U.S. ENVIRONMENTAL PROTECTION AGENCY

OFFICE OF INSPECTOR GENERAL

Status of Corrective Actions in 

Response to 2008 Report, 

“Framework for Developing 

Tribal Capacity Needed in Indian 

General Assistance Program” 

Report No. 13-P-0057 November 27, 2012 

Scan this code to 

learn more about 

the EPA OIG. 
 

Report Contributors: Patrick Gilbride

 Erin Barnes-Weaver 

 Todd Goldman 

 Luke Stolz 

Abbreviations 

AIEO American Indian Environmental Office 

EPA U.S. Environmental Protection Agency 

FY Fiscal Year 

GAP Indian General Assistance Program 

MATS Management Audit Tracking System 

OIG Office of Inspector General 

PO Project Officer 

PPG Performance Partnership Grant 

TEA Tribal Environmental Agreement 

Cover photo: Image from EPA’s AIEO tribal portal website. 

Hotline 

To report fraud, waste, or abuse, contact us through one of the following methods: 

e-mail: OIG_Hotline@epa.gov write: EPA Inspector General Hotline 

phone: 

fax: 

1-888-546-8740 

202-566-2599 

1200 Pennsylvania Avenue, NW 

Mailcode 2431T 

online: http://www.epa.gov/oig/hotline.htm Washington, DC 20460 
 

U.S. Environmental Protection Agency 13-P-0057 

November 27, 2012 Office of Inspector General 

At a Glance
 

Why We Did This Review 

The Indian Environmental 

General Assistance Program 

Act of 1992 provides the U.S. 

Environmental Protection 

Agency (EPA) the authority to 

award grants to tribal 

governments to build capacity 

to administer environmental 

programs. The Act authorized 

EPA to provide General 

Assistance Program (GAP) 

grants to federally recognized 

tribes and tribal consortia. We 

reviewed actions taken by EPA 

to address a 2008 report by our 

office on tribal capacity. The 

2008 report contained three 

recommendations to EPA on 

developing a framework for 

achieving capacity; developing 

environmental plans; and 

revising the grant funding 

formula to better reflect prior 

progress, needs, and long-term 

goals. 

This report addresses the 

following EPA Goal or 

Cross-Cutting Strategy: 

 Strengthening state, 

tribal, and international 

partnerships 

For further information, contact 

our Office of Congressional and 

Public Affairs at (202) 566-2391. 

The full report is at: 

www.epa.gov/oig/reports/2013/ 

20121127-13-P-0057.pdf 

Status of Corrective Actions in Response to 2008 

Report, “Framework for Developing Tribal Capacity 

Needed in Indian General Assistance Program” 

What We Found 

EPA has taken a number of actions to address findings and 

recommendations from the Office of Inspector General’s 2008 report, 

including developing the GAP Online database, drafting a GAP guidebook, 

and revising GAP guidance. EPA is also engaging or will engage in tribal 

consultation for both the guidebook and guidance. EPA said it intends to 

finalize its revised GAP guidance, including the guidebook, by May 2013. 

EPA has focused on ensuring that GAP work plans include intermediate and 

long-term outcomes/goals. EPA said it has made an incremental shift in the 

way it distributes GAP funding and said it will make additional changes 

based on internal conversations and information in GAP Online. 

Although EPA certified all actions as completed in its Management Audit 

Tracking System, corrective actions are still in progress and we could not 

test their effectiveness. EPA should have an implementation period 

following issuance of the final GAP guidance and guidebook before we 

evaluate how well tribes and EPA regions operate under the new guidance.

 Recommendations and Planned Agency Corrective Actions 

We recommend that the Assistant Administrator for International and Tribal 

Affairs complete implementation of corrective actions initiated in response to 

the 2008 report and denote May 2013 as the date to implement actions to 

address the 2008 report recommendations. The Agency accepted this 

recommendation and plans to complete corrective actions by May 2013.

 Noteworthy Achievements 

Since its launch in 2007, GAP Online has provided grantees and EPA 

project officers with a centralized tool for creating work plans and reporting 

progress. EPA also provided GAP Online training to each region. 
 

 

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

WASHINGTON, D.C. 20460 

THE INSPECTOR GENERAL 

November 27, 2012 

MEMORANDUM 

SUBJECT:	 Status of Corrective Actions in Response to 2008 Report, 

“Framework for Developing Tribal Capacity Needed in Indian 

General Assistance Program”

 Report No. 13-P-0057 

FROM:	 Arthur A. Elkins, Jr. 

