The Office of Air Quality Planning and Standards 

Consulting 

With 

Indian Tribal 

Governments 

April 10, 2009 
Disclaimer

This document is intended solely for guiding employees of the United States Environmental 

Protection Agency (EPA) Office of Air Quality Planning and Standards (OAQPS). This 

guidance is not a regulation and does not create any legal obligations or any right or trust 

responsibility. This document does not address the requirements of, or procedures called for by, 

Executive Order (EO) 13175, 65 Fed Reg. 67249 (November 9, 2000). Any EPA approach to 

implementing EO 13175 will be set forth in a separate document. This document refers to 

consultation with federally-recognized Indian tribes that OAQPS undertakes generally, as a 

matter of policy. This document may be updated as appropriate without notice. 

OAQPS Tribal Program Primary Contact

The OAQPS primary contact for all issues relating to tribes is the Community and Tribal 

Programs Group (CTPG) located in the Outreach and Information Division (OID). In addition, 

there is a cross-divisional OAQPS Tribal team comprised of representatives from the various 

divisions who can be a resource to you. This document provides OAQPS staff guidance on 

consulting with federally-recognized tribes; however, it is important that you contact CTPG, or 

your division tribal representative, early in the process of addressing issues relating to tribes for 

additional guidance and assistance. 

2
TABLE OF CONTENTS

Introduction .....page 4 

 Why develop guidance for OAQPS? 

 What is the difference between tribal collaboration or outreach and consultation? 

Background.....page 6 

 The Federal Government-Indian Tribal Relationship 

Protocol for EPA Interactions with Tribes 

Section I – Screening.....page 7 

 What does “impacts or effects on tribes” really mean? 

 How do I determine if there are impacts or effects on tribes? 

Section II – Collaboration and Outreach.....page 11 

 Collaboration and Outreach 

 General Recommendations 

 Steps for Effective Outreach or Collaboration 

Section III – Consultation.....page 12 

 Formal (or Full) Consultation 

 Recommendations for Developing Tribal Consultation Plans 

 Steps to Effective Consultation 

 

Appendix.....page 17 

 Key Terms and Concepts 

 Tribal Organizations 

 EPA Tribal Air Program Contacts 

 OAQPS Tribal Representatives 

 Sample OAQPS Impacts or Effects on Tribes Form 

 Example Tribal Outreach/Collaboration Strategy 

 Sample Consultation Letter 

3
Introduction 

Why develop guidance for OAQPS?

This guidance describes OAQPS’ views regarding tribal consultation and will help assist 

OAQPS personnel in reviewing EPA actions for effects on tribes and consulting with tribes. 

Early and meaningful tribal involvement is consistent with the federal trust responsibility to 

federally-recognized tribes and furthers the Agency’s overall goal of protecting human health 

and the environment. 

This document introduces OAQPS staff and managers to the basics of government-togovernment consultation with American Indian governments within the context of the work 

performed in OAQPS. It provides a roadmap for analyzing whether OAQPS actions may impact 

or affect tribes and if so, how to proceed. For the purpose of this document, the term “action”

refers to any policy, guidance, or regulation developed by OAQPS. This can include actions 

such as the area source regulations, National Ambient Air Quality Standards (NAAQS) 

promulgations, program implementation, and guidance development. 

This guidance is divided into three sections – screening, collaboration and outreach, and 

consultation. The first section, screening, describes how to identify impacts or effects your 

action may have on tribes. The second section, collaboration and outreach, discusses how to 

provide information to tribes and, if appropriate, how to get them involved in the action 

development process. The third section, consultation, discusses how to consult effectively with 

tribes. 

COLLABORATION 

 and 

OUTREACH 

SCREENING CONSULTATION 

What is the difference between tribal collaboration or outreach and consultation?

It is important to note the difference between “collaboration and outreach” and 

“consultation.” Collaboration and outreach are generally conducted with tribal environmental 

professionals (although other tribal personnel or tribal officials may be involved) in advance of 

policy, guidance, or rulemaking in which we think tribes will have an interest. The purpose of 

collaboration and outreach is, among other things, to assist OAQPS in assessing whether a 

particular action may have effects on tribes, making consultation with elected or duly appointed 

tribal leaders appropriate. For purposes of this Policy, consultation generally involves meetings 

or discussions with elected or duly appointed tribal leaders or some other, more formal 

opportunities for those leaders or their authorized representatives to interact with EPA decisionmakers about the action, potential effects on tribes, and options to take such effects into account. 

While consultation occurs with tribal (elected or duly appointed) leaders or their authorized 

representatives, EPA routinely conducts a wide variety of interactions with tribes (including with 

4
non-elected leaders, environmental professionals, etc.) in conjunction with the consultation 

process. Consultation should generally occur as early as possible and before an action is 

proposed. OAQPS generally sends a letter to tribal leaders with brief information in plain 

language describing the action and offering the tribal leaders the opportunity for consultation. 

See Appendix for a sample consultation letter. The OAQPS Community and Tribal Programs 

Group (CTPG) is your primary contact, along with the OAQPS tribal team member(s) for your 

division, for helping to decide the most appropriate method for consulting with tribes and 

obtaining tribal views. 

Collaboration 

And 

Outreach 

Tribal 

Environmental 

Professionals or 

Other Personnel 

Gain perspective and 

input into overall tribal 

interest and technical 

information 

Meetings 

Conference calls 

Newsletters 

Website 

Tribal 

Leaders or Authorized 

Representatives 

Broad impacts, 

tribal impacts and/or 

tribal interest 

Offer opportunity 

for consultation 

via letters 

(face-to-face meetings 

if appropriate)

WITH WHOM 

HOW 

FOR WHAT 

WHEN Data gathering 

starts early 

in process 

Start early and 

generally before 

proposal 

Consultation 

What is the relationship between this consultation document and Executive Order 13175?

