM: Michelle DePass, Assistant Administrator

TO: Tribal Leaders

Regional Administrators

Assistant Administrators

The U.S. Environmental Protection Agency (EPA) is pleased to release new guidance for the 

Indian Environmental General Assistance Program (GAP) and to acknowledge the input and 

collaboration we received from our tribal government partners in the guidance development process. 

Since the program began in 1993, GAP resources have enabled tribes to achieve significant progress 

in establishing their environmental programs and have facilitated productive government-togovernment partnerships for tribes and EPA. GAP has made it possible for most tribes to establish 

baseline technical, administrative, and legal capacity for tribal environmental protection programs 

that respond to environmental issues affecting tribal lands. 

GAP resources have allowed tribes to strengthen or increase their involvement in 

environmental management decisions, design projects and programs that respond to environmental 

threats, and to access other funding sources. This guidance enhances the successful EPA-tribal 

partnership by identifying a means for joint strategic planning, documenting mutual responsibilities 

for program development and implementation, targeting resources to build tribal environmental 

program capacities that are aligned with the tribe’s long-term goals, and measuring environmental 

program development progress over time. Implementing this guidance will enable EPA and tribes to 

allocate GAP resources to the most pressing program development priorities and improve our ability 

to demonstrate progress as we establish and grow successful tribal environmental protection 

programs with GAP for more than 520 tribal governments.

Historically, EPA has not provided a nationally consistent approach for building tribal 

environmental protection program capacity under GAP or a mechanism to measure the progress 

tribes are making toward their defined program development goals. This led EPA’s Office of 

Inspector General (OIG) to conclude that the Agency had “not provided a framework for tribes to 

follow or adapt as they develop their capacity to implement environmental programs” and that “it is 
not clear whether GAP funding will result in tribes being able to operate their own environmental 

programs.” 1 The OIG recommended that EPA: 

(1) Require the American Indian Environmental Office to develop and implement an overall 

framework for achieving capacity, including valid performance measures for each type of 

tribal entity, and provide assistance to the regions for incorporating the framework into 

the IGAP work plans.

(2) Require regions to (a) negotiate with tribes to develop environmental plans that reflect 

intermediate and long-term goals, (b) link those plans to annual IGAP work plans, and (c) 

measure tribal progress in meeting plans and goals.

(3) Revise how IGAP funding is distributed to tribes to place more emphasis on tribes’ prior 

progress, environmental capacity needs, and long-term goals.

EPA concurred with all OIG recommendations and noted in the Agency’s response: “The 

critical importance of relating GAP funding to long-term and interim goals against which progress 

can be measured is a shared concern that we plan to address. The negotiation of goals by tribes and 

EPA, the measurement and assessment of progress against those goals, and EPA’s evaluation of 

funding requests are all inextricably linked.”2 Through this new GAP Guidance, we have established 

a framework that links these important components of building tribal environmental program 

capacity.

In the development of this GAP Guidance, EPA first consulted and coordinated with dozens 

of tribes on the “Guidebook for Building Tribal Environmental Capacity” (Guidebook) between 

August 1, 2011 and January 30, 2012. In addition to participating in numerous meetings, we

received extensive written comments from 52 tribes and 10 tribal organizations. As a result, EPA 

made significant revisions to the Guidebook, and we conducted a second consultation and 

coordination process with tribes on the Guidebook, as part of the new GAP Guidance, between 

November 16, 2012 and February 22, 2013. During this second round, EPA participated in numerous 

meetings with tribal leaders and received written comments from 23 tribes and 6 tribal organizations. 

The robust discussions with tribes substantially improved the new GAP Guidance. 

Importantly, tribes requested that the guidance contain sufficient flexibility for GAP resources to be 

tailored to the needs of individual tribes, and to avoid unnecessary additional procedures. We have 

structured this final Guidance to provide maximum flexibility within a consistent national framework 

for building tribal capacity that assures continued improvement and efficiencies in the management 

of GAP resources.

GAP assistance agreements have played a major role in the successful development of tribal 

environmental protection programs. We look forward to building on that success and working with 

tribes and tribal organizations to implement this new GAP Guidance. EPA will provide tribes and 

intertribal consortia with training and technical assistance as we implement the new GAP Guidance. 

Thank you in advance for your active participation in this important effort as together, we continue to 

protect human health and the environment through the GAP program.

 

1 U.S. EPA Office of Inspector General, “Framework for Developing Tribal Capacity Needed in the Indian 

General Assistance Program,” Report No. 08-P-0083, 02/19/2008. 2 EPA Assistant Administrator Benjamin H. Grumbles to EPA’s Deputy Inspector General Bill A. Roderick, January 

15, 2008. Subject: Response to the Office of Inspector General Draft Report “Framework for Developing Tribal 

Capacity Needed in Indian General Assistance Program” (Assignment No. 2007-539)
INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM

Guidance on the Award and Management of General Assistance Agreements

for Tribes and Intertribal Consortia

TABLE OF CONTENTS

1.0 Introduction............................................................................................................................................... 1

1.1 Program Background..................................................................................................................................1

1.2 Program Priorities ......................................................................................................................................2

1.3 EPA Program Roles and Responsibilities....................................................................................................3

1.4 Allowable Activities and Restrictions under GAP .......................................................................................3

2.0 Award Information .................................................................................................................................... 8

2.1 General Information...................................................................................................................................8

2.2 Types of Assistance ....................................................................................................................................8

2.3 Eligibility Information .................................................................................................................................9

2.4 Cost-Sharing or Matching Requirement.....................................................................................................10

2.5 Length of the Award...................................................................................................................................10

2.6 Intergovernmental Review.........................................................................................................................10

2.7 Competition Policy Exemption ...................................................................................................................11

2.8 Environmental Results Supported by Assistance Activities........................................................................11

2.9 Applicable Agency Guidance, Regulations, and OMB Circulars..................................................................12

3.0 Performance Reporting: Indicators of Tribal Environmental Program Capacity.......................................... 12

4.0 Developing EPA-Tribal Environmental Plans (ETEPs).................................................................................. 13

4.1 Background.................................................................................................................................................13

4.2 Purpose and Format for ETEPs...................................................................................................................15

4.3 Components of an ETEP .............................................................................................................................16

4.4 Development, Use and Management of the ETEP .....................................................................................18

5.0 Assistance Agreement Work Plan and Reporting ....................................................................................... 19

6.0 Application Submission, Review, and Award Process................................................................................. 19

6.1 Submission Schedule and Requirements ...................................................................................................19

6.2 Application Review.....................................................................................................................................19

7.0 Award Administration................................................................................................................................ 21

7.1 Award Notices............................................................................................................................................21

7.2 Reporting Requirements............................................................................................................................21

7.3 Quality Assurance Documentation.............................................................................................................21

7.4 Disputes......................................................................................................................................................22
LIST OF APPENDICES

Appendix I Guidebook for Building Tribal Environmental Program Capacity

Appendix II Baseline Needs Assessment

Appendix III Sample GAP Work Plan: Developing a Joint EPA-Tribal Environmental 

Plan

Appendix IV EPA Water Program Reference Table: Framework for Tribal Water 

Program Strategic Planning and Development

Appendix V EPA Funding Programs that Support Tribal Environmental Program 

Capacity Development and/or Implementation Activities
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INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM

Guidance on the Award and Management of General Assistance Agreements

for Tribes and Intertribal Consortia

1.0 Introduction

This Guidance on the Award and Management of General Assistance Agreements (Guidance) 

describes how the U.S. Environmental Protection Agency (EPA or Agency) administers the 

Indian Environmental General Assistance Program (GAP) Act of 1992 (42 U.S.C. §4368b). In 

conjunction with the information provided in Appendix I, “Guidebook for Building Tribal 

Environmental Program Capacity,” this Guidance provides a consistent national framework for 

building tribal environmental program capacity under GAP and is designed to improve the 

management of GAP resources.

This document provides criteria for the award and administration of GAP grants. It reflects 

statutory and policy guidelines and contains binding requirements that govern the management 

and use of GAP funds. This Guidance applies to the work plans and budgets for GAP assistance 

agreements – as such, EPA regional offices and applicants are expected to follow this Guidance 

and refer to this document during the development of application materials.

This Guidance supersedes previous guidance issued March 9, 2000 and February 24, 2006.

1.1 Program Background

The GAP was created to assist federally recognized tribes and intertribal consortia to plan, 

develop, and establish the capacity to implement programs administered by the EPA and to 

assist in the development and implementation of solid and hazardous waste programs for 

Indian lands.

3 In addition, the GAP was created to provide technical assistance from EPA to 

tribal governments and intertribal consortia in the development of multimedia programs to 

address environmental issues.

4

EPA recognizes tribal governments as the primary parties for setting standards, making 

environmental policy decisions, and managing programs for reservations, consistent with 

Agency standards and regulations [“EPA Policy for the Administration of Environmental 

Programs on Indian Reservations5” (Indian Policy)]. As a result, EPA is committed to using 

 

3 The Indian Environmental General Assistance Act of 1992, 42 U.S.C. § 4368b. 4 Id.

5 U.S. Environmental Protection Agency. 1984. EPA Policy for the Administration of Environmental Programs on 

Indian Reservations. (http://www.epa.gov/tribalportal/pdf/indian-policy-84.pdf).
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the GAP to build tribal capacity to administer environmental protection programs consistent 

with the federal laws the EPA is charged with implementing. Through the GAP, the EPA 

also provides technical assistance to build environmental protection program capacity for 

tribes that are not implementing federally authorized regulatory programs or that may wish to 

go beyond federal requirements. GAP helps tribes have opportunities to meaningfully 

participate in policy making, standard setting, and direct implementation activities potentially 

affecting tribal environmental protection interests. The program also provides resources for 

tribal governments to cooperate with and, when appropriate, enter into intergovernmental 

agreements with federal, state, or local governments in an informed manner. 

In keeping with the federal trust responsibility, the Agency works with tribes to ensure that 

EPA’s environmental protection programs are implemented throughout the country. 

Depending on the particular federal statute, the Agency has a number of options to ensure 

that regulated entities6 are in compliance with federal requirements. For example, the Agency 

can directly administer a federal program, approve eligible tribes to administer the program, 

or work cooperatively with tribes on a government-to-government basis to protect human 

health and the environment. No matter which mechanism EPA employs in carrying out its 

mission, the Agency strives to work closely with tribal governments, consider tribal interests,

and encourage tribal governments’ to develop their own environmental protection programs. 

1.2 Program Priorities

Funding is provided under GAP for the purposes of planning, developing, and establishing 

tribal environmental protection programs consistent with programs and authorities 

administered by the EPA. This Guidance recognizes that there is a broad spectrum among 

tribes with respect to population, culture, income, geography, economic development, and 

environmental program management expertise and training. GAP assistance may be tailored 

to the needs of each tribe, and regions are responsible for working with tribes to establish 

assistance agreement work plans that are a proper fit. 

As further detailed in Appendix I, GAP resources should support:

• Developing and maintaining core environmental program capacities (administrative, 

financial management, information management, environmental baseline needs 

assessment, public education/communication, legal, and technical/analytical);

• Engaging with the EPA to negotiate joint EPA-Tribal Environmental Plans (ETEPs, 

discussed in Section 4) that reflect intermediate and long-term goals for developing, 

establishing, and implementing environmental protection programs;

• Linking GAP-funded assistance agreement work plans to the ETEPs; 

• Developing baseline capacities for media-specific environmental protection programs 

that are related to the needs of the recipient and to EPA statutory programs (e.g., 

 

6 Throughout this document, “entities” can include sites, facilities, and/or activities subject to federal environmental 

regulatory compliance requirements.
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ambient and indoor air quality; water quality; managing wastes; managing asbestos, 

lead-based paint, pesticides, toxics, and pollution prevention programs); and

• Implementing waste management programs (see Appendix I, “Guidebook for 

Building Tribal Environmental Program Capacity,” Section E).

1.3 EPA Program Roles and Responsibilities

American Indian Environmental Office (AIEO): Among other duties, AIEO is the National 

Program Manager for the GAP. As the National Program Manager, AIEO is responsible for:

establishing guidance to administer the program; periodically evaluating the effectiveness 

and efficiency of the program; annually distributing funding allocations to regional offices;

maintaining a GAP performance reporting system; gathering regional data and reporting 

results achieved through the GAP; and providing technical assistance to regional offices 

regarding the administration of GAP resources and the joint EPA-tribal environmental 

planning activities.

Regional Offices: Regional offices are responsible for: implementing in partnership with 

tribes a joint EPA-tribal environmental planning framework; negotiating GAP assistance 

agreement work plans that are linked to the joint EPA-tribal environmental plans; 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 the GAP; inputting information into GAP 

performance reporting system(s) (e.g., GAP Online); and conducting post-award 

management. 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 before being finalized to ensure consistency in how this national 

Guidance is being interpreted and applied.

Regional office personnel will serve as project officers for GAP assistance agreements and 

will work with applicants to finalize project work plans and budgets. Each Regional 

Administrator, or their designee, will review completed GAP applications and either approve, 

conditionally approve, or disapprove those applications within 60 days of receipt.7 Once a 

GAP application is approved, the regional office will formally notify the applicant.

1.4 Allowable Activities and Restrictions under GAP

The GAP statute, applicable grant regulations, and this Guidance should be consulted where 

a region is not certain as to whether a proposed activity is eligible for funding under GAP. 

AIEO is also available to advise regional offices on specific questions of eligibility.

 

7 40 C.F.R. § 35.510.
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This subsection provides some general guidelines regarding eligible and ineligible activities, 

however it is not practicable to provide an exhaustive list of activities given the diversity of 

tribes and tribal environmental protection programs being developed across the country. The 

following list of allowable activities and general restrictions is not comprehensive, but 

illustrate the most common scenarios that arise under the GAP. 

When identifying fundable GAP activities, the program capacity building indicators in 

Appendix I of this Guidance are a helpful resource because they provide specific examples of 

milestones that GAP-funded activities, or a combination of activities, could support toward 

building environmental program capacity, consistent with EPA’s environmental protection 

programs. The indicators offer a non-exclusive menu of choices organized by category of 

environmental program development; they need not all be selected.

Examples of Allowable Activities

• Activities related to planning, developing and establishing tribal capacities for 

implementing environmental protection programs administered by the EPA are 

allowable, including the administrative, technical, legal, communications, outreach, 

compliance assurance, and enforcement components of a program.

- As described in Section B.5 of Appendix I, activities to establish baseline 

environmental conditions are essential to developing a tribal environmental protection 

program and are allowable under GAP, including assessing environmental conditions 

for land a tribe is planning to acquire.

- Establishing an environmental protection program may include performing a “test 

drive” of the program to determine whether the tribe is ready to move into the 

program implementation phase. “Test drives” of capacity to implement are for 

evaluating the effectiveness of a program and may be funded for up to four years 

under GAP. Work plans containing “test drive” activities should contain activities to 

collect information about program design and effectiveness and describe how this 

information will be used to identify options for improving the program, including but 

not limited to: new or revised environmental protection policies and procedures; more 

stringent standards and/or requirements; and additional capacity development needs. 

• Tribes with limited jurisdiction to implement environmental regulatory programs may use 

GAP funds to develop program capacities for purposes consistent with the extent of their 

authorities, such as: evaluating environmental conditions; developing voluntary or partial 

environmental protection programs; participating in environmental policy making; 

coordinating with EPA or other federal agencies on the implementation of federal 

environmental protection programs; and entering into joint environmental protection

programs with neighboring tribal, state, or local environmental agencies.

• Activities related to establishing environmental protection programs not administered by 

EPA, but that are consistent with those provisions of law for which Congress has given

EPA authority, are allowable. For example a tribe could use GAP funds to develop a 

climate change adaptation plan or to establish environmental protection programs that 

compliment non-environmental protection programs (such as identifying ambient water 
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and/or air quality parameters that influence exotic plant species threatening the 

ecosystems or influence the reestablishment of culturally significant native plants).

• Activities related to establishing education, outreach, public participation, compliance 

assistance, and coordination programs for tribal environmental staff to work effectively 

with regulated entities are allowable. Examples of these programs include: (1) capacity to 

provide compliance assistance to ensure that facilities are aware of and complying with 

federal and/or tribal environmental program requirements; (2) capacity to work jointly 

with other jurisdictions on certain environmental planning projects such as source water 

protection plans, solid waste management plans, standard setting initiatives, federal 

policy making activities, and other issues appropriate for a tribe’s participation in 

intergovernmental agreements; and (3) capacity to provide training to promote best 

management practices or compliance with federal and/or tribal environmental program 

requirements.

• The purchase of supplies (items that cost less than $5,000) necessary to administer tribal 

environmental protection programs is allowable. Supplies may be repaired, upgraded, 

and/or replaced as required if included in the approved work plan budget. Examples 

include: (1) office supplies; (2) computers, printers, and related peripherals; and (3) 

software.

• Initial purchases of equipment (purchases equal to or greater than $5,000) necessary to 

administer tribal environmental protection programs are allowable as direct costs.

8

Examples include: (1) GIS survey instruments and related equipment; (2) vehicles for 

environmental program operations; (3) sampling, measurement, analysis, and other 

related equipment; and (4) source separation, waste minimization, and waste management 

equipment. For information on what happens to equipment that was paid for with GAP 

funds following completion of the grant, see 40 C.F.R. §31.32.

• Notwithstanding the general prohibition on the use of GAP funds for construction as 

described below, certain construction activities necessary for building environmental 

protection program capacity may be permissible. For example, for a tribe to develop a 

core tribal environmental protection program it is necessary for the tribe to have a place 

for staff to conduct their work. If rental space is not available, it may be necessary to 

construct office space or buy a modular building and move it to an appropriate location.

Similarly, as discussed in Appendix I Section E, the construction of facilities that are part 

of a tribe’s source separation project are also allowable. For example, the construction of 

transfer stations, recycling centers, compost facilities, used oil collection stations, and 

other similar facilities may be funded under GAP. Any construction activities funded 

under GAP must meet the requirements of 2 C.F.R. §225, Appendix B(15). For 

information on what happens to the title of a building that was paid for with GAP funds 

following completion of the grant, see 40 C.F.R. §31.31.

 

8 2 C.F.R. §225, Appendix B(15): “Cost Principles for State, Local, and Indian Tribal Governments”.
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EPA will evaluate proposed construction activities on a case-by-case basis to determine 

whether the proposed construction activity is necessary to plan, develop, or establish a 

tribal environmental protection program. Requests from applicants for construction 

activities will be evaluated by the Regional Office and referred to the AIEO Director with 

full justification for recommended approval or non-approval of the request, including 

provisions regarding compliance with the National Environmental Policy Act. AIEO will 

make the determination on the proposal within 30 days and in consultation with the 

appropriate EPA program office and the Office of General Counsel.

• Activities related to establishing the capacity indicators contained in Appendix I are

allowable.

• Activities to implement solid and hazardous waste programs consistent with Appendix 1, 

Section E are allowable.

Restrictions

• GAP funds cannot be used to fund activities not closely related to planning, developing, 

and establishing tribal environmental protection program capacity consistent with 

programs administered by EPA.

9 Examples include: 

- Animal husbandry, community gardens, the repatriation of Native American cultural 

items, and feral animal control.

- Implementing environmental protection programs once established, except for solid 

and hazardous waste programs as discussed in Appendix I, Section E.

- Conducting Natural Resource Damage Assessments are deemed to be part of program

implementation under Agency policy and should not be funded under GAP.

- Planning, developing, or establishing programs that primarily support ongoing 

litigation, for profit enterprises, or any commercial purposes (e.g., utility company, 

gas station, gaming enterprise).

- Planning, developing, or establishing natural resource management programs that are 

generally not administered by EPA. Examples of these types of unallowable activities 

include: silviculture projects (e.g., tree farming); beaver dam control programs; 

programs to manage invasive species; and fishery operations. 

- Repairing, upgrading, and/or replacing facilities and equipment are typically deemed 

to be implementation costs and are generally unallowable under the GAP, except for 

source separation facilities and equipment as discussed in Appendix I Section E. 

Regional offices are to evaluate requests for GAP funds to repair, upgrade, or replace 

facilities and equipment on a case-by-case basis to determine whether they are 

restricted costs (implementation) or are allowable because they are necessary to plan, 

develop, or establish a tribal environmental protection program. These requests must 

meet the requirements of 2 C.F.R. §225, Appendix B(15).

- Corrective actions – or other actions responding to an enforcement order – at 

regulated entities are implementation and are therefore unallowable under the GAP.

 

9 The Indian Environmental General Assistance Act of 1992, 42 U.S.C. § 4368b(f).
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- Activities that are the inherent responsibility of a state or local government, or that

primarily benefit state or local governments or any other entity ineligible to receive 

GAP resources.

• Salaries and expenses of a tribe’s chief executive, tribal council, or of the judiciary 

branch of a tribal government are unallowable. However, the portion of salaries and 

expenses directly attributable to managing and operating federal environmental 

protection programs by a tribe’s chief executive and his staff are allowable.10

• General costs of government services normally provided to the general public, such as 

fire and police, are unallowable.

11 Under GAP, this restriction includes trash collection, 

transportation, backhaul, and disposal services which are generally outside the scope of 

programs administered by the EPA.

12 Section E of Appendix I describes a number of 

solid and hazardous waste program implementation activities that are allowable under the 

GAP. 

• Goods or services for personal use are unallowable, regardless of whether the cost is 

reported as taxable income to the employees.13

• Planning, designing, constructing, and operating a specific facility is an implementation 

activity; therefore, such costs are not eligible for funding under GAP.

14 Examples of 

construction activities not allowed include, but are not limited to: landfill construction;

wastewater treatment facility construction; drinking water system construction; 

construction related to implementation of best management practices for nonpoint source 

pollution control; and purchase of construction equipment such as trucks or graders. The 

feasibility studies and NEPA reviews associated with such facility construction, including 

environmental impact studies and assessments, are part of the planning phase of facility 

construction; therefore, they are also implementation activities not eligible for funding 

under GAP.15

 

10 2 C.F.R. §225, Appendix B(19): “Cost Principles for State, Local, and Indian Tribal Governments”. 11 Id. 12 “Any general assistance under this section shall be expended for the purpose of planning, developing, and 

establishing the capability to implement programs administered by the Environmental Protection Agency and 

specified in the assistance agreement. Purposes and programs authorized under this section shall include the 

development and implementation of solid and hazardous waste programs for Indian lands. [...] Such programs and 

general assistance shall be carried out in accordance with the purposes and requirements of applicable provisions of 

law, including the Solid Waste Disposal Act (42 U.S.C. 6901 et seq.).” Indian Environmental General Assistance 

Act of 1992, 42 U.S.C. § 4368b(f). 13 2 C.F.R. §225, Appendix B(20): “Cost Principles for State, Local, and Indian Tribal Governments”. 14 Except for solid waste source separation facilities as described in Section E.4(c) of Appendix I. 15 These activities may be eligible for funding under other EPA programs and programs administered by other 

federal agencies.
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2.0 Award Information

The Catalog of Federal Domestic Assistance number for the Indian Environmental General 

Assistance Program is 66.926.

