[Federal Register Volume 71, Number 37 (Friday, February 24, 2006)]
[Notices]
[Pages 9547-9554]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 06-1729]


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ENVIRONMENTAL PROTECTION AGENCY

[FRL-8024-7]


Indian General Assistance Program 2006 Grants Administration 
Guidance

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice of Guidance Issuance.

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SUMMARY: EPA is issuing guidance, entitled ``Indian General Assistance 
Program (GAP) 2006 Grant Administration Guidance.'' The guidance 
summarizes the issues and procedures required to ensure compliance with 
current grant policies and regulations. It addresses the following 
areas: GAP allocation; notification letters; work plan and reporting 
templates; environmental results; GAP national set-asides; solid waste 
implementation priorities; and GAP tracking electronic data entry. The 
``GAP 2006 Grants Administration Guidance'' does not replace the ``2000 
Guidelines on the Award and Management of General Assistance Agreements 
for Indian Tribes.''

DATES: This guidance is effective upon publication in the Federal 
Register.

ADDRESSES: This guidance with appendices may be viewed and downloaded 
from EPA's homepage at http://www.epa.gov/Indian/pdfs/gap2006.pdf.

FOR FURTHER INFORMATION CONTACT: Rodges Ankrah, American Indian 
Environmental Office, Mail Code 4104M, Environmental Protection Agency, 
1200 Pennsylvania Avenue, NW., Washington, DC 20460 telephone number: 
(202) 564-0280; fax number: (202) 564-0298; e-mail address: 
[email protected].

SUPPLEMENTARY INFORMATION:

Background and Purpose

    In 1992, Congress passed the Indian Environmental General 
Assistance Program Act (42 U.S.C. 4368b) which authorizes EPA to 
provide General Assistance Program (GAP) grants to federally-recognized 
Tribes and tribal consortia for planning, developing, and establishing 
environmental protection programs in Indian Country, as well as for 
developing and implementing solid and hazardous waste programs on 
tribal lands. The goal of this program is to assist Tribes in 
developing the capacity to manage their own environmental protection 
programs, and to develop and implement solid and hazardous waste 
programs in accordance with individual tribal needs and applicable 
Federal laws and regulations.
    EPA's assistance agreement practices and procedures have been under 
heightened scrutiny from the U.S. Congress, Government Accountability 
Office (GAO), and EPA's Office of Inspector General (OIG). This 
scrutiny has centered on grantee selection, oversight, accountability, 
and environmental results. In response, the Office of Grants and 
Debarment (OGD) has moved aggressively to implement its long-term 
Grants Management Plan. This is highlighted by the fact that OGD has 
recently issued three new grants policies that address competition, 
pre-award review of non-profit organizations, and environmental 
results.
    The American Indian Environmental Office (AIEO) is proactively 
responding to the scrutiny by taking a much larger role in ensuring 
compliance with grant policies, accountability for environmental 
results, and consistency with program requirements. In furtherance of 
this, AIEO is issuing this grant administration guidance for the Indian 
General Assistance Program (GAP) that addresses the following:
    1. GAP Allocation.
    2. Notification Letters.
    3. Work plan and Reporting Templates.
    4. Environmental Results.
    5. GAP National Set-Asides.
    6. Solid Waste Implementation Priorities.
    7. GAP Tracking Electronic Data Entry.
    This guidance does not replace the ``2000 Guidelines On the Award 
and Management of General Assistance Agreements for Indian Tribes.'' 
Instead, the grant administration guidance is intended to summarize the 
issues and procedures required to ensure compliance with current grant 
policies and regulations. This guidance will remain in effect until 
withdrawn or superseded.

1. GAP Allocation

    The GAP provides annual grant funding to federally recognized 
Tribes and Intertribal consortia through an allocation process 
administered for each EPA Region. The grant funds may be used by tribes 
to plan and carry out any number of capacity-building activities 
including the education and outreach; development of administrative 
procedures; quality assurance/quality control systems; sampling and 
laboratory capabilities; baseline environmental assessments; 
enforcement programs; legal procedures; communications plans; computer 
information systems; and staff qualifications and expertise. GAP may 
not be used for the ongoing implementation of media-specific 
environmental programs once established, except as otherwise provided. 
Funding is provided per applicable rules and procedures. AIEO is 
establishing additional measures to ensure national consistency, such 
as conducting a self-assessment of GAP as part of the Agency's 
continuing efforts to improve oversight of grant management activities, 
as well as reviews of Regional program operations.
    As the National Program Manager for GAP, AIEO is responsible for 
distribution of the national GAP funds to the EPA Regional Offices. 
AIEO distributes the funds using a formula that considers the tribal 
land base, number of tribes, and tribal population in each Region. Each 
year AIEO will issue a decision memorandum on the distribution of GAP 
funds to the Regions by January 31st.
    For FY 2006, EPA has $57.5 million for Regional allocations of GAP 
funds. This is a $4.5 million reduction from FY 2005. This amount does 
not reflect any Agency reductions that may be forthcoming.

