1. Overview of GAP and GAP-eligible activities
Jeremy Bauer and Pam Overman
GAP Project Officers
U.S. Environmental Protection Agency Region 9

2. Key Themes for Today’s Talk
Statute and Regulation
Guidance
Key Terms
Guiding Principles
Eligibility Examples
Review and Questions
Pop Quiz!
Statutes and regulations
Familiarize ourselves with the PRIMARY sources
Guidance
Know how the primary sources are interpreted and applied
Capacity-building
we’re going to discuss what capacity-building means, what we mean by indicators of capacity or capacity indicators, and why these terms are important for GAP
Implementation
we’ll talk about implementation as it relates to environmental projects and which implementation activities are eligible for GAP funding and which are not and why
Why? Think of the old proverb
Give a person a fish, they eat for a day. Teach that same person to fish, they eat for a lifetime
Applies both to building environmental capacity itself – and reaching environmental endpoints – overarching goals of the program
But also, applies to ability to give you the tools to answer your own questions about what is GAP-eligible vs. what isn’t – knowing where to look and who to ask.

3. What do You know about gap?
tinyurl.com/popquizGAP
Knowledge check – assess our baseline – see where we’re at
Type the U-R-L into your browser on your phone
If you get an error or it goes to a search results page, just click on the address bar again, and type in the URL above
If you still can’t get it to work, as your neighbor or raise your hand and the room moderator will help
You can take a few minutes now to take the quiz
When you get to the end, click submit – at that point a page should pop up with a link to another page – don’t click on that yet, we’ll come back to that

4. What is Capacity-Building?
Process by which individuals and organizations obtain, improve and retain the skills, knowledge, tools, equipment and other resources needed to do their jobs competently
Development of knowledge, skills, and other capabilities of an organization
Development and strengthening of human and institutional resources
The ability to perform functions, solve problems, and achieve objectives
Outcome of capacity building: a comprehensive and sustainable strategy for a program
Quick Google search of this term to see what came up.
There are a few of the definitions which fall in line with the GAP goals and Guidance.
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

5. GAP Capacity-Building
Context:
Federal Laws
EPA Regulations
GAP Guidance
Allowable activities must fall within these parameters
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

6. Statutes and Regulations
The Indian Environmental General Assistance Act of 1992, 42 U.S.C § 4368b
How did the GAP Program start---Congress passed a Law - directing the EPA to develop and administer the General Assistance Program.
The Law describes the authority, purpose and limitations of the GAP program.
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

7. Statutes and Regulations
Indian Environmental General Assistance Act of U.S.C. 4368b, as amended, Public Law
GAP can fund capacity building for tribal environmental programs:
(d)(1) costs of planning, developing, and establishing environmental protection programs consistent with other applicable provisions of law providing for enforcement of such laws by Indian tribes on Indian lands.
GAP also can fund program implementation for:
(f) the implementation of solid and hazardous waste programs for Indian lands in accordance with the purposes and requirements of applicable provisions of law, including the Solid Waste Disposal Act.
This is very “legalese” but it’s what Congress gave us…
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

8. Statutes and Regulations
The Indian Environmental General Assistance Act of 1992, 42 U.S.C. § 4368b
(f) Expenditure of general assistance: Any general assistance under this section shall be expended for the purpose of planning, developing, and establishing the capability to implement programs administered by the Environmental Protection Agency and specified in the assistance agreement.
Purposes and programs authorized under this section shall include the development and implementation of solid and hazardous waste programs for Indian lands.
An Indian tribal government or intertribal consortium receiving general assistance pursuant to this section shall utilize such funds for programs and purposes to be carried out in accordance with the terms of the assistance agreement.
The Law provides the parameters of the program – for EPA and grantees!
This section of the Law describes the eligible GAP activities which can be conducted with GAP funding
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

9. Statutes and Regulations
The Indian Environmental General Assistance Act of 1992, 42 U.S.C. § 4368b
(g) Procedures.--
(1) Within 12 months following the date of the enactment of this section, the Administrator shall promulgate regulations establishing procedures under which an Indian tribal government or intertribal consortium may apply for general assistance grants under this section.
The statute also directed EPA to promulgate regulations for the program.
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