TO:	 Michael Stahl 

Deputy Assistant Administrator for International and Tribal Affairs 

This is our report on the subject review conducted by the Office of Inspector General (OIG) of 

the U.S. Environmental Protection Agency (EPA). This report contains findings that describe the 

problems the OIG has identified and corrective actions the OIG recommends. This report 

represents the opinion of the OIG and does not necessarily represent the final EPA position. 

Final determinations on matters in this report will be made by EPA managers in accordance with 

established audit resolution procedures. 

Action Required 

You are required to provide a written response to this report within 60 calendar days. You should 

include planned corrective actions and completion dates for all unresolved recommendations. 

Your response will be posted on the OIG’s public website, along with our memorandum 

commenting on your response. Your response should be provided as an Adobe PDF file that 

complies with the accessibility requirements of Section 508 of the Rehabilitation Act of 1973, as 

amended. The final response should not contain data that you do not want to be released to the 

public; if your response contains such data, you should identify the data for redaction or removal 

along with corresponding justification. We have no objections to the further release of this report 

to the public. We will post this report to our website at http://www.epa.gov/oig. 

If you or your staff have any questions regarding this report, please contact Melissa Heist, 

Assistant Inspector General for Audit, at (202) 566-0899 or heist.melissa@epa.gov; or Patrick 

Gilbride, Director for Risk and Program Performance, at (303) 312-6969 or 

gilbride.patrick@epa.gov. 
Status of Corrective Actions in Response to 2008 Report, 13-P-0057 

“Framework for Developing Tribal Capacity Needed in 

Indian General Assistance Program” 

Table of Contents 

Purpose........................................................................................................................ 1
 

Background ................................................................................................................. 1
 

Noteworthy Achievements ......................................................................................... 3 

Scope and Methodology............................................................................................. 3 

Results of Review ....................................................................................................... 4
 

Status of Actions to Address Recommendation 2-1 ............................................. 4 

Status of Actions to Address Recommendation 2-2 ............................................. 5 

Status of Actions to Address Recommendation 3-1 ............................................. 7 

Effectiveness of Corrective Actions...................................................................... 9 

Recommendation........................................................................................................ 9 

Agency Comments and OIG Evaluation ................................................................... 10
 

Status of Recommendations and Potential Monetary Benefits.............................. 11
 

Appendices 

A Agency’s Response to Draft Report................................................................. 12
 

B Distribution ......................................................................................................... 14
 
 

 

Purpose 

On February 19, 2008, the U.S. Environmental Protection Agency (EPA) 

Office of Inspector General (OIG) issued Report No. 08-P-0083, Framework for 

Developing Tribal Capacity Needed in the Indian General Assistance Program. 

The report included three recommendations to EPA related to the Indian General 

Assistance Program (GAP): 

2-1	 Require American Indian Environmental Office (AIEO) 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 GAP 

work plans. 

2-2 Require regions to: 

a.	 Negotiate with tribes to develop environmental plans that reflect 

intermediate and long-term goals, 

b.	 Link those plans to annual GAP work plans, and 

c.	 Measure tribal progress in meeting plans and goals. 

3-1 Revise how GAP funding is distributed to tribes to place more emphasis 

on tribes’ prior progress, environmental capacity needs, and long-term 

goals. 

On September 30, 2011, EPA’s Office of International and Tribal Affairs, which 

houses AIEO, certified in EPA’s Management Audit Tracking System (MATS) that 

it completed all corrective actions resulting from the 2008 report. This review 

follows up on the 2008 report and EPA’s corrective actions. The objectives of our 

follow-up audit were to determine what corrective actions EPA has implemented to 

address the findings from the prior audit report, and whether the corrective actions 

were effective in addressing the findings from the previous report. 

Background 

Indian Environmental General Assistance Program Act 

The Indian Environmental General Assistance Program Act of 1992 provides 

EPA the authority to award grants to Indian tribal governments to build capacity 

to administer environmental regulatory programs. The Act also provides for 

technical assistance from EPA in developing multimedia programs to address 

environmental issues on Indian lands. The purpose of GAP is to establish 

administrative, legal, technical, and enforcement capability needed to implement 

an environmental protection program. Since its inception 20 years ago, GAP has 

become the largest single source of funding for tribal environmental programs at 

over $640 million. 