2.1 General Information

• Congress provides GAP funding to EPA as part of the annual budget appropriations 

process, through the State and Tribal Assistance Grants (STAG) Appropriation.16 OITA

allocates GAP funds to regional offices annually and notifies regions via a decision 

memorandum. If a region is interested in moving STAG funds into or out of their GAP 

account, modifying the national allocation of STAG funds, regions must follow the

process described in OITA’s annual decision memorandum. The annual decision 

memorandum describes the procedures regional offices must follow when initiating a 

process to reprogram funds affecting the GAP that assures compliance with 

Congressional guidelines.

• Consistent with the GAP authorizing statute, each initial GAP assistance agreement shall 

be for at least $75,000.17 No single award may exceed ten percent of the total annual 

funds appropriated for the GAP.

18

• EPA may elect to partially fund proposals by funding discrete portions or phases of 

proposed projects.

• EPA may elect to set aside a portion of GAP resources to support specific tribal or 

intertribal consortia projects. These projects should have national or region-wide 

application, address a national or regional program priority, or seek to demonstrate the 

applicability of novel program activities to a broader set of eligible recipients. 

2.2 Types of Assistance

Assistance agreements funded under GAP may be issued in various forms. The project 

application should state the form of assistance preferred by the applicant.

Grant or Cooperative Agreement – Grants represent direct funding to a recipient to support 

an identified project with defined environmental results. Unlike a grant, a cooperative 

agreement anticipates substantial involvement from EPA, in collaboration with the recipient, 

to achieve project results after the award has been made. If EPA expects to have substantial 

 

16 The total amount of GAP money Congress provides to EPA can change from year-to-year. 17 The Indian Environmental General Assistance Act of 1992, 42 U.S.C. § 4368b(d)(2). 18 Id.
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involvement, EPA will issue the assistance agreement as a cooperative agreement. If no 

substantial involvement by EPA is expected, EPA will issue a grant.19

Performance Partnership Grant (PPG)20 – A PPG is a grant awarded from two or more 

categorical grant programs. A tribe can combine funds from two or more eligible grant 

programs into one PPG.21 Recipients may then use PPGs to fund activities that are allowable 

under any of the eligible PPG grant programs. An applicant whose organization has an 

existing PPG or who is eligible to form a new PPG with EPA may request that GAP funding 

be included in a PPG. The flexibility of a PPG can allow for improved environmental 

performance, increased programmatic flexibility, and administrative savings. However, the 

need for flexibility should be balanced with the Agency’s goals of establishing sustainable 

tribal environmental program capacities. For more information, please see the, “Best 

Practices Guide for Performance Partnership Grants with Tribes” 

(http://www.epa.gov/ocir/nepps/pdf/ppg-guide-for-tribes.pdf). Absent a request from the 

applicant for inclusion in a PPG, EPA will award the funding as a stand-alone assistance

agreement.

2.3 Eligibility Information

The following are eligible to receive financial assistance: Indian tribal governments and 

intertribal consortium or consortia.22

The term Indian tribal government (tribe) means any Indian tribe, band, nation, or other 

organized group or community, including any Alaska Native village, which is recognized as 

eligible by the U.S. Department of the Interior (DOI) for the special services provided by the 

United States to Indians because of their status as Indians.23

The term intertribal consortium or consortia means a partnership between two or more tribes 

that is authorized by the governing bodies of those tribes to apply for and receive assistance 

under this program.24

Tribes that form consortia may be able to use their resources more efficiently and address

environmental issues more effectively than they could if each tribe individually developed 

and maintained separate environmental protection programs. Consortia are advised to 

describe how grant proposals respond to the program development needs of their eligible

member tribes as documented by the process described in Section 4 below.

Under EPA’s tribal grant regulations, an intertribal consortium is eligible to receive a GAP 

award if the consortium demonstrates that: (1) a majority of its members are eligible to 

 

19 EPA Order 5700.1, Policy for Distinguishing Between Assistance and Acquisition (March 22, 1994). 20 More information on the PPG funding authority is at 40 C.F.R. § 35.530-538. 21 PPG eligible programs are listed at 40 C.F.R § 35.501. 22 40 C.F.R. § 35.543. 23 40 C.F.R. § 35.502. 24 Id.
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receive GAP grants; (2) all members that meet GAP eligibility requirements authorize the 

consortium to apply for and receive the award25; and (3) adequate accounting controls are in 

place to ensure that only members that meet the eligibility requirements will benefit directly 

from the award and the consortium agrees to an award condition to that effect.26 This means 

that a consortium may receive a GAP grant even if the consortium includes groups that are

not federally recognized as tribes so long as the consortium meets the three regulatory 

requirements specified above. With each GAP grant application, an intertribal consortium 

must provide EPA with “adequate documentation” of: (1) the existence of the partnership 

between eligible tribal governments; and (2) the authorization of the consortium by all GAPeligible member tribes to apply for and receive the grant.

27 Typically, tribal authorization by 

the GAP-eligible tribes is provided by a tribal leader letter or a tribal council resolution from 

each GAP-eligible member of the consortia. The Office of Regional Counsel for the region 

receiving the grant application should evaluate applications to determine whether the 

documents submitted for a particular grant meet the regulatory standard. Where additional

documentation is required, EPA will work with the consortia to clarify what additional 

documentation is needed. Applications that do not contain adequate documentation from 

GAP-eligible tribes should be deemed incomplete.

2.4 Cost-Sharing or Matching Requirement

No cost-sharing or match is required from applicants.

2.5 Length of the Award

The term of a GAP award may exceed one year, but may not exceed four years.28 The term is

determined at the time of the award and documented in the work plan.

2.6 Intergovernmental Review

This funding opportunity is not subject to Executive Order (EO) 12372, “Intergovernmental 

Review of Federal Programs.”

 

25 Note the clear distinction between (1) and (2): an intertribal consortia is eligible to apply for a GAP grant where a 

majority of the consortia members are GAP-eligible; however, authorization of the consortia to apply for and 

receive a GAP grant is required from all GAP-eligible member tribes. All eligible members must authorize the grant 

application, given that those grant dollars would otherwise be available to the individual tribes under GAP.

26 40 C.F.R. § 35.504(b). 27 40 C.F.R. § 35.504(c) . 28 42 U.S.C. § 4368b (d)(3).
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2.7 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).29 In any funding materials 

distributed, EPA should refrain from using the following terms or others like them that may 

create the impression that the GAP funds are being awarded “competitively”: request for 

proposals; solicitations; ranking criteria.

Regions should not use any allocation factors which have the effect of measuring the relative 

quality or merit of one work plan against the other.

2.8 Environmental Results Supported by Assistance Activities

Pursuant to EPA Order 5700.7, “Environmental Results under EPA Assistance,” EPA must 

link proposed work plan activities in funded assistance agreements to the Agency’s Strategic 

Plan. This is a previously established requirement binding the Agency, which governs all 

assistance agreements EPA awards. While the Order requires a link to the Agency’s Strategic 

Plan, EPA also acknowledges that work plan activities should also be linked to tribal 

program priorities, reflecting EPA’s commitment to supporting tribally defined outputs and 

outcomes that are consistent with the federal laws the EPA is charged with implementing. 

Under the Order, EPA requires assistance agreement recipients to define environmental 

outputs and environmental outcomes to be achieved under the award. Outputs and outcomes 

are defined as follows:

1. Outputs: The term “output” refers to an environmental activity, effort, and/or associated 

work products related to an environmental goal or objective that will be produced or 

provided over a period of time or by a specified date. Outputs may be quantitative or 

qualitative but must be measurable during the project period. Examples of outputs under 

GAP include: solid waste management plan; air emissions inventory; surface water 

sampling plan; and lead-based paint public education campaign. For each proposed work 

plan activity, applicants are expected to identify a measurable output.

2. Outcomes: The term “outcome” refers to the result, or consequence that will occur from 

carrying out the activities under the award. Outcomes may be environmental, behavioral, 

health-related, or programmatic; must be quantitative; and may not necessarily be 

achievable during the project period. Examples of outcomes under GAP include: level of 

reduction in unauthorized discharges to the air, water, or land; size of population 

benefiting from a reduction in pollution; changes in knowledge and understanding; and 

changes in behavior. Applicants are expected to identify an outcome for each program 

component funded under GAP.

 

29 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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2.9 Applicable Agency Guidance, Regulations, and OMB Circulars

GAP awards are subject to the following regulations and requirements. Regions should be 

aware of these requirements when awarding and managing GAP assistance agreements:

• 2 C.F.R. Part 225 “Cost Principles for State, Local, and Indian Tribal Governments”

• 40 C.F.R. Part 31 “Uniform Administrative Requirements for Grants and Cooperative 

Agreements to State and Local Governments”

• 40 C.F.R. Part 35, Subpart B “Environmental Program Grants for Tribes”

• OMB Circular A-133 “Audits of States, Local Governments, and Non-Profit 

Organizations”

• 2 C.F.R. Part 1536 "Requirements for Drug-Free Workplace (Financial Assistance)"

• 40 C.F.R. Part 33 "Participation by Disadvantaged Business Enterprises in United States

Environmental Protection Agency Programs" - see specifically 40 C.F.R. § 33.304 

("Must a Native American (either as an individual, organization, Tribe, or Tribal 

Government) recipient or prime contractor follow the six good faith efforts?")

3.0 Performance Reporting: Indicators of Tribal Environmental Program 

Capacity

Tribal governments have tribe-specific priorities. Tribes will identify program areas to focus on 

with respect to building environmental protection program capacity. In addition, each tribal 

government determines how far down the path of program development it wants to proceed (e.g., 

all the way to program implementation or in between core program capacity and development of 

some of the media-specific program capacities). There is not just one pathway to follow for 

building environmental program capacity, and as such there are many indicators that can be used 

to assess and measure progress in the capacity building process. 

One indicator that is far down the path of program capacity building is when a tribe assumes a 

lead regulatory or co-regulatory role for implementing federal program requirements (i.e., in lieu 

of direct implementation by the EPA). Where programmatically available, this is measured by a 

tribe obtaining treatment in a manner similar to a state (TAS) status to implement a particular 

regulatory program instead of EPA implementing it. A tribe can also build sufficient 

programmatic capacities to support EPA implementation activities under a Direct 

Implementation Tribal Cooperative Agreement (DITCA) or work share Memorandum of 

Understanding (MOU).

Tribes that are not seeking TAS status may wish to establish other meaningful and important 

levels of environmental program capacity directly in support of the environmental statutes the 
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EPA implements, or for tribal environmental protection programs that are consistent with EPA’s 

programs. Seeking TAS status is not a requirement for receiving funding under this program. 

The indicators in Appendix I are designed to help identify and measure the status of tribal 

environmental program capacity. The indicators are tools to help tribes as they plan for program 

capacity development under the GAP. These indicators provide examples of “road-maps” for 

building a tribal environmental program and will help tribes and EPA identify both short-term 

and long-term goals and activities. The indicators in Appendix I offer a non-exclusive menu of 

choices, organized by category of environmental program development; they need not all be 

selected. Other indicators of capacity may be identified in GAP assistance agreement work plans 

and in long-term planning agreements as described in Section 4 of this guidance on a tribe-bytribe basis, reflecting the unique priorities and program development plans of a particular 

recipient. There are often many activities that must occur to establish a single indicator and EPA 

can provide specific program guidance and technical assistance tools and resources to help 

identify and plan for those specific activities.

As described further in Section A.3 of Appendix I, EPA acknowledges that developing, 

establishing, and maintaining environmental protection program capacity is a continuing 

programmatic need. Tribes may need to re-establish capacities due to staff turnover, land 

acquisition, or other changing circumstances and may need to revise projected program 

development goals. GAP resources provide a significant foundation for maintaining tribal 

environmental program capacities over time and tribes can continue to receive GAP funding to 

expand, enhance, or evolve their capacity in light of specific tribal needs.

Where a tribe is using GAP grant resources to plan, develop, and establish environmental 

protection program capacities in one of the areas listed in Appendix I, GAP assistance agreement 

work plans should incorporate indicators from Appendix I, as appropriate based on the activities 

planned, and link those capacity indicators to long-term program development goals described in 

the EPA-Tribal Environmental Plan (ETEP) described in Section 4 of this guidance. Where 

capacities are being developed in areas not described in Appendix I, the work plan must 

adequately identify and describe the applicable indicators of capacity. Tribes and EPA will rely 

on the capacity indicators that have been identified in work plans and the long-term goals in 

ETEPs to assess and report on progress in the development of tribal environmental program 

capacities under the GAP program.

4.0 Developing EPA-Tribal Environmental Plans (ETEPs)

4.1 Background

EPA has long recognized the value of establishing intergovernmental planning agreements 

with states and tribes to define mutual roles and responsibilities for program 
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implementation.30 Tribes have also promoted the idea of a joint EPA-tribal planning process 

to address tribal environmental priorities and ensure that federal programs are fully 

implemented. For example, EPA, in partnership with the National Tribal Operations 

Committee’s National Tribal Caucus (NTC), first adopted a cooperative EPA-tribal program 

planning strategy in 1994. This approach included “the tribes' plans to manage authorized 

environmental programs and/or their need for federal technical assistance, education and 

implementation and management of environmental protection.”31 The approach also ensured 

that each Regional Administrator had flexibility to “determine, in consultation with tribes, 

the most appropriate way to develop these workplans.”32 The NTC has consistently endorsed 

the joint EPA-tribal planning process concept.33

In 2008, the EPA Office of Inspector General (OIG) issued an Audit Report on the GAP 

program.34 The OIG found that some tribes did not have long-term plans in place for building 

environmental capacity, and that for those tribes that did have plans with long-term goals 

(usually in the form of the Tribal Environmental Agreement [TEA]), EPA was not tracking 

the tribe’s GAP work plan progress against those long term goals. Therefore, the OIG 

concluded, it was unclear just how well GAP was helping tribes be able to operate their own 

environmental programs. EPA agreed to take several actions in response to the OIG’s 

recommendations resulting from the Audit. Specifically, EPA agreed to standardize a 

computer-based, online work plan process to improve the Agency’s ability to document the 

good work being done under GAP. That process was fully implemented in 2010 through 

GAP Online. In addition, EPA agreed to provide a framework for tribes and EPA to follow or 

adapt as tribes develop their environmental program capacities. That framework is embodied 

in this Guidance, but most importantly in Appendix I,

35 which contains the specific capacity 

building indicators that can be used as milestones, or measures, along the pathway toward 

building specific core and programmatic capacities. EPA also agreed to ensure that this 

framework provided a means for linking the GAP-funded work described in the annual work 

plans back to the long-term goals for program capacity building. To accomplish this, EPA is 

committed to working with our tribal partners to ensure the following:

• EPA Regional offices discuss and develop ETEPs with tribes that seek GAP funding, to 

reflect the intermediate and long-term goals of the tribe for building environmental 

program capacities;

 

30 U.S. EPA Memorandum, “Final EPA/Tribal Agreements Template,” March 20, 1995; visit 

http://www.epa.gov/ocir/nepps/ for information on EPA-state partnerships through the National Environmental 

Performance Partnership System (NEPPS). 31 U.S. EPA Memorandum, “Announcement of Actions for Strengthening EPA's Tribal Operations,” July 14, 1994. 32 Id. 33 July 2012 Addendum to the “National Tribal Caucus Environmental Protection for Indian Country, Environmental 

Resource Needs & Recommendations,” Fiscal Year 2014 Update. 34 “Framework for Developing Tribal Capacity Needed in the Indian General Assistance Program,” February 19, 

2008, Report No. 08-P-0083. 35 A different version of Appendix I was previously discussed with tribes as a stand-alone “Guidebook for Building 

Tribal Environmental Program Capacity” through a consultation and coordination process that ran from August 

2011 through January 2012. Based on feedback, the Guidebook was modified substantially and incorporated into the 

GAP Guidance. 
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• Approved GAP work plans contain capacity indicators that are related to accomplishing

the goals identified in the ETEPs; and

• EPA and the tribe are able to measure progress under the GAP work plan and the 

progress being made toward accomplishing the long-term goals in the ETEPs.

Through the development of these ETEPs, or strategic planning documents, and with 

improved alignment of the specific activities in the GAP work plans with the long-term goals 

and priorities identified in those planning documents, EPA and tribes will be better 

positioned to ensure that GAP is being used effectively to build tribal environmental program 

capacity.36 EPA recognizes that in some instances the prior use of long-term planning tools, 

usually in the form of a TEA, did not benefit tribes or the Agency. In addressing some of 

those weaknesses, EPA has developed this streamlined approach for a long-term planning 

tool that can be modified as needed. The ETEPs are intended to be living, usable documents 

for both tribes and EPA as environmental partners to use in planning and guiding our work.

4.2 Purpose and Format for ETEPs

To accomplish the three goals listed above in the context of the GAP program, Regions and 

tribes are expected to develop an ETEP that contains the following components: (1) 

identification of tribal environmental program priorities, including capacity building and 

program implementation goals; (2) identification of EPA program priorities and management 

requirements; (3) an inventory of regulated entities; and (4) identification of mutual roles and 

responsibilities. The purpose of the ETEP is to develop the complete picture of the particular 

environmental issues facing the tribe, establish a shared understanding of the issues the tribe 

will be working on, and a shared understanding of those issues that EPA will address 

consistent with its responsibility to protect human health and the environment. By having 

these elements of a plan in place, EPA should be able to ensure that GAP work plans are 

developed to support the long-term priorities and goals of the tribe and that funds are directed 

toward building environmental program capacities. EPA considers this jointly-developed 

plan an important component of effective GAP resource management. 

The specific format and approach to developing ETEPs may vary from tribe to tribe and 

region to region. Maximum flexibility is provided as to how the ETEPs are developed. For 

example, a tribe and region may decide to develop a streamlined document that succinctly 

addresses the four components of an ETEP listed above (described in more detail below). As 

another example, TEAs may be developed, or modified if necessary, to ensure the four 

components are addressed. As another example, tribes and regions may update existing 

documents, to the extent they are useful and still relevant, to ensure they address the four 

ETEP components, and memorialize in a written memo or through specific correspondence,

the shared understanding of how those documents comprise the ETEP (examples of some 

 

36 While ETEPs do not necessarily apply to intertribal consortia, EPA regional offices should refer to the individual 

ETEPs of a consortium’s member tribes when negotiating work plans with a consortium to ensure that the proposal

responds to their member tribes’ program development needs. 
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existing documents include Tribal Environmental Plans, Tribal Environmental Agreements

(TEAs), Tribal Strategic Environmental Plans, etc.).

In recognition that there is great variation not only in the size of tribal governments, but also 

in the range of environmental issues and program capacities across the nation, it is expected 

that the length and level of detail for the ETEPs will also be greatly varied. For example, for 

a small Alaska Native Village, an ETEP may only need to address one or two program areas 

and as a result the ETEP itself may only be a few pages long. As another example, for a tribe 

that has program implementation authority under a federal statute (i.e., TAS approval), and is 

building capacities in other areas, a more comprehensive ETEP will likely be appropriate.

The remainder of this section describes the four components of an ETEP. It is recommended 

that these agreements cover no more than a 5 year time-period to achieve specific capacity 

development milestones. GAP-funded activities, along with other activities prioritized by the 

tribe and the Agency, should be reflected in the ETEP.

4.3 Components of an ETEP

(1) Tribal Programs and Priorities

Many tribal governments have already developed programs to address human health and 

environmental threats facing their communities. Other tribes may have yet to develop 

programs, but have conducted needs assessments or community surveys, or have used a 

comprehensive planning process (for example, development of a baseline needs assessment, 

tribal Integrated Resource Management Plan, or other comparable document) to identify and 

prioritize environmental concerns for their communities. These priorities will be an important 

factor in how a particular tribe will want to partner with the Agency to meet short- and longterm program development milestones for building capacity. ETEPs may also contain 

specific technical assistance and training the tribe may need from EPA.

Tribal governments should include environmental program priorities for their community in 

this section of the ETEP. For each priority, the following detail should be included: (1) short 

description of the priority; (2) the tribe’s long-term environmental program development 

goals that help to address or support the priority; (3) intermediate program development 

milestones the tribal government would like to meet during the time period of the ETEP; (4) 

the tribe's plans to manage authorized environmental programs; and (5) any type of 

assistance (training, technical assistance, EPA direct implementation actions, financial, etc.) 

that may be needed. This information should be discussed between the tribe and EPA 

regional office staff to identify any connections between the tribe’s priorities and the 

implementation of the federal environmental programs, and to identify potential EPA 

assistance that could be provided to help the tribe accomplish the proposed actions.

(2) EPA Programs and Priorities

As the EPA Indian Policy underscores, until tribal governments assume responsibility for 

managing programs authorized, approved, or delegated by the Agency, EPA retains 
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responsibility for human health and environmental protection by managing federal statutory 

environmental programs. Reviewing federal environmental programs that EPA implements 

in each tribal area can provide important background information useful for developing an

ETEP. This can include, for example, documenting which programs the tribe is 

implementing with TAS status; documenting which program the tribe is not planning to 

develop; and identifying programs that are not relevant currently because there are no 

applicable regulated entities in the tribal area (e.g., no underground storage tanks in the area, 

no facility requiring an air discharge permit, etc.).

EPA’s regional offices should review the implementation of federal environmental statutory 

programs in each tribal area and document these programs in the ETEP.

37 This review could 

include, as appropriate, ongoing or anticipated program implementation activities such as 

permitting, compliance assurance and enforcement, developing inventories of regulated 

entities, issuing identification numbers for regulated entities, issuing certifications, and other 

activities. 

These reviews should be done in coordination with the appropriate tribal governments and 

with EPA headquarters, as necessary. Because an ETEP should be developed as a joint worksharing document, it is important that there is mutual understanding of what is required to 

implement the environmental protection programs; the time frames for this work; the

government (federal or tribal) that will conduct which portion of that work; and the expected 

results. 

(3) Inventories of Regulated Entities

In general, the presence of regulated entities determines which federal environmental statutes 

are applicable. The Agency maintains many program-specific databases of regulated entities

and data query tools to help identify regulated entities that may affect tribal interests, 

including the Facility Registry System (FRS) – a centrally managed database that identifies 

facilities, sites, or places subject to environmental regulations or of environmental interest. 

Tribal and state government programs may also contain regulatory program information. As 

part of an ETEP, the tribe and EPA regional office should have a complete listing of 

regulated entities of interest. As part of the regular review of the ETEP, the inventory should 

be updated as appropriate, to reflect operating status changes, new facilities, etc.

(4) Mutual Roles and Responsibilities for Tribal Program Development Milestones and

Environmental Program Implementation

The information on program priorities and regulated entities discussed above will provide the 

basis for discussion between regional EPA staff and tribal staff on joint work planning and 

 

37 Clean Air Act (CAA); Clean Water Act (CWA); Safe Drinking Water Act (SDWA); Resource Recovery and 

Conservation Act (RCRA); Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA); 

Emergency Planning and Community Right-to-Know Act (EPCRA); Brownfields; Asbestos Hazard Emergency 

Response Act (AHERA); Federal Insecticide, Fungicide and Rodenticide Act (FIFRA); Toxic Substances Control 

Act (TSCA), and Pollution Prevention Act.
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partnering to ensure environmental protection. The ETEP should define the actual activities 

that the tribe and EPA anticipates conducting during the time period of the agreement, 

including activities that tribal staff will perform to support EPA direct implementation of 

federal environmental programs, activities EPA will perform to support tribal program 

development and implementation, and activities that tribes will undertake to either apply for 

program approval/delegation, and/or build capacities to partner with EPA to implement 

applicable federal programs. ETEPs should indicate which environmental protection program

capacity indicators a tribe intends to establish and a general time line for establishing them. 

