Final Guidance on Awards of Grants
to Indian Tribes under Section 106 of
the Clean Water Act
For Fiscal Years 2007 and Beyond
United States Environmental Protection Agency
Office of Water
Office of Wastewater Management
EPA 832-R-06-003
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Table of Contents
Abbreviations and Acronyms vii
Executive Summary ES-1
Chapter 1: Introduction 1-1
Purpose of this Guidance 1-1
Section 106 Tribal Program Background 1-2
Need for this Guidance 1-2
GPRA, PART, and Environmental Results 14
EPA's Strategic Plan 14
Tribal Program Options and Structure of the Guidance 1-5
Structure of the Guidance's Chapters 1-6
Other EPA Activities Related to Tribes 1-6
Chapter 2: Three Approaches to Implementing Tribal Water Quality Programs 2-1
Nonregulatory Approach 2-2
Tribal Law Water Quality Protection Approach 2-2
EPA-Approved Water Quality Protection Approach 2-3
Chapter 3: Program Initiation, Planning, and Administration Activities 3-1
Introduction 3-1
I. Fundamental Program Activities 3-3
1. Applying for TAS Eligibility for the Section 106 Pro gram 3-3
2. Implementing Financial Management Systems 34
3. Apply ing for Section 106 Grants 3-5
4. Identifying Basic Tribal Water Resources 3-9
5. Identify ing Tribal Needs 3-11
6. Identify ing Program Objectives and Goals 3-12
7. Hiring Staff 3-13
8. Training Staff 3-13
9. Using Contractors as Appropriate to Your Needs 3-14
10. Developing Program Milestones 3-14
11. Submitting Work Plans to EPA 3-14
12. Conducting Community Education on Basic Program Establishment and Direction 3-14
13. Financial and Performance Reporting 3-16
14. Conducting Program Evaluations 3-16
15. Developing a Multi-year Plan 3-17
II. Intermediate Program Activities 3-17
1. Seeking Other EPA Funding Opportunities 3-17
2. Providing Enhanced Training to Staff 3-18
3. Using Contractors as Appropriate to Your Needs 3-19
4. Reassessing Program Objectives and Goals 3-19
5. Enhancing and Focusing Tribal Community Education 3-19
6. Conducting Program Evaluations 3-20
III. Mature Program Activities 3-20
1. Seeking Additional Federal Funding Opportunities 3-20
2. Using Contractors as Appropriate to Your Needs 3-21
3. Conducting Comprehensive Community Outreach and Public Awareness Programs 3-21
4. Conducting Program Evaluations 3-21
5. Mentoring Other Tribes and Local Governments 3-21
6. Partnering with Other Organizations 3-21
III
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Chapter 4: Monitoring, Data Management, and Data Assessment and Analysis 4-1
Introduction 4-1
I. Fundamental Program Activities 4-5
1. Monitoring 4-5
2. Data Management 4-17
3. Data Assessment and Analysis 4-20
4. Initiating Mitigation Measures for Known Water Quality Problems 4-25
II. Intermediate Program Activities 4-26
1. Monitoring 4-26
2. Data Management 4-27
3. Data Assessment and Analysis 4-29
III. Mature Program Activities 4-29
1. Understanding and Using EPA's "Elements" Guidance 4-29
Chapter 5: Nonregulatory Approach 5-1
Introduction 5-1
I. Fundamental Program Activities 5-2
1. Understanding Watershed-based Planning 5-2
2. Understanding NPS Pollution 5-5
3. Understanding Decentralized Wastewater Treatment Facilities 5-6
4. Understanding Source Water Protection 5-7
5. Choosing and Setting Water Quality Goals 5-7
6. Determining Areas with Water Quality Problems 5-8
7. Choosing and Setting Watershed-based Goals 5-9
8. Developing Projects to Meet Water Quality Goals 5-9
9. Conducting Public Outreach and Encouraging Public Involvement 5-10
II. Intermediate Program Activities 5-13
1. Understanding Section 319 Grants 5-13
2. Section 319 Eligibility 5-13
3. Developing a Watershed-based Plan 5-15
4. Conducting a Source Water Assessment 5-17
5. Implementing Water Quality Protection and Restoration Activities 5-18
6. Implementing Section 106 Grant Activities Related to Decentralized Systems 5-18
7. Analyzing Water Quality Data and Defining Performance Measures 5-19
III. Mature Program Activities 5-20
1. Evaluating Restoration Activities 5-20
2. Providing Updated Information to Your Partners and Community 5-20
3. Refining Your Assessment Report, Management Program, Source Water Assessment, and Watershed-based Plan... 5-21
4. Coordinating and Cooperating with Other Programs 5-21
5. Working in Partnership with Other Tribes and States 5-21
6. Other Voluntary Programs 5-22
Chapter 6: Tribal Law Water Quality Protection Approach 6-1
Introduction 6-1
I. Fundamental Program Activities 6-2
1. Understanding Water Quality Standards 6-2
2. Understanding What Tribal Standards Can Do 6-2
3. Identifying Goals of Tribal Standards 6-2
4. Working in Partnership with EPA, Tribes, and States 6-2
II. Intermediate Program Activities 6-3
1. Developing Draft Standards 6-3
2. Sharing Draft Standards with EPA, Tribes, and States for Review, as Appropriate 6-3
3. Conducting Public Outreach 6-3
4. Drafting Tribal Code Based on Standards 6-3
5. Formally Adopting Standards through Tribal Council 6-3
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III. Mature Program Activities 64
1. Implementing Standards 64
2. Reviewing Standards 64
3. Developing MO As with EPA for Permitting Purposes 64
Chapter 7: EPA-Approved Water Quality Protection Approach 7-1
Introduction 7-1
I. Fundamental Program Activities 74
1. Understanding Water Quality Standards 74
2. Understanding Section401 Certification 7-5
3. Understanding Section404 Permitting 7-5
4. Using EPA WQS Trainings and Educational Materials 7-5
5. Reviewing Existing Tribal and State Water Quality Standards 7-6
6. Identify ing Goals of Tribal Regulatory Program 7-6
7. Working in Partnership with EPA, Tribes, and States 7-6
II. Intermediate Program Activities 7-7
1. Applying for TAS Eligibility for a WQS Program and a Section 401 Certification Program 7-7
2. EPAReview of Tribal Application for TAS Eligibility for WQS Program and Section 401 Certification Program 7-8
3. Developing Standards 7-8
4. Submitting Draft WQS for Formal Public Hearing and Comment 7-14
5. Formally Adopting WQS through Tribal Council 7-15
6. Submitting Adopted WQS for EPA Approval 7-15
7. Understanding EPA's WQS Review Process 7-16
8. Understanding EPA's Dispute Resolution Mechanism 7-16
III. Mature Program Activities 7-17
1. Implementing WQS 7-17
2. Conducting Triennial Reviews 7-17
3. Implementing Section401 Certifications 7-18
4. NPDES Program Overview 7-19
5. Sources Regulated under the NPDES Program 7-19
6. Understanding NPDES Permits 7-20
7. Reviewing Permits 7-20
8. Considering NPDES Program Authorization 7-21
9. Developing Capabilities for Permitting, Compliance, and Enforcement 7-22
10. Preparingfor NPDES Program Authorization 7-22
11. Obtaining NPDES Program Authorization 7-23
12. Assuming the Section 404 Program 7-24
13. Working with EPA to Transition from Federal to Tribal Implementation 7-24
14. Conducting Public Outreach 7-24
Chapter 8: Reporting 8-1
Introduction 8-1
Reporting Requirements 8-3
Fundamental Reporting Parameters 84
Intermediate Reporting Parameters 84
Mature Reporting Parameters 8-5
Data Formatting and STORET 8-6
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Appendix A: Assessment Reports A-l
I. Monitoring Strategies A-l
1. Monitoring Strategies for Fundamental-Level Tribal Programs A-2
2. Monitoring Strategies for Intermediate-Level Programs A-3
3. Monitoring Strategies for Mature-Level Programs A-4
II. Water Quality Assessment Report A-4
1. Fundamental Water Quality Program A-4
2. Intermediate and Mature Water Quality Program A-5
III. Monitoring Data, Submitted Electronically, for Each Assessed Water Body A-7
Appendix B: Requirements for Authorization of Tribal Administration of the WQS Program B-l
Appendix C: Letter to Tribal Leaders on Information Access C-l
Appendix D: Bibliography D-l
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Abbreviations and Acronyms
AIEO: American Indian Environmental Office
ANA: Administration for Native Americans
ARARs: Applicable or Relevant and Appropriate
Requirements
BIA: Bureau of Indian Affairs
BOR: Bureau of Reclamation
CALM: Consolidated Assessment Listing Methodology
CFR: Code of Federal Regulations
CSO: Combined Sewer Overflow
CWA: Clean Water Act
CWA Section 106: Grants for Pollution Control
Programs
CWA Section 303: Water Quality Standards and
Implementation Plan
CWA Section 305: Water Quality Inventory
CWA Section 319: Nonpoint Source Management
Programs
CWA Section 401: Certifications
CWA Section 404: Permits for Dredged or Fill Material
CWA Section 504: Emergency Powers
CWA Section 518: Indian Tribes
DO: Dissolved Oxygen
DOC: Dissolved Organic Carbon
DOI: United States Department of the Interior
DQO: Data Quality Objective
EDAS: Ecological Data Application System
EPA: United States Environmental Protection Agency
FERC: Federal Energy Regulatory Commuission
FOIA: Freedom of Information Act
FY: Fiscal Year
GAP: General Assistance Program
GASB: Governmental Accounting Standards Board
GIS: Geographic Information System
GPRA: Government Performance and Results Act
IT: Information Technology
ITEP: Institute for Tribal Environmental Professionals
MOA: Memorandum of Agreement
MOU: Memorandum of Understanding
MS4: Municipal Separate Storm Sewer System
MTBE: Methyl Tertiary Butyl Ether
NEIEN: National Environmental Information Exchange
Network
NHD: National Hydrography Dataset
NPS: Nonpoint Source
NPDES: National Pollutant Discharge Elimination
System
NRCS: Natural Resources Conservation Service
OEP: Office of Environmental Protection
OMB: Office of Management and Budget
ONRW: Outstanding National Resource Waters
OST: Office of Science and Technology
OWM: Office of Wastewater Management
OWOW: Office of Wetlands, Oceans, and Watersheds
PART: Program Assessment Rating Tool
POTW: Publicly Owned Treatment Works
PPG: Performance Partnership Grant
QA: Quality Assurance
QAPP: Quality Assurance Project Plan
QC: Quality Control
RA: Regional Administrator
SOP: Standard Operating Procedure
SS: Suspended Solids
STORET: Storage and Retrieval
TAS: Treatment in a Manner Similar to a State
TEAs: Tribal Environmental Agreements
TMDL: Total Maximum Daily Load
TDS: Total Dissolved Solids
TKN: Total Kjeldahl Nitrogen
TSS: Total Suspended Solids
USDA: United States Department of Agriculture
USGS: United States Geological Survey
WAM: Watershed Analysis and Management
WATERS: Watershed Assessment, Tracking, and
Environmental Results
WPDGs: Wetland Program Development Grants
WQI: Water Quality Indicators
WQS: Water Quality Standards
VII
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Notice
This document discusses requirements contained in the Clean Water Act and its implementing regulations.
The reader is directed to the statute and the regulations for a full and complete statement of those
requirements. Tribes are encouraged to consult with their tribal attorney general or equivalent regarding the
application of these requirements to tribal activities.
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Executive Summary
The Guidance on Awards of Grants to Indian Tribes under Section 106 of the Clean Water Act is intended
to help tribal water quality program managers, staff, and other tribal environmental decision makers design and
implement effective and successful water quality programs. The guidance also provides United States
Environmental Protection Agency (EPA) regions with a framework of procedures and guidelines for awarding
and administering grants to federally recognized tribes under the authority of Section 106 of the Clean Water Act
(CWA) for fiscal year (FY) 2007 and subsequent years. The guidance is effective for grants issued in FY 2007
and beyond.
The guidance seeks to help tribal water quality programs at various levels of sophistication and development. For
new programs, it provides models for successfully initiating and developing a water quality program. For tribes
with well-established programs, it contains additional water quality protection activities to consider. To meet the
needs of tribes at all levels of development, the guidance presents basic steps a tribe can take to collect the
information it will need to make effective decisions about its water quality program.
In addition, the guidance outlines new reporting requirements and data expectations for all tribal programs
receiving Section 106 funds. The new reporting requirements will help tribes to collect critical data and
information for effective management of their water quality programs. The requirements will also help EPA
measure environmental results of the Section 106 Tribal Program and comply with the Government Performance
and Results Act (GPRA) and other federal requirements. In the reports that tribes are required to submit as set
forth in their CWA Section 106 work plan, tribes will be required to include: a description of identified needs, goals,
and objectives of their monitoring programs; a description of sampling methodology and parameters sampled; and
a narrative account detailing the types of water sampled, sampling procedures, data summaries, and the tribe's
interpretation of both the data and the assessment methodology used. Based on their capabilities, tribes are also
required to include water quality data for up to nine parameters: dissolved oxygen, pH, water temperature, total
phosphorus, total nitrogen, turbidity, E. coll or enterococci, macroinvertebrates, and basic habitat information.
The guidance presents three approaches to implementing tribal water quality programs. Recognizing that tribal
water quality programs have different program goals, EPA has designed flexible approaches that can
accommodate these differences. A tribe may adopt any of these approaches or a combination of them. The three
approaches are:
Nonregulatory Approach. This approach is appropriate for tribes that can most successfully achieve their
environmental goals through nonregulatory approaches for controlling, preventing, and eliminating water pollution,
and does not require the development of enforceable standards. It provides a framework for achieving results
through voluntary and collaborative activities, with an emphasis on nonpoint source (NPS) control, non-structural
management measures, and source water protection. The approach focuses on nonregulatory aspects and does
not address other enforceable components that may also be part of implementing a voluntary or collaborative
program. The programs supported under this approach will provide the data, tools, and management infrastructure
necessary to make informed decisions about the best ways of improving tribal water quality (see chapter 5).
Tribal Law Water Quality Protection Approach. This approach for environmental decision making is based on
atribally defined environmental regulatory program. It is intended for tribes that are not interested in pursuing
federally approved water quality standards (WQS) authority, but that would nonetheless like to develop
mechanisms under tribal law to protect water quality. This approach gives tribes the option of pursuing standards
and goals that can be adopted under tribal law; these standards may differ from the standards adopted by a
surrounding state. The standards may also help tribes identify impaired water bodies, propose solutions, and
develop water quality reports that meet EPA's reporting requirements. Under this option, tribes will use tribal law
to protect water quality. Because the approach relies on tribal law, the guidance does not address it in detail (see
chapter 6).
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EPA-Approved Water Quality Protection Approach. This approach is designed for tribes that want to pursue
eligibility for establishing EPA-approved WQS, which will serve as the regulatory basis for water quality pollution
controls, including CWA Section 401 certifications and National Pollutant Discharge Elimination System (NPDES)
permits. It requires tribes to apply to EPA for program authorization for WQS. This approach will lead to the
development of tribal WQS programs with authority and functions similar to state programs. EPA will continue to
have responsibility for administering and enforcing other provisions of the CWA. If a tribe elects not to pursue
authorization for the NPDES program, EPA will continue to administer and enforce it (see chapter 7).
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Chapter 1: Introduction
Purpose of this Guidance
The Clean Water Act (CWA) of 1972 was developed to address growing environmental and public health
concerns related to water pollution. The Act created mechanisms to regulate the discharge of pollutants and to
ensure continuing water quality. The United States Environmental Protection Agency (EPA) is the primary federal
agency responsible for administering the CWA. States also may apply to EPA to administer some of the activities
of the CWA. Section 518(e) of the CWA authorizes EPA to treat federally recognized tribes in the same manner
as states (TAS). This allows eligible federally recognized tribes to address water quality issues, including the
development of their own water quality programs and standards. Funding for these activities is available through
grants authorized by Section 106 of the CWA.
The Guidance on Awards of Grants to Indian Tribes under Section 106 of the Clean Water Act is intended to
help tribal water quality program managers, staff, and other tribal environmental decision makers design and
implement effective and successful water quality programs. The guidance also provides EPA regional offices with
guidelines for awarding and administering grants to federally recognized tribes under the authority of Section 106
of the CWA for fiscal year (FY) 2007 and subsequent years. In FY 2007 and beyond, EPA regional offices will
use this guidance in the award and administration of tribal 106 grants. Annual regional CWA Section 106 funding
opportunity announcements will contain specific information on how each regional office will use the guidance to
make grant determinations.
The guidance seeks to help tribal water quality programs at various levels of sophistication and development. For
new programs, it provides models for successfully initiating and developing a water quality program. For tribes
with well-established programs, it contains additional water quality protection activities to consider. To meet the
needs of tribes at all levels of development, the guidance presents basic steps a tribe can take to collect the
information it will need to make effective decisions about its water quality program.
In addition, the guidance outlines new reporting requirements and data expectations for all tribal programs
receiving Section 106 funds. The new reporting requirements will help tribes collect critical data and information
for effective management of their water quality programs. They also will help EPA measure environmental results
of the Section 106 Tribal Program and comply with the Government Performance and Results Act (GPRA) and
other federal requirements.
This document discusses the process of developing a water quality program. You should refer to this document as
you develop or refine your water quality program and as you revise or incorporate new types of projects into your
program. As your program develops, you can also use the guidance to help make sure that your program continues
to meet applicable requirements.
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Section 106 Tribal Program Background
Many tribal environmental programs receive some or all of their funding to implement and maintain water quality
protection activities through Section 106 grants. Section 106 authorizes EPA to award federal grants to assist
tribes, states, and interstate agencies in administering programs for the prevention, reduction, and elimination of
water pollution, "water quality programs." EPA sets aside a portion of the total Section 106 funds appropriated by
Congress to fund tribal water quality programs.
The Section 106 set-aside funds for tribes are allocated to the EPA regions based on the Section 106 tribal
allotment formula adopted by EPA for FY 1998 and beyond. Each region then makes Section 106 grant awards to
eligible tribes consistent with statutory limitations, EPA regulations, and EPA guidance. Since 1995, Section 106
funding for tribes has increased from $3 million to $25 million a year.
Section 106 tribal grants are used to fund a wide range of water pollution control activities, including:
• Water quality planning, assessments, and studies
• Ambient monitoring
• Community outreach and education activities
• Source water, surface water, ground water, and wetland protection
• Nonpoint source (NPS) control activities (including NPS assessment and management programs)
• Development of water quality standards (WQS)
• Development of watershed-based plans
• Development of total maximum daily loads (TMDLs)
• Data management and reporting
Need for this Guidance
This guidance has been developed in response to the need for a unified guidance that helps tribes develop and
implement water quality programs and defines what EPA expects from tribal water quality protection programs.
EPA recognizes the importance of strong tribal water quality protection programs and the EPA-tribal government
relationship that supports tribes in implementing their water quality protection programs. To help strengthen tribal
water quality protection programs, this guidance provides an overview of programmatic and technical
requirements, discusses some common considerations across programs, and provides links to technical resources
available to develop tribal programs. To help strengthen EPA-tribal government relationships, the guidance defines
expectations for tribes receiving Section 106 grants and explains how these expectations align with EPA's national
goals and objectives. The guidance also provides EPA regional offices with a vehicle to use in evaluating work
plans and budgets.