There is a separate process being undertaken within EPA to develop guidance implementing EO 

13175 - “Consultation and Coordination with Indian Tribal Governments”. Staff should consult 

any materials that result from this EPA process or consult with the OAQPS CTPG staff for 

further guidance. Compliance with EO 13175 may raise different issues than those covered in 

this document. As a result, if final Agency guidance is released, we intend to consider if this 

OAQPS guidance document should be revised. EPA’s American Indian Environmental Office 

(AIEO) can provide additional information regarding compliance with EO 13175. 

5
Background 

The interactions between OAQPS and tribal governments are rooted in and guided by three key 

concepts: tribal sovereignty, the government-to-government relationship, and the federal trust 

responsibility to federally-recognized tribes. 

Tribal Sovereignty

Tribal sovereignty helps us understand with whom we are interacting. Indian tribes retain 

important sovereign powers over their members and their territory. In light of tribal sovereignty 

and other principles of federal Indian law, states and local governments are generally precluded 

from exercising jurisdiction in Indian country.1

 This means that as a sovereign government, 

each tribal government generally sets its own priorities and goals for its membership and 

territory, including those for environmental protection. Thus, tribal sovereign governments 

generally have an interest in environmental protection issues, including air quality issues, 

affecting their members and territory. 

The Government-to-Government Relationship

The government-to-government relationship helps us understand how we are to interact. The 

EPA recognizes the government-to-government relationship between the United States and 

federally-recognized Indian tribes and acknowledges Indian tribes as sovereign governments 

retaining important inherent powers of self-governance.2 This relationship provides a 

framework for interacting with tribes as partners to address issues of mutual concern. EPA has 

significant experience across the Agency working and consulting with tribes on a gove

government basis. 

rnment-toThe Federal Trust Responsibility

The trust responsibility helps us understand why we interact with tribes. The federal government 

has a trust responsibility to federally-recognized tribes. Like other federal agencies, EPA acts in 

accordance with that trust responsibility when taking actions that affect tribes. 

This responsibility includes consulting with tribes and considering their interests when taking 

actions that may affect tribes or their resources. In EPA’s landmark 1984 Indian Policy, the 

Agency stated that the keynote of EPA’s efforts to protect human health and the environment on 

Indian reservations “will be to give special consideration to tribal interests in making Agency 

policy, and to insure the close involvement of Tribal Governments in making decisions and 

managing environmental programs affecting reservation lands.”3

 Similarly, in a 1994 

 

1

 Indian country is defined at 18 U.S.C. § 1151 as: “(a) all land within the limits of any Indian reservation under the 

jurisdiction of the United States Government, notwithstanding the issuance of any patent, and, including rights-ofway running through the reservation, (b) all dependent Indian communities within the borders of the United States 

whether within the original or subsequently acquired territory thereof, and whether within or without the limits of a 

state, and (c) all Indian allotments, the Indian titles to which have not been extinguished, including rights-of-way 

running through the same.” 

2

 EPA Policy for the Administration of Environmental Programs on Indian Reservations, November 8, 1984 

3

 EPA Policy for the Administration of Environmental Programs on Indian Reservations, November 8, 1984 

6
memorandum, the President directed all federal agencies to assess the impacts of their plans, 

projects, programs, and activities on tribal trust resources, assure that tribal government rights 

and concerns are considered during the development of such plans, projects, programs, and 

activities, and, to the extent practicable and permitted by law, consult with federally-recognized 

tribal governments before taking actions that affect them.4 

Considerations for EPA Interactions with Tribes

Each tribe is unique and differs in leadership, governmental and economic infrastructure, and 

culture. As a result, no single set of protocols will meet the needs of all tribes. Rather, there are 

general considerations and guidelines to help staff to approach all tribes with appropriate respect 

and sincerity. It is recommended that all staff take the OAQPS training entitled, “Working 

Effectively with Tribal Governments” to gain a better understanding of relevant federal law, 

Indian programs and government, and Indian culture. An online course is available through the 

EPA American Indian Environmental Office (AIEO) at 

http://intranet.epa.gov/oppts/training/tribal/EPA/mainmenu/launchPage.htm. 

Below are key considerations: 

3⁄4 Every tribe is culturally unique. You should respect each tribe’s cultural concerns. 

3⁄4 The perception of encroachment on tribal sovereignty is one of the most significant issues for 

tribes today. Tribes should, as much as possible, be included early in the policy, guidance, or 

rule development process to help ensure their input is meaningful. 

3⁄4 Tribes often have two tiers of government, (e.g., legal/political and traditional). The tribal 

head is not always the decision–maker. You should learn the system of government used by 

a specific tribe before initiating contact. The OAQPS CTPG and the appropriate Regional 

Office can assist you with this. 

3⁄4 While environmental issues are a concern of most tribes, many tribes have limited familiarity 

with environmental issues. They have to focus on many issues such as poverty, 

unemployment, education, and health issues. 

3⁄4 There may be only one or a few tribal environmental professionals working on all 

environmental issues for a tribe. Therefore, any apparent lack of interest in a particular 

matter may, in reality, result from limited time and resources. 

3⁄4 One size does not fit all. Appropriate consultation may be different for each tribe; so it is 

important that the program lead consider different avenues for reaching out to the tribes. 

3⁄4 Tribes may be skeptical of federal or state governments so they may not be very receptive to 

you at first. By taking time to inform the tribes appropriately, you will have gone a long way 

toward building a fruitful, professional relationship. The OAQPS CTPG can help since they 

have already developed relationships with many tribes. 