GAP work plans should contain these indicators and the activities designed to help the tribe 

achieve them.

4.4 Development, Use and Management of the ETEP

The ETEP should be a living document that is actively used as a management tool by both 

EPA and the tribe to ensure work is being done in support of agreed upon priorities and that 

progress is being made over time. ETEPs do not need to be complex and long to serve their 

intended purpose; however developing ETEPs involves coordination among EPA’s regional 

and headquarters media offices, and between EPA and tribal governments. The ETEP should 

have the support of senior officials in both EPA and the tribal government, as they will be 

used to help prioritize the work that is funded under GAP and the work that EPA is 

conducting in the tribal area.

EPA acknowledges that various factors may impede a tribe’s progress toward establishing 

environmental protection program capacity indicators. These factors include staff turnover 

and adjustments in a tribe’s priorities based on unanticipated changing conditions, such as 

potential impacts to human health and the environment from unanticipated resource 

extraction projects, changes in land uses, proposed development projects with potential 

pollution sources, etc. Capacity development indicators and completion dates should be 

revised as appropriate when a tribe’s needs and priorities change.

The ETEP should be reviewed jointly by tribes and EPA at least annually, and updated as 

appropriate. 

• ETEPs should contain completion dates for tribal and EPA activities to allow progress to 

be measured;

• ETEPs should indicate how the tribe and EPA will monitor progress being made toward 

the goals described in the document;

• As part of the required annual work plan joint evaluation, regions should not only assess 

the tribe’s performance and progress, but also summarize EPA’s activities related to that 

tribe to inform subsequent work and longer-term priorities in the ETEP; 

• EPA and tribes should ensure that GAP grant work plans reflect the tribal program 

priorities and mutual roles and responsibilities identified in the ETEPs.
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By September 30, 2013, each region will submit a proposed schedule to AIEO for 

establishing ETEPs with the tribes in their region that receive GAP funding. Each region will 

subsequently submit final schedules for establishing ETEPs to AIEO by January 1, 2014.

5.0 Assistance Agreement Work Plan and Reporting

All award recipients must negotiate an assistance agreement work plan with EPA in accordance 

with 40 C.F.R. § 35.507. In addition, work plans should be linked to the intermediate and longterm program development goals identified in an ETEP. For tribes that have not yet established a

plan with EPA that satisfies the four components of an ETEP described in Section 4.3, GAP 

work plans should contain a component to develop one when it is consistent with the applicable 

regional schedule to do so (see Appendix III for a sample work plan component). 

To improve the Agency’s ability to track work plan progress and performance, as well as overall

program performance reporting, EPA will use national program management systems to collect 

and report specific information from work plans (currently, the Agency uses GAP Online as the 

national program management system).

6.0 Application Submission, Review, and Award Process

6.1 Submission Schedule and Requirements

Regional Offices are responsible for establishing the time frame for application submission, 

negotiation of work plans and budgets, and award 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.

6.2 Application Review

EPA Regional Offices are responsible for reviewing application materials. Proposals should

include all information requested in the funding announcement, including: the applicant’s 

portion of an ETEP, or plans to develop ETEPs, as described in Section 4 of this Guidance; 

adequate description of proposed eligible GAP activities; description of how proposed 

activities support the priority areas described in Section 1.2 of this Guidance; and a 

description of how the proposed activities support achieving the applicant’s intermediate or 

long-term program development goals.

Applications will be reviewed to determine:

1. The extent to which the proposed activities in the work plan support the purpose of 

the GAP (i.e., development of tribal environmental protection program capacities,

consistent with EPA statutory programs). Proposed activities should focus on developing 
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core environmental protection program capacities, environmental planning activities with 

EPA, and/or developing baseline capacities for media-specific environmental protection 

programs that either directly builds toward implementing a federal program or 

developing a tribal program that is consistent with EPA statutory programs. Work plans 

should include measurable indicators of capacity-building; applicants should consult 

Appendix I, Guidebook for Building Tribal Environmental Program Capacity, for further 

information on indicators.

2. The feasibility and likely effectiveness of the proposed activities. The work plan 

should provide detail sufficient to demonstrate that the applicant has a comprehensive, 

well thought-out plan (identifying proposed activities, responsible persons, milestones, 

and timelines/due dates for tasks/deliverables) that is reasonably likely to achieve the 

purpose of the project within the proposed project time and budget. The focus here is on 

the feasibility and effectiveness of proposed activities rather than adequacy of budget and 

personnel resources identified for the project.

3. The extent to which the budget, resources, and requested funds for key personnel 

are reasonable and sufficient to accomplish the proposed project. The proposals will 

be evaluated to determine whether the amount requested is adequate to support the 

proposed activities, the allocations within object classes are appropriate for the proposed 

work, and whether the applicant has the personnel and program resources to accomplish 

the project. The focus here is on budget, personnel, and other resources rather than the 

feasibility and effectiveness of the proposed activities themselves.

4. The degree to which the work plan identifies the expected environmental results of 

the proposed project. The work plan will be evaluated on the detail provided regarding 

the likely outcomes and outputs of the proposed project. Outputs and outcomes should be 

linked to the proposed activities and resulting improvements to environmental and/or 

human health conditions. These outputs and outcomes should be measurable and 

achievable.

5. The degree to which the proposed activities in the work plan support achieving the 

long-term goals identified in the EPA-Tribal Environmental Plans. The work plan 

should indicate how the proposed activities relate to: identified tribal priorities and 

specific environmental and human health threats/issues within the context of EPA’s 

authorities; developing tribal capacity to request and assume delegable federal 

authorities; developing tribal environmental protection programs under tribal authority; 

and/or building tribal environmental program capacity to assist EPA in implementing

EPA’s statutory programs.

6. Prior performance. Generally, work plan components and commitments should not 

duplicate prior efforts; they should demonstrate clear progress over time toward 

achieving the longer term goals, or specify new focus areas. Duplicates of prior year 

work plan activities may be rejected and EPA will take into consideration prior year 

performance when evaluating new work plans associated with similar previously funded

work. 
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7.0 Award Administration

7.1 Award Notices

A funding award notice, signed by an EPA grant officer, is the official document authorizing 

work to commence. EPA will provide funding award notification to recipients.

7.2 Reporting Requirements

The applicant and the Regional Office will develop a process for jointly evaluating and 

reporting progress and accomplishments under the work plan. A description of the evaluation 

process and reporting schedule must be included in the work plan. Recipients must report at 

least annually and satisfy the requirements for progress reporting under 40 C.F.R. § 31.40(b).

The evaluation process must provide for: 38

• A discussion of accomplishments as measured against work plan commitments;

• 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 improvement, including, where feasible, schedules for making 

improvements.

Regions should also work with recipients to evaluate status of tribal capacity as defined by 

the indicators of tribal capacity found in Appendix I of this Guidance or other clearly defined 

indicators that may be identified in the work plan.

In addition to performance reports, GAP recipients and their EPA project officer should have 

frequent contact (no less than quarterly) to keep EPA informed of progress and to resolve any 

problems that may arise.

7.3 Quality Assurance Documentation

GAP recipients are subject to EPA’s quality assurance requirements as found in 40 C.F.R.

§31.45. If a recipient's project involves environmentally related measurements or data 

generation, the recipient shall develop and implement quality assurance practices consisting 

of policies, procedures, specifications, standards, and documentation sufficient to produce 

data of quality adequate to meet project objectives and to minimize loss of data due to out-ofcontrol conditions or malfunctions. Approved plans must be in place before environmental 

 

38 40 C.F.R. § 35.515.
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data collection, production, or use can occur. More information is available online at: 

http://www.epa.gov/ogd/grants/assurance.htm.

7.4 Disputes

Disputes related to this program will be resolved in accordance with 40 C.F.R. §31.70.
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Appendix I

Guidebook for Building Tribal

Environmental Program Capacity

May 15, 2013

U.S. Environmental Protection Agency

Office of International and Tribal Affairs

American Indian Environmental Office
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Guidebook for Building Tribal Environmental Program Capacity

TABLE OF CONTENTS

A: INTRODUCTION................................................................................................................................................. 1

A.1 Purpose: Enhancing the EPA/Tribal Partnership for Environmental Protection and Measuring Tribal 

Program Development Progress .......................................................................................................................1

A.2 Capacity Development for Tribes with Limited Environmental Program Jurisdiction ......................................2

A.3 Capacity Development is a Continuing Programmatic Need ............................................................................2

A.4 GAP: A Foundation for Tribal Program Implementation...................................................................................3

B: BUILDING CORE ENVIRONMENTAL PROTECTION PROGRAM CAPACITIES ......................................................... 5

B.1 Purpose .............................................................................................................................................................5

B.2 Establishing Core Administrative Capacities .....................................................................................................5

B.3 Establishing Core Financial Management Capacities........................................................................................6

B.4 Establishing Core Information Management Capacities...................................................................................7

B.5 Establishing a Baseline Needs Assessment .......................................................................................................8

B.6 Establishing Core Public Participation, Community Involvement, Education, and Communication Capacities8

B.7 Establishing Core Legal Capacities.....................................................................................................................9

B.8 Establishing Core Technical and Analytical Capacities......................................................................................12

C: BUILDING TRIBAL AMBIENT AND INDOOR AIR QUALITY PROGRAM CAPACITIES .............................................. 14

C.1 EPA’s Air Quality Programs................................................................................................................................14

C.2 Establishing Tribal Air Quality Programs...........................................................................................................15

C.3 Indicators of Air Quality Program Capacity .......................................................................................................15

D: BUILDING TRIBAL WATER QUALITY PROGRAM CAPACITIES .............................................................................. 18

D.1 EPA’s Clean Water and Safe Drinking Water Programs ....................................................................................18

D.2 Establishing Tribal Water Quality Programs......................................................................................................20

D.3 Indicators of Water Quality Program Capacity..................................................................................................21

E: BUILDING SOLID WASTE, HAZARDOUS WASTE, AND UNDERGROUND STORAGE TANK PROGRAM CAPACITIES 25

E.1 EPA’s Solid Waste, Hazardous Waste, and Underground Storage Tank Programs...........................................25

E.2 Program Capacity Building: Planning, Developing, and Establishing Tribal Waste Management and 

Underground Storage Tank Program Capacity..................................................................................................27

E.3 Indicators of Tribal Waste Management and UST Program Capacity ...............................................................28

E.4 Program Implementation: Tribal Waste Management and UST Program Implementation .............................29

F: BUILDING TRIBAL CONTAMINATED SITE REMEDIATION AND EMERGENCY RESPONSE PROGRAM CAPACITIES. 33

F.1 EPA’s Comprehensive Environmental Response, Compensation and Liability Act; Emergency Planning, 

Community Right-to-Know Act; and Small Business Liability Relief and Brownfields Revitalization Act 

Programs ...........................................................................................................................................................33

F.2 Establishing Tribal Programs Related to CERCLA, EPCRA, and Brownfields......................................................35

F.3 Indicators of Tribal Emergency Response and Remediation Program Capacity ...............................................36

G: BUILDING TRIBAL CHEMICAL SAFETY AND POLLUTION PREVENTION PROGRAM CAPACITIES ........................... 38

G.1 EPA’s Asbestos Hazard Emergency Response Act; Federal Insecticide, Fungicide and Rodenticide Act; and 

Toxic Substances Control Act Programs............................................................................................................38

G.2 Activities Eligible for Funding Under EPA Programs that Support Tribal Capacity Development and/or 

Implementation of Chemical Safety and Pollution Prevention.........................................................................40

G.3 Indicators of Chemical Safety and Pollution Prevention Program Capacity......................................................41
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Guidebook for Building Tribal Environmental Program Capacity

A: Introduction

A.1 Purpose: Enhancing the EPA/Tribal Partnership for Environmental Protection and 

Measuring Tribal Program Development Progress 

The Indian Environmental General Assistance Program (GAP) was created to assist tribes 

with developing the capacity to manage their own environmental protection programs.

Therefore, GAP resources are targeted to those activities designed to build a tribe’s 

capacity to administer environmental protection programs that address tribal priorities 

supporting the objectives of EPA’s programs.

Historically, EPA has not provided a clear pathway under GAP to help tribes and 

intertribal consortia develop environmental protection program capacities. The indicators 

contained in this Guidebook provide a pathway for defining and tracking tribal capacity 

building progress under GAP, including when GAP funds are combined with other 

Agency resources through Performance Partnership Grants. 

The Guidebook begins with a discussion of the core program capacities that each tribal 

environmental program should consider establishing with GAP funding. The remainder 

of the document provides additional indicators for developing tribal capacity to 

administer media-specific environmental protection programs that tribes can pursue using 

GAP funding. There are often many activities that must occur to support achieving a 

single indicator. EPA has specific program guidance and technical assistance tools and 

resources available to help identify and plan for those specific activities; key resources 

are highlighted in each section.

It is important to note that while this Guidebook outlines key indicators for developing 

capacities for the major environmental protection programs, it should not be interpreted 

as a prescription for all tribal environmental protection programs. As noted in the 

Guidance, where indicators provided here are not appropriate or applicable, the grantee 

should work with the EPA to identify appropriate capacity building indicators for 

inclusion in the work plan and EPA-Tribal Environmental Plan (ETEP) and to link 

funded activities to the program capacity being developed. Each tribe should define the 

scope and content of its particular environmental program based on its priorities, 

environmental conditions, jurisdictional situation, or other factors. 

Where there are connections between tribal environmental priorities and the federal 

environmental statutes, this Guidebook provides a menu of applicable capacity building 

indicators that will assist in planning capacity building activities and measuring progress 

in development of those capacities. Tribes are not required to pursue each capacity 
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indicator listed in this Guidebook – only those applicable to the recipients’ specific 

circumstances and program development goals described in an ETEP (as described in 

GAP Guidance Section 4.0). For tribal program activities that are outside the scope of

EPA authority, and in keeping with the Agency’s 1984 Indian Policy, EPA will 

encourage cooperation between tribes and other appropriate federal agencies, state and 

local governments, and non-governmental organizations to resolve environmental 

problems of mutual concern where appropriate.

A.2 Capacity Development for Tribes with Limited Environmental Program 

Jurisdiction

Some tribes may not be able to demonstrate exclusive environmental regulatory 

jurisdiction over facilities, activities, or sites. However, the Agency recognizes that these 

tribal governments should still be afforded the opportunity to develop environmental 

protection programs that support their meaningful involvement in the protection of 

human health and natural resources. Tribes with limited jurisdiction to implement 

environmental regulatory programs may use GAP funds to develop program capacities

for purposes consistent with the extent of their authorities, such as: evaluating 

environmental conditions; developing voluntary or partial environmental protection 

programs; participating in environmental policy making; coordinating with EPA or other 

federal agencies on the implementation of federal environmental protection programs;

and entering into joint environmental protection programs with neighboring tribal, state,

or local environmental agencies.

A.3 Capacity Development is a Continuing Programmatic Need

Ultimately, establishing core program capacities should result in tribes being able to 

meaningfully participate in the national system of environmental protection, in 

accordance with the desired capacity level and authorities of each tribe. Developing, 

establishing, and maintaining environmental program capacities is an on-going effort

requiring capacities to evolve as the tribal environmental program itself expands and 

undertakes additional challenges. EPA also recognizes that GAP resources provide a 

significant foundation for maintaining tribal environmental program capacities over time. 

Tribes that have successfully developed capacity in a given area can continue to receive 

GAP funding to expand, enhance, or evolve their capacity. For example, a tribe with a 

community education program may continue to receive GAP funds to expand the 

program by adding new features, such as outreach strategies for vulnerable groups (i.e., 

children, the elderly, people in poor health, and expectant mothers) or identifying new 

media outlets to reach target audiences. Similarly, a tribe with basic water program 

capacity may continue to receive GAP funds to expand their water program by adding 

new baseline data to their existing program, developing additional laboratory analysis 

quality assurance plans, or adding capacity to share additional water quality data across 

multiple data platforms.
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GAP Guidance establishes a mechanism (ETEPs) for tribes to use with their respective 

regional offices to document the tribe’s program development goals. Tribes should reevaluate their program capacity development goals on a regular basis to ensure that their

systems, procedures, and policies are still appropriate for the current stage of the 

environmental protection program and to determine if additional capacities are needed to 

support media-specific environmental programs.

A.4 GAP: A Foundation for Tribal Program Implementation

The 566 federally recognized tribes39 (ranging from the Northern slope of Alaska to the 

southern tip of Florida) and intertribal consortia face an expansive number of 

environmental issues, concerns, and priorities. As a result, it is not practicable to list all

activities fundable under GAP in this Guidance; general guidelines regarding allowable 

activities under GAP are provided in Section 1.4 of this Guidance. 

This Guidebook presents a nationally consistent approach for defining and measuring a 

tribe’s environmental program capacity development. This approach is optimized to 

position a tribe to expand into and administer media-specific environmental protection 

programs consistent with the purposes and requirements of applicable provisions of law. 

By establishing the capacity milestones identified in this Guidebook, a tribe or intertribal 

consortia should be well positioned to continue to develop and implement tribal 

environmental protection programs and address almost any environmental issue. A tribe 

or intertribal consortia may also be able to continue to develop and implement tribal 

programs that are only related to EPA’s programs, but are not designed to build toward 

implementing EPA programs. This approach preserves maximum flexibility for tribes to 

use GAP resources effectively in response to a wide range of tribal priorities while 

providing EPA with a nationally consistent approach for defining and measuring the 

development of tribal environmental program capacity under GAP. 

Ultimately, for many tribes, environmental protection program capacities are being built 

so that the tribe may become the lead government agency for implementation of a federal 

environmental program. EPA has identified three primary types of implementation 

pathways related to EPA programs that tribal governments could pursue individually or 

in some combination: (1) participate in EPA’s direct implementation activities; (2) 

implement under tribal authority; (3) implement under an EPA-approved /delegated / 

authorized program. Appendix V provides a list of potential sources of EPA funding for 

tribes. Please note that certain funding programs listed in Appendix V are eligible to be 

combined in a Performance Partnership Grant [Catalog of Federal Domestic Assistance 

(CFDA) No. 66.605]. Funds available under these programs may vary from year-to-year.

For many other tribes, as noted earlier in this Guidance, program implementation is not a 

long-term goal. The capacity building activities are just as important and relevant to those 

tribes as to the tribes on the path to implementation. The specific pathway a tribe pursues 

 

39 As of May, 2013.
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will depend on a number of factors; as such, the indicators of tribal capacity presented in 

this Guidebook cover a wide variety of approaches. 
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B: Building Core Environmental Protection Program Capacities

B.1 Purpose 

Many tribes receiving GAP financial assistance will operate a core multimedia40

environmental program to identify tribal environmental priorities and maintain an 

environmental presence in regulatory activities affecting the tribe. Where active steps are 

taken to sustain a knowledge-base and support necessary institutional infrastructure, EPA 

views this environmental presence as essential to effective government-to-government 

partnerships with tribes seeking to actively and meaningfully participate in environmental

protection, including tribes with limited jurisdiction to implement their own 

environmental regulatory programs.

After receiving GAP grant resources to build core program capacities, tribes may need

continued funding to sustain their programs (i.e., ensure adequate program management 

capacity, processes, and resources are in place for future environmental program staff) 

while pursuing media specific grant resources. Adjacent jurisdictions may create 

situations that are outside the control of the tribe, but directly impact the tribal 

environment. Examples include, a mine opening on adjacent lands, a state implementing 

a watershed planning process, or other planning processes impacting a tribe. These 

events, and others like them, happen on a regular basis and tribal environmental staff 

should be prepared and available to take on new tasks as they arise. Where a tribe is 

ready and able to pursue assistance agreements under other EPA programs, continued 

GAP funding may be directed to activities that expand on existing capacity, or a tribe 

may determine it no longer needs capacity building resources in that specific area under 

GAP and would transition from GAP to other funding sources.

Indicators of core capacities are included below and EPA project officers should refer to 

these during GAP work plan negotiations. 

The remainder of this section presents the core capacities that should be present for 

planning, developing, and establishing tribal environmental protection programs. 

B.2 Establishing Core Administrative Capacities

Establishing administrative core capacities includes assessing, modifying, or developing 

policies and guidance that will be used to manage an environmental program and 

recruiting, hiring, and retaining qualified staff to develop and manage these policies. 

 

40 The term “media” used throughout this document refers to the EPA’s individual environmental program areas (air, 

land, water, waste, etc.). Programs designed to address multiple media areas, or that can apply to multiple programs, 

are referred to as “multimedia.” For example, the capacity to administer an underground storage tank program is 

single media while community involvement programs are typically “multimedia” because they tend to address a 

range of environmental topics.
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Indicators of Capacity: 

B.2.1 Organizational system for the environmental program that defines staff roles 

and responsibilities, describes the relationship of the environmental program 

to tribal leadership and other departments, and includes supporting personnel 

management policies/procedures.

B.2.2 Staff with appropriate skills, knowledge and experience to manage the 

environmental program.

B.2.3 Training plan for staff that reflects the capacity-building priorities for the 

environmental program.

B.2.4 Program evaluation system for use in determining whether program objectives 

are met, fiscal resources are appropriately managed, and assistance award 

requirements satisfied.

B.2.5 Intergovernmental agreements (tribal, federal, state, local) necessary to 

implement the environmental program.

B.2.6 Written procedures similar to the Administrative Procedure Act to ensure 

meaningful involvement and fair treatment in public participation. 

B.2.7 Organizational filing/records retention system and policies (paper and 

electronic).

B.2.8 Policies and procedures to coordinate tribal environmental protection 

programs with other tribal government initiatives (e.g., transportation, 

housing, infrastructure, economic development, and natural resource 

management).

B.3 Establishing Core Financial Management Capacities

Establishing financial management core capacities includes assessing, modifying, or 

developing financial, procurement, equipment tracking, property management, and grants 

management procedures to ensure that the tribal systems are in compliance with federal 

requirements. Procedures should clearly delineate roles and responsibilities, describe 

recordkeeping activities, and define auditing and other evaluation methods that will be 

used to ensure fiscal accountability. 

Indicators of Capacity: 

B.3.1 A statement by the appropriate tribal financial department demonstrating that 

the tribe’s accounting system, internal controls, and financial reporting 

procedures adhere to the requirements found in 40 C.F.R. § 31 “Uniform 

Administrative Requirements for Grants and Cooperative Agreements to State 

and Local Governments”; 40 C.F.R. § 35 “Environmental Program Grants for 

Tribes”; 2 C.F.R., § 225 “Cost Principles for State, Local and Indian Tribal 

Governments” (formerly OMB Circular A-87); and OMB Circular A-133,

“Audits of States, Local Governments, and Non-Profit Organizations.” 