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Although many tribes are implementing successful water quality programs using Section 106 grants, it has been
difficult for EPA to report national results for the Section 106 Tribal Program. Because of a lack of national tribal
guidance on data collection and data reporting, EPA lacks comparable data across tribal programs that can be
used to show national improvement in water pollution control on Indian reservations. This has become an
increasingly critical problem as the emphasis on demonstrating results for all governmental agency programs has
increased. One of the goals of this guidance is to make it possible to aggregate data in a way that allows EPA to
assess national results associated with the Section 106 Tribal Program.
The guidance provides a framework for evaluating program results and more clearly defines expectations and
requirements for tribal Section 106 grant recipients. In addition to information on strategies for collecting and
managing data, working with your regional EPA office, and specific reporting requirements, this guidance also
contains numerous links to other resources that may be useful as you establish or develop your program. The
framework of the guidance is based on three approaches that tribes can use to develop their water quality
programs and includes programmatic and reporting requirements. (Chapter 2 provides more information on each
approach to developing a water quality program.)
EPA recognizes the diversity of tribal water quality programs. By describing three approaches to water quality
program development in this guidance, EPA has attempted to accommodate this diversity and offer a framework
that tribes can use to develop and implement a water quality program. The guidance explains how results from
each type of program will connect to EPA's strategic plan and will give EPA an overall picture of how the Section
106 Tribal Program is improving water quality on Indian reservations.
St. John River Headwaters. Photograph courtesy of Fred Corey, Micmac Tribe.
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GPRA, PART, and Environmental Results
The Government Performance and Results Act (GPRA), Public Law 103-62, requires federal agencies to set
strategic goals, measure performance, and report on the degree to which they met their goals. GPRA requires
each federal agency to develop strategic plans to cover a period of at least 5 years and to include the agency's
mission statement, the agency's long-term strategic goals, and information on how the agency intends to achieve
those goals. Activities conducted by individual programs within agencies must correspond to agency priorities
described in the strategic plans. Under GPRA, strategic plans are the starting point for agencies to set annual
goals for programs and to measure their performance in achieving those goals.
The Office of Management and Budget (OMB) reviews programs within agencies to evaluate performance using
the Program Assessment Rating Tool (PART). During PART reviews, OMB evaluates the measurement and
reporting of program results, outcomes, and performance to determine whether a program is achieving its
strategic and annual goals. EPA relies on program evaluations and analyses, including PART, to inform decisions,
design effective strategies, and adjust approaches to improve results. EPA senior managers use the results of
PART during the budget process to identify needs for program improvement, justify resource requests, and guide
decisions.
EPA's Strategic Plan
EPA's 2006-2011 Strategic Plan describes the
programmatic and quantitative measures for
improving water quality nationwide and sets
five long-term goals for the next 5 years. The
focus of the strategic plan is to achieve
measurable environmental results. The plan
includes strategic targets that EPA uses to
track progress quantitatively. The strategic
plan is available online at www.epa.gov/ocfo/
plan/plan.htm The objectives and sub-
objectives associated with Goal 2, Clean and
Safe Water, address issues that apply to state
and tribal water quality programs. Objective
4.3, associated with Goal 4, also contains
elements that apply to water quality
programs.
Tribes and intertribal consortia, as recipients
of EPA grant funds, play an integral part in
achieving EPA's objectives and sub-
objectives and in demonstrating
environmental results. EPA uses the
information that tribes and intertribal
consortia provide as a basis for linking the
Agency's actual expenditures with EPA's
results-based accomplishments or outcomes.
Objectives and Sub-Objectives of EPA's Goal 2
Clean and Safe Water
Objective 2.1: Protect Human Health
Sub-objective 2.1.1: Water Safe to Drink
Sub-objective 2.1.2: Fish and Shellfish Safe to Eat
Sub-objective 2.1.3: Water Safe for Swimming
Objective 2.2: Protect Water Quality
Sub-objective 2.2.1: Improve Water Quality on a
Watershed Basis
Sub-objective 2.2.2: Improve Coastal and Ocean Waters
Objective 2.3: Enhance Research to Support Clean
and Safe Water
Means and Strategies for Achieving Goal 4,
Objective 4.3 - Restore and Protect Critical
Ecosystems
• Increase wetlands
• Facilitate the ecosystem-scale restoration of estuaries
of national significance
• Improve the health of the Great Lakes
• Improve the health of the Chesapeake Bay ecosystem
• Improve the health of the Gulf of Mexico ecosystem
• Restore and protect Long Island Sound
• Restore and protect the South Florida ecosystem
• Restore and protect the Puget Sound Basin
• Restore and protect the Columbia River Basin
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Tribal Program Options and Structure of the
Guidance
This guidance discusses the development and implementation of successful tribal water quality programs using
Section 106 funding. An effective tribal water quality program should include common activities in three areas.
These areas are:
• Program initiation, planning, and administration
• Monitoring, data management, and data assessment and analysis
• Reporting
Program initiation, planning, and administration are discussed in chapter 3. Chapter 4 addresses monitoring, data
management, and data analysis and assessment. Chapter 8 lays out reporting and data requirements associated
with Section 106 tribal grants. The chapter covers basic data requirements for water quality reporting and
expectations and options for developing and submitting reports.
EPA recognizes that tribal programs may have different levels of sophistication and different water quality
protection goals. To address these differences, EPA has suggested three options or approaches to developing
water quality programs that can accommodate different types of tribal goals:
1. A nonregulatory approach, which uses voluntary and collaborative activities such as community education
and outreach to achieve environmental results. This approach can focus on the nonregulatory components
of NPS control, watershed-based plans, water quality protection, and restoration projects.
2. An approach that relies on tribal ordinances, codes, water quality standards, or other standards recognized
by a tribe to protect water quality on Indian reservations.
3. An EPA-approved water quality protection approach designed for tribes that want to pursue eligibility for
the purpose of implementing EPA-approved WQS and Section 401 certification. Tribal WQS approved by
EPA would provide a basis for NPDES permit and enforcement action to protect water quality. Tribes also
may apply to implement the NPDES permit and enforcement program.
All three approaches rely on the development of tribal water quality protection goals specific to tribal water
bodies.
All three approaches will allow tribes to advance the objectives and sub-objectives of EPA's strategic plan and
will lead to improved environmental results; the Agency does not endorse any one approach above the others. The
approaches are not discrete and may overlap as tribal programs develop. Chapter 2 offers more information on
each approach. Chapters 5, 6, and 7 discuss each approach in detail.
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Structure of the Guidance's Chapters
Chapters 3 through 8 are divided into three program activity subsections:
• Fundamental program activities establish the foundation for a successful program. These program
activities will help you identify water quality goals and objectives for your program.
• Intermediate program activities build the tribal water quality program and advance it towards its water
miQlit\r frr\n1c nnrl r^Ki^^tiA/^c
• cy
quality goals and objectives.
• Mature program activities enable tribes to achieve the goals and objectives of their programs as well as
develop new water quality goals and objectives.
Figure 1 shows the structure of the guidance's chapters.
EPA anticipates that tribes will move from fundamental to intermediate and mature program activities over
several years and recognizes that some activities will occur many years in the future. In addition, all activities will
not progress at the same pace, and a tribe may not implement all activities at once, so different program areas
may be at various levels of maturity. Because program capabilities, program priorities, and levels of experience
differ among tribes, EPA does not expect that mature activities will occur at the same rate for all tribes. For
example, a tribe might have a mature monitoring program while only utilizing fundamental and intermediate
nonregulatory watershed-based protection activities. EPA does expect that all tribes will develop more
sophisticated programs over time and will make progress toward mature program activities, but the rate of
progress may vary from tribe to tribe and will be determined through negotiations between tribes and the
appropriate EPA regional office on a case-by-case basis. Funding decisions will also be negotiated between tribes
and the appropriate EPA regional office on a case-by-case basis and may or may not be tied to a program's rate
or level of progress.
Other EPA Activities Related to Tribes
In addition to the specific tribal program activities listed in this guidance, EPA is implementing other national
activities related to environmental issues on Indian reservations. The scope of this document, however, is limited
to issues and activities that are related to Section 106 grants to tribes and the development of tribal water quality
protection programs, although some other EPA funding programs are discussed generally on pages 3-17 and 3-18.
Focusing on this particular set of issues and activities avoids duplication with strategies or plans prepared for other
EPA media programs, or resources and activities administered by the American Indian Environmental Office
(AIEO). Consequently, discussions of several major EPA-wide tribal activities are omitted.
A number of these EPA-wide activities provide additional foundation for building a strong water quality program
and may be appropriate to specific tribal programs. Additional information on these or any other EPA-wide tribal
programs can be obtained from your EPA regional tribal coordinator.
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Figure 1: EPA Clean Water Act Section 106 Tribal Guidance Summar
Chapters: Program
Initiation, Planning,
and Administration
Activities
Chapter 4:
Monitoring, Data
Management, and
Data Assessment
and Analysis
Chapter 5:
Nonregulatory
Approach
Chapters: Tribal
Law Water Quality
Protection
Approach
Chapter?: EPA-
Approved Water
Quality Protection
Approach
F
u
n
d
a
m
e
n
t
a
1
Applying for TAS Eligibility for
the Section 106 Program
Implementing Financial
Management Systems
Applying for Section 106
Grants
Identifying Basic Tribal Water
Resources
Identifying Tribal Needs
Identifying Program
Objectives and Goals
Hiring Staff
Training Staff
Using Contractors as
Appropriate to Your Needs
Developing Program
Milestones
Submitting Work Plans to
EPA
Monitoring
Data Management
Data Assessment and
Analysis
Initiating Mitigation
Measures for Known Water
Quality Problems
Conducting Community
Education on Basic Program
Establishment and Direction
Financial and Performance
Reporting
Conducting Program
Evaluations
Developing a Multi-year Plan
Seeking Other EPA Funding
I Opportunities
Providing Enhanced Training
to Staff
Using Contractors as
Appropriate to Your Needs
Understanding Watershed- Understanding Water Quality
based Planning Standards
Understanding NPS Pollution Understanding What Tribal
Standards Can Do
Understanding Decentralized
Wastewater Treatment Identifying Goals of Tribal
Facilities Standards
Understanding Source Water Working in Partnership with
Protection EPA, Tribes, and States
Choosing and Setting Water
Quality Goals
Determining Areas with Water
Quality Problems
Choosing and Setting
Watershed-based Goals
Developing Projects to Meet
Water Quality Goals
Conducting Public Outreach
and Encouraging Public
Involvement
Monitoring
Data Management
Data Assessment and
Analysis
Reassessing Program
Objectives and Goals
Enhancing and Focusm
Tribal Community Education
Seeking Additional Federa
Funding Opportunities
Using Contractors as
Appropriate to Your Needs
Conducting Comprehensive
Community Outreach and
Public Awareness Programs
Conducting Program
Evaluations
Mentoring Other Tribes and
Local Governments
Partnering with Other
Organizations
Understanding Section 319
Grants
Section 319 Eligibility
Developing a Watershed-
based Plan
Conducting a Source Water
Assessment
Implementing Water Quality
Protection and Restoration
Activities
Implementing Section 106
Grant Activities Related to
Decentralized Systems
Analyzing Water Quality Data
and Defining Performance
Measures
Understanding and Using Evaluating Restoration
EPA's "Elements" Guidance Activities
Developing Draft Standards
Sharing Draft Standards with
EPA, Tribes, and States for
Review, as Appropriate
Conducting Public Outreach
Drafting Tribal Code Based
on Standards
Formally Adopting Standards
through Tribal Council
Implementing Standards
Reviewing Standards
Providing Updated Information
to Your Partners and Developing MOAs with EPA
Community
Refining Your Assessment
Report, Management
Program, Source Water
Assessment, and Watershed-
based Plan
Coordinating and
Cooperating with Other
Programs
Working in Partnership with
Other Tribes and States
Other Voluntary Programs
for Permitting Purposes
Applying for Program
Authorization for
Administering a WQS
Program and a Section 401
Certification Program
EPA Review of Tribal
Application for TAS Eligibility
for WQS Program and
Section 401 Certification
Program
Developing Standards
Submitting Draft WQS for
Formal Public Hearing and
Comment
Formally Adopting WQS
through Tribal Council
Submitting Adopted WQS for
EPA Approval
Understanding EPA's WQS
Review Process
Understanding EPA's
Dispute Resolution
Mechanism
Implementing WQS
Conducting Triennial
Reviews
Implementing Section 401
Certifications
NPDES Program Overview
Sources Regulated under the
NPDES Program
Understanding NPDES
Permits
Reviewing Permits
Considering NPDES
Program Authorization
Developing Capabilities for
Permitting, Compliance, and
Enforcement
Preparing for NPDES
Program Authorization
Obtaining NPDES Program
Authorization
Assuming the Section 404
Program
Working with EPA to
Transition from Federal to
Tribal Implementation
Conducting Public Outreach
Understanding Water Quality
Standards
Understanding Section 401
Certification
Understanding Section 404
Permitting
Using EPA WQS Trainings
and Educational Materials
Reviewing Existing Tribal and
State Water Quality
Standards
Identifying Goals of Tribal
Regulatory Program
Working in Partnership with
EPA, Tribes, and States
Chapters:
Reporting
Your Assessment Report
must include the following
elements:
1. Description of your
monitoring strategy
2. Water quality assessment
3. Electronic data on the
following parameters:
Dissolved oxygen
PH
Water temperature
Turbidity
Your Assessment Report
must include the following
elements:
1. Description of your
monitoring strategy
2. Water quality assessment
3. Electronic data on the
following additional
parameters:
Phosphorus
Total nitrogen
Your Assessment Report
must include the following
elements:
1. Description of your
monitoring strategy
2. Water quality assessment
3. Electronic data on the
following additional
parameters:
• Macro! nvertebrates
• E. co// or enterococci
• Basic habitat information
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Chapter 2: Three Approaches
to Implementing Tribal
Water Quality Programs
This guidance presents three approaches to implementing tribal water quality programs. Recognizing that tribal
water quality programs have different levels of experience and program goals and face different types of
jurisdictional issues, EPA has developed three flexible approaches that can accommodate these differences. The
approaches also enable tribes to collect and provide to EPA water quality data and information that will help EPA
assess improvement in water quality nationwide.
As noted in chapter 1, all three approaches can help tribes successfully manage water resources, and no one
approach is better than the others. A tribe may adopt any of these approaches or a combination of these
approaches. The approaches are designed as sets of activities based on different options for achieving
environmental results. The three approaches are:
• A nonregulatory approach focusing on voluntary programs such as NPS pollution prevention and
watershed-based approaches to water quality management. This approach identifies nonregulatory means
for protecting and improving water quality.
• An approach that uses tribal standards, ordinances, or codes recognized by a tribal government that can be
tribally enforced to protect water quality on Indian reservations.
• An approach that follows the Clean Water Act (CWA) approach to protecting water quality. This
approach includes development of EPA-approved WQS and Section 401 certification authority to protect
water quality on Indian reservations. Tribal WQS approved by EPA can be used by EPA or tribes with
authorized NPDES programs to achieve water quality protection through limits on point source
dischargers.
Not every approach is appropriate for every tribe. If you are just beginning to implement a water quality program,
you should review the information provided below to decide which approach best suits your tribe's needs. If you
are already implementing a water quality program, you should use the guidance to help you identify activities that
could enhance it. You also should assess whether you should modify or adapt your approach based on information
in the guidance. The guidance is meant to help you decide which approach fits best with your tribe's water quality
needs. All tribal programs should use the guidance to evaluate program objectives, future program direction, and
all applicable requirements.
Program Links
Review chapters in this guidance that apply to the approach you choose to implement, remembering that the
most successful programs will incorporate activities across program areas. To help you identify links across
different program areas, in many sections you will find links directing you to related sections of the
guidance. Refer to these related sections for information from other program areas that may apply to your
program.
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EPA recognizes that there are overlaps among these approaches. The most successful tribal programs will
incorporate elements from all approaches to meet their water quality objectives. For example, tribes with
EPA-approved WQS may also incorporate voluntary approaches into their programs; if appropriate, tribes
following the nonregulatory approach can provide information about tribal water quality to EPA and/or a
neighboring state for their use in developing point source limitations.
Nonregulatory Approach
This approach is appropriate for tribes that can most successfully achieve their environmental goals through
nonregulatory activities. This approach does not require the development of WQS. It provides a framework for
achieving results through voluntary and collaborative activities, with a strong emphasis on NPS control, non-
structural management measures, source water protection, and watershed-based planning. The programs
supported under this approach will provide the data, tools, and management infrastructure necessary to make
informed decisions about the best ways of improving tribal water quality.
If tribes using only this approach identify point source problems, they will not have the regulatory authority in
place to require an entity to meet an EPA-approved WQS. If enforcement became necessary (e.g., against a
point source discharger operating without a permit), the tribe would have to rely on enforcement by the federal
government. For this reason, the approach is most appropriate for tribes that are not interested in directly pursuing
enforcement activities or do not view enforcement as their best means of controlling water pollution.
Allowable NPS Control Activities
NPS management measures requiring construction are implemented under Section 319 of the CWA and are
thus ineligible for Section 106 funding. Section 106 funding can be used to develop NPS assessment reports
and management programs, which are required elements when applying for Section 319 program
authorization. Section 106 grants can also be used to develop watershed-based plans, but cannot be used to
implement watershed-based plans. See chapter 5 for more information on NPS activities eligible for Section
106 funding.
Tribal Law Water Quality Protection Approach
This approach for environmental decision making is based on atribally defined environmental regulatory program.
It is intended for tribes that are not interested in pursuing federally approved WQS authority but that would
nonetheless like to protect water quality. This approach gives tribes the option of pursuing standards and goals that
can be adopted under tribal law. The standards could help the tribe identify impaired water bodies, propose
solutions, and develop water quality reports that meet EPA's reporting requirements. (More information on
reporting requirements is included in chapter 8.)
This approach gives tribes a mechanism for setting standards under tribal law without obtaining EPA approval for
establishing WQS under the CWA. It allows tribes to define their own regulatory priorities. EPA may look to tribal
standards for guidance for CWA permitting purposes based on the circumstances. Tribes may also use tribal
standards as a guideline when reviewing and providing comments to EPA on proposed permits.
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EPA will retain the responsibility for issuing federal permits and establishing federally enforceable permit limits.
This approach is most appropriate for tribes that are not interested in establishing federally approved and
enforceable WQS as their best means of controlling water pollution.
EPA-Approved Water Quality Protection Approach
This approach to water quality management uses a regulatory framework based on the CWA structure to control
water quality. This is an approach that some tribes have followed already to develop their tribal water quality
programs. Tribes that use this approach develop and establish EPA-approved WQS, which serve the dual
purposes of establishing the water quality goals for a specific water body and serving as the basis for
establishment of water quality-based controls. This path requires tribes to obtain a TAS eligibility determination
from EPA and to obtain approval from EPA of the water quality standards that have been adopted by the tribe.