10. Regulations - Programmatic 40 CFR Part 35 Subpart B
EPA’s programmatic regulations.
40 CFR Part 35, Subpart B is the programmatic regulation you should be familiar with.
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

11. 40 CFR Part 35 Subpart B EPA Continuing Grant Programmatic Regulation
General - All Grants (§§ )
Preparing an Application (§§ )
EPA Action on Application (§§ )
Post-Award Requirements (§§ )
Performance Partnership Grants (§§ )
Indian Environmental General Assistance Program (GAP) (§§ )
17 Specific EPA Program Grants (§§ )
Both EPA and grantees use this information.
§ Purpose.
§ Definitions.
§ Eligible Tribe.
§ Maximum federal share.
§ Maintenance of effort.
§ Award limitation

12. Federal Administrative regulations
Regulations - Administrative 2 CFR Part Uniform Administrative Requirements
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

13. Statutes and Regulations
Regulations - Administrative 2 CFR Part 200 Uniform Administrative Requirements
Subpart D Post Federal Award Requirements (Section – ) examples:
Standards for Financial and Program Management
Property Standards
Procurement Standards
Performance and Financial Monitoring and Reporting
Record Retention and Access
Remedies for Noncompliance
Closeout
2 CFR Part 200 – Administrative Requirements Apply to all Federal grants
Bookmark this regulation and use it when you have administrative questions!
It provides the requirements for the administrative management of your GAP (and all federal) grant funds.
Includes requirements for your office –
What rate can I charge when I travel?
Why and when do I need timesheets?
Can I hire a contractor without any competition?
Can I toss my deliverables at the end of the grant year?
Why is the agency requesting funds back from my grant?
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

14. Statutes and Regulations
2 CFR Part 200 Uniform Administrative Requirements Allowable, Reasonable, Allocable?
Subpart E: Cost Principles (Section )
Are the grant budget costs allowable? Are they necessary and reasonable for the performance of the grant? Is the cost treated consistently across the tribe’s federal and nonfederal programs? Are the costs adequately documented? (2 CFR )
Also review GAP Guidance 1.4 Allowable Activities and Restrictions under GAP (Section 1 of GAP Guidance, page 3 of 22)
Are these costs reasonable? Ordinary, necessary, market price, doesn’t exceed which would be incurred by a prudent person? (2 CFR )?
Allocable Costs specifically for this award, proportional benefit among projects or awards? (2 CFR )?
Review the Administrative Requirements (If it’s a Regulation = you must follow it)!
When developing your budget and workplan, are costs allowable, allocable and reasonable under the regulations?
This section of the regulation provides you with this information.
Your project officer may be asking you these questions.
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

15. Statutes and Regulations
The Indian Environmental General Assistance Act of 1992, 42 U.S.C. § 4368b
(g) Procedures.—
The Administrator shall establish procedures for accounting, auditing, evaluating, and reviewing any programs or activities funded in whole or in part for a general assistance grant under this section.
The GAP Statute (Law) also required EPA to create “procedures” for the GAP program. This takes us to #8!
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

16. Guidance and Guiding Principles
General Assistance Program Guidance
The GAP Statute (Law) also required EPA to create “procedures” for the GAP program
Read the GAP Guidance.
Use the GAP Guidance to help you guide the development of your program and to be successful under GAP!
Read it, highlight it, talk to your project officer about it, sleep with it….!
Use the GAP Guidance!
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

17. How to use the GAP guidance for capacity-building workplan activities
Read the whole thing
Electronic keyword searches
Review the examples
Print and tab
Any method that works for you
The GAP Statute (Law) also required EPA to create “procedures” for the GAP program.
You can read it from beginning to end in one, or a series of, sittings
You can have it open and hit CTRL+F to do a search for a single word and see where that word appears in the document – now it’s not like a Google Search. I will only return exact words as they appear exactly in the text
“may use” or “eligible” or “allowable”
Look at the specific examples – you can then apply the same logic to similar examples – for example, the long table in the back has many examples on the water quality program and eligibility as it relates to quality assurance, sampling, treatment as a state, etc. – you could apply some of those examples to the air program or other programs
I would also recommend having a hard copy handy – you can write notes in the margins, include tabs, and highlight the important areas –
Lastly – these are just suggestions, so you can use it however it would be most useful to you
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