13-P-0057 1 
 

 

 

 

Under the Act, EPA can award GAP grants to both Indian tribal governments and 

inter-tribal consortia. The Act defines an Indian tribal government as any Indian 

tribe, band, nation, or other organized group or community (including any Alaska 

native village or regional or village corporation) recognized as eligible for the 

special services provided by the United States to Indians. Some tribes have 

jurisdiction over land and some do not. The Act defines inter-tribal consortia as a 

partnership between two or more Indian tribal governments authorized by the 

governing bodies of those tribes to apply for and receive GAP assistance. 

EPA issued GAP guidelines in 1994 to provide national policy guidance and 

criteria for awarding and administering GAP grants. EPA updated the guidelines 

in 2000 and 2006 to address compliance with grant policies, accountability for 

environmental results, and consistency with program requirements. The 

guidelines state that the GAP work plan is the basis for the management and 

evaluation of performance under grant agreements. EPA’s guidelines include 

standardized work plan formats that tribes use when they request GAP funding. 

For purposes of tracking how grant recipients use GAP funds, recipients and EPA 

regional offices categorize the range of activities into the following areas: 

 Legal 

 Enforcement and Compliance 

 Technical and Non-Administrative 

 Communications 

 Administrative 

 Solid and Hazardous Waste1 

According to EPA, work plans should state the primary category addressed by 

each work plan component and by each activity within each component. 

EPA Policy on Consultation and Coordination with Indian Tribes 

The White House issued Executive Order 13175, Consultation and Coordination 

with Indian Tribal Governments, on November 6, 2000, to establish regular and 

meaningful consultation and collaboration with tribal officials in the development 

of federal policies that have tribal implications. On November 5, 2009, the 

President directed each agency to submit a detailed plan of action to implement 

the policies and directives of Executive Order 13175, as well as an annual 

progress report on the status of each action included in its plan. EPA issued its 

EPA Policy on Consultation and Coordination with Indian Tribes (consultation 

policy) on May 4, 2011. EPA’s policy outlines the key phases of the consultation 

process and identifies general categories of EPA activities appropriate for 

consultation, including policies and guidance documents. While the policy does 

not set required comment periods for consultation, the policy does state that 

1

 GAP may not be used for the ongoing implementation of media-specific environmental programs once established 

except as otherwise provided. Beyond capacity building, the only allowable implementation activities are for solid 

and hazardous waste. 

13-P-0057 2 
 

 

 

 

consultation should occur early enough to allow tribes the opportunity to provide 

meaningful input prior to EPA deciding on how to act on a matter under 

consideration. 

Noteworthy Achievements 

Since its launch in 2007, GAP Online has provided grantees and project officers 

(POs) with a centralized tool for creating work plans and reporting progress. The 

Agency provides GAP Online to the tribes through AIEO, and AIEO provided 

training to each region in 2007 and 2008. According to AIEO’s senior advisor, the 

system is a significant management tool that aids both EPA and tribes by 

documenting program priorities and recipient performance. GAP Online facilitates 

review of individual grant work plans and reporting at both the national and 

regional level. It also facilitates the aggregation of information about funded 

activities in active and expired grants to show overall program trends over time. 

Before GAP Online, work plans varied from region to region. AIEO said that GAP 

Online has allowed the work plan structure to evolve with some consistency. 

Tribes are required to enter their final work plans into GAP Online unless the 

grants are included in a Performance Partnership Grant (PPG), which is a single 

grant combining funds from more than one environmental program. AIEO’s senior 

advisor said that approximately 20 percent of tribes receive GAP funding under a 

PPG. A tribe can have multiple components in a work plan. GAP Online requires 

each component to have both intermediate and long-term outcomes/goals, and 

tribes are to enter an estimated cost for each component. Tribes are to report on 

progress made in GAP Online, and regions are to monitor progress and either agree 

or disagree with the progress reported. An AIEO tribal program operations staff 

person said that GAP Online has established a clear chain of custody for tribes and 

regions to manage work plans. 