2. Notification Letters

    The GAP program is currently exempt from competition under sections 
6(c)1 and 2 of EPA's Policy for Competition of Assistance Agreements 
(EPA Order 5700.5A1). AIEO has determined that competition is not 
practicable because of the need to provide a clear and stable source of 
base funding for program development and capacity building

[[Page 9548]]

across Indian country consistent with the primary statutory purpose of 
the program.
    Consistent with Federal policy, a primary mission of EPA is to work 
with federally-recognized tribal governments to protect the environment 
and public health in Indian Country. Goal 5.3 of EPA's current 
Strategic Plan provides that by 2008 the goal is to increase tribes' 
ability to develop environmental program capacity by ensuring that 100% 
of federally recognized tribes have access to an environmental 
presence.\1\ AIEO has determined that this goal can best be met by 
distributing funding consistent with the guidelines below.
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    \1\ EPA is currently preparing its fourth strategic plan under 
Government Performance and Results Act (GPRA). GPRA requires Federal 
agencies to revise their strategic plans every 3 years. EPA's 
Strategic Plan outlines our mission, establishes our goals and 
objectives, and describes the means and strategies we will employ to 
reach our goals and achieve results.
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    AIEO has developed the following funding allocation guidelines to 
assist Regional Tribal Programs in making their funding decisions 
beginning in FY 2006. The guidelines are to be incorporated into the 
information materials developed by each Region.
     Consistent with the GAP statute and regulations, eligible 
recipients will be able to receive at least $75,000 for their first 
fiscal year. Funding amounts for the following fiscal years is 
determined by each Region.
     Each Region will send a letter to eligible tribes 
informing them that they may qualify for a base amount of funding with 
the final funding amount dependent upon the results of the work plan 
negotiations. Scheduling deadlines for negotiations and decision-making 
are established by each Region.
     Each Region can emphasize those funding factors that are 
most appropriate for their Region during the work plan negotiations. 
Where the recipient has Tier III Tribal EPA Agreement (TEA), these may 
be used a basis for making funding decisions. Funding decisions should 
be made with a focus on producing the most outcome based improvements 
to human health and the environment in Indian country. The funding 
decisions should also be consistent with the allocation approach among 
eligible recipients selected by the Region.
     In any funding materials distributed, please refrain from 
using the following terms or others like them that may create the 
impression that the GAP funds are being awarded ``competitively'':
    [cir] Request for Proposals.
    [cir] Solicitations.
    [cir] Ranking criteria.
    Given the purposes of the GAP to build individual tribal capacity, 
EPA may evaluate proposals based on, among other things, capacity of 
applicant, past grant performance, work plan progress, and expected 
human health and environmental results. Regions should not use any 
allocation factors which have the effect of measuring the relative 
quality or merit of one work plan against the other, or that focus on 
the skill of the applicant.

3. Work Plan and Reporting Templates

    Strong and effective grant management is critical to our success in 
accomplishing the goals of GAP. The GAP work plan is the basis for the 
management and evaluation of performance under the grant agreement. The 
``Office of Water 2005 Grants Management Self-Assessment Report'' has 
identified that there was inconsistent documentation of cost reviews 
and documentation of environmental results in the work plans. AIEO has 
addressed this by developing a template that will consistently include 
milestones, deliverables, link to the Agency's Strategic Plan, and 
environmental outcomes and outputs in the grant work plans. This work 
plan and reporting template, presented in Exhibit 3.1 and 3.2, is to be 
used by tribal governments and intertribal consortia applying for GAP 
funds. For FY 2006, we strongly recommend the Regions to use this 
format. The template will be the required format for FY 2007.
    While it is not required by 40 CFR part 35, subpart B to include 
estimated costs in the work plan, AIEO strongly recommends that 
grantees include estimated costs and that the estimated costs be linked 
to the task and anticipated output. This encourages cost 
accountability, effective grant management, and is consistent with 
Governmental Accounting Standards Board (GASB) no. 34 accounting 
pronouncements that are supported by the Native American Finance 
Officers Association.
    For purposes of tracking how GAP funds are being used by grantees, 
the Regions and grantees are required to categorize the range of 
activities into the following categories:
    Legal: Activities are to develop legal and enforcement 
infrastructure, i.e., codes, regulations, ordinances, and standards 
that can be used to implement management policies and guidelines.
    Enforcement and Compliance: Activities demonstrate the ability to 
perform the inventories, monitoring, and inspection needed to ensure 
compliance with environmental policies and guidelines.
    Technical and Non-Administrative: Activities develop technical 
skills for environmental management such as monitoring and analysis, 
baseline assessment, data management, quality assurance procedures, and 
emergency response systems.
    Communications: Activities demonstrate the ability to communicate 
about environmental issues with the community, tribal executives, the 
regulated community, and other government entities.
    Administrative: Activities establish the ability and procedures for 
managing and accounting for program funds, including procedures for 
staffing and training, management of office resources and personnel, 
and communication with other tribal government agencies.
    Solid and Hazardous Waste: Activities may include, but are not 
limited to removal of abandoned vehicles, scrap metals and used tires, 
planning and conducting household hazardous waste cleanups, 
establishing recycling collection areas and support facilities, and 
open dump cleanups.
    Additionally, Regions should provide the relevant goal, objective 
and subobjective for the above activities using EPA's Strategic Plan 
located at http://www.epa.gov/ocfo/plan/plan.htm.