B.3.2 A statement by the appropriate tribal financial department demonstrating that 

the tribe has a procurement procedure that meets the minimum requirements 

for purchasing systems as outlined in 40 C.F.R. § 31.
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B.3.3 Written procedure for tracking (including final disposition) equipment and 

supplies acquired by the environmental program in compliance with 40 C.F.R.

§ 31.

B.3.4 Written procedure that describes how the environmental program will 

coordinate with other tribal departments to satisfy grant terms and conditions 

and reporting requirements (for example, application 

development/review/approval, creation and submission of required reports, 

maintenance of official file, closeout of award).

B.3.5 Current indirect cost rate agreement.

B.3.6 Tribe demonstrates proficiency in processing financial payment requests, 

submits required annual Federal Financial Reports, and performs annual 

financial audits as required.

B.4 Establishing Core Information Management Capacities

Establishing information management core capacities includes assessing, modifying, or 

developing systems to maintain administrative records and files, useful reference material 

for the environmental protection program, and information on environmental and human 

health conditions that may impact human health or the environment. Information 

management systems should: clearly identify roles and responsibilities; prescribe a 

required format for materials and information tracked in the system(s); identify the 

physical (hard copy) location of materials and information entered into the system; 

identify any confidentiality issues pertaining to specific materials and information; and 

note whether materials and information must be legally maintained for a specific time 

period. Information management is also essential for measuring and tracking program 

performance over time, including data management on environmental indicators. Data 

collection, management, and reporting are key features of a core environmental 

protection program.

Key sources of information management information include:

• Environmental Information Exchange Network & Grant Program:

http://www.epa.gov/exchangenetwork/grants/index.html

• EPA Quality Management System: Quality Management Tools - QA Project Plans: 

http://www.epa.gov/quality/qapps.html

• Doing Business with EPA: Quality Specifications for non-EPA Organizations:

http://www.epa.gov/quality/exmural.html

Indicators of Capacity: 

B.4.1 Written procedure for establishing an official file for each assistance award 

that contains all documentation from application through final closeout and 

that requires record retention in compliance with 40 C.F.R. Part 31, “Uniform 

Administrative Requirements for Grants and Cooperative Agreements to State 

and Local Governments.”

B.4.2 Written inventory of administrative and technical procedures, policies, 

regulations, or other guidelines developed to implement the environmental 

program.
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B.4.3 System to store and organize data and information collected or generated by 

the environmental program for future use in characterizing environmental and 

human health conditions, responding to information requests, developing 

environmental projects/initiatives, or other project management data systems.

B.4.4 Exchanging and/or sharing data through the National Environmental 

Information Exchange Network.

B.4.5 Written policies and procedures for protecting sensitive tribal environmental 

and human health data (e.g., traditional ecological knowledge and cultural 

resources). 

B.4.6 Environmental mapping (Geographic Information System) capabilities.

B.5 Establishing a Baseline Needs Assessment

A baseline needs assessment is a primary step to determine the environmental resources 

needing protection and the environmental and human health issues facing a particular 

tribal community. Such an assessment can help a tribe to identify and prioritize a tribe’s 

approach for undertaking protection and restoration efforts. While there are many

approaches for conducting effective baseline needs assessments, including those that are 

informed by traditional ecological knowledge, information on conducting a baseline 

needs assessment can be found in Appendix II. Periodically, the baseline needs 

assessment should be updated in response to factors such as: new sources of pollution, 

changing environmental conditions, new development in the community, acquisition of 

lands, and changes to the environmental program. However, GAP funds should not 

support a baseline or other assessment that is principally for solving particular problems 

at particular places – such as an environmental assessment associated with a particular 

facility construction project – because they are considered program implementation

(except those related to solid and hazardous waste programs as described in Section E,

because solid and hazardous waste program implementation activities are eligible for 

GAP funding).

Indicators of Capacity: 

B.5.1 A current baseline needs assessment or comparable planning document, such 

as a tribal Integrated Resource Management Plan, tribal environmental 

inventory, natural resource assessment that reflects: (1) environmental 

resources needing protection; (2) known information about existing/potential 

threats to human health and the environment within the tribe’s area; (3) an 

evaluation of the potential impact of these threats to tribal members and 

resources (4) strategic plan with long term program development and 

implementation goals identified; and (5) prioritization of activities by the 

environmental program to address identified threats. 

B.6 Establishing Core Public Participation, Community Involvement, Education, and 

Communication Capacities

Establishing public participation, community involvement, education, and 

communication core capacities includes assessing, modifying, or developing systems to 
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ensure that the tribal environmental protection program can notify the general public of 

important events or information, publicize activities related to its projects and programs, 

engage community members to understand their environmental and public health concerns, 

educate the public on human health and environmental protection issues important to the 

tribe, and be responsive to concerns raised. These systems should identify the various 

routes or methods of disseminating information, and the time frame and particular 

audience that each method would reach. 

Indicators of Capacity: 

B.6.1 Program to identify and address, as appropriate, disproportionately high and 

adverse human health or environmental effects of tribal programs, policies, 

and activities on minority populations and low-income populations within the 

tribe’s area of program responsibility.

B.6.2 Outreach methods that will be used to reach and solicit input from potentially

affected communities and groups.

B.6.3 Environmental Education/Outreach plans and (or) curricula.

B.6.4 Format for public notices, press releases, and other types of communications.

B.6.5 Methods that will be used to identify public concerns and respond to issues 

raised.

B.6.6 Contact lists for other governmental entities and types of information that will 

be shared.

B.6.7 Methods to conduct general public education, awareness, community 

engagement, and information exchange on issues related to human health and 

the environment.

B.6.8 Methods for collaborating and sharing information with other tribal, federal, 

state, and local governments, or with other organizations.

B.6.9 Tribal consultation policies and procedures.

B.6.10 Development of tribal community-based advisory groups to assist with 

planning and implementation of the tribal environmental program.

B.7 Establishing Core Legal Capacities

Establishing legal core capacities includes assessing, modifying, or enacting the tribal 

laws, codes, and regulations, Interagency Agreements, Memoranda of Understanding, 

and associated policies and guidance that are necessary to prevent environmental 

deterioration, abate pollution conditions, and manage or enforce specific regulatory 

programs. Tribes should determine what legal authorities it may use to regulate facilities 

and activities that may impact air, land, or water resources within its jurisdiction, 

including any compliance assurance and enforcement actions that may be appropriate. 

The tribe should determine and take steps if necessary to ensure that it has the legal 

authority and ability to establish and implement standards, permitting processes, 

certification requirements, and civil enforcement procedures.

Tribes may use GAP funds to develop a compliance monitoring program to determine 

compliance status and inform tribal decisions on when enforcement is necessary. A 

tribe’s compliance monitoring program should include capacities for information 

gathering, data analysis, facility inspections, review of reports from regulated entities, 
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and addressing citizen complaints. To ensure effectiveness and consistency, tribes should 

train and provide appropriate credentials to authorized compliance monitoring personnel, 

develop and adopt standardized compliance monitoring and inspection procedures and 

practices, and manage the resulting information in computerized data management 

systems.

Tribes may use GAP funds to establish programs that require regulated entities to 

undertake self-monitoring, recordkeeping, and reporting as a means for tribes to monitor 

compliance. By requiring regulated entities to measure and report their performance, 

tribes are able to shift some of the burden for compliance monitoring to the regulated 

community. Through sanctions for false reporting or non-reporting, defined in regulations 

or permit requirements, a tribe can increase the accuracy of reports from regulated 

entities.

Tribes may use GAP funds to establish programs for the enforcement of environmental 

requirements. Enforcement is a fundamental element of any compliance assurance 

program. In designing enforcement programs under GAP, tribes should consider adopting 

and implementing a full suite of relevant enforcement mechanisms, including informal 

approaches (e.g., warnings and notices of violation); formal tribal administrative or 

judicial actions to compel compliance, assess penalties and/or impose other sanctions 

(e.g., shut down the facility); and criminal enforcement (e.g., fines and/or imprisonment) 

consistent with the tribe’s authority. In responding to violations, tribes should act in a 

timely manner to correct noncompliance, deter future noncompliance and where possible 

redress environmental harm caused by noncompliance. Tribes may also use GAP funds to 

develop and maintain the capacity to work cooperatively with federal enforcement 

officials to address environmental violations that give rise to civil or criminal 

investigations.

Tribes may use GAP funds to establish programs that facilitate citizen access to 

compliance information, subject to confidentiality and preservation of privileged 

information. Providing the public with information on the compliance status of regulated 

entities gives surrounding communities information on possible risks they may be facing 

as a result of noncompliance and arms citizens with information they can use to put 

pressure on noncompliant facilities to come into compliance and on regulatory agencies 

to address noncompliance. Without prematurely revealing information on enforcement 

cases or compromising confidentiality and privileged information, tribes should strive to 

provide public access to information on the entities regulated by environmental 

requirements, their compliance status, and any history of formal and informal 

enforcement actions taken to address noncompliance. Tribes should establish procedures 

for citizens to request and receive specific information via all available media within a 

reasonable timeframe, subject to applicable laws and policies on confidentiality, the 

preservation of privileged information, and other limitations on sharing information.
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Indicators of Legal Capacity:

B.7.1 A statement by tribal legal counsel demonstrating that the tribe has authority 

to pass and enforce laws/ordinances to protect human health and the 

environment.

B.7.2 A statement by tribal legal counsel demonstrating that tribal government 

authority provides the tribe with power to enjoin activities determined to be 

harmful to the health or welfare of persons or the environment.

B.7.3 A dedicated section of the tribe’s laws/codes/ordinances for environmental 

protection program activities that establish standards, permitting processes, 

certification requirements, compliance assurance, and enforcement 

procedures. 

B.7.4 A program to provide compliance assistance to regulated entities to promote 

an understanding of applicable environmental requirements and assist them in 

attaining and maintaining compliance.

B. 7.5 Documentation supporting the tribe’s claim of interests to usual and 

accustomed areas and to cultural resources potentially affected by 

environmental protection activities.

B.7.6 Interagency Agreements or Memoranda of Understanding with other tribal, 

federal, state, or local governments regarding environmental protection.

Compliance Monitoring Program Indicators:

B.7.7 Procedures and systems for maintaining an inventory of regulated entities or 

activities.

B.7.8 Procedures to train and provide credentials to authorized compliance 

monitoring personnel.

B.7.9 A program to require regulated entities to keep records, review records, and 

provide applicable records to the tribe.

B.7.10 Incentives and voluntary reporting of noncompliance that encourages 

compliance and environmental stewardship.

B.7.11 Procedures for receipt, evaluation, retention and investigation for possible 

enforcement of all notices and reports required of regulated entities.

B.7.12 Procedures and resources to assure adequate coverage of regulated entities 

through compliance monitoring activities. Compliance monitoring activities, 

including inspections, should be conducted to: (a) determine compliance with 

applicable program requirements, including but not limited to permit 

conditions; (b) document noncompliance; (c) verify the accuracy of 

information required to be reported or maintained by the regulated entity; and 

(d) verify the adequacy of sampling, monitoring, and other methods used to 

develop the information submitted.

B.7.13 A program to enter a site potentially subject to regulation – or in which 

records relevant to applicable program requirements are kept – in order to 

copy records, inspect, monitor emissions or take samples, or otherwise 

investigate compliance.
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B.7.14 Procedures to ensure that compliance monitoring activity is conducted in a 

manner (e.g., using “chain of custody” procedures for samples taken from a 

regulated entity) that will produce evidence admissible in enforcement 

proceedings or court.

B.7.15 Procedures for encouraging public reporting of violations, including a 

mechanism for the public to submit such reports, and for ensuring proper 

consideration of citizen tips and complaints.

Enforcement Program Indicators:

B.7.16 A program to immediately and effectively enjoin any activity that may present 

an imminent and substantial endangerment to public health or the 

environment.

B.7.17 A program to restrain unauthorized activity, compel compliance with 

applicable requirements, and impose injunctive relief to remedy 

noncompliance.

B.7.18 A program to compel regulated entities to submit reports and provide 

documents to the tribe for the purpose of assessing compliance with 

applicable requirements.

B.7.19 A program to compel regulated entities to conduct monitoring or sampling 

and provide results to the tribe for the purpose of assessing compliance with 

applicable requirements.

B.7.20 A program to assess or sue to recover civil penalties appropriate to the 

violation.

B.7.21 A program to assess penalties for violations of applicable requirements, such 

as fines or imprisonment for environmental crimes. 

B.8 Establishing Core Technical and Analytical Capacities

Tribes may use GAP resources to build baseline environmental program capacities that 

will then be further developed and enhanced through media-specific EPA programs and 

other funding sources. GAP should be used to provide a foundation of technical and 

analytical skills, knowledge, and resources that will be valuable to tribes as they make 

decisions to pursue specific media projects and programs. GAP may support activities 

that establish the recipient’s capacity to manage projects involving data collection, 

including the establishment of a quality system conforming to the current edition

American National Standard Institute ANSI/ASQ E4, “Quality Systems for 

Environmental Data and Technology Programs: Requirements with Guidance 

for Use.” Capacities include the ability to conduct direct measurements or generate data, 

model environmental conditions, compile data from literature or electronic media, and 

the ability to manage data supporting the design, construction, and operation of 

environmental technology. The collection and management of data associated with 

specific technologies is considered implementation and is not fundable under GAP. More 

information is available online at: http://www.epa.gov/ogd/grants/assurance.htm.
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Indicators of Capacities: 

B.8.1 Quality assurance and management plans.

B.8.2 Intergovernmental agreements with other jurisdictions related to 

environmental protection.

B.8.3 Funding from other sources.

B.8.4 Environmental monitoring/sampling programs.
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C: Building Tribal Ambient and Indoor Air Quality Program Capacities

C.1 EPA’s Air Quality Programs

Air quality is regulated primarily under the CAA. The CAA was first enacted in 1963 and 

underwent significant revisions in 1970 and 1990. The CAA focuses on three key areas: 

(1) reducing outdoor, or ambient, concentrations of air pollutants that cause smog, haze, 

acid rain, and other problems; (2) reducing emissions of toxic air pollutants that are 

known to, or are suspected to, cause cancer or other serious health effects; and (3) 

phasing out production and use of chemicals that destroy stratospheric ozone. For more 

information on the CAA, visit: http://www.epa.gov/air/caa/.

EPA takes on varying roles to ensure the CAA is implemented, including EPA 

authorization and oversight of state and tribal CAA programs and/or direct 

implementation by EPA, where applicable. Under the CAA, EPA implementation 

activities include: (1) designation of non-attainment areas for national ambient air quality 

standards; (2) development and promulgation of federal implementation plans (FIPs); (3) 

issuing pre-construction permits and operating permits for sources of air pollution; (4) 

compliance assurance (including inspections) and enforcement; (5) processing asbestos 

notifications for demolitions/renovations or regulated structures; and (6) ensuring risk 

management plans are submitted by regulated entities. The CAA Tribal Authority Rule 

(TAR) offers tribes the option to seek TAS eligibility to develop air quality management 

programs, write rules to reduce air pollution, and implement and enforce rules under the 

CAA that are appropriate for their communities.

The Emissions Inventory System (EIS) contains compliance and permit data for 

stationary sources of air pollution (such as electric power plants, steel mills, factories, and 

universities) regulated by EPA, tribes, states, and local air pollution agencies. The 

information in EIS is used to prepare Federal Implementation Plans or Tribal 

Implementation Plans (TIPs) and to track the compliance status of point sources under 

the CAA. EIS can be accessed at http://www.epa.gov/ttn/chief/eiinformation.html. Tribal 

staff may be aware of other facilities that may be subject to regulation under the CAA.

In addition to participating in the federal CAA scheme for managing air quality, tribes 

may use GAP funds to develop their own air quality management programs consistent 

with their own priorities and authorities. As a result, tribal program management TAS 

designations are only one indicator of successful tribal program capacity. This section 

includes a number of tribal program capacity indicators applicable to a wide range of 

tribes, including tribes that are not planning to pursue TAS status for program 

implementation.

Key sources of program guidance include:

• The Tribal Air Grants Framework: A Menu of Options. October 2007. 

http://www.epa.gov/oar/tribal/pdfs/Tribal%20Air%20Grants%20Framework%20rev%

2011_07.pdf

• Tribal Air Program Resources. http://www.epa.gov/air/tribal/airprogs.html
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• Radiation Publications: http://www.epa.gov/radiation/pubs.html

• Office of Air and Radiation National Program and Grant Guidance.

http://epa.gov/planandbudget/

• Preparing for Climate Change: A Guidebook for Local, Regional, and State 

Governments: http://www.icleiusa.org/action-center/planning/adaptation-guidebook

C.2 Establishing Tribal Air Quality Programs

This subsection provides a “road map” for tribes and outlines a non-exclusive list of tribal 

environmental protection program capacity indicators that EPA will use to evaluate 

progress under the GAP. In general, GAP funding should be used to build baseline 

environmental program capacities; once capacity is established, tribes may seek funding 

under EPA’s media-specific programs to support more complex program development 

and implementation while continuing to use GAP resources for ongoing capacity building 

activities. 

The first stage in developing an air quality management program is to develop the 

necessary expertise and skills to identify, address, and manage air quality issues. Tribal 

capacity-building activities should focus on assigning staff, acquiring initial training, 

compiling relevant data on which the tribe can make program development decisions, 

engaging the tribal community on air quality issues, collecting and analyzing new air 

quality data, and using this information to make decisions on further development of an 

air quality management program.

After building fundamental program capacities related to the CAA and evaluating the 

type of air quality issues facing the community, tribes may consider undertaking efforts 

to establish air quality protection programs. Tribes and inter-tribal consortia are 

encouraged to seek funding support under EPA’s media-specific programs where 

appropriate. 

C.3 Indicators of Air Quality Program Capacity

C.3.1 Tribe has established a staffing plan (position description and 

recruitment/retention/promotion plan) for who will serve as tribal air 

quality/indoor air quality program coordinator(s). 

C.3.2 Staff has completed appropriate training and acquired baseline knowledge and 

skills related to the CAA (become familiar with the major goals, programs, 

and requirements of the CAA; the national structure for implementing the 

CAA; and the EPA regional personnel and organization).

C 3.3 Staff has completed appropriate indoor air quality training and acquired skills 

related to indoor air quality (e.g., Healthy Homes training).

C.3.4 Tribe has established a program to meaningfully participate in air quality 

management programs administered by other tribal, federal, state, or local 

governments (including reviewing and commenting on air quality standards 

and facility permit actions). 
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C.3.5 Tribe is receiving funding under the CAA or other related EPA media specific 

program.

C.3.6 Tribe has completed an emissions inventory and submitted to the National 

Emissions Inventory Database.

C.3.7 Tribe has developed an air monitoring strategy and associated quality 

assurance project plan.

C.3.8 Tribe has established a program to collect and upload quality assured ambient 

air monitoring data into the Air Quality System (AQS) database.

C.3.9 Tribe has completed a report analyzing air quality and radiation hazard issues 

impacting the tribe and evaluated air pollution control options (identifies air 

pollution sources and known levels of emissions, defines potential human 

health and environmental impacts of current air quality, and provides 

recommendations for action).

C.3.10 Tribe has completed an indoor air quality assessment and report.

C.3.11 Tribe has established a radon program that tests residential and other occupied 

structures for radon, identifies those above the EPA action level, and conducts 

outreach and education in the community.

C 3.12 Tribe has prepared a report recommending actions to improve indoor air 

quality and reduce levels for radon, mold, moisture, and environmental 

pollutants. 

C 3.13 Tribe has incorporated indoor air quality improvements or features as part of 

building renovation programs (e.g., weatherization and rehabilitation) and

new construction.

C.3.14 Tribe has developed a climate change vulnerability/risk assessment.

C.3.15 Tribe has developed a climate change preparedness/adaptation program (e.g., 

zoning rules and regulations; tax incentives; building codes/design standards; 

utility rates/fee setting; public safety rules and regulations; outreach and 

education; emergency management powers).

C.3.16 Tribe has established a Diesel Emissions Reduction Program (identified diesel 

engine use; evaluated short- and long-term priorities for reduction of 

emissions; selected implementation options such as installing diesel retrofit 

devices with verified technologies on school buses, 

maintaining/repairing/rebuilding engines, replacing older vehicles/equipment 

with more efficient engines or engines that run on cleaner fuel, improve 

operational strategies).

C.3.17 Tribe has established energy efficiency policies and program(s) (e.g., building 

design standards/codes, ENERGY STAR initiatives for government 

operations and tribal housing).

C.3.18 Tribe has established an air toxics program (capacity to: monitor for acid and 

mercury deposition; sample subsistence food sources to measure the 

accumulation of toxics; partner with other jurisdictions on assessment 

projects; communicate potential threats to community members; implement 

actions to reduce sources of air toxics pollution).
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C.3.19 Tribe has established community outreach/education programs, including air 

quality advisory system (e.g., indoor air quality, radon, diesel emissions 

reduction, burn barrels, wood smoke, anti-idling, greenhouse gas and ozonedepleting substance reduction, climate change, and radiation hazards).

C.3.20 Tribe has established intergovernmental partnerships with federal, state, local, 

and tribal governments to address air quality issues, including climate change,

and radiation hazards (e.g., memoranda of understanding, interagency 

agreements).

C.3.21 Tribe has established a program to comply with Federal Air Rules for Indian 

Reservations (FARR) requirements, where applicable.

C.3.22 Tribe has developed and promulgated air quality standards.

C.3.23 Tribe has developed a Tribal Implementation Plan (TIP) under CAA Section 

301 to identify sources of air pollution and to determine what reductions are 

necessary to meet air quality standards.

C.3.24 Tribe has developed/submitted request to redesignate a reservation as a CAA 

Class I area.

C.3.25 Tribe has developed/submitted recommendations on designations for new 

National Ambient Air Quality Standards.

C.3.26 Tribe has established program to assist EPA with implementing the federal 

CAA program (e.g., assisting the Agency to develop/update an inventory of 

regulated entities, compliance assistance activities for regulated entities,

obtaining federal inspection credentials to inspect regulated entities, and 

assisting EPA to draft permits for regulated entities).

C.3.27 Tribe has submitted application under the Tribal Authority Rule (TAR) 

requesting approval of specific CAA programs.

C.3.28 Tribe has developed program to implement a Title V operating permit 

program for major sources of air pollution.

C.3.29 Tribe has developed program to implement new source review permitting 

program for minor sources of air pollution.

C.3.30 Tribe has enacted ambient air quality and/or radiation hazard laws, codes, 

and/or regulations with effective compliance assurance and enforcement 

provisions that are at least as stringent as the federal statutes.

C 3.31 Tribe has enacted green building codes, guidelines and/or protocols that 

promote healthier indoor air quality and apply these practices to new and 

retrofitted buildings.

C 3.32 Tribe has established a program to conduct indoor air quality outreach, 

education, and/or training for tribal government personnel and/or community 

members.

C.3.33 Tribe has enacted indoor air quality laws, codes, and/or regulations with 

effective compliance assurance and enforcement provisions. 