Scope and Methodology 

We performed our review from March to September 2012 in accordance with 

generally accepted government auditing standards. Those standards require that 

we plan and perform our review to obtain sufficient, appropriate evidence to 

provide a reasonable basis for any findings and conclusions based on our 

objectives. We believe the evidence obtained provides a reasonable basis for the 

observations presented in this report. 

We reviewed relevant laws, regulations, policies, procedures, and guidance 

governing tribal capacity, including the GAP Act of 1992, EPA’s GAP Guidelines 

from 2000 and 2006, and EPA’s August 2011 consultation draft Guidebook for 

Building Tribal Environmental Capacity. We also reviewed the May 2011 EPA 

Policy on Consultation and Coordination with Indian Tribes and AIEO’s timeline 

on developing the GAP guidebook to comply with the policy. 

13-P-0057 3 
 

 

To understand the status of corrective actions taken to address recommendations 

from the 2008 OIG report, we interviewed the 2008 report team and reviewed the 

Agency’s corrective action plan. We interviewed tribal staff in EPA Regions 5, 6, 

9, and 10 on their process in reviewing GAP grants and work plans and measuring 

tribal progress in light of recommendations from the 2008 report. We focused on 

EPA Regions 5, 6, 9, and 10 because the 2008 report included them and because 

they represent the four regions with the largest number of tribes. In addition, the 

four regions received the largest amounts of funding for fiscal year (FY) 2012. 

We also met with AIEO, who provided us a demonstration of GAP Online and 

clarified the GAP funding formula. We also held several discussions with AIEO 

and the four regions to ensure our understanding of the status of actions taken to 

address recommendations from the 2008 report. 

Results of Review 

EPA has taken a number of actions to address recommendations from the 2008 

report, as cited in the Agency’s MATS certification memo, which include the 

GAP Online database, GAP guidebook, and GAP guidance. In addition, EPA is 

engaging in tribal consultation consistent with the consultation policy for both the 

GAP guidebook and GAP guidance. While MATS lists all corrective actions as 

completed as of September 30, 2011, the Deputy Assistant Administrator for 

International and Tribal Affairs said EPA does not anticipate full implementation 

of corrective actions until May 2013. The following sections summarize our 

observations on corrective actions EPA has taken to date to address the 

recommendations from the OIG’s 2008 report. 

Status of Actions to Address Recommendation 2-1 

Require AIEO 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 GAP work plans. 

According to AIEO staff, EPA’s framework includes the GAP Online database 

(described under “Noteworthy Achievements” above), GAP guidebook, and GAP 

guidance. AIEO’s audit liaison said that AIEO released a draft GAP guidebook to 

the entire Agency in April 2011. In May 2011, the Agency issued its consultation 

policy. EPA is currently in the process of consulting with tribes on the GAP 

guidebook in accordance with the consultation policy. This process gives 

tribes the opportunity to provide input on the draft guidebook. EPA released the 

consultation draft GAP guidebook to tribes in August 2011, and the first round of 

consultation ended in January 2012. The second round of consultation will run 

from November 2012 through January 2013. The Agency plans to update the draft 

guidebook at the close of the second round of consultation and issue the final 

version by May 2013. AIEO’s audit liaison provided the following timeline 

showing past and planned key milestones for the draft guidebook: 

13-P-0057 4 
 

 

Table 1: Key milestones for draft guidebook 

Key Milestones Date 

Tribal Environmental Management Guidebook released 04/2011 

EPA Policy on Consultation and Coordination with Indian Tribes takes 

effect; published in the Federal Register 

05/04/11 

Guidebook for Building Tribal Environmental Capacity circulated internally 

to EPA regions and headquarters 

06/29/11 

Consultation and coordination notification letter sent to tribes 07/22/11 

Consultation Draft Guidebook for Building Tribal Environmental Capacity 

released to tribes; consultation and coordination process begins 

08/01/11 

First consultation and coordination extension letter sent to tribes 08/15/11 

Consultation and coordination reminder letter with project summary sent to 

tribes 

10/28/11 

Second consultation and coordination extension letter sent to tribes 11/28/11 

Tribal comments due on guidebook 01/30/12 

Broad-based Agency-wide revision to proposed guidebook (based on 

comments received from tribes and tribal organizations) 

02/01/12 

Proposed final guidance and guidebook released for 90-day tribal review 

and comment 

11/02/12 

EPA incorporates final round of tribal comments and finalizes guidance 

and guidebook 

01/11/13 – 

04/30/13 

Guidance and Guidebook take effect (according to EPA, the Guidance will 

be applied to the grant process for FY 2014) 

05/01/13 

Source: Guidebook timeline provided by AIEO’s audit liaison to OIG on March 30, 2012. The 

timeline was modified based on AIEO’s response to our draft report. 