Tribes that want to implement the NPDES program will also need to obtain separate authorization for the NPDES
program. This approach could lead to the development of tribal WQS programs with authority and functions
similar to state programs. EPA would continue to have responsibility for administering other provisions of the
CWA. If a tribe elects not to pursue authorization for the NPDES program, EPA would continue to administer the
NPDES program on reservation waters.
This approach is most appropriate for tribes with mature water quality programs. Tribes that pursue this path to its
completion will be able to have their EPA-approved standards incorporated into enforceable CWA NPDES
permits to regulate point source dischargers. This will ensure that tribal waters are protected pursuant to the
tribe's EPA-approved WQS. Obtaining WQS eligibility is the first step in this approach. Atribe must be
determined eligible before EPA can approve its water quality standards. The tribe's EPA-approved standards may
allow the tribe to more effectively protect cultural or traditional uses of water bodies.
Other Approaches to Water Quality Protection
This guidance establishes minimum reporting requirements. EPA regional offices have the flexibility to work
with tribes to ensure that their water quality programs meet both tribal and EPA needs. Many tribes are
already implementing well-established water quality programs that are tailored to their individual
circumstances. EPA recognizes the diversity of tribal water quality programs and has attempted to
accommodate this diversity in this guidance.
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Chapter 3: Program
Initiation, Planning, and
Administration Activities
Introduction
This chapter discusses the administrative activities associated with implementing a tribal water quality program.
Regardless of which approach to water quality program development you choose to pursue, your program should
include these activities. In this chapter, you will find specific regulatory requirements associated with certain
activities, such as required information that you must include in grant applications. It also discusses general
concepts to consider for activities that you can implement in a number of ways, such as developing a community
outreach plan.
The frequency with which you carry out each activity varies. In some cases (e.g., identifying your tribe's basic
water resources), an activity will be conducted only once. In other cases (e.g., conducting a program evaluation),
an activity will be conducted periodically.
Tule River. Photo Courtesy of Tule River Indian Tribe.
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in 3
Fundamental Program Activities
1. Applying for TAS Eligibility for the Section 106 Program
2. Implementing Financial Management Systems
3. Applying for Section 106 Grants Understanding Grant Application Package Requirements
Understanding 40 CFR Part 35 Work Plan Requirements
Establishing Output- and Outcome-based Activities: Environmental Results
4. Identifying Basic Tribal Water Resources
5. Identifying Tribal Needs Identifying Water Quality Needs
Identifying Resource Needs
6. Identifying Program Objectives and Goals
7. Hiring Staff. Identifying Skills Needed to Develop a Water Quality Progam
Identifying Available Resources
8. Training Staff
9. Using Contractors as Appropriate to Your Needs
10. Developing Program Milestones
11. Submitting Work Plans to EPA
12. Conducting Community Education on Basic Program Establishment and Direction
13. Financial and Performance Reporting
14. Conducting Program Evaluations Conducting a Joint Evaluation
Conducting a Self-evaluation
15. Developing a Multi-year Plan
Intermediate Program Activities
Tribes should begin these activities after having completed the relevant fundamental program activities.
1. Seeking Other EPA Funding Opportunities
2. Providing Enhanced Training to Staff
3. Using Contractors as Appropriate to Your Needs
4. Reassessing Program Objectives and Goals
5. Enhancing and Focusing Tribal Community Education
6. Conducting Program Evaluations
Mature Program Activities
Tribes should begin these activities after having completed the relevant fundamental and intermediate program activities.
1. Seeking Additional Federal Funding Opportunities
2. Using Contractors as Appropriate to Your Needs
3. Conducting Comprehensive Community Outreach and Public Awareness Programs
4. Conducting Program Evaluations
5. Mentoring Other Tribes and Local Governments
6. Partnering with Other Organizations
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I. Fundamental Program Activities
1. Applying for TAS Eligibility for the Section 106 Program
The general requirements for TAS are set forth in CWA Section 518 and for the 106 program in particular at 40
CFR 130.6(d) and 40 CFR 35.583. Some of the CWA Section 518 statutory requirements are summarized below,
but the tribe should refer to the statute and regulations for a complete statement of the TAS requirements.
1. The tribe must be recognized by the Secretary of the Interior and exercise governmental authority over a
federal Indian reservation;
2. The tribe must have a governing body carrying out substantial governmental duties and powers;
3. The functions to be exercised by the tribe must pertain to the management and protection of water
resources that are held by an Indian tribe, held by the United States in trust for Indians, held by a member
of an Indian tribe if such property interest is subject to a trust restriction on alienation, or otherwise within
the borders of an Indian reservation; and,
4. The tribe is reasonably expected to be capable, in EPA's judgment, of carrying out the functions to be
exercised in a manner consistent with the terms and purposes of the CWA and all applicable regulations.
Clean Water Act Citations
Throughout this guidance, you will see CWA citations. You can view full CWA text online at http://
www.epa.gov/region5/water/cwa.htm.
As authorized under 40 CFR 35.583, intertribal consortia are eligible to receive grants under Section 106 if they
can show that each of the member tribes authorizing the consortium to act on its behalf is federally recognized
and has met the requirements for Section 106 TAS eligibility. A consortium must have adequate documentation of
the existence of the partnership and the authorization to apply for and receive assistance. Tribes may receive
grants both as a tribe and as a part of an intertribal consortium as long as the grants do not fund the same
projects.
You must submit a TAS eligibility application to your EPA region, and the region must approve it in order for your
tribe to become eligible to receive Section 106 grants. Therefore, you cannot fund your Section 106 TAS eligibility
application with Section 106 funds. Tribes have used General Assistance Program (GAP) grants to fund their
application process. See section II. 1 of this chapter for more information on GAP grants. Your TAS eligibility
application can be included with an application for a Section 106 grant. Check your region's annual Section 106
funding opportunity announcement for more information on submission of TAS eligibility applications.
Code of Federal Regulations Citations
Throughout this guidance, you will see Code of Federal Regulations (CFR) citations. You can view full CFR
text at the Government Printing Office's Electronic CFR (eCFR) Web site, http://www.gpoaccess.gov/ecfr/.
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The TAS eligibility process ensures that tribes have the legal, technical, and managerial resources to successfully
use a water quality grant. Contact your EPA regional office to begin the application process. Updated contact
information is available online at http://www.epa.gov/owm/mab/indian/106coord.htm.
Over 200 tribes in the country already have received eligibility for Section 106 grants. The experiences of these
tribes may be valuable to tribes that are considering applying for Section 106 eligibility. Your EPA regional office
may be able to provide you with contact information for other tribal water quality programs in your region if you
need it.
Obtaining Hard Copies of Electronic Resources
Throughout this guidance you will find links to online technical documents, policies, and other guidances. If you
wish to obtain a hard copy of any of these documents, you should contact your EPA regional office or the
EPA Water Resource Center using the contact information provided below:
United States EPA
Water Resource Center (PC-4100) Phone: (202)566-1729
1200 Pennsylvania Ave., NW Fax: (202)566-1736
Washington, D.C. 20460
2. Implementing Financial Management Systems
You must be able to adequately track your grant expenditures and establish effective accounting procedures to
comply with grant requirements. OMB requires that all grantees report their financial status to the agency that
issued their grant. At all times, you should ensure that you keep adequate books and records, use appropriate
budgeting, accounting, and financial planning methods, and manage financial resources effectively, in accordance
with OMB Circular A-87, available online at http://www.whitehouse.gov/omb/circulars/aO87/aO87-all.html.
The Governmental Accounting Standards Board (GASB) establishes standards of financial accounting and
reporting for governmental entities. You may want to review information available on its Web site (http://
www.gasb.org/) and use this information to evaluate your financial management systems.
OMB has issued a number of publications related to financial management systems and requirements for grant
recipients. Visit http://www.whitehouse.gov/omb/financial/fin_grants_expanded.html#admin for more information
on financial management systems.
Office of Grants and Debarment
EPA's Office of Grants and Debarment Web site (http://www.epa.gov/ogd/index.htm') contains tutorials,
forms, policies and regulations, and other resources that may help you navigate the grant application
process. Visit the Web site for more information.
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3. Applying for Section 106 Grants
a. Understanding Grant Application Package Requirements
You may submit applications to receive Section 106 grant awards if your tribe has been found eligible for TAS for
Section 106 grants. You may also submit your TAS eligibility application in conjunction with your application to
receive a Section 106 grant award or in accordance with your region's annual tribal Section 106 funding
opportunity announcement. In accordance with OMB Circular A-87, your grant application must:
• Include EPA grant application form SF 424, Revision 9, and all required forms and certifications,
which can be obtained from your EPA regional office or from the following EPA Web site: http://
www.epa.gov/ogd/AppKit/index.htm.
• Include a proposed work plan. More information on developing a work plan is provided in section I.S.b
of this chapter; you should also refer to your region's annual tribal Section 106 funding opportunity
announcement.
• Specify the amount of funds requested. EPA may provide up to 95 percent of your eligible costs for a
Section 106 grant award. Your tribe must provide 5 percent of the work plan costs. Work plan costs
include costs of planning, developing, establishing, improving, or maintaining a water pollution control
program. The match requirement also may be met by tribal in-kind contributions (e.g., volunteer services,
property, supplies, equipment). See the Interim Guidance for Cost Sharing/Match Requirement on the
Award of Grants to Indian Tribes, January 30, 1998 (available online at http://www.epa.gov/owm/rmes/
tribalcwas 106_app-d.pdf) for more information. Your Regional Administrator (RA) may increase the
maximum federal share if you can show that fulfilling the match requirement through either matching
funds or in-kind contributions would impose undue hardship (40 CFR 35.585). Your tribe can also
contribute more than the 5 percent match if funds are available. A tribe would have to contribute more if
there were no more federal funds available to carry out the grant.
• Demonstrate that the tribe meets the requirements of CWA Section 106(e) for water quality
monitoring and emergency authority. This emergency authority, described in CWA Section 504, is to
respond to a discharge of pollutants that is presenting an imminent and substantial endangerment to the
health or livelihood of any person by bringing suit in a court to immediately enjoin the discharge or to "take
such other action as may be necessary."
• Meet the requirements of 40 CFR Part 31, Subpart B. These requirements may include special
conditions that may apply to specific situations (e.g., grants to "high-risk" grantees). Ask your EPA
regional office for more information.
• Meet the requirements of 40 CFR Part 35. These requirements specify what you need to include in
your work plan and are discussed in section I.3.b of this chapter.
You must submit a complete application to your EPA regional office in accordance with your EPA region's annual
tribal Section 106 funding opportunity announcement. You may negotiate the length of the budget period. If you
have questions regarding the grant application process, you should consult your regional grant project officer.
Additionally, consult your EPA regional office on due dates for work plans and proposals, as these dates vary
from region to region.
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b, 40 CFR 35 Work
The work plan is the basis for managing, planning, and evaluating performance under the Section 106 grant
agreement. Work plans are the result of negotiations with your EPA regional office and reflect consideration of
national, regional, and tribal environmental and programmatic needs and priorities. You should make sure that your
work plan is consistent with the goals and objectives, priorities, and performance measures in EPA's strategic plan
(see chapter 1 for more information on EPA's strategic plan) and the activities included are eligible under Section
106 (see figure 2 for more information on eligible activities). Close interaction with your grant project officer
throughout the work plan development process can help you develop an effective work plan. In regions where the
Section 106 grant process is competitive, however, grant project officers will be limited in their ability to provide
assistance. When assistance agreements are awarded competitively, EPA policy requires that the competitive
process be fair and impartial, that all applicants be evaluated only on the criteria stated in the announcement, and
that no applicant receive an unfair competitive advantage. You can find information on EPA's competitive process,
including EPA Order 5700.5A1, "Policy for Competition of Assistance Agreements," on EPA's Office of Grants
and Debarment Web site, http://www.epa.gov/ogd/.
Your work plan must comply with applicable federal statutes, regulations, circulars, executive orders, and
delegation or authorization agreements, and at a minimum must specify:
• The work plan components to be funded under the grant
• The estimated work years and estimated funding amount for each work plan component
• The work plan commitments for each work plan component and a time frame for their accomplishment
• A performance evaluation process and reporting schedule
• The roles and responsibilities of the recipient and EPA in carrying out the work plan commitments
• Environmental outcomes, the results, effects, or consequences that will occur from carrying out the
environmental program or activity that is related to a work plan's environmental or programmatic goal or
objective
• Environmental outputs, environmental activities or efforts, and associated work products related to an
environmental goal or objective that will be produced or provided
• A budget (see section I.S.b of this chapter for more information on budgets)
3-g Lake Havasu. Photo courtesy of Chemehuevi Indian Tribe.
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Section 106 grants are intended to support the prevention and reduction of surface and ground water pollution
from point and nonpoint sources. As noted in the introduction, you may use Section 106 grants to fund a wide
range of water pollution control activities, including:
• Water quality planning, assessments, and studies
• Ambient monitoring
• Community outreach and education activities
• Source water, surface water, ground water, and wetland protection activities
• Development and update of NFS control planning activities (including NFS assessments and management
plans)
• Development of WQS
• Development of total maximum daily loads (TMDLs)
Funds cannot be used for construction, operation, or maintenance of wastewater treatment plants or drinking
water systems, nor can they be used for costs that are already financed by other federal grants. Tribes receiving
GAP grants may not duplicate their capacity building efforts with Section 106 grants. Your region's annual tribal
Section 106 funding opportunity announcement may include other requirements for the use of Section 106 funds.
Review your regional announcement for more information.
Figure 2 lists examples of eligible and ineligible Section 106 activities.
Sections 1.4 through 1.11 of this chapter will help you develop work plan components, commitments, and goals
based on your tribe's water resources, needs, and program goals and objectives.
c. Establishing Output- and Outcome-based Activities: Environmental Results
EPA Order Number 5700.7 (Environmental Results under EPA Assistance Agreements) went into effect in
January 2005. The order requires EPA to link all grant activities to its strategic plan and to consider how the
environmental results of completed activities will further EPA's goals and objectives when making decisions on
grant applications. EPA also must ensure that grant activities address outputs and outcomes. Your grant
application should contain a description of the link between activities you propose and EPA's strategic plan and a
discussion of any expected outputs or outcomes. You can view the order and guidance on complying with the
order at http://www.epa.gov/ogd/grants/award/5 700.7 .pdf.
For the purposes of EPA work plans, outputs reflect the products or services a program will provide. They do
not by themselves measure or quantify the environmental results of a work plan. Examples of outputs include
training, the number of permits issued, and the number of samples collected.
Environmental outcomes are actual changes or benefits resulting from the activities or outputs of the program
and must be quantifiable. Examples of outcomes are measurable improvements in water quality and increases in
the number of facilities that meet effluent limits.
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Figure 2: Allowable and Ineligible Section 106 Activities
Classification
Allowable
Activities
Ineligible
Activities
Category
Program
Management
Monitoring
Standards-
based
Activities
No n point
Sources
(NPS)
Community
Related
Activities
Activity
Capacity building
Compliance and enforcement
Finance, budgeting, and record-keeping
Networking and cross-boundary coordination
Non-structural source water, surface water, ground water, and wetland
protection
Personnel costs, including contractor costs
Planning, developing, improving, or maintaining a water pollution control
program
Program initiation and administration
Training
Water quality planning, assessments, and studies
Quality Assurance Project Plan (QAPP) development
Data analysis and assessment
Data management
Experiments
Investigations, surveys, and special studies
Data collection and related quality assurance
Laboratory costs
Research and development
Source water, surface water, ground water, and wetlands monitoring activities
Developing water quality standards (WQS)
Permit issuance, including National Pollutant Discharge Elimination System
(NPDES) permits to control point sources
Violation enforcement activities aimed at correcting violations, deterring future
violations, and promoting equal treatment of the regulated community
Developing a 401 Certification Program
Developing total maximum daily loads (TMDLs)
Attending NPS meetings and trainings
Developing non-structural controls to reduce NPS pollution
Forming partnerships to address NPS issues
NPS inventories, assessments, and management plans
Watershed-based planning
Community/tribal outreach, education, and public awareness
Involving the public in program development
Establishing voluntary programs
Construction, operation, or maintenance of wastewater treatment plants or
drinking water systems
Costs that are already financed by other grants (e.g., Section 31 9 grants)
NPS management measures requiring construction (i.e., "on the ground"
management measures)
Public Water System Supervision (PWSS) compliance monitoring
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Although your program should strive to produce outcomes, in some cases outputs will be the most appropriate
goals for your work plan, especially early in your program's development. Outcomes may take many years to
achieve or occur after a grant period ends. In addition, even if a desired environmental outcome occurs, it may be
difficult to link the outcome to the activities you performed.
Examples of Outputs and Outcomes for Environmental Activities
Monitoring
• Outputs: Number of samples collected
• Outcomes: Improved understanding of water body condition
Research and development, studies, surveys, investigations, and experiments
• Outputs: Number of experiments or samples, number of reports or publications
• Outcomes: Advancement in knowledge on the effects of pollution as reflected in a peer-reviewed
scientific journal article
Training and outreach
• Outputs: Number of training sessions, number of persons trained
• Outcomes: Increase in knowledge as demonstrated by pre- and post-training surveys
Compliance and enforcement
• Outputs: Number of inspections or enforcement actions
• Outcomes: Increase in number of facilities that reduce emissions or other pollutants, quantity of
emissions or pollutants reduced
4. Identifying Basic Tribal Water Resources
The first step in creating a water quality program is assessing the water resources located on your reservation or
that pertain to reservation water resources. The most effective water quality programs will incorporate all types
of water bodies located on your tribe's reservation. Although initially your program might not be able to address
every type of water body, you should make sure that you are aware of all of your tribe's water resources when
assessing your needs. Types of water resources include:
• Streams and Rivers: A stream is a natural body of flowing water; a river is a large stream.
• Oceans, Coasts, and Coastal Waters: Coastal waters include shore miles, near coastal waters, and
estuaries.
• Lakes: Lakes are inland bodies of salt water or fresh water.
• Wetlands: Wetlands include swamps, marshes, bogs, and similar areas. Wetlands serve many important
functions including flood mitigation, water storage, habitat, and natural water filtration.
• Ground Water: Ground water occurs as part of the hydrologic cycle. As rain and snow fall to the earth,
some water soaks into the ground and flows downward. Ground water refers to water in the "saturated
zone" — the area in which the spaces between rocks, gravel, sand, or soil are filled with water. Areas
where ground water exists in sufficient quantities to supply wells or springs are called aquifers.
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Incorporating Section 106 Funds into Performance Partnership Grants
Section 106 grants are eligible for inclusion in Performance Partnership Grants (PPGs). PPGs combine funds
from two or more environmental program grants into a single grant with a single budget. PPGs enable you to
better direct funding toward the most critical environmental problems while continuing to address core program
requirements; better address cross-program strategies such as community-based environmental protection,
pollution prevention, and environmental justice; and reduce administrative burdens and costs by reducing the
numbers of grant applications, budgets, work plans, and reports. If you are interested in pursuing PPGs, you
should work in partnership with your EPA regional office to develop a PPG that meets EPA statutory and
program requirements. An application for a PPG must contain:
• A list of the environmental programs and the amount of funds from each program to be combined in the
PPG
• A consolidated budget
• A consolidated work plan that addresses each program being combined in the grant and that meets the
Section 106 work plan requirements
You can find more information on PPGs at http://www.epa.gov/water/PPG/ppgguide.html. PPG requirements
are also listed in 40 CFR 35.530 et. seq.