C.3.34 Tribe has developed a program to provide compliance assurance (including 

inspections) and enforcement (e.g., work with regulated community system 

operators to determine if appropriate training and certification has been 

obtained, and, if not, assist with acquiring such training and/or certification).
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D: Building Tribal Water Quality Program Capacities

D.1 EPA’s Clean Water and Safe Drinking Water Programs

The Clean Water Act (CWA) is the primary federal law protecting the quality of surface 

water. The law was originally passed in 1972, and was amended in 1977 and 1987. The 

CWA establishes the basic structure for regulating discharges of pollutants into the 

waters of the United States and regulating water quality standards for surface waters. In 

ensuring water quality to “restore and maintain the chemical, physical and biological 

integrity of the Nation’s waters,” the CWA includes provisions for addressing water 

pollution from point sources, diffuse sources of surface water runoff (nonpoint), 

protection of national estuaries and coastal waters, and dredge and fill actions (e.g., of 

wetlands) into waters of the United States. For more information on the CWA, visit 

http://www.epa.gov/lawsregs/laws/cwa.html.

EPA takes on varying roles to ensure the CWA is implemented, including EPA 

authorization and oversight of state and tribal CWA programs and/or direct 

implementation by EPA, where applicable. The primary program implementation 

activities include: (1) determining protection levels for waters of the United States by 

establishing Water Quality Standards; (2) assessing water quality to identify impaired 

waters (water quality monitoring); (3) defining and allocating control responsibilities to 

meet water quality standards; (4) issuing CWA Section 402 surface water discharge 

permits; (5) providing assistance to address nonpoint source pollution; (6) providing 

compliance assurance (including inspections) and enforcement; (7) issuing water quality 

certifications; and (8) reviewing CWA Section 404 dredge and fill permit applications. In 

addition, under the CWA, EPA: (9) responds to releases of petroleum products to 

navigable waters; (10) ensures that regulated entities have spill prevention, control and 

counter-measures (SPCC) plans, and (11) provides financial and technical assistance for 

the construction of wastewater facilities.

The Safe Drinking Water Act (SDWA) is the legal framework under which the nation’s 

public drinking water supplies are regulated and applies to every public water system in 

the United States. It requires many actions, such as the setting of national drinking water 

standards or requiring ways to treat the water to remove contaminants to protect drinking 

water and its sources – rivers, lakes, reservoirs, springs, and ground water wells. The 

Underground Injection Control program, under the SDWA, is designed to prevent 

underground injections from endangering drinking water sources. The SDWA was 

originally passed in 1974, and it was amended in 1986 and 1996. For more information 

on the SDWA, visit http://water.epa.gov/lawsregs/rulesregs/sdwa/index.cfm.

EPA takes on varying roles to ensure the SDWA is implemented, including EPA 

authorization and oversight of state and tribal primacy programs and/or direct 

implementation by EPA, where applicable. The primary program implementation 

activities include: (1) conducting sanitary surveys; (2) providing technical assistance to 

managers and operators of facilities subject to compliance requirements; (3) permit 

actions for regulated entities; (4) maintaining a database to hold compliance information 
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of public water systems; (5) monitoring public water supplies and providing compliance 

assurance (including inspections); (6) compliance assurance (including inspections) at 

regulated Underground Injection Control (UIC) wells; and (7) conducting enforcement.

The Permit Compliance System (PCS) provides information on facilities that have been 

issued permits to discharge to surface water. The Safe Drinking Water Information 

System (SDWIS) contains information about public water systems that have been 

reported to EPA by state or tribal environmental agencies. To access PCS or SDWIS 

information, please visit http://www.epa.gov/enviro/index.html.

The Agency is currently developing a national information system for facilities regulated 

under the UIC Program. In the meantime, the EPA regional offices maintain separate 

databases of UIC injection well activities.

Tribal staff may be aware of other facilities that may be subject to regulation under the 

CWA and SDWA.

Tribes are not required to administer CWA programs, but may apply for TAS eligibility 

under CWA Section 518(e) to administer certain CWA programs. Tribes must apply for 

and receive EPA approval to be eligible for TAS for each program in which they are 

interested.41 In addition to acquiring eligibility for certain water-related funding 

programs, tribes may also seek authorization to administer CWA water quality standards, 

water discharge permit programs, water quality certification programs, and dredge and 

fill permitting programs. 

Similarly, EPA is the primary federal agency responsible for administering the SDWA, 

and directly implements the drinking water program and underground injection control 

program, except where states or tribes have primacy, which is the authority to implement 

SDWA within their jurisdictions. Under Section 1451 of the SDWA, tribes may apply for 

TAS and seek “primacy” to administer a public water supply supervision program and/or 

the requirements related to underground injection control wells. 

In addition to participating in the federal CWA and SDWA scheme for managing water 

quality, tribes may use GAP funds to develop their own water quality management 

programs consistent with their own priorities and authorities. As a result, tribal program 

management TAS designations are only one indicator of successful tribal program 

capacity. This section includes a number of tribal program capacity indicators applicable 

to a wide range of tribes, including tribes that are not planning to pursue TAS status for 

program implementation.

In addition to pursuing program eligibility for delegation of EPA CWA programs, there 

are other opportunities for tribal governments to partner with EPA to implement CWA 

 

41 Limitations in the CWA or other federal legal impediments prevent some tribes from obtaining TAS status. 

Excluded tribes include tribes that are not federally recognized, and tribes without formal reservations or tribal trust 

lands, such as most Alaska Native Villages.
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provisions. As appropriate, EPA regional offices can utilize Direct Implementation Tribal 

Cooperative Agreements (DITCAs), memoranda of agreement, program funding, and 

other devices to provide for tribal participation in the implementation of the CWA. Please 

see Appendix IV, “EPA Water Program Reference Table: Framework for Tribal Water 

Program Strategic Planning and Development,” for more information on program 

activities associated with partnering with EPA on water program implementation, 

developing a tribal water program under tribal authority, and pursuing TAS for certain 

water programs.

Key sources of program guidance and information for developing programs under these 

statutes include:

• CWA –Information on activities and developing Water Quality programs:

- “Final Guidance on Awards of Grants to Indian Tribes under Section 106 of the 

Clean Water Act,” EPA, 2007 (EPA 832-R-06-003).

http://water.epa.gov/grants_funding/cwsrf/upload/2006_10_20_cwfinance_finaltribal-guidance.pdf

- “Handbook for Developing and Managing Tribal Nonpoint Source Pollution 

Programs Under Section 319 of the Clean Water Act,” EPA, 2010. 

http://water.epa.gov/polwaste/nps/tribal/index.cfm

• SDWA – Information on activities and developing the Tribal PWSS Program:

- Overview of PWSS: http://www.epa.gov/indian/laws/tas.htm#pwss

- Tribal Drinking Water: http://water.epa.gov/aboutow/ogwdw/tribal.cfm

- TAS for PWSS under the SDWA: www.epa.gov/tribal/pdf/tas-strategy-attachh.pdf; www.epa.gov/tribal/pdf/tas-strategy-attach-i.pdf

D.2 Establishing Tribal Water Quality Programs

This subsection provides a “road map” for tribes and outlines a non-exclusive list of tribal 

environmental protection program capacity indicators that EPA will use to evaluate 

progress under the GAP. In general, GAP funding should be used to build baseline 

environmental program capacities; once capacity is established, tribes may seek funding 

under EPA’s media-specific programs to support more complex program development 

and implementation while continuing to use GAP funding for ongoing capacity building 

activities. When considering water program capacity-building activities, it may be 

beneficial for a tribe to align their capacity-building activities with EPA water program 

guidance early on. This can: (1) increase efficiency in a tribe’s use of both GAP and 

media program funding towards developing a program; (2) facilitate obtaining future 

EPA tribal water grant funding; and/or (3) facilitate obtaining EPA approval for a tribe to 

implement federal regulatory roles under the CWA or SDWA. Tribes developing water 

quality and drinking water protection programs should work directly with EPA water 

program staff and follow EPA Clean Water Act and Safe Drinking Water Act-related 

policies and guidance.

The first stage in developing a water quality management program is to develop the 

necessary expertise and skills to identify, address, and manage water quality issues. 

Tribal capacity-building activities should focus on: (1) assigning staff; (2) acquiring 
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initial training; (3) compiling relevant data on which the tribe can make program 

development decisions; and (4) engaging the tribal community on water quality issues.

After building fundamental program capacities related to the CWA and SDWA and 

evaluating the type of water quality issues facing the community, tribes may consider 

undertaking efforts to establish water quality protection programs. Tribes and inter-tribal 

consortia are encouraged to seek funding support under EPA’s media-specific programs 

where appropriate. Please see Appendix IV to view water program planning and 

development activities in relation to water program implementation under the CWA and 

SDWA.

D.3 Indicators of Water Quality Program Capacity

General Tribal Water Program Indicators

D.3.1 Tribe has established a staffing plan (position description and 

recruitment/retention/promotion plan) for who will serve as tribal water 

quality program coordinator.

D.3.2 Staff has completed training and acquired baseline knowledge and skills 

related to the CWA and SDWA (e.g., become familiar with the major goals, 

programs, and requirements of the CWA and SDWA; the national structure 

for implementing the CWA and SDWA; and the EPA regional personnel and 

organization).

D.3.3 Tribe has established a program to meaningfully participate in water quality 

management programs administered by other tribal, federal, state, or local 

governments (including reviewing and commenting on technical water 

documents, water quality standards, and facility permit actions). 

D.3.4 Tribe is receiving funding under the CWA, SDWA, or other related EPA 

media specific program.

D.3.5 Tribe has identified its water resources and associated environmental and 

human health issues (including: inventories of regulated entities; discharge 

points requiring NPDES permits; facilities requiring Spill Prevention, Control, 

and Countermeasure (SPCC) plans; sensitive ecosystems).

D.3.6 Tribe has established community outreach/education programs related to 

water quality and/or protecting health through safe drinking water (e.g., fish 

consumption advisory system, water efficiency, nonpoint source pollution best 

management practices, infrastructure needs for water and wastewater utilities, 

and wetlands restoration activities).

D.3.7 Tribe has established water efficiency policies and program(s) (e.g., building 

design standards/codes, WaterSense initiatives for government operations, 

water use restrictions).

D.3.8 Tribe has established intergovernmental partnerships with federal, state, local, 

and tribal governments to address water quality or drinking water issues (e.g., 

memoranda of understanding, interagency agreements).
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Indicators Related to the Clean Water Act

Water Quality Monitoring Program Indicators

D.3.9 Tribe has completed a water quality assessment report that analyzes water 

quality issues impacting the tribe and evaluated water pollution control 

options (e.g., identifies dischargers and types/amounts of discharge, defines 

potential human health and environmental impacts of current water quality, 

provides recommendations for action, identifies water program financial 

needs, and identifies water quality program goals, objectives, and milestones).

D.3.10 Tribe has developed a water quality monitoring strategy.

D.3.11 Tribe has developed quality assurance project plan (QAPP) associated with 

the water quality monitoring strategy.

D.3.12 Tribe has established data management functions for its water quality 

monitoring data, including a program to collect and upload all required quality 

assured surface monitoring data into WQX/STORET database where 

applicable.

D.3.13 Tribe has developed a water quality monitoring program.

D.3.14 Tribe has submitted complete TAS package for 106 grant eligibility.

Nonpoint Source (NPS) Program Indicators

D.3.15 Tribe has worked with other stakeholders in the watershed to develop a 

watershed based plan that identifies nonpoint source pollution problems and 

options for best management practices.

D.3.16 Tribe has submitted an eligibility package for CWA Section 319, including a 

TAS package and a Nonpoint Source Assessment Report and Management 

Plan.

Wetlands Program Indicators

D.3.17 Tribe has developed a Wetlands Program Plan.

D.3.18 Tribe has developed a wetlands protection program pursuing one or more of 

the core wetland program elements (Monitoring & Assessment, Regulation, 

Voluntary Restoration & Protection, and Water Quality Standards for 

Wetlands).

Water Quality Standards Indicators

D.3.19 Tribe has developed and promulgated tribal water quality standards, including 

designated uses for tribal waters.
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Indicators for Impaired Waters Identification/Listing and Total Maximum Daily Loads 

(TMDLs) Programs 

D.3.20 Tribe has established a program to provide water quality-related data and 

information on geographically-relevant waters to EPA.

D.3.21 Tribe has established a program to review and comment on water quality 

reports, TMDLs, and other watershed-based planning efforts undertaken by 

other government agencies (federal, state, local, or tribal).

D.3.22 Tribe has established a program to assess water quality conditions, including 

comparing water quality monitoring information and data against applicable 

water quality standards.

Water Quality Permitting, Compliance, and Enforcement Program Indicators 

D.3.23 Tribe has established a program to assist EPA with implementing the federal 

CWA programs (e.g., compliance assurance activities for regulated entities,

obtaining federal inspection credentials to inspect regulated entities, and 

assisting EPA to draft permits for regulated entities).

D.3.24 Tribe has developed the funding structure and legal framework (e.g., laws, 

codes, and/or regulations with effective enforcement provisions that are at 

least as stringent as the CWA) to implement a permit program.

D.3.25 Tribe has established a program to permit facilities discharging to tribal 

waters.

D.3.26 Tribe has established a program to provide compliance assurance (including 

inspections) and enforcement for a tribal permit program.

Indicators to pursue only if seeking EPA-approved CWA TAS authority 

D.3.27 Tribe has developed and submitted a TAS package for EPA-approved WQS 

program.

D.3.28 Tribe has developed and submitted a TAS package for EPA-approved NPDES 

program.

D.3.29 Tribe has developed and submitted a TAS package for a CWA Section 401 

certification program.

D.3.30 Tribe has developed and submitted a TAS package for a CWA Section 404 

dredge and fill permit program.

D.3.31 Tribe has established a program (including modeling) to develop TMDLs and 

other water quality based planning efforts.

D.3.32 EPA-approved Water Quality Standards are in place.

D.3.33 Tribe has established program to monitor federally-approved surface and/or 

wetlands water quality standards and perform triennial review.
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Indicators Related to the Safe Drinking Water Act 

Ground Water and Source Water Protection Program Indicators

D.3.34 Tribe has delineated source water protection areas.

D.3.35 Tribe has developed source water assessment and protection plan/wellhead 

protection plans for community water supplies.

Drinking Water Permitting, Compliance, and Enforcement Program Indicators

D.3.36 Tribe has established a program to assist EPA with implementing the federal 

Public Water System Supervision (PWSS) program (e.g., compliance 

assurance activities, obtaining federal inspection credentials, and assisting 

EPA to draft permits).

D.3.37 Tribe has established a program to assist EPA with implementing the federal 

Underground Injection Control (UIC) program (e.g., compliance assurance 

activities, obtaining federal inspection credentials, and assisting EPA to draft 

permits).

D.3.38 Tribe reports quality assured Underground Injection Control (UIC) inventory 

information to EPA (especially Class V wells).

Indicators to pursue only if seeking EPA-approved SDWA program delegation authority

D.3.39 Tribe has developed the funding structure and legal framework (e.g., laws, 

codes, and/or regulations with effective enforcement provisions that are at 

least as stringent as the SDWA) to implement the primary drinking water 

enforcement program (primacy).

D.3.40 Tribe has primacy for implementing the Public Water Supervision System 

(PWSS) program (SDWA Section 1451).

D.3.41 Tribe has developed and submitted a draft authorization package to EPA for 

approval to enforce federal UIC requirements and manage injection wells on 

tribal lands.

D.3.42 Tribe has primacy for implementing Underground Injection Control wells 

regulatory program.
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E: Building Solid Waste, Hazardous Waste, and Underground Storage Tank 

Capacities

E.1 EPA’s Solid Waste, Hazardous Waste, and Underground Storage Tank Programs

GAP funding related to tribal solid and hazardous waste programs is unique in that the 

GAP statute provides EPA with the authority to fund both the development of program 

capacity as well as program implementation in accordance with the purposes and 

requirements of applicable provisions of law, including the Solid Waste Disposal Act (42 

U.S.C. 6901 et seq.).

42 Agency priorities for resources applied to tribal solid waste 

programs will be consistent with both the GAP Guidance and the Environmental 

Protection Agency-Wide Plan to Provide Solid Waste Management Capacity Assistance 

to Tribes (Plan). Therefore, each fiscal year regions should review GAP assistance 

agreement work plans for consistency with the priorities expressed in the Plan. The GAP 

Guidance and Plan are dynamic documents subject to further refinement as priorities and 

resources change.

The Resource Conservation and Recovery Act (RCRA) is the primary federal law for 

managing solid waste, hazardous waste, and Underground Storage Tanks (USTs). The 

law was originally enacted in 1976, amending the Solid Waste Disposal Act of 1965, and 

has been subsequently amended. The federal hazardous waste regulations under RCRA 

Subtitle C apply to all facilities generating and managing hazardous wastes. Under 

RCRA Subtitle D, EPA has established nationally applicable criteria for non-hazardous 

waste disposal facilities.43 Under RCRA Subtitle I, EPA has established criteria for the 

operation and closure of USTs and Leaking USTs (LUSTs). Also pursuant to RCRA, 

EPA promotes sustainable materials management, including pollution prevention and 

environmentally-sound recycling. Sustainable materials management uses a “cradle-tocradle” approach to focus on the full life cycle of materials including how they can be 

reinvested and reincorporated into manufacturing, thus reducing the use of virgin 

materials. For more information on RCRA, visit: http://www.epa.gov/epawaste/index.htm

and http://www.epa.gov/oust/tribes/index.htm

Under RCRA, EPA implementation activities include: (1) issuing permits to hazardous 

waste treatment, storage, and disposal facilities; (2) issuing RCRA identification numbers 

to facilities that handle (generate, store, treat, transport, etc.) hazardous waste; (3) 

conducting compliance assurance (including inspections) and enforcement at facilities 

subject to the hazardous waste or UST requirements; (4) accepting required notifications 

from regulated UST owner/operators; (5) directing corrective action activities at facilities 

subject to the hazardous waste or UST requirements; and (6) exercising enforcement 

options as necessary under RCRA, including: RCRA § 700344 (which allows EPA to 

 

42 The Indian Environmental General Assistance Act of 1992, 42 U.S.C. § 4368b(f). 43 40 C.F.R. Parts 257 and 258. 44 Guidance on the Use of Section 7003 of RCRA, U.S. EPA Office of Enforcement and Compliance Assurance, 

October 1997 (http://www.lb7.uscourts.gov/documents/08-34331.pdf).
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respond to conditions at non-hazardous waste facilities which may present an imminent 

and substantial endangerment to health or the environment) or § 4005(c)(2).

45

In 1994, Congress passed the Indian Lands Open Dump Cleanup Act of 1994 (25 U.S.C. 

§ 3901-3908).46 The Act authorizes the Indian Health Service (IHS), in cooperation with 

EPA, to develop and maintain an inventory of open dumps and an assessment of the 

relative severity of the threat posed by each dump. The IHS uses the Web Sanitation 

Tracking and Reporting System (w/STARS) database to inventory sanitation 

infrastructure deficiencies, including open dumps in tribal areas.

EPA’s RCRA Information system (RCRAInfo) is a national program management and 

inventory system that maintains information on hazardous waste generators, transporters, 

treatment facilities, storage facilities, and disposal facilities. To access RCRAInfo, please 

visit http://www.epa.gov/enviro/facts/rcrainfo/index.html. EPA regional offices maintain 

UST inventories for each tribal land area. 

Tribal governments have opportunities to partner with EPA in its RCRA activities under 

the Subtitle C (hazardous waste) and I (UST) programs. As appropriate, EPA regional 

offices can utilize Direct Implementation Tribal Cooperative Agreements (DITCAs), 

memoranda of agreement, program funding, or other mechanisms to provide for tribal 

participation in the implementation of the RCRA hazardous waste and UST programs. 

Examples of activities that tribal staff may be able to engage in with EPA include: (1) 

assisting the Agency to develop/update an inventory of facilities subject to federal 

compliance requirements; (2) conducting compliance assistance activities for inventoried 

facilities; (3) obtaining federal inspection credentials to inspect facilities on behalf of 

EPA; (4) assisting EPA to draft facility permits; and (5) assisting EPA to provide 

oversight of corrective actions. 

Key sources of tribal-related program guidance include:

• “The Environmental Protection Agency-Wide Plan to Provide Solid Waste 

Management Capacity Assistance to Tribes” (Date TBD)

http://www.epa.gov/epawaste/wyl/tribal/capacityassist.htm

• “OSWER Tribal Strategy: EPA and Tribal Partnership to Preserve and Restore Land 

in Indian Country,” November 2008. 

http://www.epa.gov/oswer/tribal/pdfs/oswer_tribal_strategy.pdf

• “Tribal Decision Makers Guide to Solid Waste Management,” November 2003

http://www.epa.gov/epawaste/wyl/tribal/tribalguide.htm

• “The Five Elements of a Tribal Integrated Waste Management Plan,” July 2007

(http://yosemite.epa.gov/osw/rcra.nsf/6f3756c16d517d7185256f2a007818ee/e7661f3537

91ad71852573780050876e!OpenDocument)

 

45 Guidance on Using RCRA Section 4005(c)(2) to Address Uncontrolled Waste Dumps in Indian Country, U.S. 

EPA Office of Enforcement and Compliance Assurance, March 2007.

(http://www.epa.gov/compliance/resources/policies/civil/rcra/rcrasection4005c2-guidance.pdf) 46 The Indian Lands Open Dump Cleanup Act of 1994 can be found at: 

http://www.gsa.gov/graphics/pbs/INDIAN_LANDS_OPEN_DUMP_CLEANUP_ACT_OF_1994.pdf
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• “Building a Tribal Solid Waste Program”

http://www.epa.gov/region10/pdf/tribal/igapfy13/attachment_B_building_a_tribal_soli

d_waste_program.pdf

• “Sustainable Materials Management”

http://www.epa.gov/epawaste/conserve/smm/index.htm

• “Report to Congress on Implementing and Enforcing the Underground Storage Tank 

Program in Indian Country,” August 2007. 

http://www.epa.gov/oust/fedlaws/rtc_finalblnkpgs.pdf

• “Strategy for an EPA/Tribal Partnership to Implement Section 1529 of the Energy 

Policy Act of 2005,” August 2006. http://www.epa.gov/oust/fedlaws/tribal-strat080706r.pdf

• RCRA Compliance Monitoring Policies and Guidance

http://epa.gov/compliance/resources/policies/monitoring/index.html#rcra

• “Underground Storage Tank Enforcement Compendium,” May 2009 

http://www.epa.gov/oecaerth/resources/policies/federalfacilities/enforcement/civil/ust

_compendium.pdf

E.2 Program Capacity Building: Planning, Developing, and Establishing Tribal Waste 

Management and Underground Storage Tank Program Capacity

Tribal environmental departments develop waste management program capacity through 

a range of planning and development activities. Section E.3 provides a non-exclusive list 

of tribal environmental protection program capacity indicators that EPA will use to 

evaluate progress under the GAP. In general, GAP funding should be used to build the 

applicable tribal environmental program capacities; once capacity is established, tribes 

may seek funding to support more complex program development and implementation

while continuing to use GAP resources for ongoing capacity building activities. 