 

4

 Memorandum: Government-to-Government Relations with Native American Tribal Governments, April 29, 1994 

(59 Fed. Reg. 22951) 

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Section I – Screening

The screening phase is designed to help assess whether your action may have any impacts or 

effects on tribes. This section defines what “impacts or effects on tribes” are; provides questions 

to help you assess if there are potential impacts or effects; and then, if appropriate, recommends 

how to proceed into the “collaboration and outreach” and “formal consultation” phases. 

What does “impacts or effects on tribes” really mean?

Such effects may include ecological, cultural, human health, economic, or social impacts. This 

includes any actions that may have an impact on tribal natural resources and trust lands; an 

impact on treaty rights applicable to lands outside reservation boundaries; or an impact on the 

authority or resources of tribal governments. 

How do I assess whether there are impacts or effects on tribes?

To help assess whether there are impacts or effects on tribes there are a few questions you, the 

policy, guidance or rule writer, should answer. To assist you, these questions can be answered 

on an Impacts or Effects on Tribes Form. If you can answer YES to any of the following 

questions, then your action likely has potential impacts or effects on tribes and more analysis 

should be done to consider appropriate means to involve tribes in the process. In addition, if 

there are potential effects or impacts on tribes a Tribal Consultation Plan should be developed. 

The OAQPS CTPG or your division tribal team representative can assist you with this form. 

(See example Impacts or Effects on Tribes Form and Tribal Consultation Plan in Appendix.) 

The Impacts or Effects on Tribes Form includes these questions: 

o Are there effects on: 

o tribal governments, communities, cultures and/or their ability to self-govern 

o trust resources 

o treaty or other tribal rights 

o Does this action affect Indian country or is it close enough to potentially affect Indian 

country (e.g., transport issues)? 

o Does this action establish new federal standards or significant policy or guidance? 

o Does this action establish a regulation not required by statute that may affect tribes or 

their rights or resources or propose a regulation which pre-empts tribal law? 

If you cannot clearly answer NO to all of the questions listed above, then you should begin 

thinking about how to proceed with tribal outreach. You should contact the OAQPS CTPG, or 

your OAQPS division tribal team representative. Together, you will assess whether there are 

potential impacts or effects on tribes and if so, how to effectively collaborate and consult with 

affected tribes. There also may be situations when a tribe requests an opportunity to consult 

even if there are no clear impacts or effects on tribes. In this case, you should have discussions 

with the tribe regarding the action. The OAQPS CTPG can provide supplemental information to 

assist you with the specific steps of the process and to initiate appropriate tribal contact. 

8
The following flow chart can be used to further assist you in determining if there are impacts or 

effects on tribes: 

If at least

one answer 

is YES 

Incorporating Tribal Considerations into 

OAQPS Actions

 Project lead should consider each question: 

• Does your action have effects on: tribal governments 

and/or their ability to self govern, trust resources, 

and/or treaty or other rights? 

• Does this action affect Indian country or is it close 

enough to potentially affect Indian country (e.g., 

transport issues)? 

• Does this action establish new federal standards or 

significant policy or guidance? 

• Does this action establish a regulation not required 

by statute that may affect tribes or their rights or 

resources or propose a regulation which preempts 

tribal law? 

Consult the OAQPS Community & Tribal Programs Group 

or your division tribal team representative for 

assistance with this screening.

Consultation may not be 

called for, however, some 

form of outreach may be 

recommended, based on 

other policies such as EPA’s 

1984 Indian Policy. 

Consultation with tribal 

officials is necessary. 

Consult OAQPS Community & Tribal 

Programs Group for assistance. 

If all 

answers are 

NO 

The chart on the next page is for those actions which have been designated as either Tier 1 or 

Tier 2 rules under the Agency’s Action Development Process (ADP). There is a greater 

possibility that rules designated as Tier 1 or Tier 2 may have tribal impacts or effects. The chart 

depicts the Agency’s official action development process; however, we have added boxes, 

designated in red, to show when tribal considerations should be incorporated into the Agency’s 

official process for OAQPS rules. This is not intended to amend or alter the Agency’s official 

ADP. Rather, the additional information is designed to provide separate guidance for OAQPS 

staff to assist in the consideration of effects on, and outreach to, tribes in the context of relevant 

OAQPS actions. 

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10
Section II – Collaboration and Outreach

Collaboration and Outreach

If an OAQPS policy, guidance, or rulemaking action may affect tribes or if tribes are interested 

in learning more, collaboration and outreach are important next steps. Collaboration and 

outreach provide an opportunity for EPA to interact with tribal environmental professionals 

(TEP) and tribal personnel on the potential impacts or effects. This is an opportunity for EPA to 

talk with the TEPs to assist EPA in its assessment of whether to call for government-togovernment consultation. When an action is targeted directly toward tribes, has impacts or 

effects on tribes or Indian country communities, or has broad tribal interest, OAQPS staff should 

consult with the tribes. Outreach activities can be tailored to the specific needs of your action, 

ranging from notification to the tribes via a listserve to establishing a formal work group. The 

OAQPS CTPG can help you design the appropriate scope of interaction. 

General Recommendations

o Identify Issues, Interests, and Impacts 

o What are the issues? 

o What are the critical time lines and events? 

o Who is involved? 

o Who has an interest? 

o Who is potentially impacted? 

o Involve Tribes Early in the Process 

o The earlier the better. 

o Carefully set up work groups5

 to ensure needed expertise. 

o Outreach schedules should reflect critical and appropriate points for interaction. 

o Allow for a full range of opinions and interactions. 

o Plan Strategies and Mechanisms 

o Consider strategies about appropriate audience, method of communication, and 

content. 

o Involve EPA Regional Offices 

o Regional tribal and program offices should be actively involved in identifying and 

working with tribal officials and personnel from their Regions. One way to raise 

issues quickly is to work with the sub-lead Region for tribal air issues and 

schedule time on one of the monthly Tribal Air Coordinator (TAC) calls. 