Your tribe may already be familiar with all the water resources located on your land. If you do not know all of
your water resources, the following organizations may be able to help you identify them:
• Your EPA regional office, http://www.epa.gov/ow/region.html.
• EPA's Watershed Assessment, Tracking, and Environmental Results (WATERS) Reach files, a series of
national hydrologic databases that identify and interconnect the stream segments or "reaches" that
compose the country's surface water drainage system. WATERS Reach data and tools are available
online at http://www.epa.gov/waters/doc/rfindex.html.
• The United States Geological Survey (USGS), http://www.usgs.gov/. in particular the National
Hydrography Dataset (NHD), available online at http://nhd.usgs.gov/. NHD is a comprehensive set of
digital spatial data that contains information about surface water features such as lakes, ponds, streams,
rivers, springs, and wells.
• The United States Department of Agriculture's (USDA's) Natural Resources Conservation Service
(NRCS), http://www.nrcs.usda.gov/.
• Regulatory agencies for neighboring states or tribes (e.g., departments of health, environment, parks and
recreation, natural resources, forestry, fish and wildlife).
• Local colleges or universities.
• Perhaps most important, members of your tribe.
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5. Identifying Tribal Needs
a. Identifying Water Quality Needs
Identifying your tribe's environmental and water quality protection needs is the most essential part of developing a
water quality program. A tribe's environmental and water quality protection needs will define the approach you
take to building your program, its direction, and the projects you choose to implement. Your needs can be related
to any type of water pollution control activity eligible for funding with Section 106 grants. (See section 1.3.b of this
chapter for more information on eligible activities.) You might need to assess the environmental condition of your
water bodies (e.g., develop a baseline assessment of the quality of your rivers). If you have access to
assessments conducted by other parties (e.g., state environmental offices), review the assessment in the context
of your tribal goals to determine whether it sufficiently captures the quality and condition of your water bodies or
whether you should conduct a new or supplementary assessment. Your needs might be related to a known or
potential environmental problem orthreatto public health, the environment, or your tribe's quality of life (e.g., a
polluted river). If your tribe relies on septic systems, you might consider identifying system malfunctions and
health and water risks and setting up a management program to reduce the threats to water quality a major need.
After you have identified your environmental and water quality needs, you should rank them to identify the most
critical ones. There is no one correct way to prioritize your needs, but some factors that you might want to take
into consideration are:
• What needs are most important to your tribe
• How the needs relate to one another (i.e., will your tribe have to address one need before it can address
another need?)
• Whether the needs pose a threat to public health, safety, or the environment
• The expected benefits of addressing the need
• How much it will cost to address the need
Prioritizing your needs will help you decide which activities require urgent attention and which cannot or do not
need to be addressed immediately. They will also shape your program goals.
b. Identifying Resource Needs
In accordance with 40 CFR 35.507(b)(2)(ii), your work plan must include a budget, or the cost associated with
completing the activities in the work plan. After you have identified your water quality needs, think about the
financial resources you will require to address those needs. Financial needs include personnel costs, consultant
costs, travel, equipment, supplies and materials, laboratory services, and overhead costs (e.g., office space,
supplies, computer equipment). Although your application budget can include those costs that may not be funded
by EPA, the approved budget and work plan in a grant must reflect only the federal and tribal dollars which are
included within the scope of the grant and are carried out with grant funding. Your EPA regional office may be
able to help you develop a budget.
Remember that your tribe must provide 5 percent of the work plan costs. Your Regional Administrator may
increase the maximum federal share if you can show that fulfilling the match requirement through either matching
funds or in-kind contributions would impose undue hardship.
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6. Identifying Program Objectives and Goals
Goals are the desired outcomes for your program, based on the water quality needs you identified in section 1.5.a.
For example, if you identified the lack of a baseline assessment of the quality of tribal waters as a significant
need, one of your program goals should be to develop a baseline assessment.
Your objectives are the activities you take to achieve your goals. For example, if your goal is to develop a
baseline assessment of water quality condition of your water bodies, you should include monitoring water bodies
on your reservation as an objective.
The objectives and goals you identify in this section will shape the rest of your program. You should structure your
work plan activities so that you will meet your goals and objectives. Your goals and objectives will also determine
which approach to water quality program development you select.
In cases where your waters are unimpaired, the maintenance and documentation of continued water quality
should be considered to be a worthy goal. Other goals and objectives, such as the completion of a baseline
monitoring assessment, may be necessary to support this goal.
Figure 3 illustrates the relationship among needs, goals, and objectives.
Need
The needs you identify
will determine your goal
or goals
Your objectives specify
what you must do to
reach your goal
Example:
Greater understanding of
water quality on tribal
lands
Goal
Example:
Develop a baseline
assessment of tribal water
quality
Objective
Example:
Monitor water bodies
throughout the reservation
Compile and analyze
monitoring results
Achieving your goals will
help you achieve your
need
Completing your
objective will allow you to
reach your goals
Figure 3: Needs, Goals, and Objectives
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Indirect Costs
Indirect costs are expenses that do not result from the cost of direct labor. Such costs include Overhead,
costs ancillary to direct labor, General and Administrative (G&A), which are the costs of running an
organization as a whole, and Materials Handling, the costs of administering contractors and consultants.
Some tribes have a standard rate that they use to calculate indirect costs for their budgets. Contact your tribal
officers or EPA regional office for more information.
7. Hiring Staff
a. Identifying Skills Needed to Develop a Water Quality Program
You will need personnel with specific skills to help you implement your water quality program. Depending on your
program's size and goals, you may need the skills of environmental specialists, water quality specialists, biologists,
lab technicians, engineers, and administrative assistants, among others. When developing your work plan, you
should consider what kinds of personnel you will need to achieve your water quality program goals. See section
1.6 of this chapter for more information on developing water quality program goals.
For more information on identifying key program personnel, see page 48 of Listening to Watersheds: A
Community-based Approach to Watershed Protection (Angie Reed and Geoff Dates; River Network National
Office; Portland, OR; 2003). This guidebook was written specifically for tribes. It is available online at http://
www.rivernetwork.org/ltw/.
b. Identifying Available Resources
Consider any resources that are available to your program. Can staff from neighboring tribal programs provide
you with technical assistance? Some tribes that have advanced water quality programs have mentored tribes with
less advanced programs to help develop their programs. Can volunteers help carry out any of the activities in your
work plan? Several tribal programs have used volunteers from the community, local high schools, tribally
sponsored internship programs, community colleges, or university programs. Some tribes use seasonal or part-time
hires to help collect samples during busy summer months. You may be able to incorporate volunteer recruitment
into your community outreach efforts and count activities carried out by volunteers towards your 5 percent match
requirements according to the provisions in 40 CFR 31.24(c). See section II.5 of this chapter for more information
on recruiting volunteers.
8. Training Staff
Regardless of the expertise of your program's staff members, you will probably need to provide some training for
them. Training topics will vary depending on your program needs and staff qualifications but could include sample
collection, quality assurance (QA) procedures for samples, computers, and data management. Identify elements
on which your staff will need training to achieve your program goals. If anticipated training is included in your
work plan and is related to CWA Section 106 issues, it is an allowable expense. Check with your grant project
officer to ensure that the training cost is allowable.
Tribes, states, EPA Headquarters, EPA regions, technical assistance providers, colleges and universities, and
stakeholder groups are some of the organizations that offer training, workshops, and symposia to help you and
your staff acquire necessary knowledge. EPA's Office of Wastewater Management (OWM) maintains a list of
some training opportunities online at http://www.epa.gov/owm/mab/indian/training.htm. The American Indian
Environmental Office (AIEO) lists a number of educational opportunities at http://www.epa.gov/indian/
training.htm. EPA's Office of Wetlands, Oceans, and Watersheds (OWOW) also offers distance learning courses
on its Web site (http://epa.gov/watertrain/). EPA's Office of Science and Technology offers training on the Water
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Quality Standards Program at http://www.epa.gov/waterscience/standards. Contact neighboring tribes and states
as well as your EPA regional office to see if they offer training that might be of use to your tribe.
Keep future availability of training in mind when deciding whether to attend training; if you have access to a
unique training opportunity that does not meet immediate program needs but might benefit future activities, you
may want to consider attending.
9. Using Contractors as Appropriate to Your Needs
Tribes can use their Section 106 funds to support water program activities through contractor support. Contractors
can supplement the technical capacity of your program if your in-house staff lacks technical expertise in some
areas and even help you to develop your program and perform some basic program functions, such as sample
collection. You may find contractor support for complex activities, such as sample analysis, information technology
(IT) support, training, and legal analysis, among others, especially helpful in the early stages of program
development. Procurement for contractor services must be consistent with 40 CFR 31.36.
10. Developing Program Milestones
It may take several years to achieve your program goals and objectives. Milestones, or significant
accomplishments towards achieving your goals and objectives, will enable you to track progress. For example,
completing a baseline assessment for a specified percentage of the water bodies on your reservation could be a
milestone in completing a baseline assessment for all water bodies on your reservation.
Your work plan should include milestones, especially if you anticipate that you will need more than one grant cycle
to achieve your goals and objectives. Milestones will help you and EPA track performance even if you do not
achieve your long-term goals and objectives in one grant cycle.
11. Submitting Work Plans to EPA
After you have considered the information in sections 1.3-1.10 of this chapter, you should draft a work plan and
submit it to your EPA regional office for approval. In all cases, the work plan will reflect the result of negotiations
between the tribe and its grant project officer. In non-competitive situations, the best proposals are developed
through close interaction with your grant project officer throughout the work plan development process.
Remember that in cases where Section 106 grants are awarded through a competitive process, grant project
officers may be limited in their ability to assist you in work plan development. See section I.3.b of this chapter for
more information.
When evaluating your work plan, your grant project officer will consider how your work plan fits in with EPA's
strategic plan, including this national guidance, and any additional regional goals and programs. If applicable, your
grant project officer will also consider previous work plans and other jointly identified needs and priorities. If your
proposed work plan goals differ significantly from these, your grant project officer may ask for a modified work
plan.
12. Conducting Community Education on Basic Program Establishment and
Direction
For many tribes, water resources are a vital part of tribal culture. Tribal communities have sustained watersheds
and waterways for centuries. The knowledge your tribe has accumulated through its history of environmental
stewardship is an invaluable resource to your water quality program. A successful tribal water quality program
depends on community involvement and participation. In addition, informed members of the community are more
likely to support your program's efforts to protect the environment. As mentioned in section I.7.b of this chapter,
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England Laboratory Ecology Monitoring Team
It may be infeasible or impracticable to develop some expertise in-house. In these cases, EPA may be able
to provide technical assistance to fill these needs through in-kind assistance. The EPA New England
Regional Laboratory Ecology Monitoring Team, for instance, provides a wide array of services to states and
tribes in Region 1. Specific capabilities include:
Field Studies
• Baseline or Ambient Water Quality Monitoring (e.g., nutrient-flux studies used to develop TMDLs)
• Biomonitoring (i.e., biological assessment of macroinvertebrate and fish communities)
• Time-of-travel and Dispersion Studies
• Global Positioning System
• Sediment Sampling
• Ecological Risk Assessment
• Wetland Assessments (e.g., delineation, botanical studies)
• NPS Monitoring
• Point Source Monitoring
• Emergency Response (e.g., accidental release assessments)
Biology Laboratory
• Toxicity Testing
• Microbiology
• Polymerase Chain Reaction (PCR)
• Other Capabilities (e.g., algae identification, statistical analysis, research grant application
development)
Contacts
Connecticut: Maureen Hilton (617) 918-8608
Maine: Tim Bridges (617)918-8603
Massachusetts: Tom Faber (617)918-8672
New Hampshire: Jack Paar (617)918-8604
Rhode Island: Maureen Hilton (617)918-8608
Vermont: Tom Faber (617)918-8672
Tribes: Tim Bridges (617)918-8603
volunteers from the community might be able to help you implement the program, allowing you to devote funding
to other areas. Community members might have ideas that help you define your program's needs and priorities.
And if you need financial assistance from your community, a more informed population is more likely to help.
In the early stages of your program's development, you probably will not have a great deal of information to pass
along to your community, but it is still a good idea to let your community know that you have started to develop a
water quality program. You can tell the community members about the needs, goals, and objectives you have
identified and explain how you will address them. Let them know that as the program develops, you will provide
information on its progress.
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13. Financial and Performance Reporting
In addition to any work plan requirements, there are financial and performance reporting requirements associated
with Section 106 grants. Your region may require additional elements, but at a minimum, all progress reports must
contain the required elements listed in 40 CFR 31.40(b):
• A comparison of actual accomplishments to the objectives established for the period
• An explanation of why you failed to meet any objectives (if applicable)
• Any additional pertinent information, such as analyses or explanations of cost overruns
In addition, your report must discuss how activities performed under the Section 106 work plan addressed water
quality problems on your reservation. Regional grant offices may choose not to grant a new proposal until the old
grant is properly closed out and you have met all reporting requirements. Your region may grant you an extension
if you need one.
Your region may have additional reporting requirements, and your work plan may establish additional
commitments and deliverables based on negotiations with your EPA region. Check with your EPA regional office
for more information on reporting requirements and schedules in your region.
Note that in addition to performance reporting requirements, you must submit an Assessment Report to EPA. The
Assessment Report must include certain data collected using Section 106 funding. This reporting is discussed
more extensively in chapter 8.
14. Conducting Program Evaluations
a. Conducting a Joint Evaluation
As required by 40 CFR 35.515, you and your EPA regional office must develop a joint process for evaluating
work plan progress and accomplishments. During the evaluation process, you must discuss:
• Accomplishments against work plan commitments
• Cumulative effectiveness of the work performed under each of the work plan components
• Existing and potential problem areas
• Suggestions for improvement, including, where feasible, schedules for making improvements
• Water quality problems specific to your tribe
Your regional grant project officer will compile an end-of-year evaluation report and provide it to you.
b. Conducting a Self-evaluation
In addition to the joint evaluation you conduct with EPA, you should consider taking stock of your program
through a program-wide self-evaluation not limited to your current work plan. A program-wide evaluation can help
you make sure that besides meeting all regulatory requirements, you are making the best decisions for your
program and its priorities. Some of the questions you may want to ask during your self-evaluation are:
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• How do you establish program goals and objectives? Is this process efficient? How should you establish
goals in the future?
• Are you making progress toward achieving your program's goals? Are you on schedule to meet your
program goals? Why or why not?
• Do you have enough resources (e.g., money, equipment, facilities, training) to achieve the goals?
• How efficiently are you achieving your goals? Can you think of ways to complete tasks more efficiently?
During your self-evaluation, you can request feedback from other members of your tribe, the tribal government,
your regional EPA coordinator, and other appropriate individuals who have worked with your program.
15. Developing a Multi-year Plan
After you have completed a program evaluation, the last fundamental activity that you should consider
accomplishing before moving forward with your program is to develop a multi-year plan for your own records.
Reassess your tribal needs and your program objectives and goals when you develop your multi-year plan. You
may find that new circumstances or the results of your activities have given you insight into other needs or
problem areas. Begin to think about more complex projects that build on the results of your previous work plans.
For instance, if you have found that a water body on your reservation has high levels of nutrients, set out to
identify the causes behind those levels.
Developing a multi-year plan will help you make sure that your program evolves in the right direction as it matures
and develops, and it will help you stay focused on achieving your goals. Your plan does not have to be set in stone
or contain detailed information about specific activities, but it should describe the goals your program intends to
achieve, why you intend to achieve them, and how you will achieve them.
II. Intermediate Program Activities
1. Seeking Other EPA Funding Opportunities
As your program matures, you may want to implement activities that require additional funding from non-Section
106 funds. EPA makes available several other grant opportunities to tribes:
• General Assistance Program (GAP) Grants: GAP grants are authorized through the Indian
Environmental General Assistance Program Act of 1992. The GAP program is administered by AIEO.
The program provides tribes and intertribal consortia with general assistance for planning, developing, and
establishing the capability to implement environmental protection programs in Indian Country. Activities
covered by GAP grants include development of legal and administrative structures, development of
technical capability, and establishment of a management program for project and program-specific
assistance (e.g., Section 106 grants).
• Wetland Program Development Grants (WPDGs): Tribal governments and intertribal consortia are
eligible to apply for WPDGs. EPA awards wetlands development grants to assist in the development of
new, or the refinement of existing, wetlands protection and management programs. Grants can be used for
research, investigations, experiments, training, demonstrations, surveys, and studies relating to the causes,
effects, extent, prevention, reduction, and elimination of water pollution.
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• Section 319 Grants: Congress has authorized EPA to award NFS pollution control grants to tribes under
Sections 319 and 518 of the CWA. NFS pollution occurs when rainfall, snowmelt, or irrigation runs over
land or through the ground, picks up pollutants, and deposits them into water
bodies. Tribes must have approved NFS assessments and management
11 TA o -t -t. -t • o-t- oinn j- * TVTT>O Environmental Information
programs as well as TAS status to receive Section 319 funding. An NFS
assessment report describes existing and potential NFS-related water quality
problems as well as existing methods used to control NFS pollution. An NFS
management program describes how you intend to correct or prevent existing
and potential NFS pollution. NFS assessments and management plans can be
developed using Section 106 funds. More information on Section 319 grants and NFS activities is in
chapter 5.
• National Environmental Information Exchange Network (NEIEN) Grants: EPA and states,
territories, and tribes are working together to develop the NEIEN, an Internet- and standards-based,
secure information network that will allow electronic reporting, sharing, integration, analysis, and use of
environmental data from many different sources. The NEIEN Grant Program provides funding to tribes
and intertribal consortiato help them develop the information management and technology capabilities they
need to participate in the exchange network. This grant program supports: the acquisition and development
of computer hardware and software; the development of common data standards, formats, and trading
partner agreements for sharing data over the exchange network; and, the planning, development, and
implementation of collaborative, innovative uses of the exchange network.
You can find more information on GAP and Section 319 grants at http://www.epa.gov/indian/tgrant.htm. You can
find more information about WPDGs at http://www.epa.gov/owow/wetlands/grantguidelines/. More information
on NEIEN grants is available at http://www.epa.gov/neengprg/.
These are not the only EPA funding opportunities available to tribes. EPA Region 8 has developed Water
Management Solutions: A Guide for Indian Tribes (EPA 908-K-93-001), available online at http://epa.gov/
waterscience/tribes/files/wms.pdf. This guide contains detailed information about EPA water quality programs
available to tribes, including requirements, sources of technical assistance, and regulations related to each
program. You can also find additional sources of funding at EPA's Catalog of Federal Funding Sources for Water
Protection Web site, http://cfpub.epa.gov/fedfund/. a searchable database of grant, loans, and cost-sharing
programs available to fund a variety of watershed protection projects.
2. Providing Enhanced Training to Staff
The capabilities of your staff should mature as your program grows and matures to ensure that you can continue
to meet your program's needs. As your program develops, and as funding allows, identify training opportunities
that would benefit your staff. Keep tabs on your staffing needs and think of ways to address them as necessary.
(See section 1.7.a of this chapter for more information on identifying staffing needs.)