                             Exhibit 3.1.--Example Work Plan and Reporting Template
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                Estimated Cost: $27,000                                 Estimated Work Years: .20
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                                     Primary capacity     Estimated
              Tasks                        area              cost          Time frame              Outputs
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Work Plan Objective 1: Build
 capacity to implement a tribal
 solid waste program.
Environmental Outcome:

[[Page 9549]]

 
    --Reduce exposure to illegal
     dump sites in the tribal
     community.
    --Increase knowledge &
     understanding of illegal
     dump impacts by community
     members.
1.1 Select two illegal dump sites  Enforcement &              $2,000  Quarter 1...........  Site selection
 for remediation.                   Compliance.                                              reports; tribal
                                                                                             government approval
                                                                                             of site selection.
1.2 Select contractors and         Administrative......       15,000  Quarter 1...........  Signed contract.
 develop, approve and sign
 contracts.
1.3 Oversee the remediation of     Administrative......        1,000  Quarter 3...........  Records of site
 the dump sites.                                                                             visits and final
                                                                                             remediation report.
1.4 Install fence and post ``no    Solid Waste                 5,000  Quarter 3...........  Fences; signs.
 dumping'' signs at the former      Implementation.
 illegal dump site.
1.5 Hold one community meeting to  Communications......        2,000  Quarter 4...........  Pre and post meeting
 demonstrate the impacts illegal                                                             surveys to
 dumps have on the community.                                                                demonstrate change
                                                                                             in knowledge.
1.6 Municipal Waste Facility       Technical (non-             2,000  Quarter 4...........  Certified landfill
 Operator Training/Certification    administrative).                                         operator.
 for tribal employee.
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                                                  EPA Use Only
                                          2003-2008 EPA Strategic Plan
Goal 3: Land Preservation and Restoration
Objective 3.1: Preserve Land
Sub-objective 3.1.1: Reduce Waste Generation and Increase Recycling.


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                Estimated cost: $19,000                                  Estimated work years: 20
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                                     Primary capacity     Estimated
              Tasks                        area              cost          Time frame              Outputs
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Work Plan Objective 2: Develop
 solid waste management codes.
Environmental Outcome:
    --Reduce number of illegal
     dumping activities..
    --Improved compliance with
     integrated waste management
     plan.
2.1 Seek and obtain information    Legal...............       $3,000  Quarter 1...........  Trip reports;
 from EPA solid waste personnel                                                              meeting minutes; SW
 and other regional tribes                                                                   Code template
 regarding Solid Waste Codes.
2.2 Write draft Solid Waste Codes  Legal...............        6,000  Quarter 2...........  Draft SW Code.
 that reflect the needs and
 desires of the tribe.
2.3 Retain an attorney/consultant  Legal...............        9,000  Quarter 3...........  Contract/Agreement
 to review the draft SW Codes.                                                               with attorney/
                                                                                             consultant.
2.4 Submit draft SW Codes to EPA   Legal...............        1,000  Quarter 4...........  Revised Draft SW
 for comments and meet with EPA                                                              Code.
 as needed to understand any
 issues EPA raises.
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                                                  EPA Use Only
                                          2003-2008 EPA Strategic Plan
Goal 5: Compliance and Environmental Stewardship
Objective 5.1: Improve Compliance
Sub-objective 5.1.3: Monitoring and Enforcement
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                                                         Exhibit 3.2.--Example Work Plan Report
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     Estimated costs: $25,000                                                     Estimated work years: 20
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                                                                                                                                    Comments  Note:
                                                                                                                                Explanatory comments are
              Tasks                 Est. cost   Actual cost       Time frame              Status                Outputs          required for any task
                                                                                                                                    listed as ``Not
                                                                                                                                      complete.''
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Work Plan Objective 1: Build
 capacity to implement a tribal
 solid waste program.
Environmental Outcome:

[[Page 9550]]

