Grant Process

Three Moons

This image is a study in cooperation. Three tribal people move forward, in the same direction, each carrying equal possibilities and opportunities. They are guided by the eagle, here a symbol of working for the good of all people and all of the creation.

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Section 319(h) Grant Application

Background

After completing the nonpoint source assessment report and nonpoint source management program, a tribe can develop a grant application in coordination with the appropriate EPA Region to promote a high-quality, goal-oriented work program consistent with the national section 319 objectives and priorities. Within the grant application, the work plan should describe specific projects the tribe plans to fund for the coming fiscal year.

The four general objectives of a section 319(h) grant are as follows (USEPA, 1994b):

1. Support state and tribal activities with the greatest potential to produce early, demonstrable water quality results.
2. Encourage and reward effective performance.
3. Assist in building the long-term capacity of states, tribes, and local governments to address nonpoint source pollution problems.
4. Encourage strong interagency coordination and public involvement.

In addition, each approved grant award requires a tribe to contribute a 40 percent nonfederal match. However, a tribe that demonstrates financial need can qualify for a reduced match requirement of 10 percent (USEPA, 1994b). To demonstrate financial need, a tribe must submit a letter from the tribal chairperson to the program-approving official at the EPA Regional Office. The letter should describe why the tribe is requesting a lesser match and must sufficiently explain the financial situation or condition that warrants a reduction in the match. EPA’s Regional Office will review the request and make the determination for hardship exemption based on the explanation provided by the tribe (USEPA, 1994c).

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Key Concepts

The following is a list of key concepts that have traditionally been important in 319(h) grant applications. EPA regional reviewers look for particular key concepts in each grant application (USEPA, 1996) as an indication that states and tribes understand and support the goals and objectives of section 319.

• Emphasize implementation of approved nonpoint source management programs (e.g., nonregulatory or regulatory programs for activities such as enforcement, technical assistance, financial assistance, education, training, technology transfer, and demonstration projects that directly result in installation of BMPs or adoption of management actions directly affecting water quality).
• Identify priority actions that will be taken and explain how these actions are related to the priority problems identified in the nonpoint source assessment report.
• Establish a realistic schedule and milestones for completing the priority actions identified.
• Emphasize pollution prevention mechanisms to control nonpoint sources (e.g., restricting erosion-inducing activities in sensitive areas; improved pesticide storage, handling, mixing, and loading practices to reduce spills).
• Emphasize watershed-based approaches to solving nonpoint source pollution.
• Provide for monitoring and evaluation of program effectiveness.
• Emphasize any interagency coordination with federal, state, and local agencies and interest groups.
• Describe in detail previous accomplishments in addressing nonpoint source pollution with grant funds (if previous grants were received).

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Contents

The following information should be included in each nonpoint source grant application.

Cover letter. The cover letter describes the tribe’s interest in managing nonpoint source pollution on its lands and also formally requests funding assistance from EPA. Proof of eligibility. To be eligible for a 319(h) grant, a tribe must: Be federally recognized. Demonstrate that it has substantial governmental duties. Demonstrate that it has legal authority or jurisdiction to carry out the purposes of the grant. Demonstrate its capability to carry out the requirements of the grant program. To meet the capability requirement, a tribe includes in its application packet to the appropriate EPA Regional Office a nonpoint source assessment report, a nonpoint source management program, and a grant proposal and work plan. Grant proposal and work plan. This section of the application identifies priority projects (previously described in the nonpoint source management plan) for which 319(h) funding is sought. Due to limited resources, tribes should focus their initial efforts on a limited number of high-priority surface and ground waters to maximize environmental benefits.

Additional explanation and examples of the content of each section of the grant application and work plan are provided on the following pages.

 

Nonpoint Source Grant Application

 

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COVER LETTER

A cover letter must accompany each grant application. The letter states the request for financial assistance and briefly describes the project that the tribe hopes to fund.