Retaining qualified program staff is one of the greatest challenges facing many tribal programs. If your program
relies exclusively on one person for expertise in any given area, it stands to lose that expertise if that person
leaves. To the extent possible, train other staff members in program areas for which you rely on one person for
expertise. This way, your program's performance will be less severely affected if a member of your team
becomes unavailable.
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3. Using Contractors as Appropriate to Your Needs
Generally, intermediate programs should have the capacity to perform all of their fundamental activities across all
program areas with in-house staff, although they may use contractors to supplement the program staff in
performing fundamental program activities. (See the following chapters for information on fundamental program
activities within other program areas.) You may still need contractor assistance for more complex activities, such
as analyzing samples or providing training.
4. Reassessing Program Objectives and Goals
As you complete work plan activities and reach milestones identified under section 1.10 of this chapter, you will
learn more about your tribe's water resources. Reassess your tribal needs and your program objectives and goals
using this information, as you did when developing a multi-year plan. (See section 1.15 of this chapter.) To
maximize the success of your water quality program, you must keep your goals and objectives up to date.
Incorporate your environmental results and goals into all aspects of program planning.
5. Enhancing and Focusing Tribal Community Education
As your program matures, you should continue to provide information about it to your community. In addition to
following up on the information you have already provided (e.g., updating program goals and objectives,
highlighting new community needs, reporting achievements), you can also develop focused community outreach
plans to meet specific needs. For example, you could distribute fliers requesting participants for a volunteer
monitoring program or hold a public meeting to discuss the importance of properly disposing of motor vehicle
fluids. The excerpt from the Mississippi Band of Choctaw Indians' 2002-2003 work plan, below, describes a
program to educate the tribe's youth about water quality issues.
OWM's What You Can Do Web site (http://www.epa.gov/water/citizen.htmn lists a number of publications and
Web sites with information on raising public awareness. EPA's Office of Wetlands, Oceans, and Watersheds
(OWOW) Web site (http://www.epa.gov/owow/volunteer.htmn has information on volunteer activities. EPA's
Environmental Education Web site (http://www.epa.gov/enviroed/index.htmn also has links to a number of
resources you can use.
From the Mississippi Band of Choctaw Indians' 2002-2003 work plan:
The Choctaw Tribe realizes that education is the best tool for conserving the natural resources.... The
Choctaw Tribe realizes that the future is in the hands of today's youth. In collaboration with the Youth
Opportunity Program, the Choctaw Environmental Program Office will introduce training sessions and
various laboratory procedures for the analysis of water samples.... Educational outreach activities will also
be conducted at the tribal schools to promote public awareness of the CWA and its goal to protect and
enhance water quality.
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6. Conducting Program Evaluations
In accordance with 40 CFR 35.515, you must continue to conduct joint program evaluations (described in section
1.14.a) with your EPA regional office. In addition, you should continue to conduct program self-evaluations
regularly. As your program matures and you incorporate more sophisticated activities into your work plan, you
may find that answering the questions presented in section I.14.b has become more challenging. You may identify
additional goals and objectives that strain your resources and make you prioritize your activities. The approaches
you adopted earlier may not work in all circumstances. Your experience may change your perspective on a
project you considered unfeasible earlier, or you may be able to expand on the results of past projects. But unless
you make a point of holding periodic program self-evaluations, you may not realize how your program has
changed and the steps you should take to continue to improve and protect water quality on your reservation.
At this point, you may want to consider an independent third-party program review. EPA's Program Evaluation
Information Resources Web site, http://www.epa.gov/evaluate/links.htm. lists a number of organizations that can
assist in conducting program evaluations.
III. Mature Program Activities
1. Seeking Additional Federal Funding Opportunities
As your program matures, you may want to investigate grant opportunities outside of EPA. There are a number
of governmental agencies that provide grants to tribes. For example:
• USDA's NRCS offers grants to tribes through its Conservation Partnership Initiative. NRCS staff have
worked closely with a number of tribes and have helped them identify additional funding opportunities.
Information on the Conservation Partnership Initiative is available online at http://www.nrcs .usda.gov/
programs/cpi/index.html.
• AIEO maintains a list of federal agencies and other organizations that may provide grants at http://
www.epa.gov/indian/links.htm.
• The Administration for Native Americans (ANA), within the Administration for Children and Families in
the Department of Health and Human Services, provides Environmental Regulatory Enhancement grants
to tribes to develop tribal environmental projects that are responsive to tribal needs. Information on
Environmental Regulatory Enhancement Grants is available online at http ://www.acf.dhhs .gov/grants/
grants_ana.html.
• The Bureau of Indian Affairs (BIA), within the DOI, provides Water Resources on Indian Lands Grants to
tribes to assist in the management, planning, and development of their water and related land resources.
Federal Search Engines
Grant opportunities available across the federal government are posted on http://www.grants.gov. This Web
site allows users to sign up to receive e-mail alerts about new grant opportunities in relevant areas.
The General Services Administration also maintains a catalog of federal grant opportunities at http://
12.46.245.173/cfda/cfda.html. You can use these Web sites to help identify a number of grants related to
tribes and environmental programs.
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Previously funded projects have included geographic and hydrologic quantitative and qualitative analysis of
water, ground water and surface water quality and quantity monitoring, aquifer classification, and stream
gauging. The BIA Web site is temporarily unavailable, but you may obtain more information about this
opportunity by calling 202-208-3710. In addition, you may visit the catalog of federal grant opportunities
online at http://12.46.245.173/cfda/cfda.html and search for the Water Resources on Indian Lands grant
opportunity.
2. Using Contractors as Appropriate to Your Needs
Mature programs should be able to manage all of their programs (including technical programs) using in-house
staff. You may use contractors to provide specific or specialized technical expertise, training, or laboratory
analyses, but for the most part you should now be able to independently manage all aspects of your program and
conduct the majority of the work associated with the program.
3. Conducting Comprehensive Community Outreach and Public Awareness
Programs
Your community outreach and awareness program should no longer be limited to informing your community about
the results of your program or providing specific targeted information on selected topics. Instead, it should cover a
number of topics related to your program, including information on water bodies on your reservation, volunteer
activities, human health concerns, management measures, pollution prevention, education, and general information.
You can also encourage the formation of volunteer groups that independently conduct activities that support your
program's goals. Remember that no matter how comprehensive your program is, you will still rely on community
involvement and participation to achieve the best results.
4. Conducting Program Evaluations
At this point, you should have a good understanding of the environmental conditions on your reservation, and you
should be able to connect your program needs to EPA's goals and objectives. Your program evaluations should
help you ensure that your program is aligned with EPA's national water quality objectives.
5. Mentoring Other Tribes and Local Governments
As your program matures, consider mentoring other tribes and local governments. Your experience could be
invaluable to less-experienced tribal water quality programs that may lack the technical expertise, financial
resources, and general program background you have. In some cases, adjacent local governments welcome tribal
expertise.
Tribal pesticide programs are an example of an area in which coordination between tribes can yield positive
results. Because pesticides may leach into ground water or be carried into streams and lakes, establishing
relationships with neighboring jurisdictions is essential for promoting general water quality and establishing an
adequate information base about threats to waters on your reservation. In addition, mentoring other tribes with
fledgling programs may foster positive relationships and instill goodwill in neighboring communities. If you need
contact information for other tribes in your region, your EPA regional office can provide it.
6. Partnering with Other Organizations
Partering with other organizations such as neighboring tribes and states, universities, private groups, local
governments, watershed-based organizations, and others can help you implement your water quality protection
program and achieve your program goals. In addition, you may find it useful to engage other programs within your
tribe (e.g., fish and game programs, tribal planning offices) to alleviate duplication of effort, maximize resources,
and expedite your program development. Sections III.4 and III.5 of chapter 5 contain more information on
forming partnerships with other organizations. "301
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Providing Mentoring to Tribes: Region 8 Water Quality Training
Fort Peck Assiniboine & Sioux Tribes, Northeast Montana
The Water Quality Training Program Project for Region 8 tribes actively began in 2002, using monies from
the Section 106 Special Project Monies, with matching funds from the Fort Peck Assiniboine & Sioux
Tribes' Office of Environmental Protection (OEP). The project implements a multi-phased approach to
meeting the requests from the tribes within Region 8 for a water quality training curriculum taught primarily
by tribal water quality professionals within the region and specifically tailored to meet tribal personnel needs.
Fort Peck Assiniboine & Sioux Tribes, working in conjunction with the Institute for Tribal Environmental
Professionals (ITEP) at Northern Arizona University (NAU) and EPA Region 8 personnel, have developed
and begun to implement a regional tribal water quality certification program offering professional
certification on increasingly technical levels.
The certification program is loosely built around the college curriculum format based on classroom
interaction time, whereby 8 hours of training leads to one credit. To progress from one level to the next,
program participants are required to complete specific core classes, as well as a specific number of elective
credit hours. A standardized protocol and a review board consisting of EPA personnel, tribal professionals,
and educational representatives approve core and elective course curriculums. All courses implement and
enforce a stringent attendance policy, pre- and post- course testing, and completion of out of class
assignments.
The certification program currently offers certification to water quality staff on three separate levels: Water
Quality Technician (Level I Certification); Water Quality Specialist (Level II Certification); and
Environmental Specialist (Level III Certification). Core requirements for certification on these levels include
classes such as the basic monitoring course, data entry/introduction to data analysis, monitoring design,
advanced data analysis, and 305(b) report writing.
To date, curricula for data entry/introductory data analysis, monitoring design, basic water quality
monitoring, advanced data analysis, and biological monitoring have been developed and training has been
held at different locations around the region. Additional training courses and repeat training courses are
planned.
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Chapter 4: Monitoring, Data
Management, and Data
Assessment and Analysis
Introduction
This chapter will help you develop a water quality monitoring program that will enable you to achieve your
program goals. An effective water quality program includes monitoring, data management, and data assessment
and analysis. These activities are closely related. Once you have collected monitoring data, you will need to
manage and analyze the information. You should consider all three activities when working through this chapter.
As your water quality program moves from fundamental to mature activities, you should ensure that your
capabilities in monitoring, data management, and data assessment and analysis advance at the same pace.
To highlight the activities required to monitor, manage data, and conduct assessment and analysis, sections I and II
of this chapter address each of these program areas in separate subsections. Once you understand and implement
each of these program areas, however, you should think of them as one tightly integrated part of your program.
For this reason, section III of this chapter includes an integrated discussion of these topics.
A water quality monitoring program is perhaps the most important component of a water quality management
program. The initial results of your water quality monitoring program will help you identify water quality problems
and set program goals and objectives to address those problems. As your program grows, your monitoring
program will help you measure the effectiveness of your efforts to improve water quality. You cannot make
informed decisions about your water quality program without monitoring, managing, and assessing and analyzing
water quality data.
EPA expects that all monitoring programs will include some basic components. Every monitoring program should
have as its foundation a long-term strategy that addresses how it will meet water management needs. Your
program should be driven by clear monitoring objectives, and it should be designed to allow you to meet those
objectives. You should establish quality assurance (QA) and quality control (QC) procedures that are documented
in a Quality Assurance Project Plan (QAPP). Your program should use a core set of water quality indicators
(WQI) — measurements that you can use to assess the quality of a water body — that you can compare over
time. The indicators you use can measure the physical (e.g., temperature), chemical (e.g., phosphorus, nitrogen),
or biological (e.g., macroinvertebrates, bacteria) characteristics of your waters. The program eventually should
grow to address all water body types (e.g., streams, lakes, wetlands, estuaries, rivers, ground water). This chapter
will help you to establish a monitoring program that meets all of these requirements.
4-1
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in
Fundamental Program Activities
1. Monitoring Developing Monitoring Goals and Strategies
Establishing a Baseline Monitoring Program
Developing Standard Operating Procedures
Developing QAPPs
Analyzing Monitoring Samples Using Outside Laboratories
Submitting Your QAPP for EPA Review and Approval
Incorporating Your Monitoring Results into Your Community Outreach Program
2. Data Management Understanding Metadata and Compiling Useful Data Sets
Developing Electronic Data Storage Capacity
Managing Electronic Data
Performing Data Validation as Part of Your QA/QC Plan
Reporting Data to EPA
3. Data Assessment and Analysis Developing Data Assessment and Analysis Capabilities
Developing Data Display Capabilities
Using Data to Understand Problem Areas and Trends
4. Initiating Mitigation Measures for Known V\teter Quality Problems
Intermediate Program Activities
Tribes should begin these activities after having completed the relevant fundamental program activities.
1. Monitoring Updating Monitoring Goals, Strategies, and Objectives
Expanding and Refining the Baseline Monitoring Program
2. Data Management Updating and Upgrading Electronic Data Systems
Incorporating Additional Monitoring Parameters
Using STORET or Electronically Compatible Formats
Maintaining a Database with Graphing Capabilities
3. Data Assessment and Analysis Evaluating Monitoring Program Effectiveness
Measuring Water Quality Improvement
Mature Program Activities
Tribes should begin this activity after having completed the relevant fundamental and intermediate program activities.
1. Understanding and Using EPA's "Elements" Guidance
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In addition to the information provided in this chapter, use the resources that EPA and other organizations have
produced to develop your monitoring program. In particular:
• Tribes implementing fundamental and intermediate water quality monitoring programs should refer to
Listening to Watersheds: A Community-based Approach to Watershed Protection (Angie Reed and
Geoff Dates; River Network National Office; Portland, OR; 2003). This guidebook describes a
community-based approach to protecting water resources and was written specifically for tribes. It is
available online at http://www.rivernetwork.org/ltw/. In addition, tribes implementing a fundamental
program should refer to EPA's volunteer monitoring guidances, available online at http://www.epa.gov/
owow/monitoring/vol .html. These guidances will help tribes understand some of the terminology and
concepts used in this guidance.
• Tribes implementing mature water quality programs should refer to EPA's Elements of a State Water
Monitoring and Assessment Program (EPA 841-B-03-003), available online at http://www.epa.gov/
owow/monitoring/repguid.html. It recommends 10 basic elements of a state water monitoring program.
Mature water quality programs should fully incorporate all of these elements:
1. Monitoring program strategy
2. Monitoring objectives
3. Monitoring design
4. Core and supplemental WQI
5. Quality assurance
6. Data management
7. Data analysis and assessment
8. Reporting
9. Programmatic evaluation
10. General support and infrastructure planning
EPA encourages all tribal water quality programs, regardless of their level of sophistication, to use the Elements
of a State Water Monitoring and Assessment Program where appropriate.
Water sampling. Photograph courtesy of Gila River Indian Community.
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In addition, EPA has published a compendium of best practices for developing water quality monitoring programs,
referred to as the Consolidated Assessment Listing Methodology (CALM). You may find the best practices listed
in CALM a useful reference tool, particularly when developing the Assessment Reports described in chapter 8.
The CALM Guidance Document is available online at http://www.epa.gov/owow/monitoring/calm.html.
and Monitoring
EPA has established quality control (QC) mechanisms to make sure that environmental data collected under
programs the Agency supports are of sufficient quantity and quality to support the data's intended use. You
must meet the applicable QA and QC requirements listed in 40 CFR 31.45 to use Section 106 funds for
environmental data collection through monitoring. You must develop and implement QA practices consisting of
policies, procedures, specifications, standards, and documentation sufficient to produce data of adequate
quality to meet project objectives and to minimize loss of data due to out-of-control conditions or malfunctions.
One of the control mechanisms EPA has developed is the Quality Assurance Project Plan (QAPP). You are
required to develop a QAPP if you are conducting any data collection, including monitoring under a Section
106 grant. You must submit your completed QAPP before you begin any monitoring. A QAPP is a written
document that outlines procedures that a monitoring project will use to ensure that the samples it collects and
analyzes, the data it stores and manages, and the reports it produces are of sufficient quality to meet project
needs. The QAPP should also outline the assessment or decision criteria that you will use to address your
monioring objectives. The QAPP unites all the technical and quality aspects of a project (e.g., monitoring,
detection limits, analytical methods, data management, data analysis, reporting) and provides a blueprint for
obtaining the type and quality of environmental data and information needed.
EPA has developed guidances for developing QAPPs for all types of monitoring programs, from a simple
volunteer monitoring initiative to established state programs. In particular, some tools to which you should refer
include:
• EPA guidances on developing QAPPs, available at http://www.epa.gov/quality/qapps.html. Specifically,
refer to EPA Requirements for Quality Assurance Project Plans (QA/R-5) and Guidance for
Quality Assurance Project Plans (QA/G-5).
• EPA's Elements of a State Water Monitoring and Assessment Program contains information on
developing QAPPs specific to monitoring programs.
• For basic information on QAPPs, consult EPA's Volunteer Monitor's Guide to Quality Assurance
Plans (EPA 841-B-96-003), available online at http://www.epa.gov/owow/monitoring/volunteer/.
• Listening to Watersheds, pages 65-69, also contain information on developing QAPPs.
• Regions 1 and 9, with support from Regions 3 and 10, as well as the Tribal Air Monitoring Support
Center at Northern Arizona University, have developed the Quality Assurance Project Plan
Development Tool. This CD-ROM tool may be obtained by contacting your regional QAPP
coordinator.
• Lastly, see the "Building Credibility" Factsheet, available at http://www.usawaterquality.org/volunteer/
outreach/BuildingCredibilitvVI .pdf.
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QAPPs for Ground Water Monitoring
Due to regional variations in geology and hydrology, there is no one method for ground water monitoring. By
establishing a comprehensive ground water QAPP with field, sampling, lab, and assessment protocols, tribes
can effectively sample wells for contaminants such as metals, volatile organic compounds, and nutrients.
Research into past land use as well as hydrogeological surveys of the area will supply knowledge regarding
the characteristics of aquifers as well as potential sources of contamination. Sound data collection will help
tribes develop the foundation they need to determine their ground water protection needs.
I. Fundamental Program Activities
1. Monitoring
a. Developing Monitoring Goals and Strategies
The primary purposes of a monitoring program are to determine the physical, chemical, and biological conditions
of a water body and evaluate them against WQI. Within that context, you may conduct water quality monitoring
to meet any of the program needs, goals, and objectives you have identified. (See sections 1.5 and 1.6 of chapter 3
for more information on identifying needs, goals, and objectives.) For example, you may conduct water quality
monitoring to collect baseline data on water quality throughout your reservation or to measure the effects of a
specific activity, such as construction, agricultural activities, or mining. The needs you want to address will
determine your monitoring goals and strategies.
Your program may lack the time and resources to effectively monitor all water bodies on your tribe's reservation.
Take this fact into account when establishing monitoring goals and strategies. Time and resource considerations
may also affect the monitoring approach you take. Consider the water use habits of your tribe and your special
circumstances when developing monitoring goals. If you obtain much of your water from ground water wells but
have never tested your ground water for contaminants, conducting this testing might be a priority. If you know
that there are wetlands on your reservation but have never catalogued them, you might want to begin initial
monitoring to assess their health.
/'. Developing Monitoring Objectives
A. Collecting Existing Information
Before you can make informed decisions about your monitoring program, make sure you collect as much existing
information as possible about all the water bodies on your reservation. Remember to include all the water bodies
you identified in section 1.4 of chapter 3. Do not focus on collecting only high-level quantitative data; qualitative
information from maps, aerial photos, and reports can also provide information about water quality. Identify any
gaps in information. Based on your goals, you may not need to address the gaps now, but it is important that you
are aware of them. In addition, it is probably a good idea to address them in your monitoring program now or in
the future.