 
    --Reduce number of illegal
     dump sites in the tribal
     community.
    --Increase knowledge &
     understanding of illegal
     dump impacts by community
     members.
1.1 Select two illegal dump sites       $2,000       $1,500  Quarter 1...........  Complete............  Signed site           Use this space for
 for remediation.                                                                                         selection reports.    descriptions of
                                                                                                                                activities to accomplish
                                                                                                                                the task. This narrative
                                                                                                                                field can have as much
                                                                                                                                detail as grantee &
                                                                                                                                project officer agree is
                                                                                                                                necessary.
1.2 Select contractors and              15,000       10,000  Quarter 1...........  Complete............  Signed contract.....  Example: ``Three
 develop, approve and sign                                                                                                      contractors submitted
 contracts.                                                                                                                     proposals for our
                                                                                                                                review: (1) Remediation,
                                                                                                                                Inc.; (2) Cleanup, Inc.;
                                                                                                                                and (3) Land Like New,
                                                                                                                                Inc. A team of tribal
                                                                                                                                employees and an
                                                                                                                                independent third party
                                                                                                                                technical expert
                                                                                                                                reviewed and ranked each
                                                                                                                                proposal (see Attachment
                                                                                                                                X). Remediation, Inc.
                                                                                                                                received the most
                                                                                                                                favorable review and was
                                                                                                                                selected as our
                                                                                                                                contractor. The contract
                                                                                                                                was negotiated and
                                                                                                                                signed on May 12 (see
                                                                                                                                Attachment Y).''
1.3 Oversee the remediation of           1,000  ...........  Quarter 3...........  On track............  Records of site       .........................
 the dump sites.                                                                                          visits and final
                                                                                                          remediation report.
1.4 Hold one community meeting to        2,000  ...........  Quarter 4...........  On track............  Pre and post meeting
 demonstrate the impacts illegal                                                                          surveys.
 dumps have on the community.
1.5 Municipal Waste Facility             2,000  ...........  Quarter 4...........  Not complete........  Certified landfill    Example: ``Employee
 Operator Training/Certification                                                                          operator.             scheduled to receive
 for tribal employee.                                                                                                           training left the
                                                                                                                                program. New employee
                                                                                                                                will not be in place for
                                                                                                                                tribal employee until
                                                                                                                                next fiscal year.''
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                                                                      EPA Use Only
                                                              2003-2008 EPA Strategic Plan
Goal 3: Land Preservation and Restoration
Objective 3.1: Preserve Land
Sub-objective 3.1.1: Reduce Waste Generation and Increase Recycling.
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4. Environmental Results

A. Environmental Outputs, Outcomes and Milestones

    The U.S. Congress, the EPA Office of Inspector General (IG), and 
the Office of Management and Budget (OMB) have raised concerns about 
the lack of clarity or documentation showing how EPA grant funds have 
been spent or are expected to be spent, and the lack of evidence that 
EPA grants produce environmental results. In response, EPA issued the 
Environmental Results Order 5700.7 that went into effect on January 1, 
2005. It is now required that EPA Program Offices ensure that recipient 
work plans contain well-defined outputs and, to the maximum extent 
practicable, well-defined environmental outcomes that help measure 
tribal successes toward achieving GAP goals.
    Tracking environmental results is important for a number of 
reasons. It allows EPA and tribes to discuss alterations to the GAP 
program, such as addressing the need for a bridge between program 
development and implementation. It also demonstrates the effectiveness 
of resource investments in terms of public health and environmental 
improvement in Indian country. Additional benefits include promoting 
good grant management by tying in the goals in EPA's Strategy Plan with 
actual environmental results.
    The templates, presented in Exhibit 4.1 and 4.2, provide examples 
of environmental outputs and outcomes both for programmatic and 
administrative capabilities. It demonstrates the linkage to the 
Agency's goals, objectives, sub-objectives, annual Program Activity 
Measures (PAMs) and provides samples of outputs and outcomes. The 
Regions should ensure that EPA can clearly identify environmental 
outputs and

[[Page 9551]]

outcomes in the work plan format and contents. The Regions should also 
ensure that the outputs and outcomes are linked to EPA's Strategic 
Plan. AIEO will continue working with the Regions to develop additional 
measures that accurately reflect the spectrum of environmental results 
across media programs. AIEO expects to begin reporting programmatic 
environmental outcome measures by FY 2007.
    The Environmental Results Order defines output and outcome as 
follows:
    Outcome: The result, effect or consequence that will occur from 
carrying out an environmental program or activity that is related to an 
environmental or programmatic goal or objective. Outcomes may be 
environmental, behavioral, health-related or programmatic in nature, 
must be quantitative, and may not necessarily be achievable within an 
assistance agreement funding period.
    Output: An environmental activity, effort, and/or associated work 
products related to an environmental goal or objective that will be 
produced or provided over a period of time or by a specified date. 
Outputs may be quantitative or qualitative but must be measurable 
during an assistance agreement funding period.