18. GAP Guiding Principles
Environmental Capacity
Implementation of Established Solid and Hazardous Waste Regulatory Programs
Environmental Capacity
Tribal Self-Governance
Collaboration and Cooperation
Implementation of Established Solid and Hazardous Waste Regulatory Programs
Compelling results
EPA will apply these guiding principles in awarding GAP grants to tribes and intertribal consortia
Talk through all of these, but then explain you want to talk about capacity in a little more detail
And also the implementation of solid and hazardous waste programs
We only have an hour – and I can’t go through each of these in detail, but I do want to talk a little more about environmental capacity and implementation of solid and hazardous waste
Training is a key part of building capacity, but two other important GAP-eligible, capacity-building activities I want to discuss are:
Establishing baselines and
Running test drives
We have the universe of GAP-eligible activities – some of the most common ones include initial training of an environmental director and possibly some support staff, environmental outreach to the tribal community, etc.
Capacity isn’t only built via training – it can also be built via “doing”
I want to talk about three areas of “doing” that build capacity and are GAP-eligible:
Establishing baselines
Performing “test drives”
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

19. Capacity-Building Recall from a previous slide:
The Indian Environmental General Assistance Act of 1992, 42 U.S.C. § 4368b
(f) Expenditure of general assistance: Any general assistance under this section shall be expended for the purpose of planning, developing, and establishing the capability to implement programs administered by the Environmental Protection Agency and specified in the assistance agreement.
planning, developing, and establishing the capability =
Capacity-Building
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

20. What’s a Capacity-Indicator?
Capacity-indicators demonstrate that the Tribe has attained a certain capability.
Lead to…
Capacity-building activities
Destination: Capacity
It’s something that demonstrates that the tribe has a certain capability.
In other words, the item on the right is not the item GAP is funding
GAP funds the activities that contribute to the tribe’s ability to implement, in this example, the compliance assurance and enforcement program – and you’ll see that through the list of capacity indicators. The GAP activities fund the activities that contribute to the tribes capacity or capability to implement its program.
Workplan activities funded by GAP
…as demonstrated by the indicator: implementing the programs on which training was received
Example:
Acquiring initial training on a wastewater discharge program and creating the legal framework to implement the program (e.g., regulations and funding structure)
Example:
D.3.26: Tribe has established a program to provide compliance assurance (including inspections) and enforcement for a tribal permit program.
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

21. Establishing Baselines To Develop Capacity
What are the baseline environmental conditions?
How can that inform the needs?
Gather Existing Data
Collect New (baseline) Data*
Analyze* Data and Identify Priorities
Find talking point from HQ about – this is a funding program and we have discretion to develop criteria and make funding decisions
Establishing an environmental protection program may include performing a “test drive” of the program to determine whether the tribe is ready to move into the program implementation phase. “Test drives” of capacity to implement are for evaluating the effectiveness of a program and may be funded for up to four years under GAP. Work plans containing “test drive” activities should contain activities to collect information about program design and effectiveness and describe how this information will be used to identify options for improving the program, including but not limited to: new or revised environmental protection policies and procedures; more stringent standards and/or requirements; and additional capacity development needs.
Similarly, a tribe with basic water program capacity may continue to receive GAP funds to expand their water program by adding new baseline data to their existing program, developing additional laboratory analysis quality assurance plans, or adding capacity to share additional water quality data across multiple data platforms.
Establishing a Baseline Needs Assessment A baseline needs assessment is a primary step to determine the environmental resources needing protection and the environmental and human health issues facing a particular tribal community. Such an assessment can help a tribe to identify and prioritize a tribe’s approach for undertaking protection and restoration efforts. While there are many approaches for conducting effective baseline needs assessments, including those that are informed by traditional ecological knowledge, information on conducting a baseline needs assessment can be found in Appendix II. Periodically, the baseline needs assessment should be updated in response to factors such as: new sources of pollution, changing environmental conditions, new development in the community, acquisition of lands, and changes to the environmental program. However, GAP funds should not support a baseline or other assessment that is principally for solving particular problems at particular places – such as an environmental assessment associated with a particular facility construction project – because they are considered program implementation (except those related to solid and hazardous waste programs as described in Section E, because solid and hazardous waste program implementation activities are eligible for GAP funding).
*Does not refer to ongoing monitoring and analysis programs
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