Remember that even if you have not conducted any water quality monitoring in the past, other organizations may
be able to provide you with some monitoring data for your water resources. Section 1.4 of chapter 3 lists some
organizations you should consult. Remember to talk to your community and collect any information its members
can provide. Page 5 of Listening to Watersheds lists additional resources you can use. Existing state or tribal
303(d), 305(b), or integrated water quality reports may contain information on water quality on your reservation.
You can view 305(b) reports online at http://www.epa.gov/305b/. In addition, EPA's Surf Your Watershed Web
site (http://www.epa.gov/surf/) can help you locate and use environmental information about your watershed.
While you may ultimately decide that you need to collect additional supplementary data, existing data can provide
a valuable starting point from which to begin to determine the quality of your water bodies. - _,-
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Environmental Monitoring and Assessment Program
In developing a monitoring design, you may find it helpful to consult EPA's Environmental Monitoring and
Assessment Program (EMAP). EMAP is a research program to develop the tools necessary to monitor and
assess the status and trends of national ecological resources. EMAP's goal is to develop the scientific
understanding for translating environmental monitoring data from multiple spatial and temporal scales into
assessments of current ecological conditions and forecasts of future risks to our natural resources. EMAP
develops indicators to monitor the condition of ecological resources. EMAP also investigates designs that
address the acquisition, aggregation, and analysis of multiscale and multitier data. The Regional EMAP
(REMAP) was initiated to test the applicability of the EMAP approach to answer questions about ecological
conditions at regional and local scales. Using EMAP's statistical design and indicator concepts, REMAP
conducts projects at smaller geographic scales and in shorter time frames than the national EMAP program.
Tribes may find useful resources, such as information on water quality data sets, assessment methodologies,
and regional information, on EMAP's Web site, http://www.epa.gov/emap/. Information on REMAP is
available online at http://www.epa.gov/emap/remap/index.html.
B. Using Existing Information to Define Monitoring Obj ectives
Monitoring objectives drive how you implement your monitoring program. Monitoring should help you gather data
that will help you achieve your goals and strategies. For example, if your goal is to determine whether specific
pollution control activities are effectively protecting water quality, your objectives should include monitoring water
quality in water bodies where control activities for that pollutant are in place. Using the information on your
reservation's water bodies that you have collected, and considering your goals, define the objectives for your
monitoring program. For each objective you identify, describe why it is important to meet the objective, what data
you expect to produce to meet the objective, and who will use the monitoring data.
You should consider your overall program goals when developing your monitoring objectives. EPA's Elements of
a State Water Monitoring and Assessment Program identifies five basic questions for a monitoring program to
address. Although you may not be able to answer all these questions immediately, you should keep them in mind
when developing your objectives and use them to guide the direction of your monitoring program. As your
program develops, you will be able to answer more of these questions in greater detail.
1. What is the overall water quality of water bodies? You should determine the extent to which your
waters meet your program objectives. These may include the objectives of the CWA; attainment of
applicable WQS and designated uses; protection and propagation of balanced populations offish, shellfish,
and wildlife; water quality; protection of ecosystem health; maintenance of pristine waters; or protection of
public health.
2. To what extent is water quality changing over time? You should assess the extent to which water
quality has changed overtime. Understanding if and how water quality has changed overtime may help
you identify areas of concern and determine whether protection or restoration activities your program has
initiated are working.
3. What are the problem areas, and what areas need protection? You should identify high-quality,
pristine waters that should be protected from degradation. You should also identify areas that have water
quality problems that need to be addressed. If your tribe has EPA-approved WQS or tribal code in place,
you can use your standards or code to identify impaired or problem areas. If your tribe does not have
EPA-approved WQS or tribal code in place, you can use WQS from neighboring tribes or states as proxies
to determine impairment.
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4. What level of protection do these areas need? Over time, as you develop an understanding of the
quality of your waters, you should establish a level of protection for each of the water bodies that you
monitor so that you have a benchmark against which to evaluate monitoring results. For example, a tribe
that has established water quality goals could use monitoring results to determine which water bodies are
not meeting those goals and assess which management strategies for NFS are most appropriate.
5. How effective are clean water projects and programs? You should monitor the effectiveness of
specific projects and overall programs. You may find it difficult, especially early in your program
development, to evaluate whether a specific program is helping to reduce water pollution or protect pristine
water bodies. You should keep this question in mind, however, and try to establish monitoring objectives to
help you answer this question.
b. Establishing a Baseline Monitoring Program
/'. Developing a Monitoring Design
Once you have established objectives, the next step in developing a baseline monitoring program is to develop a
monitoring design. A monitoring design establishes the frequency of monitoring, the water bodies that will be
monitored, the locations that will be monitored within the water body, the parameters (e.g., pH, temperature,
macroinvertebrates) that will be sampled, and how the information will be used or displayed to answer your
monitoring objective. You should use a monitoring design that meets your monitoring objectives. For example, if
you are concerned with the health of your fish community, you should consider developing a biological monitoring
program. If you are concerned with the health risks associated with consuming fish, you should consider taking
fish tissue samples. Note that fish community and tissue analyses may be more appropriate for more established
monitoring programs.
Monitoring Plan Support
Before developing
provide assistance,
Region 1
Diane Switzer
Region 2
Darvene Adams
Region 3
Eva Ammentorp
Region 4
Jim Harrison
Region 5
Sarah Lehman
a monitoring plan, be sure
suggestions, and support
(617)918-8377
(732)321-6700
(215)814-5265
(404)562-9271
(312)353-4328
to contact your EPA regional
to ensure its success.
Region 6
Charlie Howell
Region 7
Lyle Cowles
Region 8
Tina Laidlaw
Kris Jensen
Region 9
Janet Hashimoto
Terry Fleming
Region 10
Gretchen Hayslip
monitoring coordinator, who can
(214)665-8354
(913)551-7081
(406)457-5016
(303)312-6237
(415)972-3452
(415)972-3462
(206)553-1685
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Gila River Indian Community
The Gila River Indian Community (GRIC) encompasses approximately 580 square miles in central Arizona,
adjacent to the metropolitan Phoenix area. There are approximately 20,000 Pima and Maricopa tribal
members living in the Community. The Community's water resources are influenced by seven major
watersheds. Within the Community, there are approximately 20 million acre-feet of ground water, which is
used industrially and commercially, and is the sole source of the Community's drinking water. The
Community has more than 8 miles of perennially flowing riverine habitat, including the Salt River and the
Lower Gila River, and 116 miles of ephemeral surface waters, including the Upper Gila River, the Santa
Cruz River, and the Santa Rosa, Vekol, and McClellan Washes that only flow in response to precipitation. It
also has more than 1,500 acres of wetlands, including the Lower Gila River Wetlands and the Pee Posh
Wetlands, more than 80 miles of canals, and 20 miles of spillage and riparian areas. The current uses of the
Community's surface water resources include recreation, wildlife habitat, fisheries, livestock watering, and
agriculture irrigation.
GRIC's ongoing water quality investigations include surface water and ground water sampling and
continuous monitoring and streambed sediment sampling. Data from these investigations undergo an
extensive in-house data validation and verification review using GRIC's integrated water quality database
(19,000 separate water quality analyses), and is used to advance water quality assessments, promote the
development and implementation of Tribal WQS, help develop NPS management programs with data to
support management decisions, and to evaluate water quality trends.
In addition, the GRIC has developed WQI to evaluate (1) support of Community Water Quality Goals and
(2) effectiveness of GRIC Department of Environmental Quality (DEQ) water quality programs, as
depicted in the table on the following page.
Gila River Indian Community YSI Sonde installation for continuous water quality
monitoring at the Pee Posh Wetlands. Photo courtesy of Gila River Indian Community.
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Gila River Indian Community (GRIC)
Water Quality Indicators and Relationship to GRIC Goals
GRIC Goal GRIC Sub Goal Water Quality Indicator How Results
How Results are Tracked
Clean
Surface
Water
Protect Aquatic
Ecosystems
Support
Designated
Uses
Stream channel
stability
Change in
macroinvertebrate
richness
Changes in ambient
stream chemistry (e.g.,
nutrients, pH, DO)
Miles of water bodies
that support primary
contact recreation
Number of nutrient
criteria exceedances
in ambient surface
water
Number of metals
criteria exceedences
in ambient surface
water
Gila/Santa Cruz Rivers and Gila River Wetlands:
measure stream channel cross-sections; enter
entrenchment & width/depth ratio data into
database; monitor for trends.
Gila River Wetlands: macroinvertebrate samples
collected in 2000-2001 established baseline;
future samples to be collected biannually, as
funds are available; entered into database to
track species composition, abundance, richness,
and health against baseline.
Natural perennial waters: with fixed monitoring
stations, monitor field (e.g., DO, pH, IDS, SS,
etc.) & laboratory (e.g., E. coli, nutrients, metals,
etc.) parameters and enter into database;
evaluate data against GRIC pathogen criteria.
Surface waters designated for swimming:
quarterly and after storm events, collect E. coli
samples, enter into database; evaluate data
against GRIC pathogen criteria.
Gila River Wetlands and other important surface
waters: quarterly, collect nitrate + nitrite & total
Kjeldahl nitrogen data (the sum of these two
parameters provides a total nitrogen
concentration result); enter results into database;
graph number of exceedances.
Natural perennial waters, e.g., Gila River
Wetlands and created aquatic habitats other than
canals: regular monitoring for arsenic, cadmium,
copper, lead, mercury, nickel, selenium, and zinc;
enter results into database; measure against
criteria for protection of aquatic life; identify
trends.
Clean
Ground
Water
Protect Human
Health
Trends in nitrate and
total dissolved solids
concentration in
drinking water wells
At drinking water wells representative of drinking
water supply: annually, sample for nitrate and
IDS; every 5 years, sample full suite of
inorganics; enter into database; identify trends.
Trends in nitrate and
total dissolved solids
concentration in
monitoring wells
At monitoring wells representative of land use
activities: annually, sample for nitrate and IDS;
every 5 years, sample full suite of inorganics;
enter into database; identify trends.
Quality of
Life
Conserve,
Restore, and
Enhance
Aquatic
Ecosystems
Acres of native
riparian vegetation
Gila River aquatic system: periodically, e.g.,
every 5 years or after habitat restoration
activities, map vegetation using aerial
photography and ground-truthing and compare
against recent wetlands survey to evaluate the
status of remaining vegetation and identify new
native vegetation.
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A.
Selecting WQI/Parameters to be Monitored
You should define a set of indicators that you can use to assess water quality. The indicators should give you the
data you need to meet your monitoring objectives.
EPA requires that you monitor and report results for basic water quality parameters depending on your tribal
program's capacity. You must consider the required parameters that apply to your tribe when developing your
monitoring design. The next section in this chapter provides information on those parameters. In addition, if your
tribe has WQI or tribal codes in place, you can use your WQI or codes to identify impaired or problem areas. The
WQI table below provides recommended core and supplemental WQI, including required monitoring parameters.
In addition, the case study and chart from the Gila River Indian Community (GRIC) on pages 4-8 and 4-9
provides an example of the use of WQI in a monitoring design.
Water Quality Indicators
The chart below is taken from EPA's Elements of a State Water Monitoring and Assessment Program,
which discusses recommended core and supplemental WQI. Core indicators provide basic information
about the aquatic environment. Supplemental indicators provide specific or additional information and can be
used to support a special study or screen for a potential pollutant. You may find this distinction useful when
selecting parameters to monitor. While not all of the core indicators must be included in a tribe's monitoring
program, items in bold are required monitoring elements depending on the level of your tribal monitoring
program (i.e., fundamental, intermediate, mature). You do not need to address all parameters in your first
year.
Recommended Core and Supplemental Indicators
Recommended Core
Indicators
Supplemental
Indicators
Aquatic Life and Wildlife
'Condition of biological
communities (EPA
recommends the use of at
least two assemblages)
"Dissolved oxygen
"Temperature
'Conductivity
*pH
"Habitat assessment
*Flow
'Nutrients
'Landscape conditions
(e.g., % cover of land uses)
Additional indicators for
lakes:
'Eutrophic condition
Additional indicators for
wetlands:
'Wetland hydrogeomorphic
settings and functions
'Ambient toxicity
'Sediment toxicity
'Other chemicals of concern
in the water column or
sediment
'Health of organisms
Recreation
"Pathogen indicators (£.
co//, enterococci)
'Nuisance plant growth
'Flow
'Nutrients
'Chlorophyll
'Landscape conditions
(e.g., % cover of land uses)
Additional indicators for
lakes:
"Seech i depth (part of
habitat assessment)
Additional indicators for
wetlands:
'Wetland hydrogeomorphic
settings and functions
'Other chemicals of concern
in water column or sediment
'Hazardous chemicals
'Aesthetics
Drinking Water
'Trace metals
'Pathogens
*N itrates
'Salinity
'Sediments/Total
Dissolved Solids (IDS)
'Flow
'Landscape conditions
(e.g., % cover of land uses)
*VOCs (in reservoirs)
'Hydrophyllic pesticides
'Nutrients
'Other chemicals of concern
in water column or sediment
'Algae
Fish/Shellfish
Consumption
'Pathogens
'Mercury
'Chlordane
*DDT
*PCBs
'Landscape conditions
(e.g., % cover of land uses)
'Other chemicals of concern
in water column or sediment
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B.
Understanding EPA's Reporting Requirements
Although tribes are encouraged to report all data they collect, tribes are required to report only the nine basic
parameters listed below. Although all tribes are encouraged to report all of the nine basic parameters, tribes'
abilities to monitor and report on some of the nine basic parameters may vary. Hence, EPA has classified each of
the nine parameters as fundamental, intermediate, or mature based on the level of complexity required by the
monitoring and reporting activities associated with that parameter. EPA regions will use these classifications as
guidelines in determining reporting requirements for each tribe but ultimately will decide which parameters a tribe
is required to report on a case-by-case basis. In situations where tribes cannot monitor for all nine parameters,
EPA regional offices and tribes should negotiate ways to build tribal capacity (e.g., training, technical assistance,
purchase of laboratory equipment) so that the tribe can ultimately collect information on all nine parameters. See
chapter 8 for more information on reporting requirements.
The nine parameters are:
Fundamental Reporting Parameters
1. Dissolved oxygen
2. pH
3. Water temperature
4. Turbidity
Intermediate Reporting Parameters
1. Phosphorus
2. Total nitrogen
Mature Reporting Parameters
1. Macroinvertebrates
2. E. coli or enterococci
3. Basic habitat information
Information on these nine parameters is included below. The discussion is taken from EPA's Volunteer Stream
Monitoring: A Methods Manual (EPA 841-B-97-003), available online at http://www.epa.gov/owow/monitoring/
volunteer/stream/, and EPA Region 10's Ecological Condition of Western Cascades Ecoregion Streams (EPA
910-R-04-005), available online at http://www.epa.gov/emap/remap/html/docs/wcs.html. Please note that the
Western Cascades reference is cited because it states clearly for the layman what each measurement parameter
is for. Location of collection has no relevance in this case. The American Public Health Association (APHA) has
developed a reference manual, Standard Methods for the Examination of Water and Wastewater, which can
help you identify appropriate sampling methods for dissolved oxygen, pH, temperature, turbidity, total nitrogen, and
total phosphorus or ortho-phosphorus. The methods manual is available online at http://www.apha.org/media/
science.htm. In addition, many Web sites of large national vendors of kits, meters, and probes provide instructions
on how to measure dissolved oxygen, pH, temperature, turbidity, total nitrogen, and total phosphorus or ortho-
phosphorus. The references listed above will explain methods and technical issues as well as describe required
monitoring equipment.
Pyramid Lake, Nevada. Photograph courtesy of the
Pyramid Lake Paiute Tribe.
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Dissolved oxygen: Dissolved oxygen serves as an indicator of the biological health of the water body. Dissolved
oxygen concentrations vary naturally with water temperature and altitude. If more oxygen is consumed than is
produced, and oxygen levels drop below their natural levels, some sensitive animals may weaken, move away, or
die. Dissolved oxygen levels are affected by changes in water temperature and levels of organic materials.
Changes in water temperature can occur as a result of thermal discharges from manufacturing or power plants or
reduction of riparian shade. Industrial and municipal wastes can raise levels of organic materials. Consult section
5.2 of Volunteer Stream Monitoring for more information on dissolved oxygen. Because fluctuations in dissolved
oxygen levels can occur over the course of a day, tribes must track metadata on where and when the samples
were collected. Dissolved oxygen can be collected and analyzed using any of the kits readily available on the
market. If your monitoring objectives require greater precision, the use of probes, meters, or contract laboratories
may be necessary.
pH: pH is a measurement of water acidity. pH affects many chemical and biological processes in the water. Most
aquatic animals prefer a pH range of 6.5 - 8.0. pH outside of this range reduces the diversity in the stream
because it stresses the physiological systems of most organisms and can reduce reproduction. Low pH can also
cause conditions that are toxic to aquatic life by allowing toxic elements and compounds to become mobile.
Changes in pH can be caused by acid rain, mining activities, and wastewater discharges. pH can be measured
using any of the kits readily available on the market. If your monitoring objectives require greater precision, the
use of probes, meters, or contract laboratories may be necessary.
Water temperature: As noted above, temperature affects dissolved oxygen levels. It also influences the rate of
photosynthesis by aquatic plants; the metabolic rates of aquatic organisms; and the sensitivity of aquatic
organisms to toxic wastes, parasites, and diseases. Optimal temperature ranges depend on the species in the
water body. If temperatures are outside the optimal range for the species in a water body for extended periods of
time, organisms will be stressed and may die. For fish, there are two kinds of limiting temperatures — the
maximum temperature for short exposures and a weekly average temperature that may vary by time of year and
life cycle stage. Reproductive stages are the most sensitive to temperature changes. Causes of temperature
change include weather, removal of riparian shade, dams and other barriers that confine water bodies, industrial
discharges, and stormwater. See section 5.3 of Volunteer Stream Monitoring for more information. Temperature
can be measured using thermometers available from laboratory supply stores. If your monitoring objectives
require greater precision, the use of probes, meters, or contract laboratories may be necessary.
Turbidity: Turbidity measures the clarity of a water body. It is closely related to erosion and sediment that carry
nutrients and bacteria into streams and lakes. Suspended particles absorb more heat, raising water temperature,
which in turn affects the oxygen content of the water. When they eventually settle at the bottom of water bodies,
suspended materials can also clog fish gills and smother fish eggs and macroinvertebrates. Sediment can also
change the physical structure of habitats. Causes of high turbidity include soil erosion, wastewater discharges,
urban runoff, farming and forestry practices, eroding stream banks, and excessive algae growth. You can find
more information on sediment at http://www.epa.gov/bioindicators/aquatic/sediment.html. Turbidity data should be
collected in lakes and reservoirs using a Secchi disc method, kits, probes, or meters. In streams, turbidity data
should be collected using a turbidity tube, kits, probes, or meters.