Example (EBCI, 1993c, cited in USEPA, 1994a): Date Regional Administrator U.S. EPA Address Dear Regional Administrator: Enclosed are an original and two copies of the (tribe’s name) request for financial assistance under section 319 of the Clean Water Act. The tribe recently submitted to your office a nonpoint source pollution assessment and management program for consideration. We feel that implementation of this effort is essential to the protection and enhancement of the waters on the (tribe’s name) reservation. Specifically, this requested assistance will address (nonpoint source problem) associated with the (primary cause of the nonpoint source problem). Through the utilization of technical assistance from the (cooperating agency), the tribe plans to (primary actions). We look forward to working in partnership with EPA to assess and protect our natural resources. Please feel free to call me or the Tribal Environmental Specialist if you have any questions or need more information. Sincerely,   (name) Tribal Chairperson   Enclosures (number of enclosures) cc: Regional Nonpoint Source Coordinator

 

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ELIGIBILITY DETERMINATION

Federal Recognition

A tribe that has not done so may establish that it has been federally recognized by simply stating in its grant application that it appears on the list of federally recognized tribes that the Secretary of the Interior publishes periodically in the Federal Register and including as an exhibit a list of federally recognized tribes with the specific tribe’s name highlighted.

Substantial Governmental Duties and Powers

A tribe that has not documented its governmental duties and powers in a previous grant application may do so by certifying that it has a government carrying out substantial governmental functions. A tribe will be able to make the required certification if it is currently performing governmental functions to promote the public health, safety, and welfare of its population (e.g., levying taxes, acquiring land by exercise of the power of eminent domain, exercising police power). Provide a narrative description, not copies of specific documents, of the form of tribal government and the types of essential governmental functions currently performed, and identify the legal authorities for performing those functions (e.g., tribal constitutions or codes). Attach the description of duties and powers and label it as an exhibit.

Example (USEPA, undated): The governing body of the (tribe’s name) is its Tribal Council. The Council is comprised of seven members, one of whom is the Tribal Chairperson. Elections are held once a year with members holding staggered two-year terms. The Chairperson is also elected for two years.

Tribal Authority

The tribe must submit a statement signed by the Tribal Attorney General or equivalent official explaining the legal basis for the tribe’s regulatory authority over its water resources or providing evidence of prior approval for “tribal eligibility.” Attach the statement and label it as an exhibit.

Example (USEPA, undated): Several provisions of the Tribe’s Constitution expressly authorize the American Tribal Council to exercise powers that entail regulation of not only ground water within the Reservation, but use of all waters originating within the Reservation as well: Article I, Section 6, authorizes the protection, conservation, and regulation of Reservation natural resources; Section l(b) authorizes the Council to represent the Tribe in transactions and negotiating agreements with other governments; Section l(c) authorizes the Council to represent the Tribe in litigation; Section l(d) authorizes the Council to manage all unassigned Reservation property and control the use of all unassigned Reservation land; Section l(j) authorizes the protection of the general welfare, health and safety of the Reservation’s residents; and Section l(k) authorizes the Tribe to enact laws on the Reservation consistent with its sovereign status. These specific Constitutional provisions are interpreted broadly to achieve the protection of tribal rights and interests, and to accommodate constant developments in federal law that expand or refine the general scope of tribal jurisdiction. In addition, the Tribe is authorized to exercise any inherent sovereign power not expressly authorized by Congress. The Tribe’s main purpose in regulating the use of Reservation resources generally, and water use and quality in particular, includes protection of the Tribe’s federally reserved water rights from environmental degradation and unauthorized interference by outside persons or governments. Tribal authority to regulate these reserved rights necessarily entails the authority to serve the purpose for which the rights exist, which includes subsistence and commercial use of the Reservation’s water resources. In addition, tribal regulation of this type fulfills the Council’s constitutional obligations to protect the basic health, safety, and welfare of the Tribe and the Reservation community. Ultimately, such regulation promotes the political integrity of the American Tribe.

EPA will approve tribal applications for only those land areas where the tribe has demonstrated jurisdiction. Attach as an exhibit a map of tribal lands for which the tribe has jurisdiction. In addition, a sample tribal water pollution control ordinance may be attached as an exhibit to document the tribe’s authority over its waters.

Tribal Capability

In most cases, a tribe’s approved nonpoint source assessment report and management program will serve as adequate documentation that the tribe has “capability” to carry out the nonpoint source activities proposed for funding. In some instances, however, EPA may request that the tribe provide a narrative statement or other documents showing that the tribe is capable of administering the grant for which it is seeking approval. Even if a tribe does not have substantial experience administering environmental programs, the tribe will still be considered for a 319 grant as long as it shows that it has the necessary management, technical, and related skills or submits a plan describing how it will acquire those skills. In evaluating tribal capability, EPA will consider:

• Previous management experience.
• Existing environmental or public health programs administered by the tribe.
• Mechanisms in place for carrying out the executive, legislative, and judicial functions of the tribal government.
• Accounting and procurement systems.
• Technical and administrative capabilities of the staff to administer and manage the program.