The draft guidebook describes pathways for a core environmental protection 

program and media-specific programs. The draft also identifies measurable 

indicators to help track progress toward building tribal capacity. According to 

AIEO staff, the updated guidebook will be an appendix to a revised GAP guidance 

document. AIEO staff said the revised guidance will also undergo consultation in 

accordance with the consultation policy. 

Status of Actions to Address Recommendation 2-2 

Require regions to: (a) negotiate with tribes to develop environmental 

plans that reflect intermediate and long-term goals, (b) link those plans to 

annual GAP work plans, and (c) measure tribal progress in meeting plans 

and goals. 

According to AIEO staff, the draft GAP guidebook and revised GAP guidance 

will address the development and use of GAP work plans and include information 

on EPA–tribal environmental plans. AIEO’s Deputy Director said the Agency 

believes that it has implemented this recommendation through oversight of the 

GAP work plans. The Deputy Director added that they have focused on ensuring 

that GAP work plans include intermediate and long-term outcomes/goals, and 

they have also focused on developing and implementing GAP Online. GAP 

13-P-0057 5 
 

 

 

Online requires tribes to enter intermediate and long-term outcomes/goals and 

allows both the tribes and regions to track progress. Tribal staff in the four regions 

we spoke with said the majority of tribes report on GAP progress quarterly. 

AIEO’s Deputy Director said the use of EPA–tribal environmental plans is a longterm goal and the Agency is moving in that direction. EPA included information 

on the development of EPA–tribal environmental plans in the draft guidebook, 

including suggested components for a comprehensive EPA–tribal environmental 

plan. AIEO’s Deputy Director and a senior advisor said that while EPA–tribal 

environmental plans are not currently required, the updated guidebook will 

establish the expectation that EPA–tribal environmental plans will be developed. 

AIEO staff also said the updated guidebook would identify required components 

of each agreement but allow for flexibility in the format of the plans to reflect the 

variation that exists from one tribe to another. 

Regional staff said that all tribes not funded under a PPG use GAP Online to enter 

work plans for approval by the region. Each region provided additional 

information on work plans and monitoring progress. 

	 Region 5 Indian Environmental Office staff said that tribes funded under a 

PPG are still required to develop a GAP work plan in the same format as 

those entered in GAP Online. The region has been using Tribal 

Environmental Agreements (TEAs)2

 since 1995. TEAs are not required to 

get GAP funding, but 31 of 35 tribes agreed to TEAs in the last 3-year 

period and the region anticipates that all tribes will agree to TEAs in the 

next round. Regional staff said that TEAs link to the GAP work plans. The 

most recent funding announcement recommended that tribes consider 

including some activities outlined in their TEA when they develop their 

GAP work plan. The region looks at whether tribes meet commitments 

included in the TEAs as well as GAP work plans. 

	 Region 6 Office of Environmental Justice and Tribal Affairs staff said that 

tribes funded under a PPG are still required to develop a GAP work plan in 

the same format as those entered in GAP Online. The region is not requiring 

tribes to develop EPA–tribal environmental plans, but does allow grant 

distributions to tribes to help them develop environmental plans. Regional 

staff also said they follow the process outlined in the draft guidebook to 

work in partnership with tribes in developing EPA–tribal environmental 

plans. The region anticipates using a similar template to Region 5’s TEAs. 

Regional staff said that POs review reporting by tribes to determine 

progress made under GAP work plans. POs review what tribes report versus 

work approved in the work plan. 

2

 According to Region 5, each TEA is comprised of an introduction describing the purpose and use of the document, 

tribal background information, environmental program priorities of the tribe, and an outline of the federal 

environmental programs that apply to the tribe. 