       Exhibit 4.1.--GAP Programmatic Environmental Results Sheet
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Grant Program: Indian Environmental General Assistance Program
CFDA: 66.926
GOAL 5: COMPLIANCE AND ENVIRONMENTAL STEWARDSHIP
    Improve environmental performance through compliance with
     environmental requirements, preventing pollution, and promoting
     environmental stewardship. Protect human health and the environment
     by encouraging innovation and providing incentives for government,
     businesses and the public that promote environmental stewardship.
Strategic Plan Objective 5.3: Build Tribal Capacity--Through 2008,
 assist all federally recognized tribes in assessing the condition of
 their environment, help in building their capacity to implement
 environmental programs where needed to improve tribal health and
 environments, and implement programs in Indian country where needed to
 address environmental issues.
Note: Project Officers are responsible for ensuring that work plans
 contain, to the maximum extent practicable, well-defined outputs and
 outcomes. The following outputs/outcomes are options for grantees and
 Project Officers to consider including in their work plans to comply
 with the Environmental Results Order.
National Reportable Outputs/Outcomes for GAP:
    [shabox3] By 2008, increase tribes' ability to develop environmental
     program capacity by ensuring that 100% of federally recognized
     tribes have access to an environmental presence.
    [shabox3] By 2008, increase the number of EPA-approved quality
     assurance plans for tribal environmental monitoring and assessment
     activities.
    [shabox3] By 2008, increase by 50% the number of EPA agreements with
     tribes that reflect holistic program integration and traditional
     use of natural resources.
------------------------------------------------------------------------


            Examples of Programmatic GAP Outputs and Outcomes
------------------------------------------------------------------------
 
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Example Outputs
    [shabox3] Number of approved grants or cooperative agreements.
    [shabox3] Number of staff hired or retained.
    [shabox3] Number of QAPPs filed.
    [shabox3] Number of stream miles assessed for ambient stream
     conditions.
    [shabox3] Survey of contamination sources.
    [shabox3] Number of environmental ordinance proposals to Council.
Example Outcomes that Demonstrate Changes in Awareness, Attitudes or
 Knowledge
    [shabox3] Achievement of operator certification.
    [shabox3] Successful completion of training program.
    [shabox3] Completed exit surveys or reports from public education
     sessions.
    [shabox3] Establishment of job descriptions.
    [shabox3] Accurate location of contamination sources.
    [shabox3] Demonstrated increase in knowledge of bio-assessment
     protocols.
    [shabox3] Number of environmental ordinances passed by Council.
Example Outcomes that Demonstrate Changes in Behavior
    [shabox3] Number of projects [insert range] initiating operation,
     resulting in improved public health protection.
    [shabox3] Number of cross-agency agreements signed.
    [shabox3] Number of environmental ordinances passed by Council.
Example Outcomes that Demonstrate Changes in the Environment or Public
 Health
    [shabox3] Reduction in population exposed to drinking water that is
     not in compliance with health-based standards.
    [shabox3] Increase in population with access to approved solid waste
     disposal.
    [shabox3] Reduction in detection of PM10 contaminants.
------------------------------------------------------------------------


      Exhibit 4.2.--GAP Administrative Environmental Results Sheet
------------------------------------------------------------------------
 
-------------------------------------------------------------------------
Grant Program: Indian Environmental General Assistance Program
CFDA: 66.926
GOAL 5: COMPLIANCE AND ENVIRONMENTAL STEWARDSHIP
    Improve environmental performance through compliance with
     environmental requirements, preventing pollution, and promoting
     environmental stewardship. Protect human health and the environment
     by encouraging innovation and providing incentives for government,
     businesses and the public that promote environmental stewardship.
Strategic Plan Objective 5.3: Build Tribal Capacity--Through 2008,
 assist all federally recognized tribes in assessing the condition of
 their environment, help in building their capacity to implement
 environmental programs where needed to improve tribal health and
 environments, and implement programs in Indian country where needed to
 address environmental issues.
Note: Project Officers are responsible for ensuring that work plans
 contain, to the maximum extent practicable, well-defined outputs and
 outcomes. The following outputs/outcomes are options for grantees and
 Project Officers to consider including in their work plans to comply
 with the Environmental Results Order.

[[Page 9552]]

 
National Reportable Outputs/Outcomes for GAP:
    [shabox3] By 2008, increase tribes' ability to develop environmental
     program capacity by ensuring that 100% of federally recognized
     tribes have access to an environmental presence.
    [shabox3] By 2008, increase the number of EPA-approved quality
     assurance plans for tribal environmental monitoring and assessment
     activities.
    [shabox3] By 2008, increase by 50% the number of EPA agreements with
     tribes that reflect holistic program integration and traditional
     use of natural resources.
------------------------------------------------------------------------


           Examples of Administrative GAP Outputs and Outcomes
------------------------------------------------------------------------
 