 

5

 Meetings with outside organizations may be subject to the Federal Advisory Committee Act (FACA). Consult your 

Office of General attorney to determine whether FACA applies to your meeting. 

11
Steps for Effective Collaboration and Outreach

1. Identify which tribes may be affected. 

a. Initiate discussions with OAQPS CTPG, division tribal team representative, and 

appropriate EPA Regional Office Tribal Air Coordinators. 

b. Identify type of tribal government and appropriate tribal contacts. 

c. Identify special tribal considerations and protocols (e.g., subsistence seasons) for 

those tribes. 

2. Write a fact sheet in plain English. 

 a. Describe the action being considered (i.e., policy, guidance, rulemaking). 

 b. Describe how the action may impact or affect tribal governments. 

 c. Include information on how to contact you and receive additional information. 

 

3. Notify tribal environmental professionals. 

a. Work with the OAQPS CTPG and the EPA Regional Office where the tribe is 

located to develop an outreach/communication strategy. 

b. Notify all affected tribal governments at an early stage by disseminating early 

information to tribal officials on action development. In addition to sending out 

the fact sheet described above, you can also send out a listserv or Tribal Air 

Website message with EPA contact’s address, participate in National Tribal Air 

Association (NTAA) monthly calls, work with National Tribal Environmental 

Council (NTEC) and EPA Regional tribal contacts, and send information to 

Regional Tribal Operations Committee (RTOC) contacts. 

4. Consultation with tribal leaders where appropriate. 

a. If consultation is called for, please proceed to Section III of this document, 

Consultation, for more information on how to proceed. If not, continue 

coordination through updates and consideration of input from TEPs and other 

tribal personnel at an appropriate degree of specificity. 

Section III - Consultation

Formal (or Full) Consultation

Consultation is built upon the exchange of ideas, not simply providing information, and is 

generally not a one-time event, but an ongoing process. Consultation is called for, among other 

potential actions, any policy, guidance, or rule that is 1) targeted directly toward tribes; 2) has 

impacts or effects on tribes or Indian country communities; or 3) has broad tribal interest. 

Examples include the Tribal Authority Rule, New Source Review Rule for Indian Country, 

Mercury Maximum Achievable Control Technology Standards for Utilities, Landfill Maximum 

Achievable Control Technology Standards, Tribal Implementation Plan Guideline, and Rules for 

Implementing New National Ambient Air Quality Standards. While EPA Headquarters (i.e., 

OAQPS) consults on its actions, staff should work closely with the EPA Regional Offices. 

Formal consultations, including any letters sent to tribes, are initiated by the OAQPS Division 

Director level or higher. 

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Earlier it was stated that OAQPS staff should contact TEPs to assist in assessing whether 

consultation is called for in advance of any action for which we think tribes will have an interest. 

If after doing that, we find that a few TEPs are interested or concerned about an action and 

OAQPS believes that tribes would be affected, OAQPS would generally send a letter to tribal 

leaders of those potentially affected tribes, providing an overview of the action and offering an 

opportunity for consultation. This action should be taken prior to proposing the rule. Early 

communication is important. The goal is to have a dialogue between informed tribal leaders, or 

their authorized representatives, and federal officials to help OAQPS appropriately consider 

tribal views in developing and finalizing the federal action. 

Recommendations for Developing Tribal Consultation Plans

The outreach/community strategy completed in Section II as part of the collaboration and 

outreach process, can now be used to develop a tribal consultation plan. This plan serves as the 

road map for the formal consultation process. Below are issues to consider when developing 

your plan. AIEO is the principal point of contact for coordinating the interaction of tribes and 

other EPA offices and officials; however, your first point of contact is the OAQPS CTPG and 

your division tribal representative. 

Issues to Consider

o The Inter-governmental Stakeholders 

o Who are the interested principal tribal government stakeholders likely to be 

affected by this action? 

o Are there tribal elected officials who have expressed interest in the action under 

development? 

o Which, if any, tribal environmental or technical agencies will administer the 

action? 

o What other tribal governmental entities will have to take action (e.g., pass 

legislation, raise funds, be subject to requirements)? 

o Are there any other tribal government agencies (e.g., economic development, 

transportation, agriculture) likely to be affected or have an interest? 

o Governmental Impacts 

o What is known about costs and other implications of the action? 

o Will the action impact different tribal entities to different degrees or in different 

ways? 

o Unique Impacts 

o Will the action have disproportionate impacts on any tribes in a particular region 

of the country? 

o Will the action affect tribes in urban, rural, or other areas differently? 

o How will outreach and consultation efforts be targeted and tailored in light of 

these unique or disproportionate impacts? 

o Will tribes be affected or be presented with unique compliance issues? 

o What steps will be taken to notify tribes of the planned action and to secure their 

participation? 

13
o Major Issues/Areas of Concern 

o What information will tribal government officials need to help them understand 

the potential implications of the proposed action and why they should (or may) be 

interested? 

o What issues are likely to be major concerns to the different tribal government 

officials? 

o What steps should be taken to identify additional issues? 

o Tribal Participants 

o Are tribal organizations such as NCAI, NTAA, NTEC, ITCA, ITCG (see 

appendix for acronyms), and other consortia involved? 

o What EPA organizations provide/offer tribal perspectives? 

o How can EPA solicit tribal government views? 

o How can other individual tribal officials interested in the rule be identified? 

o How can EPA regional offices assist in securing their participation? 

o Outreach/Collaboration Activities 

o What outreach and collaboration efforts have already been undertaken? 

o Are there tribes potentially interested that have not yet been informed about the 

proposed action? 

o What is the plan for disseminating information about the action? 

o What kinds of information materials are needed? 

o How can tribal government officials be involved in resolving issues and areas of 

concern? 

o How and when are tribal officials informed about the results of cost and other 

impact analyses? 

o Expertise Needed 

o What kinds of expertise from tribal officials would be especially helpful in 

designing this action? Examples include: 

 Experts in particular technologies, industries, or scientific disciplines; 

 Economists, lawyers, or policy analysts specializing in particular areas; 

and 

 Managers with expertise administering comparable programs at another 

level of government. 

o Schedule/Resources 

o What is the schedule for key outreach and consultation activities? 

o What resources – staff, extramural funds, or other resources – may be needed to 

carry out the consultation plan? 

o What assistance is needed from other EPA offices (e.g., Regions, Office of 

General Counsel, Office of Policy, Economics, and Innovation, or the American 

Indian Environmental Office)? 