22. plan and develop capacity
Related to programs administered by EPA D E V L O P
&
Training Ahead.
Watch out for
New Skills.
Use this slide to summarize the information from page 5 and 6 of GAP guidance
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

23. EPA Programs Applicable to GAP
Asbestos Hazard Emergency Response Act (AHERA)
Brownfields Utilization, Investment and Local Development Act (BUILD) 2018
Clean Air Act (CAA) 42 U.S.C. Chapter 55
Clean Water Act (CWA) 33 U.S.C et. seq.
Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) 42 U.S.C.
Chapter 103, also known as Superfund
Federal insecticide, Fungicide and Rodenticide Act (FIFRA) 7 U.S.C. § 136
Indian Lands Open Dump Cleanup Act of U.S.C. Chapter 41
National Environmental Policy Act of 1969 (NEPA) 42 U.S.C. Chapter 55
Pollution Prevention Act (PPA) 42 U.S.C. Chapter 133
Safe Drinking Water Act (SDWA) 42 U.S.C. Chapter 6A
Solid Waste Disposal Act as amended, commonly known as the Resource Conservation and
Recovery Act (RCRA), 42 U.S.C. Chapter 82
Toxic Substances Control Act (TSCA) 15 U.S.C. § 2601 et seq.
EPA is charged with administering all or part of each of these laws and executive orders.
I’ve included the URL at the bottom of the list.
Source:
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

24. Performing Test Drives to Establish Capacity
Implementation pilot
Collect information
Evaluate effectiveness
4-year limit
Implementation pilot
Collect information
Evaluate effectiveness
4-year limit
Establishing an environmental protection program may include performing a “test drive” of the program to determine whether the tribe is ready to move into the program implementation phase. “Test drives” of capacity to implement are for evaluating the effectiveness of a program and may be funded for up to four years under GAP. Work plans containing “test drive” activities should contain activities to collect information about program design and effectiveness and describe how this information will be used to identify options for improving the program, including but not limited to: new or revised environmental protection policies and procedures; more stringent standards and/or requirements; and additional capacity development needs.
WHAT ARE SOME THINGS WE FUNDED THIS YEAR?
Ask the team – do you have any examples I can cite in this presentation?
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

25. What is Implementation?
the process of putting a decision or plan into effect; execution.
"she was responsible for the implementation of the plan"
Of course – through another Google search…
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

26. Implementation under GAP: Solid and Hazardous Waste Programs for Indian Lands
Recall from previous slide:
The Indian Environmental General Assistance Act of 1992, 42 U.S.C. § 4368b
Purposes and programs authorized under this section shall include the development and implementation of solid and hazardous waste programs for Indian lands.
Talking Points:
Remind audience that the statute calls out solid waste and hazardous waste program as the type of IMPLEMENTATION activity GAP can cover
However, remind them that the statute also required EPA to create “procedures” for the GAP program (i.e., the guidance)
Guidance describes criteria, approvals, limitations etc.
For example, for dump clean-ups,
X, Y, and Z is required (pull additional talking points from Page of GAP guidance)
Pre-requisites and Approvals
It also explains GAP generally doesn’t cover the costs of a waste management facility operation and maintenance or general government services such as fire and police or routine trash collection, transport, backhaul, and disposal – BUT – point out the omnibus funding available through FY20 !!
Once a tribe has established a waste management program that is generally consistent with the applicable indicators described above, GAP funds may be used for the following implementation activities in order of priority: (a) program administration; (b) compliance and enforcement; (c) solid waste management, resource recovery, and resource conservation support; and (d) cleanup and closure.
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

27. Implementation under GAP: Solid and Hazardous Waste Programs for Indian Lands
The Resource Conservation and Recovery Act (RCRA) is the primary federal law for managing solid waste, hazardous waste and Underground Storage Tanks (USTs)
Under RCRA Subtitle C federal hazardous waste regulations apply to all facilities generating and managing hazardous wastes.
Under RCRA Subtitle D, EPA has established nationally applicable criteria for non-hazardous waste disposal facilities.
Under RCRA Subtitle I, EPA has established criteria for the operation and closure of USTs and Leaking USTs (LUSTs).
GAP can fund implementation activities only for solid and hazardous waste programs, Subtitles C and D.