-------------------------------------------------------------------------
Example Outputs
    [shabox3] Number of staff hired.
    [shabox3] Number of staff supervised.
    [shabox3] Number of items of equipment authorized to be purchased
     (if purchased under an U.S. EPA grant, identify the grant number).
    [shabox3] Number and name of grant deliverables reviewed (if under
     an U.S. EPA grant, identify the grant number).
    [shabox3] Number of grants closed out (if U.S. agreement, identify
     the grant number).
    [shabox3] Number of briefings that were provided to tribal officials
     on environmental issues.
    [shabox3] Number permitting procedures implemented as well as the
     relevant Federal Agency.
    [shabox3] Attendance at quarterly state Tribal Environmental
     Committee meeting.
    [shabox3] Number of environmental issues and/or policies staff
     reviewed, analyzed and provided comments.
    [shabox3] Develop/update EPA/Tribal Environmental Agreement.
    [shabox3] Administer QAMPs and/or QAPPs.
    [shabox3] Conduct long and/or short range environmental and/or
     natural resources management planning.
    [shabox3] Number of environmental databases developed or enhanced.
    [shabox3] Attendance at the Regional General Assistance Program
     Conference.
Example Outcomes that Demonstrate Changes in Awareness, Attitudes or
 Knowledge
    [shabox3] Increase in number of certified staff in the environmental
     departments.
    [shabox3] Completion and maintenance of standard operating
     procedures for departmental functions.
Example Outcomes That Demonstrate Changes in Behavior
    [shabox3] Annual audit contains no major environmental program or
     administrative findings.
    [shabox3] Number of environmental ordinances passed by Council.
    [shabox3] Documented annual environmental improvements which are a
     direct result of grant work plan implementation.
------------------------------------------------------------------------


                           Sequential Examples
------------------------------------------------------------------------
 
-------------------------------------------------------------------------
Activity--Trainings, Conferences and Workshops
    [shabox3] Output--Number of trainings and/or workshops attended;
     number of conferences coordinated.
    [shabox3] Outcome--Demonstrated change in knowledge and/or behavior
     (i.e. operation and maintenance practices established, best
     management practices implemented, etc.) due to training and/or
     workshop, as demonstrated by an exit survey or examination.
Activity--Outreach and Education
    [shabox3] Output--Number/type of outreach conducted (i.e. trainings,
     workshops, conferences, stakeholder meetings etc.).
    [shabox3] Outcome--Establishment of staff position(s) to provide
     outreach and education (i.e. watershed coordinator, PWSS circuit
     rider, etc.)
    [shabox3] Outcome--Demonstrated change in behavior (i.e. operation
     and maintenance practices established, best management practices
     (structural or non-structural implemented, etc.) attributed to the
     outreach and/or education.
------------------------------------------------------------------------

B. GAP Logic Model

    AIEO is conducting a program evaluation of the GAP program. The 
purpose of the evaluation is to assess: (1) The impact of GAP on tribal 
environmental capacity to help AIEO understand which elements of GAP 
contribute to the establishment of multi-media environmental programs 
and (2) the impact and relevance of the program on Section 5.3 of EPA's 
Strategic Plan.
    To illustrate the various components of the GAP for the program 
evaluation, AIEO has developed a logic model, a graphical 
representation of the relationships between program inputs, outputs, 
and intended outcomes, presented in Appendix 1 at http://www.epa.gov/Indian/pdfs/gap2006.pdf. This is a tool that can be used by the Regions 
in identifying outcomes and outputs related to GAP goals. Key 
components of the logic model include the following:
     Resources are the basic inputs of funds, staffing, and 
knowledge dedicated to the program.
     Activities/Outputs are the specific actions taken by EPA 
to achieve program goals and the immediate products that result. Under 
the GAP, these products include grant funds, technical assistance, 
training, and grant oversight.
     Customers are the users of the activities and outputs 
(fiscal, technical, administrative) provided. They are the tribal 
governments that receive GAP grants and the environmental employees 
hired with GAP funds.
     Short-Term Outcomes are changes in awareness, attitudes, 
knowledge, and behavior resulting from program outputs. Technical and 
grant management training opportunities provided to tribal 
environmental employees through the GAP increase understanding of the 
processes required in developing a tribal environmental program. Note 
that outcomes listed in italics are intended as illustrative examples 
of the effects of tribes increased understanding of the process 
required in the development of a tribal environmental program.
     Intermediate Outcomes are broader in scope than short-term 
outcomes and often build upon the progress achieved in the short-term. 
Under the GAP, changes in tribal awareness and understanding pave the 
way for planning, development, and initiation of capacity-building 
activities. The logic model includes examples of activities that 
represent increased capability in the legal, enforcement, technical, 
communications, and administrative arenas. Note that outcomes listed in

[[Page 9553]]

italics are intended as illustrative examples of the effects of tribes 
increased legal, enforcement, technical, communications, and 
administrative capability.
     Long-Term Outcomes parallel the overarching goals of the 
program and are the environmental improvements and public health 
benefits that flow from the behavioral, procedural, and operational 
changes.
     Contextual/External Variables are factors, not directly 
controlled by the program or its entities, which may affect program 
performance. For example, changes in tribal policy and budgetary 
priorities may influence the ability of tribes to sustain environmental 
efforts.