14
Steps to Effective Consultation

1. Develop a Tribal Consultation Plan which serves as the road map for consulting with the 

tribes. 

a. Using the outreach/collaboration strategy developed in Section II, a consultation 

plan can now be developed for the consultation phase. 

b. Develop and send out consultation letters to leaders of affected tribes providing 

them an opportunity to consult (see appendix for example consultation letter). 

2. Continue discussions with OAQPS CTPG, OAQPS tribal division representative, and 

EPA Regional Office Tribal Air Coordinators. 

3. Communicate with Tribes. 

a. Consult with tribes early in the process of developing the action(s). 

i. In some cases, you may be working with only one or two tribes, and you 

should be able to communicate and consult with them directly. In other 

cases, where the action is less developed or there is greater tribal interest, 

you may need to communicate with a much larger group. In addition to 

one-on-one meetings, reaching a larger tribal audience can be 

accomplished through national meetings and with the assistance of the 

National Congress of American Indians and the National Tribal 

Operations Committee. 

b. Consider any responses received from the consultation letters sent out to the tribal 

letters. 

c. Explain to tribes how you intend to respond to the concerns they raised in the 

consultation process and when you plan to get back to them. 

4. Make available to the Office of Management and Budget (OMB), as appropriate, 

information submitted by tribes. 

a. As you move closer to finalizing your action, make available information 

submitted by the tribes through the consultation and, as appropriate, information 

submitted by TEPs or other tribal personnel through the outreach and 

collaboration process to OMB. 

b. Once you have determined the status of your action under Executive Order 13175, 

you need to refer to Preamble Templates for Executive Order 13175: 

Consultation and Coordination with Indian Tribal Governments at 

http://intranet.epa.gov/adplibrary/adp-templates/index.htm to determine the 

appropriate template to use in your action. 

c. If there are potential impacts (refer to page 8), contact the EPA American Indian 

Environmental Office (AIEO), in the final stage of the action. 

i. A Tribal Impact Summary Statement may have to be developed and in 

return, a certification letter from the Director of AIEO, may have to be 

submitted with the final action. 

15
5. Document the Consultation. 

a. If consultation was conducted, briefly discuss in the relevant section of your rule 

preamble or document background/summary: the consultation process, the tribal 

concerns, and how you addressed these concerns or why you did not. 

b. Ensure that all information is submitted to the docket for proper recordkeeping. 

 

16
Appendix

KEY TERMS & CONCEPTS 

Authorized Inter-Tribal Organization

An “authorized inter-tribal organization” is an organization that has been officially designated by the 

elected or duly-appointed leader of a federally recognized tribal government to represent that tribe on a 

particular issue. 

Consultation

Consultation generally consists of meaningful and timely communication between EPA officials and 

elected or duly appointed tribal government officials or their authorized representatives in developing 

Agency actions that affect tribes. Consultation means open sharing of information, the full expression of 

tribal and EPA views, a commitment to consider tribal interests in decision-making, and respect for tribal 

self-government and sovereignty. Consultation is different from input and interaction or collaboration 

and outreach: consultation is government-to-government, whereas input and interaction or collaboration 

and outreach can be with communities, environmental staff, and others. 

Consultation versus Community Involvement

It is important to distinguish between government-to-government consultation and community 

involvement activities. Community involvement typically involves members of the tribal community 

directly and is normally separate from consultation or discussions with the tribal government. 

Consultation occurs in addition to the public participation process. 

Federal Indian Law

“Federal Indian Law” refers to the body of law that defines the unique relationship between the United 

States and the Indian tribes, including federally-recognized Alaska Native entities. Federal Indian Law 

addresses, among other things, tribal sovereignty, tribal treaty rights, and jurisdiction in Indian country. 

Federal Indian Trust Responsibility 

The federal government has a “trust responsibility” to federally recognized Indian tribes that arises from 

treaties, statutes, executive orders, and the historical relations between the United States and Indian tribes. 

Like other federal agencies, EPA acts in accordance with the trust responsibility – which generally 

includes consulting with and considering the interests of tribes – when taking actions that may affect 

tribes or their resources. 

Government-to-Government Relationship 

The relationship between federally-recognized Indian tribal governments and the federal government is a 

unique one. Indian tribes possess an inherent sovereignty over their members and territories. Because 

each Indian tribe is a sovereign government, EPA officials (and those from other federal agencies) 

interact with tribal officials as representatives of their government. EPA consults – on a government-togovernment basis – with federally-recognized tribes. 

Indian country

This term is defined by federal statute at 18 U.S.C. § 1151 to include all land within federal Indian 

reservations, dependent Indian communities, and certain lands or allotments owned by Indians. Indian 

country includes lands held in trust by the United States for the benefit of an Indian tribe that have not 

17
been formally designated as reservations. Tribal land issues can be quite complicated; therefore, you 

should talk to EPA Regional Indian Program representatives, Regional Counsel, or the Office of General 

Counsel for more in-depth information. 