Management experience. Examples of general managerial experience include:

• Operation of domestic water system
• Cable TV system
• Solid waste management
• Administrative offices

Example (EBCI, 1993b, cited in USEPA 1994a): The Tribe is currently developing a combined utilities ordinance to better regulate Tribal utilities as well as to provide better services to Tribal members. The Tribe has nearly completed its own Chemical Emergency Response plan, adhering to SARA Title III requirements, as well as an improved Tribal Solid Waste Management Plan, with funding provided by EPA Multi-Media grants. This funding has also allowed the Tribe to hire an Environmental Specialist as part of their administrative staff, to oversee environmental programs, such as a water quality program. The Environmental Specialist manages the resolution of environmental problems on the reservation. The Tribe is also negotiating with national and international firms regarding economic development of Tribal lands adjacent to Interstate 40.

Existing programs. Examples of existing environmental or public health programs administered by the tribe include:

• Indian health clinic
• EPA Multi-Media Grants - any preceding fiscal year
• Bureau of Indian Affairs FY 92-94 Rights Protection - Hazardous Waste Grant
• Department of Health and Human Services, Administration for Native Americans – l985 to present

Mechanisms for governmental functions. The following is an example of a brief but acceptable description of tribal mechanisms for carrying out governmental functions.

Example (USEPA, undated): Executive functions of the tribal government are carried out by the Tribal Chairperson. Legislative functions are carried out by the six-member Tribal Council.

Accounting and procurement systems. The following example illustrates the appropriate level of detail for this section.

Example (USEPA, undated): The Tribe’s general accounting system is maintained by ten Tribal accountants and a private accounting consultant. They handle all Tribal financial activities, including payroll, ledgers, accounts payable and receivables and program disbursements, in compliance with federal accounting regulations. The accountants work with auditors to supply documentation of all financial transactions. Tribal books are audited yearly by a Certified Public Accountant. In addition, the Tribe has under contract an accounting firm, who confirm in a letter, Exhibit X, the breadth and effectiveness of the Tribal accounting system. The Tribe’s procurement system meets the requirements as described in [25 CFR 276.12]. Furthermore, Tribal policy dictates that all purchases and expenditures meet with prior approval from the Tribal Council.

Technical and administrative capabilities of the staff. An example of the level of detail expected for this section follows.

Example (USEPA, undated): Existing staff resources include a Grants and Contracts Accountant and an Environmental Specialist. The Tribe has identified the following as a potential inventory of firms and organizations that could provide the necessary technical capability for a water quality assessment/pollution prevention program. We intend to enter into an agreement with one or more of the following should Section 319 funds become available. Natural Resources Conservation Service U.S. Geological Survey U.S. Naval Construction Training Center A private environmental consulting firm The University of California at Davis’ School of Environmental Engineering

List of Exhibits

Exhibits are documents submitted along with the grant application to support the application (e.g., list of federally recognized tribes, statement by the Tribal Attorney General explaining the legal basis for the tribe’s regulatory authority).

Label each exhibit attached to the application, and provide a list of the exhibits. Retain copies of the exhibits. Check carefully to make sure that all required items for the eligibility determination have been addressed.

 

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GRANT PROPOSAL AND WORK PLAN

Cover Page

The document cover contains at a minimum the title of the project and the date submitted.

Introduction

The introduction states the purpose of the 319(h) grant application and provides an overview of the proposed nonpoint source pollution management project. The purpose must specifically request funding to control a particular nonpoint source that has been identified as a cause of impairment or threat to the quality of tribal waters. The overview of the management project identifies the method or technology proposed to reduce or prevent the nonpoint source pollution problem. In addition, the introduction identifies the major components of the nonpoint source management project.