5. GAP National Set-Asides

    The GAP National Set-Aside is a specific portion of the overall GAP 
appropriation that is ``set aside'' to support specific tribal or 
tribal consortia projects, as directed by AIEO. The projects must have 
a national application or address a national program need identified by 
AIEO. Each year AIEO will issue a decision memorandum on the 
distribution of GAP set-aside funds to the Regions by January 31st.
    AIEO is working with the Office of Solid Waste on potential use of 
limited GAP set-aside funds in FY 2006.
    The National Set-Aside Funded Project Areas for FY 2006 are as 
follows:

A. Financial Management Training

    The American Indian Environmental Office (``AIEO'') will continue 
to provide funding to the Regions for targeted training to tribal 
financial managers on EPA financial assistance agreements. As before, 
the training must be targeted to train tribal staff directly 
responsible for financial management of EPA funds, although tribal 
environmental staff is encouraged to attend scheduled trainings. The 
training must take place during FY 2006. Regions can tailor their 
training to meet the unique needs of their tribes, and where possible 
may take advantage of existing training opportunities and venues.
    The available funding is limited. Proposals should include the 
number of tribes expected to participate, the proposed methodology, and 
the approach to be used to ensure maximum participation by financial 
management staff. Regional proposals should be signed off on by the 
Regional Grants Management Officers.
    AIEO will review the Regional proposals and will negotiate the 
amount of funding to be set-aside for each Region that applies. Key 
factors AIEO will consider include the number of participants, Regional 
contribution, and available funding at the time of the request.
    Regions will also need to provide short reports documenting the 
training provided, and providing specific outcome measures (e.g., 
entrance and exit surveys, training certifications, improved grantee 
performance, etc.).

B. Incentive Funding for Tier III Tribal EPA Agreements

    Tribal EPA Agreements (TEAs) are a valuable tool in EPA's work with 
tribes to identify and address mutually shared objectives. They are one 
of the key parameters for the measurement of success of the Tribal 
program in the EPA Strategic Plan.
    In recognition of their importance, and in order to promote greater 
implementation of this approach, AIEO will be providing supplemental 
funding to each Region in the amount of $3,000 to $4,000 per approved 
Tier III TEAs listed in the 5.3 System as of May 30, 2006. The maximum 
cap per Region is $200,000. This supplemental funding must be for 
activities fundable under GAP regulations, and must be accounted for in 
the work plan for the grant.

C. Implementation of Direct Implementation Tribal Cooperative 
Agreements

    Direct Implementation Tribal Cooperative Agreements (DICTAs) is a 
funding authority enabling EPA to award funds to federally recognized 
tribes and qualified Intertribal consortia to carry out agreed upon 
activities to assist EPA with the implementation of federal 
environmental programs for Indian tribes in the absence of an 
acceptable tribal program. AIEO has identified the lack of dedicated 
resources as an impediment to promoting and establishing DICTAs.
    For FY 2006, AIEO is providing dedicated funding assistance in the 
amount of $200,000 for the implementation of DITCAs. AIEO will work to 
make this funding available in FY 2007 and FY 2008. However, funding 
availability may change based on Agency-wide needs. The use of these 
funds will require the additional commitment of funding from other 
sources that do not include Regional GAP funding.
    This support is currently in the proposal stage. The requirements 
will be provided once finalized.

D. Support Services for the Tribal Caucus of the National Tribal 
Operations Committee

    AIEO will continue to fund support services for the Tribal Caucus 
of the National Tribal Operations Committee (TOC) through a Policy 
Advisor. The Policy Advisor provides support in reviewing, analyzing 
and commenting on issues of policy and practice that are before the 
Tribal Caucus. The Policy Advisor also provides the Tribal Caucus with 
meeting facilitation, as well as coordinates communication between EPA 
managers and staff and members of the Tribal Caucus.

E. Support for the United South and Eastern Tribes Liaison

    The Liaison position with United South and Eastern Tribes (USET) 
provides support to member tribes in assisting tribal capacity building 
in specific program areas through technical and administrative aid, on-
site reviews, and advisory services. The Liaison also provides 
assistance to member tribes through regulatory analysis and 
communication.
    AIEO support is intended to assist Region 4 in initiating the 
Liaison program, with the expectation that the other Regions support 
the continuation of the program to serve USET members in their areas.

F. Discretionary Support for Selected Activities or Conferences

    The Director of AIEO will continue to provide support for specific 
national events and conferences, as appropriate.

G. Scheduling

    Financial Management Training: Regional proposals should be 
submitted no later than December 31, 2005. Training must take place 
during FY 2006.
    Incentive Funding: TEA funding will be reprogrammed to the Region 
based on the approved Tier III TEAs listed in the 5.3 System as of May 
30, 2006.
    DITCAs: A schedule will be provided pending final approval of the 
proposal.