Total phosphorus: Phosphorus is an essential nutrient for plants and animals, which is why it is often an
ingredient in fertilizers. Because it is naturally in short supply (i.e., the "limiting nutrient") in most fresh water
bodies, even small increases in phosphorus can cause undesirable consequences such as algae blooms,
accelerated plant growth, and low dissolved oxygen (decomposition of additional vegetation will consume more
oxygen). Phosphorus is considered limiting in most fresh water systems because it is not as abundant as carbon
and nitrogen, which are available in the atmosphere. Sources of phosphorus include soil and rocks, wastewater
treatment plants, runoff from fertilized lawns and cropland, runoff from animal manure storage areas, disturbed
land areas, drained wetlands, water treatment, decomposition of organic matter, and commercial cleaning
preparations. Total phosphorus and ortho-phosphorus may be measured using kits, probes, or meters, or by using a
contract laboratory.
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Total nitrogen: Plants and animals need nitrogen, but excess nitrogen can cause low levels of dissolved oxygen
and alter the types of plants and animals in the water body. The forms of nitrogen most commonly found in water
are ammonia, nitrates, and nitrites. Sources include wastewater treatment plants, runoff from fertilized lawns and
croplands, failing septic systems, runoff from animal manure and storage areas, and industrial discharges that
contain corrosion inhibitors. Total nitrogen may be measured using kits, probes, or meters, or by using a contract
laboratory. Total nitrogen is the sum of total kjeldahl nitrogen (TKN), ammonia, and nitrate-nitrite. It can be
derived by monitoring for TKN, ammonia, and nitrate-nitrite individually and adding the components together, but
you can also measure total nitrogen directly using kits readily available on the market.
Macroinvertebrates: Macroinvertebrates are indicators
of the biological integrity of a water body. The numbers of
certain species in a water body can be compared to
established indices to determine the health of a stream.
Macroinvertebrates respond to different stressors in
different ways, so it is often possible to use the
macroinvertebrate population to determine what kinds of
stressors are affecting the water body. Depending on your
program's characteristics and capabilities, you can use
different methods to measure macroinvertebrates. Methods
range in complexity from using a net and manually counting
macroinvertebrates to using a laboratory to conduct
population analyses. Work with your EPA regional office to
establish which method you should use. EPA recommends
a multihabitat approach using a D-frame net (500-micron
opening mesh) collecting, counting, and identifying a
minimum of 200 macroinvertebrates. Family-level ID (and
in some cases species-level ID) is ultimately expected, but
starting at the order level is acceptable for programs that
have not previously collected macroinvertebrate data.
Many local nonprofit or state agencies offer free training
on macroinvertebrate identification, as well as QA/QC
certification. EPA encourages tribes to target collecting
data on at least two assemblages (e.g., macroinvertebrates
and fish), and developing baseline condition information for
their biological sampling programs. Several additional
acceptable collection methods are described in EPA's
Rapid Bioassessment Protocols for Use in Wadeable
Streams and Rivers: Periphython, Benthic, Macroinvertebrates, and Fish, Second Edition, available online at
http://www.epa.gov/owow/monitoring/rbp/. and chapter 4 of EPA's Volunteer Stream Monitoring: A Methods
Manual, available online at http://www.epa.gov/owow/monitoring/volunteer/stream/. Other user-friendly
macroinvertebrate identification guides include Aquatic Entomology: The Fishermen's and Ecologists'
Illustrated Guide to Insects and their Relatives (McCafferty, W.P; Boston, MA; Science Books International;
1981) and A Guide to Common Freshwater Invertebrates in North America (Voshell, J.R.; Blackburg, VA; The
McDonald & Woodward Publishing Company; 2002).
Macroinvertebrate Sampling. Photograph courtesy of Gila
River Indian Community.
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E. coli or enterococci: E. coli and enterococci are used as indicators of the presence of pathogens in drinking
and recreational waters. They indicate the possible presence of disease-causing bacteria, viruses, and protozoans.
If pathogens are present, fishing and swimming in the water may cause health risks. These pathogens can also
cause cloudy water, unpleasant odors, and increased oxygen demand (reducing levels of dissolved oxygen).
Sources of bacteria include wastewater treatment plants, septic systems, stormwater runoff, animal carcasses,
and runoff from animal manure and manure storage areas. You can find more information about pathogens at
EPA's Agriculture 101 Web site, http://www.epa.gov/agriculture/ag 101 /impactpathogens.html. Enterococci levels
should be monitored in marine and fresh waters. E. coli levels should be monitored in fresh waters. E. coli and
enterococci levels can be measured using any of the kits readily available on the market and an incubator.
Samples can also be collected and sent to a laboratory for analysis. The APHA Standard Methods manual
referenced above and EPA's Microbiology Web site (http ://www.epa.gov/nerlcwww/) provide EPA-approved
standard methods and examples of test kit use. You can also review Web sites of major national vendors.
Basic habitat information: Basic habitat information refers to physical attributes of a water body and its
surrounding area that influence its condition. Physical habitat varies naturally, as do biological and chemical
characteristics. Degradation of aquatic habitats by human activities, however, is recognized as one of the major
causes of water pollution and water quality impairment. More information on basic habitat information measures
can be found in chapter 4 of EPA's Volunteer Stream Monitoring: A Methods Manual, available online at http://
www.epa.gov/owow/monitoring/volunteer/
stream/, and in EPA's Rapid Bioassessment
Protocols for Use in Wadeable Streams
and Rivers: Periphython, Benthic,
Macroinvertebrates, and Fish, Second
Edition, available online at http://
www.epa.gov/owow/monitoring/rbp/. These
manuals describe several habitat assessment
methods. Any of the methods listed for
habitat assessment are acceptable, but EPA
expects that tribes will progress from
simpler methods to more complete
assessments as programs mature. State
agencies may have modified EPA's
protocols to develop habitat assessment
procedures on an ecoregion basis (or other
scale). Many states have placed monitoring
protocols and documents on their agency
Web sites. These tools may be useful for
tribal programs.
Slump erosion, Nemadji River Basin Wisconsin, USD A Natural Resources
Conservation Service. Photo courtesy of the EPA Great Lakes National
Program Office.
C. Determine Monitoring Frequency of Each WQI/Parameter
When determining the monitoring frequency for each WQI/parameter, certain factors should be considered,
including cost, time, resources, accessibility of monitoring site(s), seasonal flows and conditions, and the
significance of each WQI. Conditions in water bodies change over the course of a day, from season to season,
and from year to year (page 19 of Listening to Watersheds has examples of how water quality conditions can
vary based on when you collect your samples). These changes can be the result of natural variability (e.g.,
seasonal change, drought) or variability caused by human activity (e.g., construction, agriculture). Pages 41-44 of
Listening to Watersheds contain some general information that will help you decide when and how often to
collect your monitoring samples. Be sure to take into account index condition considerations as appropriate. For
example, threshold values for trophic state indices and biological metrics can be calibrated to specific periods of
time.
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D
Select Monitoring Sites
The approach to selecting the water bodies that will be monitored and the monitoring locations within each water
body should fall into one of the three categories described below. The census and probability-based approaches
may be most appropriate for tribes with more mature water quality programs, but you should use whichever
approach makes most sense for your program given its goals and the resources you have available.
• Census: This approach means every water body on a reservation will be monitored.
• Probability-based monitoring: In this approach, your survey design will be based on some form of
random selection of sites or sampling location. This approach eliminates the potential for sampling bias
towards waters with known problems. A probability-based design allows the extrapolation from a relatively
small sample of monitored sites to the entire population of water body types covered by the design.
• Judgmental or targeted assessment: In this approach, you will place monitoring sites at specific
locations to meet a pre-determined purpose. Each site is selected on the basis of specific requirements that
meet monitoring objectives. The selection process may consider environmental features (e.g., flow),
human population densities, and ease of access to the site.
Use the approach that most closely reflects your monitoring objectives, taking resource and time considerations
into account. Pages 29-37 of Listening to Watersheds contain information on selecting monitoring sites.
E. Determine How Monitoring Data Will Be Used and Displayed
To determine how you will use and display your monitoring data, you should consider how it will help you measure
your progress in meeting your monitoring objectives, identify trends, and address water quality concerns. You also
may want to consider your target audience(s). See section 1.3 of this chapter for more information on data use
and data display.
c. Developing Standard Operating Procedures
Once you have decided what parameters you will monitor and where you will collect your monitoring data, you
should decide when and how often you will collect your samples and develop proper procedures for sample
collection, storage, preservation, tracking, chain of custody, QA, and analysis. You will also need to set procedures
for sampling equipment maintenance, including calibration. These procedures are known as standard operating
procedures (SOPs). SOPs are documents that describe
activities that are of a routine and/or repetitive nature.
Their objective is to achieve consistency and uniformity
when performing tasks. They are also useful in training
staff. Your SOPs should include procedures for every
parameter you are monitoring, including parameters
measured on-site using field instruments (e.g., water
temperature, stream flow) and parameters measured in
a tribal laboratory (e.g., total solids). Laboratories also
use SOPs in their work, and in some cases it may be
useful for the tribe to review commercial laboratories'
SOPs as they may contain quality control information
not found in the laboratories' QA plans. If you need to
use an outside commercial laboratory, other tribes in
your region can help you identify qualified labs in your
area that may be able to provide sample analysis.
Penobscot Indian Nation Department of Natural Resources
staff cross-checking calibration of dissolved oxygen meters
before sampling Penobscot River. Photo courtesy of the
Penobscot Indian Nation.
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EPA has developed methods manuals for many types of monitoring. The manuals include general information for
monitoring all parameters as well as parameter-specific information on sampling and equipment considerations
and proper collection and analysis procedures. You should use these methods manuals to help you develop your
SOPs. These documents are available online at http://www.epa.gov/owow/monitoring/volunteer/.
Wetlands Monitoring
Because of their composition, wetlands are more complicated to monitor than most surface water bodies.
Wetlands monitoring consists of several components:
• Establishing baseline condition of wetlands, including their extent and condition
• Measuring the physical and chemical properties of the wetland, including pH, color, turbidity, dissolved
oxygen, total phosphorus, and sediment samples
• Determining the hydrogeomorphic setting and function
• Cataloguing biodiversity, the presence of rare or endangered species, and items of cultural significance
• Inventorying local contamination sources, such as stormwater culverts and septic fields
Tribes conducting wetlands monitoring should consult EPA Region 9's Wetlands Quality Assurance Project
Plan Guidance, available online at http://www.epa.gov/Region9/qa/pdfs/wetlandsqapp-04.pdf. which is
designed to assist in documenting procedural and data requirements for projects involving environmental
measurements and wetlands monitoring. For information on beginning a wetlands monitoring program, refer to
Volunteer Wetland Monitoring: An Introduction and Resource Guide (EPA 843-B-00-001) at http://
www.epa.gov/owow/wetlands/monitor.
d. Developing QAPPs
All EPA-funded projects for the collection of data must have an EPA-approved QAPP before any monitoring
activities may begin. As noted above, the QAPP is a written document that outlines the procedures that a
monitoring project will use to ensure that the samples collected and analyzed, the data stored and managed, and
the reports produced are of sufficient quality to meet project needs. QAPPs cover monitoring, data management,
and data analysis and assessment activities.
Your QAPP must include data quality objectives (DQOs). DQOs are the qualitative and quantitative statements
that clarify study objectives, define the appropriate type of data to meet the objectives, and specify tolerable levels
of potential decision errors that will be used as the basis for establishing the quality and quantity of data needed to
support decisions. DQOs define the performance criteria that limit the probabilities of making decision errors by
considering the purpose of collecting data, defining the appropriate type of data needed, and specifying tolerable
probabilities of making decision errors.
Use the Web sites listed on page 4-4 and contact your EPA regional office and quality assurance manager for
more information on developing your QAPP. EPA's Guidance for the Data Quality Objectives Process (EPA
600/R-96/055), available online at http://www.epa.gov/quality/qs-docs/g4-final.pdf. contains more information on
DQOs.
e. Analyzing Monitoring Samples Using Outside Laboratories
In some cases, you may lack the in-house expertise or equipment to analyze some water quality samples or
perform taxonomic identification and enumeration of biological samples. In these cases, you will have to send your
samples to an outside laboratory for analysis. You should develop SOPs to document how you will track samples
that you ship to laboratories, including chain-of-custody procedures and procedures for field crews to follow when
collecting, transferring, storing, and shipping samples. These SOPs should be included with the tribe's QAPP. If
SOPs are not developed, the tribe should document how these activities will be carried out in its QAPP.
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From Integrating Quality Assurance into Tribal Water Programs, EPA Region 8 Water
Management Division, Water Quality Branch, page 8:
When choosing a laboratory for analyzing your water quality samples, it is best to conduct interviews.
Provide the laboratory with a list of questions regarding the analyses you anticipate you will need and talk
directly with the laboratory manager. When you develop a contract, include a specific period of time that the
contract will cover, the scope of work (including materials the laboratory will furnish), terms for payment, a
provision for giving both the tribe and EPA the right to audit the laboratory, and other terms and conditions
as required or recommended by the tribal program. Make sure to agree on turnaround time in advance.
When contracting with a laboratory, make sure you get a copy of its QA/QC plan and include it as an
appendix to your QAPP.
You should also discuss the format in which your laboratory will provide your monitoring results. Discuss if
the lab can supply the data in a format compatible with your data management system or STORET. You will
need to report certain data elements in a STORET-compatible format; receiving results from your lab in this
format will reduce your data management burden. See chapter 8 for more information on data reporting
requirements.
f. Submitting your QAPP for EPA Review and Approval
Once you have established what parameters you will monitor, how and when you will collect samples, and what
procedures you will use to handle your samples, and have incorporated them into your QAPP, you should submit
your QAPP to your EPA grant project officer, who will forward it to the appropriate regional staff for review and
approval (EPA Order 5360.1A2). Upon EPA approval, you should begin implementing your monitoring program.
To the extent possible, you should utilize the design, implementation plan, and sample collection procedures you
have developed. If you do not follow your procedures, you may find that the quality of your data does not meet
your expectations or that you do not have enough data for your analysis and assessment activities.
Over time, you may find that you need to modify or refine your monitoring program to address new water quality
issues or concerns. For example, you may need to update your sample collection procedures to include new
parameters. Section II. 1 of this chapter contains more information on considerations for updating your monitoring
procedures.
g. Incorporating Your Monitoring Results into Your Community Outreach
Program
If you are conducting any public outreach activities (discussed in section 1.12 of chapter 3), use monitoring data to
reinforce your message. You should use the data analysis tools discussed in section 3, below, to summarize and
report data in a way that makes sense to your community. Your community is more likely to share your concerns
or understand your accomplishments if you can provide quantitative data that support your claims. If you have not
yet begun to conduct public outreach, consider reporting your monitoring results to your community.
2. Data Management
Monitoring data will not be especially useful to your program unless you are able to store your results (and
information about your results) in a format that allows you to manipulate, summarize, and analyze them. The
process of converting your monitoring results into a useful set of data that you can use to make decisions about
your program is known as data management. This section provides information on managing your data, including
how to compile useful data sets, store and manage your data in an electronic format, validate your data, and
report your results. Pages 71-73 of Listening to Watersheds also contain information on data management.
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a. Understanding and Compiling
Metadata are "data about data," that is, information about a specific water quality sample that helps to provide
context for the sampling activity. Metadata contain information about when, where, why, and how a water quality
sample was collected. Recording metadata is important for a number of reasons:
• Metadata help you improve your analysis of water quality conditions. As noted in section 1.1 .b of this
chapter, conditions in water bodies change over the course of a day, from season to season, and from year
to year. If you do not have information that helps you identify the context for your samples, you will not be
able to make comparisons among water bodies or across time.
• Metadata increase the validity of your results. The more information you can provide about the
circumstances surrounding a water quality result, the more weight your reports will carry.
• Metadata can help you understand unexplained or unusual results. For example, if you knew when a
sample was collected, you could tie an unexpectedly high result to a reported spill.
• Although you collect water quality samples to help meet your current goals and objectives, you may want
to use the data for different purposes in the future. To decide whether you can use the data for other
purposes, you will need to understand the context in which the sample was originally collected.
• The technician who collects a water sample and the staff of your program at the time of sample collection
know when, where, how, and why they are monitoring, but as time passes and staff change, that
information will be lost unless you track it. Collecting metadata will help future program staff members
better understand past data.
• If you share your data with any other tribal entity, EPA regional offices, or states, metadata will make the
sample results more useful to them.
When monitoring, you should record metadata such as the location where you collected each sample (e.g.,
longitude and latitude, water body), the conditions at the time of collection (e.g., water temperature, flow,
atmospheric conditions), units for each parameter, replicate information, and the date and time. Also record
information such as the reason you collected the sample (e.g., to determine if phosphorus poses a threat to a
particular water body), what method you used to analyze the sample, and the method's detection limit. EPA
Headquarters will work with tribes and EPA regional offices to develop a standard format for data reporting,
including metadata. Standard templates will be available through EPA regional offices before tribes begin to
implement the reporting requirements outlined in this document.
What is Georeferencing?
Georeferencing describes the process of locating an event according to its latitude and longitude.
Georeferencing has become more prominent in recent years due to the increasing availability of Global
Positioning Systems (GPS) and Geographic Information System (GIS) tools designed to facilitate this process.
GPS units allow technicians in the field to determine the latitude and longitude of a position. Once a water
body has been georeferenced using a GPS unit, the data can be entered into the GIS, which is a computer
system for capturing, storing, manipulating, analyzing, and displaying data related to positions on the Earth's
surface. Once a water body has been georeferenced, the relationship between it and its location can be used
to map and display information about it. Using GIS tools to analyze data can help you spot and track
information related to a water body's location. Visit http://www.epa.gov/owow/monitoring/georef/ for more
information on georeferencing.
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b. Developing Electronic Data Storage Capacity
To use and analyze your data effectively, you should store data in a way that allows them to be easily organized,
summarized, and manipulated. Electronic spreadsheets will allow you to easily store data. Many spreadsheet-
based software programs you can use for this purpose are commercially available. Some of these programs also
include tools (e.g., graph-building, calculator, and modeling functions) that will help you analyze, manipulate, and
report your data. Pages 71-90 of Listening to Watersheds provide more information on electronic data storage.
Depending on your familiarity with computers, you may want to take a basic spreadsheet or database training
course. You can find courses through local community colleges, night classes at high schools, or commercial
computer training centers.
EPA expects that all required tribal data ultimately will be submitted to its water quality data warehouse but
recognizes that in many cases tribes lack the financial and technical resources to upload their data. In these cases,
EPA will assist tribes with the process.
c. Managing Electronic Data
Once you can store your data electronically, you should develop procedures to manage your electronic data.
Procedures should include information on:
• Checking field and lab forms for accuracy and completeness
• Entering the information into your electronic software program
• Evaluating data and producing reports
• Reviewing data after entry
• Backing up electronic data
Backing Up Electronic Data
You need to back up your data regularly to make sure that you do not lose information if your electronic files
are lost or destroyed because of a computer failure, software problem, or user error. You can back up data in
a number of ways, such as copying the information to a CD, external hard drive, or flash drive or by
electronically transmitting your data to another computer. You should store a backup copy of your data offsite
to prevent loss in case your office is damaged. Some computer systems include built-in backup tools. Consult
the user manual for your computer to see if your system includes this capability.