EPA’s main tribal solid waste priority is the promotion of sustainable tribal waste 

management programs through the development and implementation of Integrated Waste 

Management Plans (IWMPs).

EPA will focus GAP funding on this priority. An IWMP outlines a tribe’s overall longterm approach for managing waste and serves as a roadmap for developing an effective 

waste management program. IWMPs also provide tribes with a way to identify waste 

management funding needs, investigate potential funding sources, and allocate resources 

accordingly. By promoting the adoption of effective cradle-to-grave regulatory oversight, 

IWMPs also help tribes address existing open dumps and prevent new open dumps. GAP 

funding should first be used to establish tribal waste management program capacities like 

the ones described in Section E.3; tribes may then transition to program implementation.

In addition to the GAP, Appendix V provides a list of other potential sources of EPA 

funding related to RCRA activities. More detailed descriptions of Agency funding 

resources may be found in the Plan.
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The first stage in developing an IWMP is to develop the necessary expertise and skills to 

identify, address, and manage the solid and hazardous waste issues facing the 

community. Tribal capacity-building activities should focus on assigning staff, acquiring 

initial training, compiling relevant data on which the tribe can make program 

development decisions, engaging the tribal community on waste management issues, and 

using this information to make decisions on further development of a waste management 

program. The specific capacities described in Section E.3 that a tribe may wish to 

establish with GAP funding should be based on the presence or absence of certain 

facilities or activities on tribal land. For example: solid waste landfills; open or 

unauthorized waste dumps; hazardous waste generators, transporters, or disposal 

facilities; transfer stations; and USTs. Tribes may use GAP funds for any activity 

identified in an approved work plan designed to establish an applicable capacity 

indicator; tribes may not need to develop all the capacities described below.

E.3 Indicators of Tribal Waste Management and UST Program Capacity

E.3.1 Tribe has established a staffing plan (position description and 

recruitment/retention/promotion plan) for who will serve as tribal waste 

management program coordinator(s). 

E.3.2 Staff has completed appropriate training and acquired baseline knowledge and 

skills related to the relevant areas of RCRA (become familiar with the major 

goals, programs, and requirements of the RCRA; the national structure for 

implementing the RCRA; and the EPA regional personnel and organization).

E.3.3 Tribe has established a program to meaningfully participate in waste 

management programs administered by other tribal, federal, state, or local 

governments (including reviewing and commenting on waste disposal facility 

permits and applicable waste management regulations). 

E.3.4 Tribe is receiving funding under the RCRA or other related EPA media 

specific program.

E.3.5 Tribe is conducting community education and outreach activities to assess 

community knowledge and interest in source reduction, alternatives for 

managing household hazardous waste, recycling, composting, and the use of 

green materials in tribal construction and to promote the use of such integrated 

solid waste management systems.

E.3.6 Tribe has completed a waste assessment (e.g., a waste stream characterization 

study of the solid and hazardous waste management practices, facilities, and 

issues in the community; effectiveness of current waste management 

system(s); waste collection and disposal options; and associated costs).

E.3.7 Tribe has a tribally-approved Integrated Waste Management Plan (IWMP).

E.3.8 Tribe has established a program to provide waste minimization, recycling, 

household hazardous waste collection, used oil collection, junk vehicle 

removal, bulk waste/appliance/electronic waste collection, and/or composting.

E.3.9 Tribe has established co-management roles through an intergovernmental 

agreement with a municipal government (e.g., Memorandum of 

Understanding or other mechanism) regarding landfill management where 

both governments have a stake.
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E.3.10 Tribe has completed a solid waste facility plan/feasibility study.

E.3.11 Tribe has completed an open dump inventory and submitted to EPA and IHS

for inclusion in the w/STARS database (including: GPS location; estimated 

size/volume; contents/type of waste; estimated distance to nearest homes, 

surface water and groundwater; estimated project costs; and site name).

E.3.12 Sites included in the open dump inventory have a health hazard ranking score.

E.3.13 Tribe has coordinated with EPA to ensure accuracy of EPA’s regulated 

hazardous waste facility inventory and operating status.

E.3.14 Tribe has coordinated with EPA to ensure accuracy of EPA’s regulated UST 

& LUST facility inventory and operating status.

E.3.15 Tribe has established capacity to provide information to EPA that may be used 

to conduct compliance monitoring inspections or in a RCRA § 3008, § 7003,

§ 4005(c)(2), or § 9006 enforcement action.

E.3.16 Tribe has established a program to assist EPA with implementing the federal 

RCRA program(s) (e.g., assisting the Agency to conduct compliance 

assistance activities for regulated entities, obtaining federal inspection 

credentials to inspect regulated entities, and assisting EPA to draft permits for 

regulated entities).

E.3.17 Tribe has enacted waste management and/or UST laws, codes, and/or 

regulations with effective compliance assurance and enforcement mechanisms

(including anti-littering provisions and protocols to address small-scale 

dumping/burning activities; siting/operating requirements for USTs that are at 

least as stringent as the federal program).

E.3.18 Tribe has established a compliance monitoring and enforcement strategy for 

the tribe’s solid and hazardous waste management laws, codes, and/or 

regulations.

E.3.19 Tribe has established mechanisms to assure a financially sustainable waste 

management program, including financing for trash collection services (e.g., 

fee for service, tribal government funding of trash collection services, or other 

cost recovery systems).

E.3.20 Tribal staff is leading circuit rider, train the trainer, and peer-match programs.

E.4 Program Implementation: Tribal Waste Management and UST Program 

Implementation

Once a tribe has established a waste management program that is generally consistent 

with the applicable indicators described above, GAP funds may be used for the following 

implementation activities in order of priority: (a) program administration; (b) compliance 

and enforcement; (c) solid waste management, resource recovery, and resource 

conservation support; and (d) cleanup and closure.

(a) Tribal Waste Management Program Administration. Program administration 

generally includes all administrative oversight functions to ensure proper program 

implementation (e.g., financial management, human resources management, program 

performance evaluation, scheduling). Program administration and oversight do not 

generally include the costs of facility operation and maintenance or general 
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government services normally provided to the general public, such as fire and 

police.

47 Under GAP, this restriction on government services includes trash 

collection, transportation, backhaul, and disposal services which are generally outside 

the scope of programs administered by the EPA.48 In limited circumstances, EPA 

may exercise discretion and grant an exception to this restriction on government 

services by approving the use of GAP funds for waste management services for up to 

two years for a grant recipient that has established a waste management program 

consistent with Sections E.2 and E.3 above. An applicant seeking approval to use 

GAP funds for waste management services under this exception must demonstrate 

that no other resources for such services are currently available and document the

actions they will take during the approved grant period to establish sustainable 

funding for collection, transportation, backhaul and/or disposal services. Regional 

offices will evaluate requests to use GAP resources for solid waste services and will 

submit the request to the AIEO Director and their justification for a recommended 

approval or non-approval of the request. AIEO will make the determination on the 

recommendation within 30 days and in consultation with Office of Solid Waste and 

Emergency Response (OSWER).

(b) Tribal Compliance and Enforcement Programs. Tribes are not eligible for 

authorization to administer a RCRA Subtitle C hazardous waste or Subtitle I UST 

program, nor may tribal programs be approved by EPA under RCRA Subtitle D. 

However, under EPA policy and consistent with EPA’s role as a regulatory agency, 

GAP may fund implementation activities associated with tribal waste management 

laws, codes, and/or regulations, such as compliance assurance (including inspections)

and enforcement consistent with the extent of their authorities. In addition, GAP may 

fund tribes to support compliance with federal requirements, including: (1) 

compliance assurance (including inspections) under tribal authority at non-hazardous 

waste disposal facilities to help verify that such facilities are in compliance with 40 

C.F.R. Part 257 and/or Part 258; (2) compliance assistance and inspections to help 

verify that hazardous waste generators are in compliance with 40 C.F.R. Parts 261 

and/or 262; or (3) compliance assurance (including inspections) to help verify that 

hazardous waste transporters are in compliance with 49 C.F.R. Parts 172, 173, 178, 

and 179. In accordance with a tribally approved IWMP, tribes may also use GAP 

funds to conduct community outreach and education programs on solid waste, 

hazardous waste, source reduction and diversion, and USTs.

(c) Activities to Support Solid Waste Management, Resource Recovery, and 

Resource Conservation. Consistent with RCRA § 4008, activities funded under 

 

47 2 C.F.R. §225, Appendix B(19)(a)(5): “Cost Principles for State, Local, and Indian Tribal Governments.” 48 “Any general assistance under this section shall be expended for the purpose of planning, developing, and 

establishing the capability to implement programs administered by the Environmental Protection Agency and 

specified in the assistance agreement. Purposes and programs authorized under this section shall include the 

development and implementation of solid and hazardous waste programs for Indian lands. [...] Such programs and 

general assistance shall be carried out in accordance with the purposes and requirements of applicable provisions of 

law, including the Solid Waste Disposal Act (42 U.S.C. 6901 et seq.).” Indian Environmental General Assistance 

Act of 1992, 42 U.S.C. § 4368b(f).
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GAP may include: facility planning and feasibility studies; expert consultation; 

surveys and analysis of market needs; marketing of recovered resources; technology 

assessments; legal expenses; construction feasibility studies; source separation 

projects; and fiscal or economic investigations or studies but shall not include any 

other element of construction, or any acquisition of land or interest in land, or any 

subsidy for the price of recovered resources.

49 Activities that are part of a sustainable 

waste management program designed to increase waste source reduction, recycling, 

composting, and sustainable materials management are also allowable under GAP. 

Under EPA policy, the operation and maintenance of solid waste facilities and trash 

collection services are not deemed to be eligible for GAP funding; however, program

administration and oversight as described in paragraph (a) above may be eligible. 

Further, the purchase, repair, upgrade, and replacement of resource recovery, resource 

conservation, and source separation supplies and equipment (e.g., vehicles, scales, 

containers, crushers, shredders, sheds, fencing, and signage) may be eligible for GAP

funding. Similarly, the construction, repair, upgrade, and replacement of source 

separation facilities (e.g., transfer stations, recycling centers, compost facilities, 

household hazardous waste collection facilities, bulk waste/appliance/electronic waste 

collection facilities; construction and demolition debris facilities, used oil collection 

stations, and other similar facilities) may also be funded under GAP. 

(d) Cleanup and Closure Activities. Unauthorized dumping of solid waste is 

typically a symptom of inadequate access to, or citizen participation in, integrated and 

sustainable waste minimization, recycling, collection, and disposal programs. As a 

result, funding cleanup activities prior to establishing and implementing an effective 

program seldom results in lasting changes to a community’s waste disposal practices. 

While GAP funds may be used to implement solid and hazardous waste programs 

consistent with the GAP statute,

50 including cleanup activities, GAP will remain 

focused on supporting tribal government efforts to develop a sustainable program 

designed to address and prevent new, or recurring, unauthorized dumping on tribal 

lands. IHS is the primary federal agency responsible for identifying, assessing and 

funding open dump cleanups and closures.51

Regional offices will evaluate requests to use GAP resources for cleanup activities 

described below in Section E.4(d)(i-iii) and will submit the request to the AIEO 

Director with supporting documentation, including assurance that the tribe has 

adequate administrative controls to oversee the cleanup, and their justification for a 

recommended approval or non-approval of the request. AIEO will make the 

determination on the recommendation within 30 days and in consultation with the 

appropriate EPA program office(s) (e.g., the Office of Solid Waste and Emergency 

Response, the Office of Enforcement and Compliance Assurance, and the Office of 

General Counsel).

 

49 42 U.S.C. § 6948(a)(2)(A). 50 The Indian Environmental General Assistance Act of 1992, 42 U.S.C. § 4368b(f). 51 Consistent with the Indian Lands Open Dump Cleanup Act of 1994, EPA works cooperatively with the IHS to 

develop the inventory and evaluate open dumps, as requested. 25 U.S.C. §3904.
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(i) Cleanup and Closure Activities for Established Tribal Programs

Cleanup or closure activities may be eligible for funding under GAP after the 

tribe has established a program and demonstrated the following program capacity 

indicators: E.3.5, E.3.6, E.3.7, E.3.8, E.3.17, and E.3.18.52 EPA decisions on 

funding cleanup and closure activities should be consistent with the tribal waste 

program priorities as defined in the Plan. If funded, cleanup and closure work 

should include documentation on the amount of waste removed/recycled, the 

types of wastes removed, and the disposition of the waste. 

(ii) Cleanup and Closure Activities for Tribal Programs under Development

Cleanup or closure activities may be eligible for funding under GAP when the 

tribe has demonstrated that they are substantially pursuing tangible elements of 

the following actions towards building a sustainable waste management program: 

- Conducting a characterization study of the waste streams a tribe generates and 

an assessment of current waste management practices.

- Conducting solid waste facility planning and feasibility studies.

- Developing an IWMP for approval by the tribe’s governing body.

- Developing waste management laws, codes, ordinances, or regulations within 

the scope of their authority.

- Developing and implementing a compliance monitoring and enforcement 

program and/or other mechanisms to identify and respond to illegal dumping

activity.

- Conducting community outreach and/or environmental education on waste 

management programs.

(iii) Cleanup and Closure Activities Where No Tribal Program is being 

Developed

Where a tribe does not have an established program as described above, or is not 

substantially pursuing tangible elements of the above actions, EPA will not 

prioritize providing financial assistance, including GAP funds, for the cleanup or 

closure activities unless the open or unauthorized dump presents an imminent and 

substantial endangerment to human health or the environment.53 Where this 

standard is met, AIEO will as part of their approval process, consult with OSWER 

and OECA. This is consistent with the coordinated approach described in the Plan

and will ensure proper EPA involvement and oversight of cleanups where there is 

an imminent and substantial endangerment to human health and the environment.

 

52 To help protect human health and the environment, EPA may consider approving GAP funding for cleanup 

activities for tribes with limited jurisdiction that have not developed E.3.17 and E.3.18, on a case-by-case basis. 53 This standard is consistent with RCRA §7003 (42 U.S.C. § 6973) and is applied here as a matter of policy to guide 

the use of GAP resources for open dump cleanup and closure actions.
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F: Building Tribal Contaminated Site Remediation and Emergency 

Response Program Capacities

F.1 EPA’s Comprehensive Environmental Response, Compensation and Liability Act; 

Emergency Planning, Community Right-to-Know Act; and Small Business Liability 

Relief and Brownfields Revitalization Act Programs

The Comprehensive Environmental Response, Compensation, and Liability Act 

(CERCLA), also known as Superfund, is the primary federal law that ensures responses 

to releases or threatened releases of hazardous substances that may endanger public 

health or the environment. The law was originally passed in 1980 and amended in 1986 

by the Superfund Amendments and Reauthorization Act. CERCLA authorizes responses

to address releases requiring prompt response and actions to address dangers associated 

with releases or threats of releases to the environment that are not immediately lifethreatening. EPA can fund remedial actions under CERCLA only at sites listed on the 

National Priorities List, which is a list of national priorities among the known releases or 

threatened releases from uncontrolled or abandoned hazardous waste sites. The CERCLA 

provides EPA with authority to ensure cleanup and payment for cleanup. If a responsible 

party does not agree to do the cleanup, EPA can issue an order to do certain work, or 

work with the Department of Justice to pursue the party through the federal court system. 

If a party is out of compliance with an order or settlement, the Superfund enforcement 

program takes action to bring them into compliance. For more information on CERCLA, 

visit: http://www.epa.gov/superfund.

The Emergency Planning and Community Right-to-Know Act (EPCRA) establishes 

hazardous chemical emergency planning and reporting requirements for federal, state and 

local governments, Indian tribes, and industry. The right-to-know provisions are designed 

to increase the public’s knowledge and access to information on hazardous substances at 

specific facilities, their uses, and releases into the environment. Government entities use 

this information to prepare for and respond to emergencies involving hazardous 

substances. For more information, visit: http://www.epa.gov/ceppo/web/content/epcra/. 

The Small Business Liability Relief and Brownfields Revitalization Act, commonly 

referred to as the Brownfields law, provides CERCLA liability relief for certain property 

owners and small businesses, and limits CERCLA enforcement authority at sites 

remediated under state or tribal voluntary cleanup programs. The Act also significantly 

expands federal grant authority to increase Brownfields redevelopment. Noncompetitive 

CERCLA § 128(a) State and Tribal Response Program grants fund tribes to establish and 

enhance a response program which can include addressing contaminated lands. The 

competitive brownfields grants such as the Assessment, Revolving Loan Fund, and 

Cleanup, and Environmental Workforce and Job Training Grants are open to all tribes 

except those in Alaska. For more information on Brownfields, visit: 

http://epa.gov/Brownfields/laws/2869sum.htm.

EPA implementation activities include: (1) maintaining and updating the Comprehensive 

Environmental Response, Compensation, and Liability Information System (CERCLIS)
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database to reflect newly identified sites where contaminants are suspected to have been 

released or new actions at existing sites; (2) response actions to address clean-up of 

hazardous substances; (3) response and post-clean up monitoring at sites on the National 

Priorities List (NPL); and (4) compliance assistance and enforcement actions to ensure 

that required EPCRA reports are submitted to formal EPCRA organizations. 

CERCLIS contains information on hazardous waste sites, potentially hazardous waste 

sites, emergency response or removal sites, and remedial activities across the nation, 

including NPL sites or sites that are being considered for the NPL. The information is 

updated by the EPA regional offices. The data describes what has happened at Superfund 

sites, identifies involved parties (other federal agencies, states, and tribes), and includes 

information on human exposure, ground water migration, and construction status.

While there is no national database of Brownfield sites, an important component of the 

Brownfields Program is the development of site inventories. Tribal Response Program 

grants can be used to survey and develop brownfield inventories, many of which can be 

accessed online. Tribal staff may be aware of other facilities that may be subject to 

regulation under CERCLA or EPCRA.

In addition to participating in the federal CERCLA and EPCRA schemes for remediating 

contaminated sites and providing emergency response, tribes may use GAP funds to 

develop their own programs consistent with their own priorities and authorities.

Tribes may request delegation of federal authority under CERCLA and EPCRA and can 

form agreements with EPA to become involved in decision-making concerning CERCLA 

sites, including assuming the lead role for site assessment or long-term cleanup of sites. 

In addition, tribes concerned about contaminated federal facilities can partner with other 

federal agencies, such as the Department of Defense and Department of Energy, through

advisory boards and committees to help make site decisions.

Under EPCRA, tribal governments have the lead role in ensuring an EPCRA-compliant 

emergency preparedness/response organization covers the tribe. Tribes can establish 

Tribal Emergency Response Commissions (TERCs), join existing Local Emergency 

Planning Committees (LEPCs), or coordinate with State Emergency Response 

Commissions (SERCs) to draft and implement an Emergency Response Plan. 

Under Brownfields, tribes are co-regulators for many of the program aspects that address 

contaminated lands. In many instances tribes can serve as the lead for assessment or 

cleanup of brownfield sites. State and Tribal Response program funding can be used to 

establish and enhance programs to address contaminated sites, development of necessary 

codes and regulations, brownfields assessment and cleanup (including open dumps that 

meet the definition of a brownfields site), development of emergency response programs, 

and/or receive technical assistance such as job training. Brownfields grants are also 

available to assess and clean up brownfields sites.
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Key sources of program guidance include:

• “OSWER Tribal Strategy: EPA and Tribal Partnership to Preserve and Restore Land 

in Indian Country,” November 2008. 

http://www.epa.gov/oswer/tribal/pdfs/oswer_tribal_strategy.pdf

• Funding Guidance for State and Tribal Response Programs Fiscal Year 2013

http://www.epa.gov/swerosps/bf/state_tribal/fund_guide.htm

• “Tribal Brownfields and Response Programs: Respecting Our Land, Revitalizing Our 

Communities,” 2011. http://www.epa.gov/swerosps/bf/state_tribal/pubs.htm

• “Plan to Enhance the Role of States and Tribes in the Superfund Program,” Chapter 4: 

Tribal Recommendations, March 1998. 

http://www.epa.gov/superfund/partners/osrti/pdfs/chapt4.pdf

• Emergency Planning and Community Right-to-Know Act (EPCRA) Local Emergency 

Planning Requirements. http://www.epa.gov/osweroe1/content/epcra/epcra_plan.htm

• “Guidance for Preparing Tribal Emergency Response Plans,” September 2004. 

http://www.epa.gov/oswer/tribal/pdfs/guidance_for_preparing_tribal_erps.pdf

F.2 Establishing Tribal Programs Related to CERCLA, EPCRA, and Brownfields

This subsection provides a “road map” for tribes and outlines a non-exclusive list of tribal 

environmental protection program capacity indicators that EPA will use to evaluate 

progress under the GAP. The subsection describes in general terms the types of indicators

that tribes and/or inter-tribal consortia could undertake with GAP funding to address 

issues related to CERCLA, EPCRA, or Brownfields. In general, GAP funding should be 

used to build baseline environmental program capacities; once capacity is established, 

tribes may seek funding under EPA’s media-specific programs to support more complex 

program development and implementation while continuing to use GAP resources for 

ongoing capacity building activities.

The first stage in developing a tribal site response program is to develop the necessary 

expertise and skills in order to establish an appropriate response planning committee, 

evaluate the threats from contaminated sites, evaluate the options for tribal programs, and 

develop partnerships with appropriate federal agencies to address contamination. Tribal 

capacity-building activities should focus on: (1) assigning staff; (2) acquiring initial 

training; (3) compiling relevant data on which the tribe can make program development 

decisions; (4) engaging the tribal community on contaminated land issues; and (5) using 

this information to make decisions on further development of a tribal site response 

program.

After building fundamental program capacities related to CERCLA, EPCRA, and 

Brownfields Tribal Response Program, and evaluating the type of related issues that may 

be facing the community, tribes may consider undertaking efforts to establish programs 

to address these issues. Tribes and inter-tribal consortia are encouraged to seek funding 

support under EPA’s media-specific programs where appropriate. 
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F.3 Indicators of Tribal Emergency Response and Remediation Program Capacity

F.3.1 Tribe has established a staffing plan (position description and 

recruitment/retention/promotion plan) for who will serve as tribal program 

coordinator(s).

F.3.2 Staff has completed appropriate training and acquired baseline knowledge and 

skills related to CERCLA, EPCRA, and Brownfields (e.g., become familiar 

with the major goals, programs, and requirements in CERCLA, EPCRA, and 

Brownfields Tribal Response Program; the national structure for 

implementing these programs; and the EPA regional personnel and 

organization).

F.3.3 Tribal response staff has completed and developed proficiency in OSHArequired HAZWOPER baseline and annual refresher training to qualify them 

to safely respond to spills and emergency incidents, and other appropriate 

training (e.g., acquire certification in an Incident Command System (ICS) 

course).

F.3.4 Tribal staff has completed and developed proficiency in All Appropriate 

Inquiries (EPA 40 C.F.R. § 312), Phase 1 ESA (ASTM E 1527-05), and ECM 

10-2 (Department of Interior).