28. Open dump cleanups
Once a tribe has established a waste management program that is generally consistent with specific indicators in Section E.3 described in the Guidance, GAP funds may be used for the following implementation activities in order of priority:
(a) program administration;
(b) compliance and enforcement;
(c) solid waste management, resource recovery, and resource conservation support; and
(d) cleanup and closure.
While GAP funds may be used to implement solid and hazardous waste programs consistent with the GAP statute,50 including cleanup activities,
GAP will remain focused on supporting tribal government efforts to develop a sustainable program designed to address and prevent new, or recurring, unauthorized dumping on tribal lands.
IHS is the primary federal agency responsible for identifying, assessing and funding open dump cleanups and closures

29. Cleanup and Closure Activities
Regional offices will evaluate requests to use GAP resources for cleanup activities; and
Will submit the request to the AIEO Director with supporting documentation, including assurance that the tribe has adequate administrative controls to oversee the cleanup.
Cleanup and Closure Activities for Established Tribal Programs
May be eligible for funding under GAP after the tribe has established a program and demonstrated the following program capacity indicators: E.3.5, E.3.6, E.3.7, E.3.8, E.3.17, and E.3.18.
Cleanup and Closure Activities for Tribal Programs under Development
May be eligible for funding under GAP when the tribe has demonstrated that they are substantially pursuing tangible elements of specific actions towards building a sustainable waste management program.
Cleanup and Closure Activities Where No Tribal Program is being Developed
Where a tribe does not have an established program as described above, or is not substantially pursuing tangible elements of the above actions, EPA will not prioritize providing financial assistance, including GAP funds, for the cleanup or closure activities unless the open or unauthorized dump presents an imminent and substantial endangerment to human health or the environment.
Unauthorized dumping of solid waste is typically a symptom of inadequate access to, or citizen participation in, integrated and sustainable waste minimization, recycling, collection, and disposal programs.
As a result, funding cleanup activities prior to establishing and implementing an effective program seldom results in lasting changes to a community’s waste disposal practices.

30. Can gap be used to set up an indoor air quality program?
Yes!
Some possible capacity indicators (or destinations) could be:
C 3.3 Staff has completed appropriate indoor air quality training and acquired skills related to indoor air quality (e.g., Healthy Homes training).
C.3.10 Tribe has completed an indoor air quality assessment and report.
In general, GAP funding should be used to:
build baseline environmental program capacities;
once capacity is established, tribes may seek funding under EPA’s media-specific programs to support more complex program development and implementation while continuing to use GAP resources for ongoing capacity building activities.
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

31. Can GAP fund a replacement vehicle?
Answer: It depends
Necessary to plan, develop, or establish a tribal environmental program?
Cost and use will also be evaluated.
A tribe asked for a replacement vehicle. There is a restriction on page 6 of 22 regarding replacing equipment. Since the vehicle is still necessary to complete work in the current workplan, the request was approved for under $25,000.
Use this slide to also talk about limitations for supplies and equipment in general
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

32. Can gap be used to Help with drought and water conservation?
Yes!
Some possible capacity indicators (or destinations):
D.3.6 Tribe has established community outreach/education programs related to water quality and/or protecting health through safe drinking water (e.g., fish consumption advisory system, water efficiency, nonpoint source pollution best management practices, infrastructure needs for water and wastewater utilities, and wetlands restoration activities).
D.3.7 Tribe has established water efficiency policies and program(s) (e.g., building design standards/codes, WaterSense initiatives for government operations, water use restrictions).
Can do both outreach and developing programs such as water efficiency and conservation.
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

33. What have we learned? Assessed our baseline knowledge
Reviewed the statutes and regulations
Dove into the guidance
Reviewed some key terms – capacity, capacity-indicator, implementation.
Reviewed some examples
Final Exam!
Are we done?
NO!
Let’s see what we learned
Statutes and Regulations
Guidance and Guiding Principles
Capacity
Implementation
Examples
Review

34. Please go to the following URL and take the quiz
Go right to results here:
Remember to make the point that just because something is GAP-eligible doesn’t mean funding is guaranteed.

35. Questions and Answers
See also: environmental-general-assistance-program-gap
Also include a URL to the results