Indian Tribe

A federally recognized “Indian tribe” is an entity that appears on the list of federally recognized tribes 

published by the U.S. Bureau of Indian Affairs (BIA) of the U.S. Department of the Interior (DOI). It is 

generally a community of Indians who are ethnologically similar, but who as a community also exist in a 

legal-political sense. 

Indian tribal governments generally determine who is a member of an Indian tribe by ensuring that they 

meet specific tribal membership criteria. Each tribe has its own laws and methods of determining 

membership, but typically it is based on ancestry. 

Multiple Tribes

More than one tribe could have interest in the same area. In this type of situation, EPA should offer to 

consult with all affected tribes. In some cases, tribes may form a group to speak with one unified voice. 

If this does not happen, EPA should continue to consult with all affected tribes. 

Native Americans (also referred to as Indian, American Indian, and Alaska Native)

The terms “Native American,” “American Indian,” “Indian” and “Alaska Native” can be used in a very 

broad sense to describe members of ethnically distinct groups of United States citizens who are 

indigenous to North America. All of these terms are generally accepted, but it is preferable to use 

individual tribal affiliation whenever possible. 

Native Hawaiians

 “Native Hawaiians” can be described as Native American because they are indigenous to their areas and 

they are not descendents of European colonizers. The Native Hawaiian community generally has a 

different relationship with the U.S. Government. You should consult your tribal legal and policy experts 

for more information where issues regarding Native Hawaiians may be raised. 

Reservations

“Indian reservations” are a subset of Indian country (see 18 U.S.C. § 1151). Reservations may have been 

set aside from the public domain by an act of Congress, executive order, or treaty. The exterior 

boundaries of reservations may include lands not owned by the tribe, including, but not limited to, 

allotments and nonmember-owned fee lands. 

Sovereignty

“Sovereignty” is the authority that a government draws upon to govern. In the United States, tribes retain 

important aspects of sovereignty and authority over their members and territory. 

Treaties

Through treaties, Indian nations ceded certain lands and rights to the United States and reserved certain 

lands (“reservations”) and rights for themselves. In many treaties, tribal governments reserved hunting, 

fishing, and gathering rights in territories beyond the land that they reserved for occupation. 

Tribal Air Coordinators (TAC)

Each Regional Office has a tribal air coordinator that participates in monthly conference calls organized 

by the sub-lead EPA Region for Tribal Air Issues. These regional contacts (see Contacts List in 

appendix) are familiar with tribal issues specific to the tribes in their region and can serve as a good 

resource in early planning efforts and follow-up consultation. 

18
Tribal Area

“Tribal area” is a generic term adapted from concepts used by the U.S. Census Bureau to discuss where 

Native Americans live. It includes American Indian reservations, Alaska Native Villages, and other 

special types of areas that represent ongoing centers of tribal culture. 

Tribal Authority Rule

 The “Tribal Authority Rule” refers to the EPA regulation that implements the provisions of the Clean Air 

Act that authorize eligible tribes to implement tribal air quality programs under the Clean Air Act in a 

manner similar to states. The final Tribal Authority Rule was published at 63 Fed. Reg. 7254 

(February 12, 1998). 

Tribal Consultation

See definition of “Consultation.” 

Tribal Environmental Professional (TEP) 

“Tribal Environmental Professionals” are employed by the tribal government to work on environmental 

issues. They cannot make decisions on behalf of the tribal governments but they are knowledgeable of 

the day-to-day environmental concerns of the tribes and should be consulted with on a regular basis. 

Tribal Governments

Most tribes have their own governments, which are generally formed to suit the particular tribe’s 

practical, cultural, political, or religious needs. Many tribal government structures combine traditional 

features with Western forms. More traditional tribal governments may select political officials by 

consensus with decisions based on family, clan, or religious law; while other tribal governments may use 

a more democratic process to elect officials. 

Tribal Officials

“Tribal officials” for the purpose of this policy means an elected or duly appointed official of Indian 

tribal governments or their authorized representatives or authorized inter-tribal organizations. 

EPA generally recognizes an inter-tribal organization to be authorized to represent a tribal government 

after receiving confirmation from an elected or duly-appointed tribal leader that the inter-tribal 

organization is authorized to consult with EPA on the tribe’s behalf. Such confirmation should be 

provided in writing. 

Trust Responsibility

See Federal Trust Responsibility. 

19
RELEVANT TRIBAL AND EPA ORGANIZATIONS 

(referenced in this document)

AIEO – The American Indian Environmental Office

AIEO is part of the U.S. EPA. The AIEO, working with its regional components, coordinates the Agency-wide 

effort to strengthen public health and environmental protection in Indian country. AIEO oversees development and 

implementation of the Agency’s Indian policy. 

ITCA – Inter-Tribal Council of Arizona 

ITCA provides a united effort to promote Indian self-reliance through public policy development. 

ITEC - Inter-Tribal Environmental Council of Oklahoma 

The ITEC was formed in 1992 by the signing of a Memorandum of Understanding between 20 Oklahoma tribes and 

EPA Region 6. Since that time other tribes have joined and the current membership is 31. 

NCAI – National Congress of American Indians 

NCAI is a representative national Indian organization, serving more than three quarters of the American Indian and 

Alaska Native population. 

NTAA – National Tribal Air Association 

NTAA's mission is to advance air quality management policies and programs, consistent with the needs, interests, 

and unique legal status of American Indian Tribes, Alaska Natives and Native Hawaiians. 

NTEC – National Tribal Environmental Council 

NTEC was formed in 1992 and is a membership organization dedicated to working with and assisting tribes in the 

protection and preservation of the reservation environment. NTEC is open to membership to federally-recognized 

Indian tribes and currently has 182 member tribes. 