F.3.5 Tribe has established mechanisms to provide meaningful opportunities for 

public participation / community involvement to identify contamination 

concerns and/or solicit input on site cleanup decisions.

F.3.6 Tribe is meaningfully participating in programs administered by other tribal, 

federal, state, or local governments (including reviewing and commenting on 

cleanup and response standards/plans).

F.3.7 Tribe has completed a site inventory of properties of environmental concern 

and identified potential EPA program(s) associated with the sites.

F.3.8 Tribe has established an EPCRA compliant tribal emergency planning 

organization (TERC, LEPC members, or SERC coordination).

F.3.9 Tribe has established program to conduct emergency response training and 

exercises for community members (e.g., orientation seminars to review the 

contents of the emergency response plan; table tops drills to verify 

understanding of notification procedures and response actions; and field 

exercises to ensure that response personnel are familiar with equipment and 

responsibilities).

F.3.10 Tribe has established a program to receive and manage material safety data 

sheets under EPCRA’s Hazardous Chemical Storage Reporting Requirements.

F.3.11 Tribal lands and resources covered by an EPCRA-compliant emergency 

response plan.

F.3.12 Tribe has established program to coordinate with state and federal agencies on 

specific spill response trainings (hands on response to oil and chemical 

hazards).

F.3.13 Tribe is conducting, alone or in collaboration with other governmental 

entities, annual hazmat or oil spill incident exercises (tabletop, functional or 

full-scale).

F.3.14 Tribe is receiving funding under CERCLA, EPCRA, or Brownfields.
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F.3.15 Tribe has enacted laws, codes, and/or regulations establishing oversight and 

enforcement authority to address contaminated sites, including emergency 

response authority.

F.3.16 Tribe has promulgated cleanup standards for soil, surface water, and 

groundwater to guide response and remediation decisions on contaminated 

sites (e.g., tribal “Applicable or Relevant and Appropriate Requirements” 

(ARARs).

F.3.17 Tribe has established capacity to conduct Phase I and Phase II site 

assessments.

F.3.18 Tribe has established program to participate in Department of Defense and 

Department of Energy advisory boards (Federal Facilities Restoration and 

Reuse) that involve stakeholders in cleanup decisions.

F.3.19 Tribe has established support agency cooperative agreements with EPA to 

provide for tribal input in cleanup decisions at CERCLA sites.

F.3.20 Tribe has developed MOA/MOU with EPA on implementation of appropriate 

CERCLA programs.
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G: Building Tribal Chemical Safety and Pollution Prevention Program

Capacities

G.1 EPA’s Asbestos Hazard Emergency Response Act; Federal Insecticide, Fungicide 

and Rodenticide Act; and Toxic Substances Control Act Programs

The Asbestos Hazard Emergency Response Act (AHERA) is a provision of the Toxic 

Substances Control Act (TSCA) that was enacted in 1986. The EPA implemented 

AHERA through the Asbestos-Containing Materials in School rule (40 C.F.R. Part

763(E)). This rule requires local education agencies to inspect public and non-profit 

private K-12 schools for asbestos-containing building material and prepare management 

plans to prevent or reduce asbestos hazards. Specific requirements include: performing an 

original inspection and re-inspection every three years of asbestos-containing material; 

developing, maintaining, and updating an asbestos management plan and keeping a copy 

at the school; providing yearly notification to parent, teacher, and employee organizations 

regarding the availability of the school's asbestos management plan and any asbestos 

abatement actions taken or planned in the school; designating and training a contact 

person to ensure the responsibilities of the local education agency are properly 

implemented; performing periodic surveillance of known or suspected asbestoscontaining building material; ensuring that properly accredited professionals perform 

inspections and response actions and prepare management plans; and providing custodial 

staff with asbestos-awareness training. To implement AHERA, the Agency provides 

outreach and compliance assistance, and conducts compliance inspections. For more 

information on AHERA, visit: 

http://www.epa.gov/asbestos/pubs/asbestos_in_schools.html.

In addition to AHERA requirements, the Asbestos National Emissions Standards for 

Hazardous Air Pollutants (NESHAP) under the CAA specifies practices to be followed 

for renovations or demolition of buildings containing asbestos (40 C.F.R. Part 61(M)).

The Federal Insecticide, Fungicide, and Rodenticide (FIFRA) provides for federal 

regulation of pesticide distribution, sale, and use. All pesticides distributed or sold in the 

United States must be registered by EPA. Pesticide use is regulated through the 

registration program, label requirements, and a compliance assurance and enforcement 

program. The labeling requirements include directions for use, precautionary statements, 

environmental hazards, detailed explanations regarding acceptable use sites, and 

requirements related to pesticide handlers and field workers. It is a violation of FIFRA to 

use a pesticide in a manner contrary to its labeling. This provision applies to all label 

requirements, including but not limited to mixing, loading, applying, storage and 

disposal. Through FIFRA, EPA also addresses the certification and training of restricted 

use pesticide applicators, and establishes requirements for restricted use pesticide recordkeeping. The law was originally passed in 1947, substantially revised in 1972, and 

amended in 1988, 1996, and 2003. Under FIFRA, the Agency provides compliance 

assurance (including inspections), takes enforcement actions against violators, provides 

technical assistance, and conducts education and outreach. For more information on 

FIFRA, visit: http://www.epa.gov/lawsregs/laws/fifra.html.
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The TSCA provides EPA with the authority to regulate the importation, manufacture, and 

use of chemical substances and/or mixtures. It does this through reporting, recordkeeping, 

and testing requirements, as well as restrictions and bans. TSCA addresses the

production, importation, use, and disposal of specific chemicals including 

polychlorinated biphenyls (PCBs), asbestos, radon and lead-based paint. TSCA was 

originally enacted in 1976, and significantly amended in 1986, 1988, and 1992. To 

implement TSCA, EPA provides outreach and compliance assistance and conducts 

compliance inspections. For more information on TSCA, visit: 

http://www.epa.gov/lawsregs/laws/tsca.html.

The Residential Lead-Based Paint Hazard Reduction Act’s Real Estate Notification and 

Disclosure Rule requires landlords, property management companies, real estate 

agencies, and sellers to inform potential lessees and purchasers of the presence of leadbased paint and lead-based paint hazards in pre-1978 housing. This ensures that potential 

tenants and home buyers are receiving the information necessary to protect themselves 

and their families from lead-based paint hazards. The Lead-based Paint Activities 

Training and Certification Rule holds that no individuals or firms can perform lead-based 

paint activities without certification from EPA. The Renovation, Repair and Painting 

Rule addresses common renovation activities like sanding, cutting, and demolition that 

can create hazardous lead dust and chips by disturbing lead-based pain, Under the rule, 

contractors performing renovation, repair and painting projects that disturb lead-based 

paint in homes, child care facilities, and schools built before 1978 must be certified by 

EPA-approved training providers and must follow specific work practices to prevent lead 

contamination.

EPA generally is the primary enforcement authority for pesticide use violations in Indian 

country. Tribes may restrict or prohibit the sale or use of a federally registered pesticide, 

but may not allow the sale or use of an unregistered product. EPA works cooperatively 

with tribes to enforce FIFRA, as it does with states and territories. For example, under 

FIFRA Section 23, EPA may enter into cooperative agreements with tribes. These 

agreements may include provisions for tribes to assist EPA in ensuring compliance with 

FIFRA by obtaining federal inspector credentials, conducting inspections, and 

recommending enforcement actions to EPA. 

Under FIFRA and TSCA, EPA regional offices can utilize, as appropriate, Direct 

Implementation Tribal Cooperative Agreements (DITCAs), memoranda of agreement, 

program funding, and other devices to provide for tribal participation in the 

implementation of the federal program. Examples of activities that tribal staff may 

engage in with EPA include: (1) conducting compliance assistance activities for regulated 

entities; (2) providing technical and compliance assistance, education, and outreach; and

(3) obtaining federal inspection credentials to inspect regulated activities.

For many of the activities regulated under TSCA (including AHERA and lead programs) 

and FIFRA, the Agency does not maintain a national inventory of regulated entities. EPA 
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regional offices will work closely with tribal staff to identify facilities potentially 

affecting each tribe that may be subject to the requirements in these federal statutes. 

While tribal governments cannot operate the federal AHERA program, tribes may seek 

EPA approval of and subsequently implement certain lead-based paint programs under 

TSCA and pesticide programs under FIFRA in a manner similar to states. For example, 

EPA may approve tribal training and certification programs for applicators of restricteduse pesticides. 

In addition to participating in the federal AHERA, FIFRA, and TSCA schemes, tribes 

may use GAP funds to develop their own chemical safety and pollution prevention

programs consistent with their own priorities and authorities.

Key sources of program guidance include:

• “Guidance for Funding Development and Administration of Tribal Pesticide Field 

Program and Enforcement Cooperative Agreements,” January 3, 2011.

http://www.epa.gov/nscep/index.html.

• “The National Pesticide Tribal Program: Achieving Public Health and Environmental 

Protection in Indian Country and Alaska Native Villages.” October 2009. 

http://www.epa.gov/oppfead1/Publications/tribal-brochure.pdf.

• "Guidance on Basic Elements of an EPA-Funded Tribal Pesticide Program," March 

11, 2002.

http://www.epa.gov/oppfead1/tribes/guidance.htm.

G.2 Activities Eligible for Funding Under EPA Programs that Support Tribal Capacity 

Development and/or Implementation of Chemical Safety and Pollution Prevention

This subsection provides a “road map” for tribes and outlines a non-exclusive list of tribal 

environmental protection program capacity indicators that EPA will use to evaluate 

progress under the GAP. The subsection describes in general terms the types of indicators

that tribes and/or inter-tribal consortia could establish with GAP funding to address issues 

related to TSCA (including AHERA and lead programs) and FIFRA. In general, GAP 

funding should be used to build baseline environmental program capacities; once 

capacity is established, tribes may seek funding under EPA’s media-specific programs to 

support more complex program development and implementation while continuing to use 

GAP resources for ongoing capacity building activities. 

The first stage in developing programs related to asbestos, lead-based paint, pesticides, 

and toxics is to develop the necessary expertise and skills to identify, address, and 

manage any of those issues that may be facing the community. Tribal capacity-building 

activities should focus on: (1) assigning staff; (2) acquiring initial training; (3) compiling 

relevant data on which the tribe can make program development decisions; (4) engaging 

the tribal community on chemical safety and pollution prevention issues; and (5) using 

this information to make decisions on further development of chemical safety and 

pollution prevention programs. Based on the presence or absence of certain facilities or 

activities (for example, pesticide use, residences or child-occupied buildings with leadbased paint), it will not be necessary for all tribes to develop all the capacities below.
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Appendix I: Guidebook for Building Tribal Environmental Program Capacity Page 41 of 42

After building fundamental program capacities related to the federal asbestos, pesticides, 

lead-based paint, and toxics programs and evaluating the type of related issues that may 

be facing the community, tribes may consider undertaking efforts to establish programs 

to address these issues. Tribes and inter-tribal consortia are encouraged to seek funding 

support under EPA’s media-specific programs where appropriate. 

G.3 Indicators of Chemical Safety and Pollution Prevention Program Capacity

G.3.1 Staff has established a staffing plan (position description and 

recruitment/retention/promotion plan) for who will serve as tribal program 

coordinator(s).

G.3.2 Staff has completed appropriate training and acquired baseline knowledge and 

skills related to TSCA (including AHERA and lead paint programs), FIFRA, 

and pollution prevention (e.g., become familiar with: the major goals, 

programs, and requirements related to TSCA and FIFRA; the national 

structure for implementing these programs; and the EPA regional personnel 

and organization). 

G.3.3 Tribe is receiving funding under FIFRA, TSCA, Pollution Prevention Act, or 

other similar program to support projects or programs related to managing 

chemical safety and pollution prevention.

G.3.4 Tribe has completed an asbestos, pesticides, lead-based paint, and pesticides 

needs assessment that: collects and evaluates existing data on pesticide use 

and other relevant factors; assesses the need to develop related projects and/or 

programs; and evaluates short-term and long-term options to address those 

identified needs.

G.3.5 Tribal staff has acquired necessary training/accreditation/certification to 

conduct lead-based paint hazard evaluations at pre-1978 tribal housing/pre1978child occupied facilities.

G.3.6 Tribe has developed Quality Assurance Plan (QAP) to cover sampling and 

analysis activities and secured EPA approval for QAP before conducting 

physical sampling, blood testing, or other investigations.

G.3.7 Tribe has established community outreach/education programs.

G.3.8 Tribe has established mechanisms to provide meaningful opportunities for 

public participation / community involvement to identify concerns related to 

chemical safety and pollution prevention and/or solicit input on decisions.

G.3.9 Tribe has completed inventory of all pre-1978 target housing and childoccupied buildings and gathered information on the presence of lead-based 

paint and/or lead-based paint hazards in or around these buildings.

G.3.10 Tribe has completed an inventory of asbestos (in accordance with the 

AHERA), pesticides, and toxics in K-12 schools.

G.3.11 Tribe has adopted a pollution prevention strategy and/or policy (e.g., integrate 

pollution prevention practices through government services, policies, and 

initiatives; establish environmentally preferable purchasing standards, green 

building codes/standards, greenhouse gas emission reduction targets; 

reduction targets for the use of hazardous materials; establish an integrated 
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pest management program; and adopt natural resources protection 

policies/procedures).

G.3.12 Tribe is meaningfully participating in programs administered by other tribal, 

federal, state, or local governments.

G.3.13 Tribe has established an EPA-tribal MOA/MOU or interagency agreement 

concerning joint implementation of FIFRA, TSCA, or other authorities. 

G.3.14 Tribe has established a program to implement lead abatement and Renovation, 

Repair and Painting (RRP) program.

G.3.15 Tribe has established certification and training plan for restricted use pesticide 

applicators (commercial and private) to educate applicators and control 

restricted use pesticides in Indian country.

G.3.16 Tribe has established a training/accreditation/certification program similar to 

TSCA Section 402 for individuals and firms engaged in lead-paint activities

and for asbestos related accredited training under AHERA requirements (i.e., 

a model accreditation plan).

G.3.17 Tribe has established a Pesticides Field Program, including identification of 

possible pesticide inspection targets and pesticide-specific issues to determine 

the kind of approach needed to address concerns related to the use and sale of 

pesticides.

G.3.18 Tribe has established a pesticides compliance assurance and enforcement 

program under which a tribal inspector completes all required training and, 

upon EPA approval, obtains federal credentials to conduct inspections of the 

regulated community (e.g., pesticide applicators, marketplaces that sell 

pesticides, etc.) to determine compliance with FIFRA or tribal pesticide 

regulations. 

G.3.19 Tribe has established a compliance assurance and enforcement program 

similar to TSCA Section 406(b) that requires distribution of information on 

lead-based paint hazards.

G.3.20 Tribe has established a compliance assurance and enforcement program for 

tribal laws and regulations to manage asbestos, pesticides, toxics, or other 

chemical risks that are at least as stringent as the applicable federal statutes.

G.3.21 Tribal staff has capacity to lead circuit rider, train the trainer, and peer-match 

programs.

G.3.22 Tribe has enacted tribal laws, codes, and regulations with effective 

compliance assurance and enforcement provisions to manage asbestos, 

pesticides, toxics, or other chemical risks that are at least as stringent as the 

applicable federal statutes. 
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Appendix II: Baseline Needs Assessment Page 1 of 1

Appendix II

Baseline Needs Assessment

The diagram below illustrates the types of steps that tribes can take to identify and prioritize the 

environmental issues they want to address. Such an assessment can help inform a tribe’s

approach for undertaking protection and restoration efforts. As a tribe develops a more 

sophisticated environmental program, it may undertake extensive sampling and monitoring 

efforts. The baseline needs assessment is not meant to be such an extensive data collection effort, 

but rather a primary step to prioritize general environmental issues. 

Conducting a Baseline Needs Assessment
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Appendix III: Sample GAP Work Plan: Developing a Joint EPA-Tribal Environmental Plan Page 1 of 2

Appendix III

Sample GAP Work Plan: Developing or Updating a Joint EPA-Tribal 

Environmental Plan

Work Plan Details

Tribe Recipient Name

Work Plan Period

Reporting 

Frequency

Fiscal Year of 

Funding

Status

Author(s) Author Name

Description

Component #1: Joint EPA-Tribal Environmental Plan

Description Developing (or Updating) a joint environmental protection plan that identifies longrange environmental capacity development and program implementation goals that 

are consistent with the GAP capacity indicators and EPA program authorities.

Long-Term 

Outcome

Increased knowledge of EPA programs, resources, and technical assistance that are 

aligned with tribal priorities and tribal environmental protection program 

development goals.

Measures

Intermediate 

Outcomes

Identify EPA statutes and regulations applicable to regulated entities in the 

community.

Identify appropriate role for tribe in helping to implement EPA programs.

Identify current and needed tribal laws/codes/ordinances/regulations.

Identify the long term program development goals and capacity indicators that the 

tribe will establish.

Estimated 

Component Cost

Estimated Work 

Year (FTE)

EPA Program 

Coding

Commitment #1.1

Description Work with EPA project officers and programs to identify which EPA statutes and 

regulations apply to facilities, sites, and activities that may affect the tribe or that 

are located in close proximity to tribal boundaries 

Estimated Cost
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Appendix III: Sample GAP Work Plan: Developing a Joint EPA-Tribal Environmental Plan Page 2 of 2

End Date

Positions Program Director/Assistant Director

Outputs and 

Deliverables

List of applicable statutes and regulations 

Commitment #1.2

Description Review, and update with tribal information, EPA’s baseline inventory of regulated 

entities, sites, or activities that may affect the tribe or that are located in close 

proximity to tribal boundaries 

Estimated Cost

End Date

Positions Environmental Specialist, Program Director/Assistant Director

Outputs and 

Deliverables

Complete accurate inventory 

Commitment #1.3

Description Identify existing tribal priorities and associated capacity indicators the tribe intends 

to establish 

Estimated Cost

End Date

Positions Program Director/Assistant Director

Outputs and 

Deliverables

Tribe sends Environmental Priorities document to EPA 

Commitment #1.4

Description Develop (or Update) a joint EPA-Tribal Environmental Plan that includes the 

following for each of the programs identified under this Commitment: 1) 

identification of tribal environmental program priorities, including capacity 

building and program implementation goals; (2) identification of EPA program 

priorities and management requirements; (3) inventory of regulated entities; and 

(4) identification of mutual roles and responsibilities.

Estimated Cost

End Date

Positions Administrative Assistant, Program Director/Assistant Director

Outputs and 

Deliverables

Joint Planning Agreement approved by both the legally authorized tribal leadership 

and the EPA Regional Administrator 
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Appendix IV: EPA Water Program Reference Table: Framework for Tribal Water Program Page 1 of 5

Strategic Planning and Development 

Appendix IV

EPA Water Program Reference Table: Framework for Tribal Water 

Program Strategic Planning and Development

This reference table is for tribes that intend to establish water programs that are consistent with 

authorities under the Clean Water Act (CWA) and the Safe Drinking Water Act (SDWA) and 

that may pursue, or are already receiving, EPA funding under the CWA or the SDWA in tandem 

with GAP funds. With careful planning, tribes may initiate activities to establish water programs 

using GAP funds and continue to enhance their water programs using CWA or SDWA grant 

funds, provided the activities are consistent with and eligible under CWA or SDWA funding 

authorities. 

The table provides examples of basic activities that are consistent with program guidance under 

the CWA and SDWA and therefore are generally viewed as eligible for funding under EPA grant 

programs supporting tribal water programs. The activities are subdivided into CWA and SDWA 

program areas, and are separated into two columns to distinguish between activities that are 

typically considered planning and development and activities typically considered to be 

implementation.

The table may be useful to:

• Provide a summary view of CWA and SDWA program milestones that tribes can use to 

plan their water program goals, including short, intermediate, and long-term (i.e., 

implementation) goals for water programs that are consistent with the CWA and SDWA.

• Provide examples of indicators for building capacity to meet those long-term goals.

• Provide examples of indicators for inclusion in the GAP work plan, which contains the 

short-term goals, so that the indicators are clearly linked to the longer-term goals. 

• Enable the tribe and EPA to have a shared understanding of the path that will be followed 

to successfully develop tribal environmental program capacity.

• Clarify examples of activities a tribe could pursue based on whether a tribe wants to 

develop a program under (1) their own tribal authority, (2) a Direct Implementation 

Tribal Cooperative Agreement (DITCA) with EPA, and/or (3) EPA-approved treatment 

in a manner similar to a state (TAS) authorization or delegation of primacy.

• Distinguish between program development and program implementation activities for a 

particular water program area.

• Identify capacity building activities that are generally eligible for funding by EPA.

In general, the planning and development activities in the left hand column are capacity building 

and therefore may be eligible for GAP funding. In many cases, planning and development 

activities can also be funded by specific EPA program grants (such as SDWA Section 1451, and 

CWA Sections 106 and 319).

In general, the ongoing operation and implementation activities in the right hand column are 

eligible for funding through water program grants.
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Strategic Planning and Development 

Tribes should consult with the GAP and water programs to determine the best program planning 

and funding approach for their specific situation when developing their work plans.

Note: The baseline environmental program capacities listed in the left hand column of the table 

are consistent with the “capacity indicators” in Appendix 1 of this Guidance, and may be used in 

GAP work plans.

This table is a non-exclusive list of possible water program planning, development and 

implementation activities. Tribes should consult with the GAP and water programs, as well as 

review applicable EPA water program guidance, as appropriate, in determining the types of 

capacity activities for which to pursue using GAP funding. In addition, please note that: (1) this 

information is intended as a summary, and despite mandatory language, does not itself contain 

requirements for the programs described independent of the statutory and regulatory authorities;

(2) statutes and regulations control if there is any ambiguity between this information and the 

requirements contained in statute or regulation; (3) there is no guarantee all eligible entities will 

be eligible for, or will receive, funding under any specific grant competition or funding 

announcement.

Tribes may prefer to use other indicators of water program capacity in GAP assistance agreement 

work plans (i.e., indicators that are not directly related to CWA and SDWA programs), and can 

work with regions on a tribe-by-tribe basis, reflecting the unique priorities and program 

development plans of a particular recipient. EPA will rely on the capacity indicators that have 

been identified in work plans and ETEPs to assess and report on progress in the development of 

tribal environmental program capacities under the GAP program.

Table 1: Framework of Activities Generally Consistent with EPA CWA and SDWA 

Authorities and Funding Sources that Support Tribal Water Program Capacity 

Planning, Development and/or Implementation

Tribal Activities for Water Program

Planning and Development

Tribal Activities for Water Program 

Implementation

Clean Water Act

Water Quality Monitoring Activities

- Identify basic water resources.

- Identify water quality and financial needs.

- Identify water quality program objectives, goals and 

milestones. 

- Begin developing a water quality monitoring 

strategy.

- Begin developing a Quality Assurance Project Plan 

(QAPP) associated with their water quality 

monitoring strategy.

- Begin developing a database management function 

for its water quality monitoring data.

- Begin conducting water quality outreach and 

education activities.

- Developing TAS Package for 106 grant eligibility.