13-P-0057 6 
 

 

 

	 Region 9 Tribal Program Office staff said that tribes funded under a PPG 

are still required to develop a GAP work plan that meets requirements of 

40 CFR Part 35.3

 Regional staff said nearly all tribes funded under a PPG 

are using the work plan template produced prior to GAP Online. The 

region encourages tribes to create EPA–tribal environmental plans and 

update them as needed. It also encourages tribes to include the 

development of an EPA–tribal environmental plan in their GAP work 

plans. In its most recent funding notification, the region listed creating an 

EPA–tribal environmental plan as a one-time mandatory task. Regional 

staff said that many tribes have environmental plans but many have not 

been recently updated, and that tribes are hesitant to create new EPA– 

tribal environmental plans until EPA finalizes the draft guidebook. The 

region does provide an EPA–tribal environmental plan template to 

interested tribes but does not require tribes to use this template. The region 

encourages tribes with environmental plans to reference them when 

creating GAP work plans. POs perform year-end evaluations to compare 

negotiated GAP work plans to actual products in the final report. POs also 

do 4-year summary reports when they close out GAP grants. 

	 Region 10 Tribal Trust and Assistance Unit staff said that tribes funded 

under a PPG are still required to develop a GAP work plan. Regional staff 

said POs assist tribes in developing new GAP work plans on an annual or 

semiannual basis and negotiate these to reflect capacity building endeavors 

with distinct outputs toward the tribe’s intermediate and long-term 

environmental goals. The region encourages tribes to discuss long-term 

environmental goals, as well as how their GAP work plan components and 

commitments will support them, in their project narratives. The region is 

involved with tribes in environmental planning, but it does not require tribes 

to develop an EPA–tribal environmental plan. Regional staff said it made 

tribes aware that the draft guidebook discusses EPA–tribal environmental 

plans. The region’s funding announcements list developing an EPA–tribal 

environmental plan as a one-time mandatory activity for all grantees. 

Regional staff said that POs monitor, on a regular basis, each tribe’s 

progress in accomplishing GAP work plan commitments in producing 

outputs and deliverables and in achieving anticipated outcomes. 

Status of Actions to Address Recommendation 3-1 

Revise how GAP funding is distributed to tribes in order to place more 

emphasis on tribes’ prior progress, environmental capacity needs, and 

long-term goals. 

In response to the 2008 report, EPA said it would develop adjustments to the 

funding formula, allocations, distributions, and award decisions as appropriate 

3

 Title 40, “Protection of Environment,” Part 35, “State and Local Assistance,” covers environmental program grants 

for tribes, including GAP. 

13-P-0057 7 
 

 

based on its revised GAP guidance. AIEO allocates the annual GAP funds to each 

region that has federally recognized tribes. Each region then distributes its 

allocation to eligible applicants. 

AIEO’s Deputy Director said AIEO made an incremental shift in how it 

distributed GAP funds to the regions in FY 2012, explaining that they factored in 

the number of actual GAP recipients rather than just the number of eligible 

recipients. AIEO (a) multiplied the number of federally recognized tribes in each 

region by $110,000 to determine the base level of funding for each region, 

(b) subtracted the total amount of the base level of funding from the total FY 2012 

appropriation for the GAP program, and (c) distributed the remainder to the 

regions based on the number of GAP recipients in the region. AIEO staff said it 

set aside $300,000 for headquarters-selected projects in FY 2012. AIEO’s Deputy 

Director said that additional changes will be made to the formula in future years 

based on internal conversations as well as information that is being entered into 

GAP Online. As more data becomes available through GAP Online regarding 

individual grantee progress, AIEO will consider additional modifications. 

However, as this data is currently unavailable, AIEO does not anticipate making 

large changes to the funding allocation formula at a national level for a few years. 

After AIEO distributes funding to the regions, the regions distribute funding to 

eligible recipients. In its FY 2012 GAP funding allocation memo to the regions, 

AIEO said it expected regions to continue to take into account grant applicants’ 

prior progress, environmental capacity needs, and long-term goals when making 

grant funding decisions. Each region distributes funding differently. 

	 Region 5 Indian Environmental Office staff said they use a base funding 

level of $110,000 per tribe per year to allocate all the money the region 

receives from AIEO, and use excess funds for special projects. 

	 Region 6 Office of Environmental Justice and Tribal Affairs staff said 

they have a base level of $75,000–$115,000 per tribe per year listed in the 

region’s most recent GAP funding announcement. The region distributes 

funds based on the tribes’ negotiated allocations in their requests for 

funding. The region bases funding on need, priorities, and past 

performance. The region also targets different priority areas each year to 

address concerns in Indian country and will award additional funding to 

tribes to address these areas. 