NTOC – National Tribal Operations Committee 

The NTOC was formed in February 1994 in order to improve communication and build stronger partnerships 

between the tribes and EPA. NTOC comprises 19 tribal leaders or their environmental program managers (the 

National Tribal Caucus) and EPA’s Senior Leadership Team, including the Administrator, the Deputy 

Administrator, and the Assistant and Regional Administrators. 

RTOC – Regional Tribal Operations Committee

Federally-recognized tribes reside in nine of the Agency’s 10 regions (Region 3 is the exception). Each of these 

nine regions has appointed a Regional Indian Coordinator, and some of the regions have established an Indian 

program office. Some regions have a formal Regional Tribal Operations Committee comprised of tribes residing 

within that region. 

TAMS - Tribal Air Monitoring Support Center 

The TAMS Center is a partnership between OAR offices, OAQPS, and ORIA with support from NAU’s Institute 

for Tribal Environmental Professionals (ITEP). The mission of the TAMS Center is to develop the tribal 

capacity to assess, understand, and prevent environmental impacts that adversely affect health, culture, and natural 

resources. 

20
21

EPA TRIBAL AIR PROGRAM CONTACTS 

Office of Air and Radiation 

Darrel Harmon 

202-564-7416 

harmon.darrel@epa.gov

Office of Air Quality Planning 

and Standards 

Laura McKelvey 

919-541-5497 

mckelvey.laura@epa.gov

Office of Atmospheric Programs 

Erika Wilson 

202-343-9113 

wilson.erika@epa.gov

Office of Transportation & Air 

Quality 

Elizabeth Etchells 

202-564-1686 

etchells.elizabeth@epa.gov 

Region 1 

Ida McDonnell 

617-918-1653 

mcdonnell.ida@epa.gov

Region 2 

Gavin Lau 

212-637-3717 

lau.gavin@epa.gov

Region 4 

Brandi Jenkins 

404-562-9124 

jenkins.brandi@epa.gov

Gracy Danois 

404-562-9119 

danois.gracy@epa.gov

Region 5 

Benjamin Giwojna (MN) 

312-886-0247 

giwojna.benjamin@epa.gov

Stephanie Cheaney (MI) 

312-886-3509 

cheaney.stephanie@epa.gov

Sharleen Getschmann (WI) 

312-353-3486 

getschmann.sharleen@epa.gov

Region 6 

Elizabeth Braziel (NM, TX) 

214-665-6449 

braziel.elizabeth@epa.gov

Aunjanee Gautreaux 

214-665-7127 

gautreaux.aunjanee@epa.gov

Region 7 

Heather Hamilton 

913-551-7039 

hamilton.heather@epa.gov

Region 8 

Alexis North (Lead) 

303-312-7005 

north.alexis@epa.gov 

Claudia Smith 

303-312-6520 

smith.claudia@epa.gov

Kathleen Paser 

303-312-6526 

paser.kathleen@epa.gov

Region 9 

Sara Bartholomew 

415-947-4100 

bartholomew.sara@epa.gov

Maeve Foley 

415-972-4105 

foley.maeve@epa.gov

Stephanie Valentine 

415-972-3014 

valentine.stephanie@epa.gov

Asia Yeary 

415-972-3831 

yeary.asia@epa.gov 

Region 10 

Mary Manous (Lead) 

206-553-1059 

manous.mary@epa.gov

Angel McCormack 

206-553-1498 

mccormack.angel@epa.gov

Debra Suzuki 

206-553-0985 

suzuki.debra@epa.gov

Justin Spenillo 

206-553-6125 

spenillo.justin@epa.gov 

 
OAQPS TRIBAL REPRESENTATIVES 

Office of Air Quality Planning and 

Standards, Overall Representative 

Laura McKelvey 

919-541-5497 

mckelvey.laura@epa.gov 

Air Quality Assessment Division 

 Mike Papp 

 919-541- 2408 

papp.michael@epa.gov 

Air Quality Policy Division 

 Tom Link 

 919-541-5456 

link.tom@epa.gov

 Jessica Montanez 

 919-541-3407

montanez.jessica@epa.gov

Health and Environmental Impacts Division 

 Christine Davis 

 919-541-1565 

davis.christine@epa.gov

 

Outreach and Information Division 

 Lena “Vickey” Epps-Price 

 919-541-5573 

epps-price.lena@epa.gov

Yvonne W. Johnson 

 919-541-3921 

johnson.yvonnew@epa.gov

 Tami Laplante 

 919-541-1915 

laplante.tami@epa.gov

Nancy Mayer 

919-541-5390

mayer.nancy@epa.gov

 Melissa McCullough 

 919-541-5646 

mccullough.melissa@epa.gov

 

Sector Policies and Programs Division 

 Charlene Spells 

 919-541-5255 

spells.charlene@epa.gov

 

22
SAMPLE 

OAQPS IMPACTS OR EFFECTS ON TRIBES FORM 

(to be used for OAQPS actions – regulation, policy, or guidance) 

Name of Action: ______________________________________________________________ 

Project Lead Name & Number: ___________________________________________________ 

Division & Group: _____________________________________________________________ 

Action Stage (e.g., data gathering, pre-proposal, proposal, final, other) ____________________ 

Estimated date of next major action (e.g., proposal or final) _____________________________ 

To determine if there are any potential impacts or effects on tribes, please address the 

following questions: (If the answer is YES and more space is needed please explain on an 

attached sheet.) 

o Number and location of sources____________________________________________ 

o Pollutants addressed_____________________________________________________ 

o Are there effects on: 

o tribal governments, communities, cultures and/or their ability to self-govern 

_______________________________ 

o trust resources____________________ 

o treaty or other tribal rights_______________ 

o Does this action affect Indian country or is it closes enough to potentially affect Indian 

country (e.g., transport issues)? ____________________ 

o Does this action establish new federal standards or significant policy or guidance? 