Example (CTUIR, 1995): A program is needed to provide high quality water as a part of instream, riparian, and upland habitat for fish, wildlife, and plants. In the interest of applying a watershed protection approach and contributing to the improvement of water quality problems related to nonpoint sources, the CTUIR developed a Nonpoint Sources of Water Pollution Management Program for the Umatilla River Basin. The CTUIR proposes to continue implementing its management program through: administration, improvement, and enforcement of water quality standards and federal, state, local, and tribal laws, codes, and regulations pertaining to land use and water quality; design and installation of on-the-ground practices and projects to assist water quality protection and restoration; implementation of best management practices where found to support water quality improvements; public involvement and education by various means; monitoring of water quality conditions for detection of trends, determination of beneficial impacts due to projects or implementation of best management practices, location of chronic and acute sources of nonpoint pollution, and compliance with standards and criteria; and coordination of efforts in the Umatilla River Basin to ensure a holistic watershed ecosystem approach and reduce redundancy of efforts. Clean Water Act Section 319(h) funds are sought for portions of the Management Program to be implemented in 1995, (i.e., implementation of on-the-ground projects, project and educational monitoring, updating water quality databases and GIS information, wellhead, and other groundwater protection and assessment, and coordination of these efforts with those other entities in the Umatilla River Basin.

The introduction also discusses implementation of the proposed management project or projects by identifying the lead organization and cooperating agencies and defining their proposed roles. The following list identifies potential cooperating agencies. It is not intended to be all-inclusive (VTNRDEC, 1988b).

• Department of Agriculture
  - Natural Resources Conservation Service
  - Farm Service Agency
  - U.S. Forest Service
• Corps of Engineers
• Federal Highway Administration
• Office of Surface Mining
• Department of Transportation
• Department of Energy

Example (CTUIR, 1995): Potential exists for cooperative projects with the Umatilla Basin Watershed Council; Columbia-Blue Mountain Resource Conservation and Development Council; Umatilla County Soil and Water Conservation District; USDA-Soil Conservation Service; Oregon Departments of Agriculture, Water Resources, Environmental Quality, and Fish and Wildlife; U.S. Environmental Protection Agency; USDI Bureaus of Indian Affairs and Reclamation; the USDE-Bonneville Power Administration; and the local non-governmental citizens and groups.

Project Location

Identify the proposed location for implementation of the nonpoint source management project(s). In addition, specify the watershed(s) in which the proposed project(s) are located.

Project Goals and Objectives

Describe thoroughly the goals and objectives of the selected project(s) or activity(ies).

Example (CTCR, 1995): Program goal: To improve water quality in impaired watersheds by BMP implementation projects coupled with water quality monitoring/project performance monitoring. Program objectives: To maintain the reservation-wide water quality monitoring network and focus on implementation effectiveness. To implement water quality improvement projects in several impaired watersheds.

Project/Activity Description

The project/activity description identifies the scope of the project or activity. It details the components of the project/activity and thoroughly describes each component. Project monitoring and evaluation plans, as well as any public education and public participation plans, should be described in this section as well.

Example (CTUIR, 1995): The on-the-ground projects will continue the focus in the Wildhorse and Middle Umatilla subwatersheds and will add the Tutuilla/Patawa subwatershed. The projects will include riparian and meadow tree, shrub and forb plantings, placing instream structures, fencing riparian corridors, fencing livestock grazing pastures, researching traditional resource uses and conditions (to be used in developing Desired Future Conditions/project objectives), monitoring and evaluation of project outputs, maintenance of project developments, and coordination the projects with local, state, and federal agencies and the public. On-the-ground projects will be installed only as a part of a watershed protection approach. It is anticipated that project implementation will result in reduced late summer and increased winter stream temperatures, reduced sediment delivery, reduced delivery of nutrients and bacteria, and improved stormwater management. These results will benefit surface and groundwater quality. Project completion will result in improved management of pastures for livestock grazing, more efficient forage utilization by livestock, and improved management of crop agricultural practices. Coincident with these results will be an increase in available information on water quality in the Umatilla River Basin and in increase in awareness of water pollution problems and involvement in their solutions.

Outputs/Deliverables

Identify all outputs/deliverables that will be produced by this project/activity (e.g., reports, manuals, meetings). The outputs are often divided by respective task in the proposed work plan.

• The following is an example of a list of deliverables (GCPDD, 1995):
• Preproject detailed plans that identify the participants in the public/private partnership, describe where the project/activity will be initiated, and provide a schedule for completion.
• Public outreach plan and materials for educating homeowners and the general public on the care and maintenance of any site-specific facilities that might be involved.
• Quarterly reports detailing the progress of the project.
• Final report detailing the success of the project/activity in controlling or preventing nonpoint source pollution and the cost-effectiveness of any site-specific systems. The report will contain an analysis of all monitoring results.