	 Region 9 Tribal Program Office staff said they base funding levels to 

tribes on past performance, work plan complexity, and demonstrated need. 

To support core GAP work, the PO reviews the tribe’s request, what was 

requested/awarded the prior year, the tribe’s performance, the tribe’s 

draws, and the complexity of the work proposed. Regional staff said there 

is no minimum or maximum funding amount but the region’s most recent 

funding announcement indicated that most awards range from $75,000– 

$120,000 per tribe per year. Regional staff said it puts any funds 

13-P-0057 8 
 

 

 

remaining after addressing core program needs toward supplemental 

projects, which may include cleanup of open dumps, purchase of 

equipment to support the program, or hiring a contractor to perform a onetime activity. Regional staff said they evaluate each supplemental project 

to determine that it is eligible, reasonable, and allocable to GAP, and then 

funds as many projects as possible. The region said that for FY 2012 over 

90 percent of the region’s GAP funds will go to tribes’ base funding for 

core GAP needs. 

	 Region 10 Tribal Trust and Assistance Unit staff said that the maximum 

base level funding that tribes can apply for is $125,000 per year, although 

there are a few tribes who, due to their size, can apply for up to $175,000 

in base funding. Regional staff said that POs assess the tribe’s needs in 

each new assistance agreement negotiation. POs review the tribe’s 

application, current performance, current financial information, and 

complexity of work proposed. If the tribe’s proposal supports the amount 

requested, that is what the region will fund. Regional staff said that it has a 

three-tiered GAP funding approach: (a) funds are applied to tribes’ base 

needs, (b) funds left over after funding base needs are put toward funding 

tribal consortia base needs, and (c) any funds left over after funding 

consortia are put toward special projects. 

Effectiveness of Corrective Actions 

Even though EPA listed all actions as completed in MATS, we could not test 

effectiveness of corrective actions because the draft GAP guidebook and revised 

guidance are still undergoing consultation in accordance with the consultation 

policy. While the Agency has made progress, we believe EPA should have some 

time following full implementation of the final GAP guidance and guidebook 

(planned for May 2013) before we evaluate how regions/tribes operate under the 

updated guidance. AIEO staff said FY 2014 will be the first year for the program 

to fully benefit from the implementation of these corrective actions. 

Recommendation 

We recommend that the Assistant Administrator for International and Tribal 

Affairs: 

1.	 Complete implementation of corrective actions initiated in response to the 

2008 report and update MATS to denote May 2013 as the date to complete 

implementation of actions to address recommendations 2-1, 2-2, and 3-1 

from the 2008 report (EPA OIG Report No. 08-P-0083). 

13-P-0057 9 
 

 

Agency Comments and OIG Evaluation 

The Office of International and Tribal Affairs accepted our recommendation and 

plans to update MATS with the May 2013 date upon issuance of this final report. 

Appendix A contains the Agency’s full response to our draft report and planned 

actions by the Office of International and Tribal Affairs to address our 

recommendation, which we believe addresses the intent of our recommendation. 

Our recommendation remains open pending the planned completion date on 

actions to address our report recommendation as well as recommendations from 

our 2008 report (EPA OIG Report No. 08-P-0083). 

13-P-0057 10 
 

 

 

 

 

 

 

 

 

Status of Recommendations and 

Potential Monetary Benefits 

POTENTIAL MONETARY 

RECOMMENDATIONS BENEFITS (in $000s) 

Rec. 

No. 

Page 

No. Subject Status1 Action Official 

Planned 

Completion 

Date 

Claimed 

Amount 

Agreed-To 

Amount 

1 9 Complete implementation of corrective actions 

initiated in response to the 2008 report and update 

MATS to denote May 2013 as the date to complete 

implementation of actions to address 

recommendations 2-1, 2-2, and 3-1 from the 2008 

report (EPA OIG Report No. 08-P-0083). 