___________________ 

o Does this action establish a regulation not required by statute that may affect tribes or

their rights or resources or propose a regulation which pre-empts tribal law? 

________________________ 

Refer to the OAQPS Consulting with Indian Tribal Governments Guidance for more information. 

Please submit completed form to your division tribal team representative or 

OAQPS Outreach and Information Division, Community and Tribal Programs Group 

(MD-C-304-03). 

23
EXAMPLE TRIBAL OUTREACH/COLLABORATION STRATEGY 

1) Early in Action Development Process 

a. Contact sub-lead EPA Region and give brief overview of action on monthly TAC 

call 

b. Meet with Tribal Environmental Professionals (TEP) on monthly NTAA calls, 

RTOC and NTEC meetings or other tribal forum to present key concepts of the 

action and get input on tribal impacts, 

i. Work with OAQPS/CTPG to identify appropriate forum 

ii. OAQPS/CTPG can help you communicate with the tribes and EPA 

Regional tribal contacts as well as develop communication materials that 

are tribal friendly 

2) Prior to Proposal of Action 

a. Meet with tribal personnel to present the key concepts in the proposal. (Note: 

Generally this is done with TEP staff, but if there are relevant tribal impacts or 

interest, a formal opportunity for consultation with elected tribal officials or their 

authorized representatives should take place.) 

i. If consultation is called for, send letters to tribal leaders and key consortia 

to provide an opportunity for consultation 

1. Consultation letters should come from the division director or a 

higher level 

2. Copy TEP so they are aware of the letter 

ii. Respond to tribal leaders as appropriate (Note: they may defer to 

coordination with TEP.) If they request conference calls or face-to-face 

meetings, we should work with the tribe to set those up as appropriate. 

1. Note: the Regional Office can help with face-to-face meetings 

2. If all agree, consultation may take place at a joint meeting which 

includes Regional TOC. 

3) After Proposal of Action 

a. Outreach to explain the content of the proposal and encourage input from the 

tribes should be ongoing in the TAC calls, NTAA and NTEC calls, RTOC 

meetings and other forums. Additional consultation with tribal leaders or their 

authorized representatives should be conducted as appropriate. 

b. Mechanisms for highlighting the proposal: 

i. Tribal Air Newsletter 

ii. Tribal Air Website at http://www.epa.gov/air/tribal/ 

iii. Tribal List serve 

4) After Final Action 

a. Outreach to explain the content of the final rule 

b. Mechanisms for highlighting the final decision and identifying next steps: 

i. Tribal Air Newsletter 

ii. Tribal Air Website at http://www.epa.gov/air/tribal/ 

iii. Tribal List serve 

24
SAMPLE CONSULTATION LETTER6

May 5, 2008 

«FIRST» «LAST» 

«TITLE» 

«TRIBE_NAME» 

«ADDRESS» 

«CITY», «FULL_STATE» «ZIP» 

«GreetingLine»: 

On May 1, 2008, the U.S. Environmental Protection Agency proposed to strengthen the 

national ambient air quality standards (NAAQS) for lead. The purpose of this letter is to invite 

you to consult on this proposal. 

 The proposed rule will establish new uniform national standards for lead in ambient air to 

protect public health. EPA proposes to revise the level of the primary (health-based) standard to 

within the range of 0.10 to 0.30 micrograms per cubic meter (μg/m3), and to revise the 

secondary (welfare-based) standard to be identical in all respects to the primary standard. The 

proposed standards will significantly strengthen the standards of 1.5 μg/m3 set in 1978. 

 In addition to proposing to change the level of the standard, EPA is also proposing to 

improve the monitoring network and outlining an approach and timeline for implementing the 

revisions to the lead standards. The proposed rule and accompanying materials, including maps 

relating to current air quality and emissions of lead from stationary sources in the U.S., are 

available on EPA’s website at http://www.epa.gov/air/lead. 

 Though lead emissions have declined significantly in the U.S. following the permanent 

phase-out of leaded gasoline, there are still a variety of lead sources in the U.S. and even small 

amounts of lead in the air may pose a public health risk. Lead in the air can be inhaled or, after it 

settles out of the air, can be ingested. It causes a variety of effects at low levels of exposure 

including effects on the blood, central nervous system, cardiovascular system, kidneys, and 

immune system. Children are particularly sensitive to the effects of lead. Exposures to low 

levels of lead early in life are associated with effects on IQ, learning, memory, and behavior. 

EPA does not believe the proposed rule will have adverse implications for Tribes because 

it increases the level of environmental protection nationwide. However, to ensure that your lands 

and interests are protected, we open the door to consultation and welcome any additional 

information about the standards or potential impacts you would like to share. 

EPA will accept comment for 60 days after the proposed rule is published in the Federal 

Register. EPA will also hold public hearings on June 12, 2008, in Baltimore, Maryland, and St. 

 

6

 While this sample was sent after proposal of the rule (which is a time when continuing tribal consultation may be 

appropriate), tribal consultation should ideally begin earlier in the process and prior to proposal. 

25
26

Louis, Missouri. We will be available to discuss the proposed revisions in other settings as well, 

such as during the next National Tribal Air Association/EPA joint conference call on air quality, 

at the 2008 National Tribal Forum on Air Quality in June, and with Regional Tribal Operations 

Committees. If you prefer to initiate a formal consultation with EPA on this rule, please contact 

Laura McKelvey at (919) 541-5497 or Deirdre Murphy at (919) 541-0729. 

We want your input to assure that we develop the best rules possible. We endeavor to 

conduct our efforts with sensitivity to the needs and culture of Tribes and with attention to the 

impact of our actions on Tribal sovereignty. We look forward to receiving your input. 

Sincerely, 

Lydia N. Wegman 

Director 

Health and Environmental Impacts Division 

Office of Air Quality Planning and Standards 

 

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