Water Quality Monitoring Activities

- Implementing and updating a water quality 

monitoring strategy.

- Collecting surface water quality data.

- Collecting surface water quality data for the 7 

parameters (106 Guidance).

- Collecting groundwater quality data.

- Provide quality assured surface water monitoring 

data in a format accessible for storage into EPA’s 

database.

- Routinely provide quality assured surface water 

monitoring data in a format accessible for storage 

into EPA’s STORET database.

- Analyze water quality data and determine the 

status of water quality in tribal waters.
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Appendix IV: EPA Water Program Reference Table: Framework for Tribal Water Program Page 3 of 5

Strategic Planning and Development 

Tribal Activities for Water Program

Planning and Development

Tribal Activities for Water Program 

Implementation

Clean Water Act

- Complete an annual water quality assessment 

report.

Non Point Source (NPS) Activities

- Determine areas with water quality problems.

- Determined watershed-based goals.

- Begin developed a Watershed-Based Plan. 

- Conduct nonpoint source (NPS) outreach and 

education activities. 

- Develop TAS Package for 319 grant eligibility.

Non Point Source (NPS) Activities

- Implement Watershed-Based Plan that has been 

reviewed by EPA Regional staff.

- Work with other stakeholders to develop 

watershed management plan.

- Develop/implement voluntary programs and/or 

specific projects to prevent or mitigate nonpoint 

source pollution.

- Implementing water quality protection and 

restoration activities.

- Applying for 319 competitive funding.

Wetlands Activities

- Developing a wetland protection program pursuing 

one of more of the core wetland program elements.

- Developing a Wetlands Program Plan.

Wetlands Activities

- Appling for wetland program grants.

- Implementing a tribal wetlands protection program.

- Implementing voluntary surface water and/or 

wetlands protection and restoration activities.

- Implementing a wetland permitting program.

- Developing WQS that cover designated uses for 

wetlands.

Activities following EPA-approved WQS and TAS 

authority only

- Implementing the Section 404 CWA program to 

regulate the discharge of dredged or fill material 

into waters of the US, including wetlands.

Water Quality Standards Activities

 

Activities to pursue using either tribal authority 

and/or EPA authoritya

- Developing draft water quality standards. 

- Obtaining tribal council adoption of initial water 

quality standards. 

- Conducting a survey to determine fish consumption 

rates for the purpose of setting or revising water 

quality criteria for human health effects from 

bioaccumulative pollutants.

Water Quality Standards Activities

Activities to pursue using either tribal authority 

and/or EPA authoritya

- Implementing water quality standards.

- Revising and/or submitting any necessary new or 

revised standards, such as updating numeric 

criteria.

Activities to pursue only if seeking EPA-approved 

TAS authority 

- Developing TAS package for EPA-approved WQS.

- Submitting draft standards to EPA for review.

Activities to pursue following EPA-approved 

TAS authority only

- Developing and implementing a CWA Section 401 

certification program.

- Conducting at least one triennial review.

- Carrying out implementation method for 

antidegradation policy, including conducting any 

necessary review of activities that may lower water 

quality in high quality waters.
INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM

Guidance on the Award and Management of General Assistance Agreements for Tribes and Intertribal Consortia (May 15, 2013)

Appendix IV: EPA Water Program Reference Table: Framework for Tribal Water Program Page 4 of 5

Strategic Planning and Development 

Tribal Activities for Water Program

Planning and Development

Tribal Activities for Water Program 

Implementation

Clean Water Act

Impaired Waters Identification/Listing and Total 

Maximum Daily Loads (TMDLs) Activities

- Providing available water quality-related data and 

information on geographically-relevant waters

- Reviewing and commenting on water quality reports, 

TMDLs, and other watershed-based planning efforts 

- Developing capacity to assess water quality 

conditions, including comparing water quality 

monitoring information and data against applicable 

water quality standards

- Develop capacity (including modeling) to develop 

TMDLs and other water quality-based planning 

efforts

Impaired Waters Identification/Listing and Total 

Maximum Daily Loads (TMDLs) Activities

- Developing reports/lists of impaired and 

threatened waters

- Developing TMDLs for impaired and threatened 

waters

Permit Activities 

Activities to pursue using either tribal authority 

and/or EPA authoritya

- Developing the legal framework to implement the 

permit program, e.g., promulgation of regulations

- Developing the funding structure necessary to 

implement the permit program

Permit Activities

Activities to pursue using either Tribal authority 

and/or EPA authoritya

- Issuing permits

- Renewing permits in a timely manner

- Conducting inspections 

- Providing compliance assistance

- Revising regulations, as needed

Activities to pursue only if seeking EPA TAS 

authority

- Develop TAS Package for NPDES

- Develop a draft authorization package for EPA 

review and comment

Activities to pursue following EPA-approved 

TAS authority only

- Providing data to EPA’s ICIS database

- Assisting the Region in enforcement and 

compliance activities.

Wastewater Infrastructure – CWA

- Tribe becomes knowledgeable of the processes to 

procure Federal funds for the construction of tribal 

wastewater treatment systems (funding sources 

may include: EPA Tribal Set Aside, USDA-RD, IHS, 

HUD & DOI).

Wastewater Infrastructure – CWA

- Apply for federal funds for the construction of tribal 

wastewater treatment systems (EPA Tribal Set 

Aside, USDA-RD, IHS, HUD & DOI).

- Manage grants, agreements, and contracts 

through project completion.

Tribal Activities for Water Program

Planning and Development

Tribal Activities for Water Program 

Implementation

Safe Drinking Water Act 

Ground Water and Source Water Protection 

Activities

- Delineate source water protection areas

- Begin developing a Source Water Assessment.

Ground Water and Source Water Protection 

Activities

- Complete and implement source water protection 

plan/wellhead protection plan for public water 

supplies

- Institute land use planning to protect susceptible 
INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM

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Appendix IV: EPA Water Program Reference Table: Framework for Tribal Water Program Page 5 of 5

Strategic Planning and Development 

Tribal Activities for Water Program

Planning and Development

Tribal Activities for Water Program 

Implementation

Safe Drinking Water Act 

source water areas.

Drinking Water Infrastructure – SDWA

- Tribe becomes knowledgeable of the processes to 

procure Federal funds for the construction of tribal 

public drinking water systems (funding sources may 

include: EPA Indian Set Aside, USDA-RD, IHS, 

HUD, and DOI).

Drinking Water Infrastructure – SDWA

- Apply for federal funds for the construction of tribal 

public drinking water systems (EPA Tribal Set 

Aside, USDA-RD, IHS, HUD, and DOI).

- Manage grants, agreements, and contracts 

through project completion.

Oversight, Enforcement and Permitting Activities 

under SDWA

Activities to pursue using either tribal authority 

and/or EPA authoritya

- Tribe requests a DITCA with their EPA Region that 

assists EPA with direct implementation activities of 

the Public Water System Supervision (PWSS) 

program

- Tribe requests a DITCA with their EPA Region that 

assists EPA with direct implementation activities of 

the Underground Injection Control (UIC) program 

- Tribe Reports UIC inventory (esp. Class V wells) 

information to EPA.

Oversight, Enforcement and Permitting 

Activities under SDWA

Activities to pursue using either tribal authority 

and/or EPA authoritya

- Enact UIC laws and regulations to administer and 

implement a UIC program

- Issue individual permits and rule authorized 

injection 

- Renew permits in a timely manner

- Conduct inspections

- Provide compliance assistance

- Revise regulations, as needed

Activities to pursue only if seeking EPA-approved 

program delegation authority

- Developing the legal framework to implement the 

primary enforcement program (primacy), e.g., 

promulgation of regulations, enforcement 

capabilities

- Developing a draft authorization package for EPA 

review and comment for primary enforcement 

responsibility under Section 1451 of SDWA 

(“primacy”)

- Developing a draft authorization package for EPA 

review and comment for primacy to enforce federal 

UIC requirements and manage injection wells on 

tribal lands.

Activities to pursue only following EPAapproved program delegation via TAS or the 

primacy agency

- Oversee and enforce the National Primary 

Drinking Water Regulations for the PWSS 

program at public water systems under tribal 

jurisdiction

- Maintain compliance data systems on public water 

systems

- Receive and analyze compliance monitoring data

- Conduct sanitary surveys of public water systems

- Certify laboratories that can perform analysis of 

drinking water, which will be used to determine 

compliance with the regulations

- Provide technical assistance to managers and 

operators of public water systems; 

- Use UIC grant funds to implement the minimum 

Federal UIC requirements

- Implement and enforcement the Federal UIC 

regulations on tribal lands.

a – Means that a tribe could pursue these activities under (1) their own tribal authority, (2) a 

Direct Implementation Tribal Cooperative Agreement (DITCA) or Memorandum of 

Understanding (MOU) with EPA, and/or (3) EPA-approved treatment in a manner similar to a 

state (TAS) authorization or delegation of primacy.
INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM

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Appendix V: EPA Funding Programs that Support Tribal Environmental Program Capacity Development Page 1 of 6

and/or Implementation Activities

Appendix V

EPA Funding Programs that Support Tribal Environmental Program 

Capacity Development and/or Implementation Activities

Indian Environmental General Assistance Program [CFDA No. 66.926]: Assistance to 

build tribal capacity to administer environmental regulatory programs on Indian lands,

and technical assistance in the development of multimedia programs. Supports planning, 

developing, and establishing the capability to implement programs administered by EPA 

and includes the development and implementation of solid and hazardous waste programs 

for Indian lands in accordance with the purposes and requirements of applicable 

provisions of law, including the Solid Waste Disposal Act. 

Direct Implementation Tribal Cooperative Agreements [CFDA No. 66.473]: Assistance

authority to support tribes to work with EPA to directly implement federal environmental 

programs required or authorized by law in the absence of an acceptable Tribal program.

• EPA Funding Programs that Support Tribal Capacity Development and/or Implementation of 

CAA

Training, Investigations, and Special Purpose Activities of Federally-Recognized Indian 

Tribes Consistent with the Clean Air Act, Tribal Sovereignty and the Protection and 

Management of Air Quality CAA Section 103 (Tribal CAA 103 Project Grants) [CFDA 

No. 66.038]: Assistance to support tribal efforts to understand, assess and characterize air 

quality; design methods and plans to protect and improve air quality on tribal lands 

through surveys, studies, research, training, investigations, and special purpose activities. 

Air Pollution Control Support Program (CAA Section 105) [CFDA No. 66.01]:

Assistance for planning, developing, establishing, improving, and maintaining adequate 

programs for the continuing prevention and control of air pollution and/or in the 

implementation of national primary and secondary air quality standards.

National Clean Diesel Emissions Reduction Program [CFDA No. 66.039]: Assistance

through grants and low-cost revolving loans to eligible entities to fund the costs of a 

retrofit technology that significantly reduces emissions for buses (including school 

buses), medium heavy-duty or heavy heavy-duty diesel trucks, marine engines, 

locomotives, or nonroad engines or diesel vehicles or equipment used in construction, 

handling of cargo (including at port or airport), agriculture, mining, or energy production. 

In addition, eligible entities may also use funds awarded for programs or projects to 

reduce long-duration idling using verified technology involving a vehicle or equipment 

described above, or the creation of low-cost revolving loan programs to finance diesel 

emissions reduction projects.

Chemical and Emergency Preparedness and Prevention Technical Assistance Grants 

[CFDA No. 66.810]: Assistance for chemical accident prevention activities that relate to 
INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM

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Appendix V: EPA Funding Programs that Support Tribal Environmental Program Capacity Development Page 2 of 6

and/or Implementation Activities

the Risk Management Program under the Clean Air Act Section 112(r), chemical 

emergency planning, and community right-to-know programs which are established to 

prevent or eliminate unreasonable risk to the health and environment of the community.

• EPA Funding Programs that Support Tribal Capacity Development and/or Implementation of 

CWA and SDWA

SDWA Capitalization Grants for Drinking Water State Revolving Funds (Drinking Water 

Infrastructure Grants: Tribal Set-Aside Program) [CFDA No. 66.468]: Assistance to 

finance infrastructure improvements for public drinking water systems.

Construction Grants for Wastewater Treatment Works & Capitalization Grants for Clean 

Water State Revolving Funds (Indian Set Aside Program) [CFDA No. 66.418, 66.458]:

Assistance for planning, design and construction of wastewater treatment facilities; lowcost financing to eligible entities within tribal lands for water quality projects including 

all types of nonpoint source, watershed protection or restoration, and estuary 

management projects, as well as more traditional municipal wastewater treatment 

projects.

Assessment and Watershed Protection Program Grants (CWA Section 104(b)(3)) [CFDA 

No. 66.480]: Assistance to support a watershed approach to water quality problems and 

building capacity to develop and implement programs for watershed protection, 

restoration, and management.

Surveys, Studies, Investigations, Demonstrations, and Training Grants and Cooperative 

Agreements – Section 104(b)(3) of the Clean Water Act [CFDA No. 66.436]: Assistance

to support the coordination and acceleration of research, investigations, experiments, 

training, demonstrations, surveys, and studies relating to the causes, effects (including 

health and welfare effects), extent, prevention, reduction, and elimination of water 

pollution.

Regional Wetland Program Development Grants (CWA Section 104(b)(3)) [CFDA No. 

66.461]: Assistance for building programs which protect, manage, and restore wetlands. 

Water Pollution Control State, Interstate, and Tribal Program Support (CWA Section 

106) [CFDA No. 66.419]: Assistance to establish and maintain adequate measures for 

prevention and control of surface and ground water pollution from both point and 

nonpoint sources.

Nonpoint Source Implementation Grants (CWA Section 319) [CFDA No. 66.460]:

Assistance for implementing EPA-approved nonpoint source management programs.

Beach Program Monitoring and Notification Implementation Grants [CFDA No. 66.472]:

Assistance for eligible coastal and Great Lakes Tribes to develop and implement 

programs for monitoring and notification for coastal recreation waters adjacent to 

beaches or similar points of access that are used by the public.
INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM

Guidance on the Award and Management of General Assistance Agreements for Tribes and Intertribal Consortia (May 15, 2013)

Appendix V: EPA Funding Programs that Support Tribal Environmental Program Capacity Development Page 3 of 6

and/or Implementation Activities

Surveys, Studies, Investigations, Demonstrations, and Training Grants – Section 1442 of 

the Safe Drinking Water Act [CFDA No. 66.424]: Assistance for source water protection 

program support, operator certification program support, tribal capacity development 

program support, and administration of drinking water system infrastructure.

State Public Water System Supervision [CFDA No. 66.432]: Assistance for eligible tribes 

(those that have Primary Enforcement Responsibility for the Public Water System 

Supervision Program, or are developing such a program) for implementation of Public 

Water Systems Supervision Program.

State Underground Water Source Protection [CFDA No. 66.433]: Assistance for states 

and Indian tribes that have been delegated primary underground injection control 

enforcement authority pursuant to the Safe Drinking Water Act (SDWA)..

• EPA Funding Programs that Support Tribal Capacity Development and/or Implementation of 

RCRA

Tribal Solid Waste Management Assistance Projects [CFDA No. 66.808]: Assistance to 

characterize/assess open dumps; develop IWM plans and tribal codes and regulations; 

develop and implement alternative solid waste management activities/facilities (including 

equipment acquisition); and develop and implement cleanup, closure, and post-closure 

programs for open dumps in Indian Country. Note that starting in Fiscal Year 2012, 

funding from all federal agencies for this Project was zero, “reflecting the challenging 

fiscal constraints facing the federal government.”54

Headquarters and Regional Underground Storage Tank Program [CFDA 66.816]:

Assistance to support activities that promote the prevention, compliance, and 

identification of USTs and to support activities that promote corrective action, 

enforcement and management of releases from UST systems.

Underground Storage Tank Prevention, Detection, and Compliance Program [CFDA No. 

66.804]: Assistance for the development and implementation of UST programs and for 

leak prevention, compliance and other activities.

Leaking Underground Storage Tank Trust Fund Corrective Action Program [CFDA No. 

66.805]: Assistance for the oversight and corrective action associated with petroleum 

releases from federally-regulated USTs, as well as for enforcement activities related to 

such corrective action.

 

54 “The Environmental Protection Agency-Wide Plan to Provide Solid Waste Management Capacity Assistance to 

Tribes, Draft for Tribal Review,” Month, 2012, at page 16.
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Appendix V: EPA Funding Programs that Support Tribal Environmental Program Capacity Development Page 4 of 6

and/or Implementation Activities

• EPA Funding Programs that Support Tribal Capacity Development and/or Implementation of 

CERCLA, EPCRA, and Brownfields

Superfund State, Political Subdivision, and Indian Tribe Site-Specific Cooperative 

Agreements [CFDA No. 66.802]: Assistance to conduct site characterization activities at 

potential or confirmed hazardous waste sites; undertake response planning and 

implementation actions at sites on the NPL to clean up the hazardous waste sites that are 

found to pose hazards to human health; and effectively implement the statutory 

requirements of CERCLA 121(f), as appropriate, which mandates substantial and 

meaningful involvement, and CERCLA 126(a).

Superfund State and Indian Tribe Core Program Cooperative Agreements [CFDA No. 

66.809]: Assistance to conduct CERCLA activities which are not assignable to specific 

sites, but support a recipient's site-specific response program, such as developing 

procedures for emergency response actions and remediation of environmental and health 

risks; establishing legal authorities and enforcement support; hiring and training staff; 

and activities that support EPA/recipient interaction. 

Chemical and Emergency Preparedness and Prevention Technical Assistance Grants 

[CFDA No. 66.810]: Assistance for chemical accident prevention activities that relate to 

the Risk Management Program under the Clean Air Act Section 112(r), chemical 

emergency planning, and community right-to-know programs which are established to 

prevent or eliminate unreasonable risk to the health and environment of the community.

State and Tribal Response Program Grants [CFDA No. 66.817]: Non competitive 

assistance through annual grant program to develop and enhance response programs, 

including establishing and maintaining a public record of sites at which response actions 

have been completed or are planned, inventorying brownfields sites, establishing legal 

authorities for environmental programs, and addressing contaminated brownfields sites

through assessment and clean up; hiring and training staff; creating procedures for 

meaningful community involvement and for site-specific work; and activities to reduce 

and revitalize the number of contaminated sites. Funding can also be used to provide 

program capacity for inventorying UST and ABT sites, developing an integrated solid 

waste management plan, developing and implementing oversight and enforcement of the 

tribe’s environmental programs. Federally recognized tribes/native villages in Alaska are 

eligible to request funding.

Brownfield Environmental Workforce Development and Job Training Grants [CFDA No. 

66.808, 66.813, & 66.815]: Assistance to recruit, train, and place unemployed and underemployed predominantly low-income and minority persons, providing them with the 

skills needed to secure full-time, sustainable employment in the environmental field and 

in the assessment and cleanup work taking place in or near their communities. Federally 

recognized tribes are eligible to apply with the exception of those in Alaska.

Brownfields Assessment, Revolving Loan Fund, and Cleanup Cooperative Agreements 

[CFDA No.66.818]: Assistance to: inventory, characterize, assess, and conduct planning 
INDIAN ENVIRONMENTAL GENERAL ASSISTANCE PROGRAM

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Appendix V: EPA Funding Programs that Support Tribal Environmental Program Capacity Development Page 5 of 6

and/or Implementation Activities

and community involvement related to Brownfield sites; capitalize a revolving loan fund 

(RLF) and provide sub-grants to carry out cleanup activities at brownfield sites; and carry 

out cleanup activities at Brownfield sites that are owned by the grant recipient. Federally 

recognized tribes are eligible to apply with the exception of those in Alaska.

• EPA Funding Programs that Support Tribal Capacity Development and/or Implementation of 

TSCA (including AHERA and lead program) and FIFRA

Community Action for a Renewed Environmental Program [CFDA No. 66.035]:

Assistance to support analyses, studies, evaluations, surveys, investigations, conferences, 

demonstrations and special purpose projects which empower communities to reduce risks 

from exposures to toxic pollutants in the air, in the water, and on the land through 

collaborative action at the local level.

Consolidated Pesticides Enforcement Cooperative Agreements [CFDA No. 66.700]:

Assistance for developing and maintaining comprehensive pesticide programs that 

address all aspects of pesticide enforcement, and special pesticide initiatives; sponsor 

cooperative surveillance, monitoring and analytical procedures; and encourage regulatory 

activities to support and strengthen pesticide compliance programs, including pesticide 

compliance monitoring, inspection and enforcement activities.

Pesticide Environmental Stewardship Regional Grants [CFDA No. 66.714]: Assistance to 

support integrated pest management approaches that reduce the risks associated with 

pesticide use in agricultural and non-agricultural settings, including: pesticide risk 

reduction, pesticide pollution prevention, Integrated Pest Management (IPM) 

implementation, and children's health issues related to pesticides.

Tribal Education Outreach on Lead Poisoning and Baseline Assessment of Tribal 

Children’s Existing and Potential Exposure and Risks Associated with Lead [CFDA: No. 

66.715]: Assistance to support tribal outreach and baseline assessment activities on leadbased paint to identify children’s risk to lead hazards and lead poisoning.

Research, Development, Monitoring, Public Education, Training, Demonstrations, and 

Studies [CFDA No. 66.716]: Assistance support Research, Development, Monitoring, 

Public Education, Training, Demonstrations, and Studies assistance relating to the 

protection of public health and the environment from pesticides and potential risk from 

toxic substances. Projects for safer use of pesticides, including worker protection, 

certification and training of pesticide applicators, protection of endangered species, tribal 

pesticide programs, integrated pest management; environmental stewardship.

Pollution Prevention Grants Program [CFDA No. 66.708]: Assistance to implement 

pollution prevention technical Assistance services for businesses, and promote training in 

pollution prevention/source reduction techniques.

State Indoor Radon Grants [CFDA No. 66.032]: Assistance to develop and implement 

programs to assess and mitigate radon-related lung cancer risk.
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Appendix V: EPA Funding Programs that Support Tribal Environmental Program Capacity Development Page 6 of 6

and/or Implementation Activities

Surveys, Studies, Investigations, Training Demonstrations, and Educational Outreach 

Related to Environmental Information and the Release of Toxic Chemicals [CFDA No. 

66.612]: Assistance to educate the public on the how to obtain access to and effectively 

use environmental information, including information about toxic chemical releases and 

other waste management activities. 

Toxic Substances Compliance Monitoring Cooperative Agreements [CFDA No. 66.701]:

Assistance to develop and maintain compliance monitoring programs to prevent or 

eliminate unreasonable risks to health or the environment associated with chemical 

substances or mixtures, specifically asbestos, PCB, and lead-based paint; encourage 

establishment of regulatory activities for lead-based paint and asbestos; and support 

enforcement activities for asbestos and lead-based paint programs.

TSCA Title IV State Lead Grants Certification of Lead-Based Paint Professionals [CFDA 

No. 66.707]: Assistance to develop and implement authorized programs that: certify 

contractors engaged in lead-based paint activities and accredit lead-based paint activities 

training programs; certify contractors engaged in renovation, repair and painting 

activities that disturb painted surfaces in most target housing; and/or require distribution 

of lead-hazard information prior to renovation (pre-renovation education program).