Example 1 (CTCR, 1995): Task 1: Maintain water quality monitoring network and perform effectiveness monitoring. Output 1: Network monitoring will be ongoing. Data and monitoring reports and monthly reports from Environmental Trust programs. Quantitative data will be put on data base. Task 2: Construct implementation projects. Output 2: Completed projects for Frosty Meadows, Northstar Creek, Rebecca Lake, Friedlander Meadows, Rogers Bar, and other projects. Quarterly reports will be prepared for the projects. Task 3: Continue watershed planning. Output 3: Produce operational modules for watershed planning process and select watershed models for GIS/database. Quarterly reports will be prepared on progress. (Planning is not a 319 funded activity and will be funded as in-kind.)

Example 2 (CTUIR, 1995): Task 1: Continue wellhead protection and farm-assist/home-assist programs. Output 1: Hold public meetings, provide technical assistance, update database. Incorporate groundwater monitoring data into database. Task 2: Plan, develop, and implement watershed protection agreements and projects. Output 2: Development of an Implementation Plan to meet requirements of EPA, incorporating any monitoring needs in a QA/QC plan for monitoring, developing project agreements, installing any structural elements of improvement projects, monitoring, and evaluation. Task 3: Develop or obtain and provide public information and education on land use and water quality. Output 3: Follow through on gaps identified by public in educational/informational materials/presentations. Propose or develop needed materials/presentations. Present program updates and other information in two public presentations, winter and spring 1996.

Milestones

Identify milestones for project implementation (e.g., start date, completion date, reporting dates). Milestones are listed as a schedule of events with due dates by which progress can be evaluated. Regions require that general milestones outlined in the nonpoint source management program be updated and made more specific for submittal in the work plan. Most Regions also require a form and/or criteria for evaluating satisfactory progress in developing and implementing 319 programs or activities (USEPA, 1993).

Example 1 (GCPDD, 1995): Component Completion Date Project start Develop and implement public outreach program 3 months from start Design site-specific stormwater management systems 5 months from start Evaluate project through monitoring 11 months from start Final report 12 months from start

Example 2 (CTCR, 1995): Component Product Completion Date 1. Monitoring (ongoing): Quarterly Data Report Project Report Quarterly 10/95 11/95 2. Implementation: LaFleur Lake Project Frosty Meadows Project Gold Lake Project Northstar Project 12/31/94 12/31/94 12/31/95 12/31/95 3. Watershed plans: Module Completion Document Models Selected Software Modeling Reports 6/1/95 9/1/95 10/15/95

Budget

The budget lists the estimated costs for project implementation. Include details such as staff years and funds, equipment, supplies, construction, contracts, and indirect costs. The budget must also fully document nonfederal matching funds and other funds (nonmatching) for the project. For the matching funds, identify the matching agency or in-kind contributors and amounts, as well as the staff years and budget (USEPA, 1995). Tables are an effective way to document the proposed budget.

Example 1 (CTCR, 1995): Description 319 Funding Tribal In-Kind Personnel/Fringe Travel/Training Lab Equipment/Facility Monitoring/Implementation Supplies/Materials Utilities/Facilities Indirect Costs TOTAL $X $X $X $X $X $X $X $X $X $X $X $X $X $X $X $X

Example 2 (GCPDD, 1995): 319(h) Funding Component Cost Staff (X hours at $X/hour) Travel Laboratory fees Other direct costs Reproduction TOTAL 319(h) FUNDING Matching Funds $X $X $X $X $A   Component Cost Monitoring equipment Other direct costs Computer use Printing/Graphics TOTAL MATCHING FUNDS TOTAL FUNDING: $X $X $X $B $(A+B)

A brief description of the costs outlined in the budget table is often very helpful to the proposal reviewers.

Example (CTCR, 1995): Direct Costs:   Personnel One field technician for implementation, monitoring water quality, and tracking and repairing implementation projects. Travel/Training Travel directly related to implementation projects, including on-reservation travel (vehicle expenses) and possible training associated with implementation projects.   Monitoring/Implementation Costs for labor, materials, and supplies associated with water quality protection projects, the field monitoring of those projects, and other nonpoint source monitoring.   In-Kind Expenses: Personnel Environmental Trust personnel associated with 319 project including hydrologist’s time for modeling, water resource technician’s time for water monitoring, and lab technician’s time for water analysis (average cost for all personnel $X/hour for X hours = $X).   Lab Equipment Facility Use of lab building and equipment ($X/month for X months = $X). Utilities/Facilities The Environmental Trust will provide office space, computers, software, phones, fax, and field sampling equipment ($X/month for X months = $X).