O Assistant Administrator 

for International and 

Tribal Affairs 

May 2013 

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

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

U = recommendation is unresolved with resolution efforts in progress 

13-P-0057 11 

1 
 

 

Appendix A 

Agency’s Response to Draft Report 

UNITED STATES ENVIRONMENTAL PROTECTION AGENCY 

WASHINGTON, D.C. 20460 

OFFICE OF
 

INTERNATIONAL AND 

TRIBAL AFFAIRS
 

October 26, 2012 

MEMORANDUM 

SUBJECT: Response to Office of Inspector General Project Draft Report No. OA-FY12-

0333, “Status of Corrective Actions in Response to 2008 Report, ‘Framework for 

Developing Tribal Capacity Needed in Indian General Assistance Program’,” 

October 1, 2012 

FROM: Michael Stahl /s/ 

 Acting Assistant Administrator 

TO: Arthur Elkins, Jr. 

 Inspector General 

Thank you for the opportunity to respond to the issues and recommendation in the draft report. 

Following is a summary of the agency’s overall position, along with its position on the draft 

report’s recommendation. 

AGENCY’S OVERALL POSITION 

The Agency accepts the recommendation in the draft report. Over the last several years we 

have been developing and implementing an improved internal control structure for GAP, which 

we believe satisfies the recommendations of the original audit. As such, we listed our 

corrective actions as completed in MATS and proceeded with our implementation strategy. 

A phased approach to implementing the corrective actions was decided as most effective for 

complying with the requirements of the Agency’s Consultation Policy. Given the broad nature 

and importance of the program there was an extremely high level of interest from tribal 

governments in the implementation of the changes to the program. As a result, OITA has led 

an extensive, multi-phased implementation approach to allow for two rounds of consultation 

with tribes. The last phase of this implementation will end by May 2013. 

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OITA takes our responsibilities related to the GAP audit very seriously and remains committed 

to improving operations of the GAP program and accountability for measuring program 

performance. Of significant importance to us is determining the effectiveness of the corrective 

actions. Given the GAP grant award and performance cycles, testing the effectiveness of the 

corrective actions before FY 2016 would yield limited information resulting in an inefficient 

use of resources. As previously discussed with both the original Audit Team and the Status 

Review Team, OITA expects to make further modifications to the funding distribution after 

sufficient data exists under the revised program framework. We strongly recommend that the 

OIG consider allowing the program to fully integrate the changes, through at least two award 

and performance cycles, prior to conducting further follow-up reviews. 

We have included a Technical Comments Attachment to supplement this response. 

AGENCY’S RESPONSE TO REPORT RECOMMENDATIONS 

Agreements 

No. Recommendation High-Level Intended 

Corrective Action(s) 

Estimated 

Completion by 

Quarter and FY 

1 Complete implementation of 

corrective actions initiated in 

response to the 2008 report 

and update MATS to denote 

May 2013 as the date to 

complete implementation of 

actions to address 

recommendations 2-1, 2-2, and 

3-1 from the 2008 report (EPA 

OIG Report No. 08-P-0083). 

EPA will update MATS to 

denote May 2013 as the date, 

reflecting input from the 

consultation process, to 

complete implementation of 

actions that address 

recommendations from the 

2008 report. 

May 2013 

CONTACT INFORMATION 

If you have any questions regarding this response, please contact Karin Koslow, Deputy 

Director of the American Indian Environmental Office on 202-564-0303 or Teresa Ruppe, 

Audit Follow-Up Coordinator, Office of International and Tribal Affairs at 202-564-6619. 

Attachment 

cc: 

JoAnn Chase, Director, AIEO 

Teresa Ruppe, Audit Follow-Up Coordinator, OITA 

Karin Koslow, Deputy Director, AIEO 

Luke Jones, Senior Advisor, Grant and Technical Assistance Team, AIEO 

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Appendix B 

Distribution 

Office of the Administrator 

Assistant Administrator for International and Tribal Affairs 

Agency Follow-Up Official (the CFO) 

Agency Follow-Up Coordinator 

General Counsel 

Associate Administrator for Congressional and Intergovernmental Relations 

Associate Administrator for External Affairs and Environmental Education 

Regional Administrator, Region 5 

Deputy Assistant Administrator for International and Tribal Affairs 

Director, American Indian Environmental Office 

Deputy Director, American Indian Environmental Office 

Audit Follow-Up Coordinator, Office of International and Tribal Affairs
 

Regional Administrator, Region 6 

Regional Administrator, Region 9 

Regional Administrator, Region 10 

Audit Follow-Up Coordinator, Region 5 

Audit Follow-Up Coordinator, Region 6 

Audit Follow-Up Coordinator, Region 9 

Audit Follow-Up Coordinator, Region 10 

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