6. Solid Waste Implementation Priorities

    The primary purpose of GAP is to support the development of a core 
tribal environmental program as outlined in Section II A, ``Guidelines 
on the Award and Management of General Assistance Agreements for Indian 
Tribes'' (March 9, 2000). Where Regions can ensure that recipients have 
put in place the elements of a core environmental protection program, 
they may approve solid and hazardous waste implementation activities 
that

[[Page 9554]]

supplement recipients' environmental management capacity.
    When funding solid and hazardous waste activities under GAP, AIEO 
expects the Regions to implement the following principles and funding 
priorities for FY 2006.\2\
---------------------------------------------------------------------------

    \2\ The funding principles and priorities for solid and 
hazardous waste implementation activities were derived from 
Memorandum from the American Indian Environmental Office on Guidance 
for Implementation of Solid and Hazardous Waste Activities under the 
Indian General Assistance Program to Regional Indian Coordinators, 
Regional Solid Waste Program Managers, Office of Solid Waste, OSWER 
Tribal Coordinator, and National Indian Work Group (June 7, 2001) 
(on file with AIEO's GAP National Program Manager).
---------------------------------------------------------------------------

A. Principles

    When making funding decisions for solid and hazardous waste 
implementation activities, the following principles must be addressed:
     The availability of funding.
     The risk of compromising the development of tribal 
environmental capacity and overall in program effectiveness areas other 
than solid and hazardous waste management.
     The reasonableness of costs cited for the proposed 
activities.
     Whether the proposed activities supplement or improperly 
duplicate activities funded by the Federal Tribal Solid Waste 
Management Assistance Project (formerly known as the ``Tribal Open 
Dumps Cleanup Project'').
     The proposed activities will have technical review by EPA 
RCRA regional staff.
     There are no guarantees, either implicit or explicit of 
future funding for long term projects.
     Higher priority is given to self-sustaining programs, 
prevention programs and one time cleanups, as environmental outcome 
based work.
     Use of GAP funding for operations and maintenance 
activities is given the lowest priority.

B. Priorities

    The following are the recommended priorities for use of GAP funding 
for solid and hazardous waste activities:
1. Expansion for Interagency Coordination
    Several Regions have used GAP funds to participate in interagency 
in efforts to coordinate solid and hazardous waste projects in Indian 
Country. We encourage those efforts and are supporting similar 
initiatives at the national level through the Tribal Solid Waste 
Interagency Work Group, which includes HUD, IHS, BIA, Rural Utility 
Service, DoD and FAA. AIEO promotes the use of GAP funds in tandem with 
other (EPA and non-EPA) Agency resources.
2. Targeted Procedures
    The unique status of solid and hazardous waste implementation 
activities under GAP requires different internal Regional procedures 
than with GAP capacity building activities. Several Regions are 
developing procedures for working with their Regional solid and 
hazardous waste counterparts to review and approve implementation 
activities. We recommend that all Regions establish such procedures.
3. Continued Review of Implementation Costs
    Funding implementation activities under GAP continues to represent 
a new and potentially resource-intensive area of investment. Regional 
data has greatly assisted EPA in understanding the impact of this new 
grant flexibility. Several Regions have indicated that they expect an 
increase in the number and variety of projects.
    Each Region should therefore continue to track and report 
separately on investments in solid and hazardous waste implementation 
for FY 2006. The information tracked should include name of recipient, 
a brief description of the project, and the amount of GAP funding 
allocated to that specific grant activity. Estimated amounts are 
acceptable, but should be stated as such.
    Please contact Rodges Ankrah at [email protected] before March 
7, 2006, if you have any question about data collection.

7. GAP Tracking Electronic Data Entry

    AIEO is continuing to develop and define the GAP Tracking System to 
enable EPA to track environmental tribal activities supported by EPA 
grants. The GAP Tracking System is for program management, a tool that 
will allow EPA to better manage the GAP program. To avoid duplication 
of information, the GAP Tracking System will eventually be linked to 
other grant and financial reporting systems. When the System becomes 
operational, grantees will be required to use the system in order to 
receive GAP funding.
    The GAP Tracking System is designed to do the following:
     Allow regional officers to access GAP-related records for 
their region.
     Wherever possible, read data from existing databases that 
are a part of the larger Tribal Information Management project.
     Allow regional officers to enter and store GAP-related 
information in a central GAP-specific database.
     Generate common reports for use by EPA regional officers, 
tribal officials, EPA programs, and the U.S. Congress and OMB.
     Integrate features that will allow the GAP Tracking Tool 
to be efficient to use.
     Avoid duplication of information into multiple grant and 
financial reporting systems.
    The GAP Tracking System was NOT designed for the following:
     Allow the entry of records into the Tribal Information 
Management System (TIMS) databases.
     Allow editing information submitted in previous fiscal 
years.
    The screens, located in Appendix 2 at http://www.epa.gov/Indian/pdfs/gap2006.pdf, are a proposed update to the GAP Tracking System. EPA 
may impose additional requirements to integrate into the current 
system. Please send your comments on the proposed updates to the GAP 
Tracking System to Rodges Ankrah at [email protected] by March 7, 
2006.

    Dated: January 9, 2006.
Benjamin H. Grumbles,
Assistant Administrator for Water.
[FR Doc. 06-1729 Filed 2-23-06; 8:45 am]
BILLING CODE 6560-50-P