EPA's STORET water quality data warehouse can also serve as an off-site data repository. Tribes should
consider reporting as much data as possible to make sure that the data are not lost if their internal data
management system fails.
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d. Performing Data Validation as Part of Your QA/QC Plan
You should establish a procedure for reviewing your data and making decisions about accepting, rejecting, or
qualifying them. Procedures can include:
• Comparing entries from field data sheets to information entered into your electronic spreadsheets
• Looking for data gaps
• Examining results for unexpectedly high or low results
• Checking calculations
• Correcting errors
• Comparing project data to specified QA/QC criteria
• Calculating precision and accuracy of instruments, placing this information in your metadata file, and
submitting this data to EPA
• Reviewing field data sheets for completeness and accuracy before leaving the field
• Reviewing QC sample results to ensure acceptance criteria (either established by the tribe or defined in
the laboratory's QA plan and SOPs) were met
You should include this information in your QAPP Chapter 4 of EPA's The Volunteer Monitor's Guide to QAPP
contains more information on data validation and QAPPs. Your data should be validated according to your
procedures before you submit it to EPA.
e. Reporting Data to EPA
Your region will require you to submit certain data elements to EPA based on the agreed upon schedule and
format in your work plan. In addition, you will be required to submit your data in an electronic format agreed upon
with your EPA regional office. Standard templates for data reporting will be available through EPA regional
offices. You will also be required to submit an Assessment Report to EPA to demonstrate how you have
interpreted your data to meet your objectives. See chapter 8 for more information on these reporting
requirements.
3. Data Assessment and Analysis
a. Developing Data Assessment and Analysis Capabilities
Monitoring results cannot be used with confidence unless you assess your data. Data assessment is the process
in which you evaluate field, lab, and data management activities, organizations (e.g., labs), and personnel. The
assessment can include evaluations of performance (e.g., sample collection techniques), systems (e.g., equipment
and analytical procedures), and data quality (e.g., comparisons of actual data results with project quality
objectives). You should decide ahead of time how your program will correct any problems that you identify during
your assessments. Corrective actions could include calibrating equipment more frequently or providing more
training to your staff.
Data analysis is the process through which monitoring results are evaluated to determine what they reveal about
the condition of a water body. You will need to summarize your data and put them into a manageable form to
prepare it for analysis.
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Data analysis should provide answers that address monitoring objectives and goals. During data analysis, you
should also evaluate whether you need more or different kinds of data. Listening to Watersheds lists some
typical ways in which data are analyzed, including:
• Status: comparing indicators against WQS or water quality goals you have established for a water body
• Trends: comparing an indicator or indicators at one site over time
• Site comparison: comparing an indicator or indicators at different sites at the same time
Pages 75-90 of Listening to Watersheds have more information on data assessment and data analysis.
b. Developing Data Display Capabilities
You may find visual displays of the results of your analysis useful in understanding your data and presenting it to
your community. As noted above, many software packages used to store data can quickly and easily produce
graphic displays such as bar graphs, line graphs, and pie charts. Pages 78-80 of Listening to Watersheds have
more information on developing charts and graphs.
c. Using Data to Understand Problem Areas and Trends
/'. Using Data from Additional Sources
Your monitoring data are not the only data you can use to evaluate the condition of your water bodies. If available,
incorporate other data such as the water body's geological characteristics, beach closures, fish consumption
advisories, fish kills, and data from upstream and downstream states or tribes into your analysis. You can consult
the organizations listed in section 1.4 of chapter 3 or other environmental programs within your tribe to obtain this
information. If your tribe has completed a source water assessment for its public water supplies, you can also use
it as a resource. In addition, EPA maintains a number of databases containing data related to water quality online.
You can access these databases at http://www.epa.gov/owow/data.html. EPA's Surf Your Watershed Web site
(http://www.epa.gov/surf/) also can help you locate and use environmental information about your watershed.
Note that if data from secondary sources are used in decision making, then the tribe's QAPP must include a
discussion of how the data from the secondary source will be reviewed and determined suitable for the purpose
for which the tribe intends to use it.
Once you have reviewed all of the available data, including your monitoring results, you should understand some
of the problems facing your water resources. The next sections will help you identify possible causes of problems
and sources of pollution.
/'/'. Understanding Common Causes of Water Quality Problems
A number of factors can contribute to water quality problems in surface water and ground water. In addition to
the parameters listed in section I. l.b of this chapter, some additional common pollutants and stressors include:
Metals: Metals can reduce reproductive success, prevent proper growth and development, and even kill fish and
shellfish. In addition, some metals accumulate in fish and shellfish, affecting humans, animals, and birds that eat
them. More information on metals is available online at http://www.epa.gov/bioindicators/aauatic/pollution.html.
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Monitoring Activities on the Southern Ute Indian Reservation
The southwestern region of the United States has been experiencing extreme drought and fire conditions
and as such, the Missionary Ridge Fire Complex affected La Plata County, Colorado, where the Southern
Ute Indian Reservation is located, during summer 2002.
An initial Burn Area Emergency Rehabilitation (BAER) report was completed and at that time a total of
$39.8 million was expended for fire suppression and air support (USFS BAER Report, July 2002). At that
time mitigation measures were initiated by the BAER Mitigation Team to minimize the impact to the Animas,
Florida, and Pine Rivers when the monsoon pattern began. Unfortunately, all three rivers were impacted
with heavy sediment loading as a result of numerous mudslides that occurred and are still occurring within
the burn area. Current water uses on these streams include Tribal and non-member agricultural and
domestic uses. The State of Colorado has designated the Pine, Florida, and Animas Rivers as agriculture
and drinking water supply, Aquatic Cold I, and Recreation I.
Along with the sediment and organic matter being washed into the streams from the burned areas, the
drought has resulted in low flows, and thus indications of nutrient enrichment on the Pine and Animas
Rivers. WQ staff have witnessed water quality impacts such as ash and debris material within the Pine,
Florida, and Animas Rivers and have been monitoring for macroinvertebrates, dissolved oxygen, turbidity,
pH, conductivity, temperature, pebble counts, and measures of embeddedness since the fire was officially
contained in July 2002.
For the long-term monitoring program, it is important
that the effects of the fire and drought be distinguished
from anthropogenic effects. Monitoring for the effects
of the fire is conducted in parallel with monitoring for
the effects of nutrient enrichment. Tribal WQ staff are
participating with other entities such as EPA Regions 6
and 8, Bureau of Reclamation (BOR), Ute Mountain
Ute Tribe, New Mexico's Surface Water Quality
Bureau (SWQB), Colorado Department of Public
Health and Environment (CDPH&E), Colorado
Department of Wildlife (CDOW), and several special
interest groups to address this issue on the Animas
River.
Ashy sediment clogged irrigation diversions and
embedded aquatic habitat. Photograph courtesy of EPA
Region 8.
To complete a comprehensive study of the long-term
impact of fire and anthropogenic effects, monitoring
has been conducted and will continue for a number of
years. Based on document searches and long-term
research of the effects of fires on un-dammed streams conducted in Idaho and Yellowstone National Park,
the effects of Missionary Ridge fires may be observed for approximately 8 to 10 years.
The successful development of the EPA-funded Southern Ute Tribal Water Quality Program laid the
foundation for participation in this project. The Tribe provided valuable insight, access, and water quality
data that would not have been available to this emergency response team without years of sustained water
quality data collection and management by the Southern Utes. The Southern Utes have proven themselves as
leaders in tribal water quality data collection and assessment, and their expertise have been invaluable in the
Missionary Ridge Fire Complex BAER Team post-fire assessment.
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Pesticides: Pesticides are organic compounds that are used in agriculture, animal feeding operations, and other
activities. Pesticides are toxic to many animals and may bioaccumulate in the environment. Any use of pesticides
in or near surface water bodies or aquifer recharge areas may lead to residues in water, fish, and shellfish.
Sources of pesticides include crop and urban runoff. You can find more information about pesticides at EPA's
Office of Prevention, Pesticides, and Toxic Substances Web site, http://www.epa.gov/oppts/ and EPA's Office of
Pesticide Programs Web site, http://www.epa.gov/pesticides/.
Salinity: Salinity is a measure of the total salt content in water. Excess salinity can affect wildlife and the
suitability of water for drinking. Agricultural irrigation can cause excess salinity. Urban and industrial uses can
also cause salinity problems. Salt water intrusion into fresh water sources is a related problem. Salinity
measurements are often included in measurements of Total Dissolved Solids (TDS). For more information on
salinity, see http ://www.epa.gov/watrhome/you/salty.html.
Flow Alterations: Activities such as dam construction and water withdrawals can alter the natural water flow.
Flow alteration threatens water bodies in different ways. Reduced flows impair the ability of water bodies to flush
out nutrients and organic matter, thereby increasing contaminant concentrations. In addition, lower water levels
can also affect aquatic species that require specific water levels to survive. Problems such as degradation of river
and stream bottoms may also occur when water flow increases. Impervious surfaces can limit ground water
recharge, diminishing the quantity of ground water available for use and/or increasing the cost of obtaining ground
water. More information on flow alterations is available online at http://www.epa.gov/bioindicators/aquatic/
hydrology.html.
/'/'/'. Understanding Common Sources of Impairment
EPA's guidance for tribal water quality reporting, Knowing Our Waters: Tribal Reporting under Section
305 (b), identifies the most common sources of water quality impairments. These activities (listed below) can
potentially cause the impairments listed in the previous section:
Channelization: Changes created by channelization and channel modification can be problematic if they alter
environmental conditions. Channel modification can change the natural flow of water as well as water
temperature and sediment characteristics, which in turn can affect water quality and the wildlife in the water
body. More information on channelization is available online at http://www.epa.gov/owow/nps/MMGI/Chapter6/
ch6-2a.html.
Feedlots: Animal wastes from large, industrial feedlot operations are among the greatest threats to our nation's
waters. Oxygen-demanding substances, ammonia, nutrients (including nitrogen and phosphorus), solids, pathogens,
and odorous compounds are the pollutants most commonly associated with animal waste. Manure is also a
potential source of salts, trace metals, and, to a lesser extent, antibiotics, pesticides, and hormones. Animal waste
and wastewater can enter water bodies from spills or breaks of waste storage structures (due to accidents or
excessive rain). More information is available online at http://cfpubl.epa.gov/npdes/home.cfm?program_id=7.
Irrigated Cropland: Irrigation waters transported in open, unlined canals can seep into adjacent soils, eventually
carrying soluble pollutants into ground or surface waters. Too much irrigation results in a portion of applied waters
running off the land into surface waters or seeping through the soil and eventually ending up in surface or ground
waters. Pollutants carried by irrigation waters can include sediment and organic solids, nutrients (including
nitrogen and phosphorus), chemicals, metals, a portion of the applied pesticides, salts, bacteria, viruses, and other
microorganisms. You can find more information on irrigated croplands online at http://www.epa.gov/ow/you/
chap2.html.
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Land Disposal of Hazardous Waste: Currently, about 23 million tons of hazardous waste are disposed of on
land each year. Land disposal can be either in or on the ground — in a landfill, injection well, or other land-based
unit. Even though landfill units are equipped with safeguards, when hazardous waste is not properly treated before
land disposal, it can contaminate ground water. Rain can penetrate and pass through hazardous waste and can
leach out and carry hazardous chemicals into the ground water. For more information, see EPA's Web site on land
disposal, http://www.epa.gov/epaoswer/hazwaste/ldr/snapshot.htm.
Municipal Discharges: Wastewater is considered a potential source of pollution because it may — especially if
it is untreated or only partially treated — contain organic and inorganic materials that can be hazardous to humans
and other life forms. Treated, untreated, or partially treated wastewater may also contain small amounts of
radiation or toxics that increase the temperature of waters, affecting aquatic wildlife and habitat. Discharged
wastewater, especially if it is untreated or partially treated, may reduce the amount of dissolved oxygen in the
receiving stream and can be a source of E. coll, enterococci, and other pathogens. For more information on
wastewater management and municipal discharges, visit EPA's Office of Wastewater Management (OWM) Web
site, http://www.epa.gov/owm/.
Pastureland: Overgrazing exposes soils, increases erosion, encourages invasion by undesirable plants, and
reduces the filtration of sediment necessary for building streambanks, wet meadows, and floodplains. This may
result in nutrient runoff and sediment deposition in nearby waterways. You can find more information on
pasture land and other potential sources of agricultural pollution at http://www.epa.gov/region08/water/nps/
npsag.html.
Forestry: Studies show that a timber harvest
disturbs 8-10 percent of the total area in road
construction and landing sites. These areas can
contribute to erosion, soil loss, and sedimentation.
Forestry can also increase water flow through
cleared sites and cause erosion along
streambanks. EPA's NPS Web site (http://
www.epa.gov/owow/nps/forestry.htmn contains
more information on forestry.
Streambank Modification: Shoreline and
streambank erosion can result in excessively high
sediment loads and increased turbidity and
nutrient levels that can adversely affect aquatic
vegetation, shellfish beds, and tidal flats. More
information on streambank modification is
available online at http://www.epa.gov/
bioindicators/aauatic/hvdrology.html.
Loading logs on truck for transport to milling plant, Superior National Forest
Minnesota USDA Forest Service, Superior National Forest. Photo courtesy
of the EPA Great Lakes National Program Office.
Surface Mining: Mining creates acid mine drainage, a metal-rich water formed from the chemical reaction
between water and rocks containing sulfur-bearing minerals. The runoff formed is usually acidic and frequently
comes from areas where ore or coal mining activities have exposed rocks containing pyrite, a sulfur-bearing
mineral. Metal-rich drainage can also occur in mineralized areas that have not been mined. Mine drainage can
contaminate drinking water and disrupt the growth and reproduction of aquatic plants and animals. For more
information on mining, see EPA's NPS Web site, http://www.epa.gov/region3/acidification/what_is_amd.htm.
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4. Initiating Mitigation Measures for Known Water Quality Problems
Once you have a grasp of possible causes and sources of water quality problems in your water bodies, you can
begin to address them. If the problems stem from point source dischargers (e.g., industrial facilities or publicly
owned treatment works), the discharges can be regulated through National Pollutant Discharge Elimination
System (NPDES) permits. See section III.5 of chapter 7 for more information about the NPDES program. If a
variety of sources are causing the problem, NPS pollution can be controlled through management measures. NPS
and management measures are discussed in chapter 5. Remember that structural management measures and
management measures requiring construction are not allowable activities under Section 106 grants.
In many cases, (e.g., if facilities or events occurring upstream and/or on private property over which the tribe has
no control are contributing to a water quality problem), the causes and sources of impairment may be difficult for
tribes to address. In these cases, tribes may wish to cooperate with other local governments and consider
implementing a watershed-based plan or other NPS control activities.
Mitigation Measures for Ground Water
Many tribes obtain much of their drinking water from ground water wells and therefore monitor and sample
their ground water to determine its quality. Samples from these wells can help tribes that rely on ground
water to understand its characteristics and quality. Several tribes whose monitoring results revealed ground
water contamination have developed wellhead protection programs. Wellhead protection programs are
programs designed to protect the "wellhead"—the surface and sub-surface area surrounding a ground
water well—from contaminants. Wellhead contamination comes from a variety of sources, including septic
tanks, landfills, animal waste lagoons, and agricultural runoff. Identifying wellhead areas and developing
management strategies to protect them are critical activities for tribes that rely on ground water.
Source Water Assessment Programs (SWAP) are another effective component of ground water protection.
Source water assessments consist of delineating a source water protection area, conducting a contaminant
source inventory, determining the susceptibility of the public water supply to contamination from the
inventoried sources, and releasing the results of the assessment to the public. For more information on these
programs, go to http://www.epa.gov/safewater/protect/swap.html. Chapter 5 contains more information on
source water assessments.
Even if monitoring reveals that your ground water has no substantial contamination, it is important to be
proactive to ensure that your ground water remains pristine.
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II. Intermediate Program Activities
1. Monitoring
a. Updating Monitoring Goals, Strategies, and Objectives
As your program goals change, you should modify your monitoring goals and objectives. You should review your
monitoring goals, strategies, and objectives during your program self-evaluation. See section I.14.b of chapter 3
for more information on conducting a program evaluation. Use the questions presented in section 1.1 of this
chapter to determine whether you should update monitoring goals, strategies, and objectives. Remember that as
your program matures, your goals and objectives should tie to CWA goals and objectives. See EPA's Elements of
a State Water Monitoring and Assessment Program for more information on CWA goals and objectives. In
addition, consult EPA's Guidance for the Data Quality Objectives Process (EPA QA/G-4 available online at
http://www.epa.gov/quality/qs-docs/g4-final.pdf) for more information on defining objectives.
b. Expanding and Refining the Baseline Monitoring Program
As your monitoring program expands and your goals and objectives change, remember to evaluate your
monitoring program to ensure that it is still providing the information you need. Remember that if you change any
aspect of your monitoring program, you will need to update your QAPP and SOP documents and submit them to
your EPA regional office for approval.
/'. Updating Monitoring Design
As your understanding of your tribe's water quality and the sophistication of your program increases, you may
want to consider whether a probability-based monitoring design is applicable to your tribe (probability-based
monitoring may not be necessary for many small tribes with few water bodies). This type of monitoring design
relies on samples taken at a randomly selected sample of the target water bodies. The results of these samples
are used to make statistical inferences about the distribution of values for the entire population of water bodies.
Chapter 11 of EPA's Consolidated Assessment and Listing Methodology (CALM) (available online athttp://
www.epa.gov/owow/monitoring/calm/calm_chl 1 .pdf) contains more information on probability-based monitoring.
You may need to alter your monitoring design if your program priorities change. For example, if you were using
probability-based monitoring to provide a broad overview of the water quality of water bodies on your reservation
and in the process identified a water body with pollution problems that you want to study more closely, you may
need to incorporate targeted monitoring into your design. In addition, you may want to consider including
effectiveness monitoring in your design. Effectiveness monitoring helps you collect water quality information to
see if your projects resulted in improved water quality. Effectiveness monitoring will help you understand how
well your efforts worked, whether you should continue implementing them, whether you should redesign them to
work better, or whether you should try other measures.
Even if your program goals have not changed, you should review your monitoring design to make sure that it
allows you to collect the data you need. For example, if you are using targeted or probability-based monitoring,
evaluate your monitoring data to ensure that the monitoring locations you selected best represent water resources.
You also should begin to monitor for additional WQI to complement the priority indicators for which you already
monitor. Additional parameters will help give you a more complete picture of water quality. They can include
water-body-specific pollutants, ambient and sediment toxicity, health of organisms, and nutrients. Analyze your
monitoring data and work with your EPA regional office, neighboring tribes, neighboring states, and appropriate
federal agencies to help you identify any supplemental indicators for which you should monitor. Section 1.1 .b of
this chapter provides more information on supplemental WQI. In some cases, you may also want to consider
reducing or eliminating monitoring for some parameters at sites where your baseline data indicate that there is not
a water pollution problem.
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Only tribes with mature programs are required to report macroinvertebrate data to EPA. Depending on the needs
of your program, however, you may want to begin collecting data on aquatic life earlier in program development.
Biological assessment is an evaluation of the condition of a water body using biological surveys and other direct
measurements of the resident biota in surface waters. In addition to helping you determine if the water body is
supporting aquatic life, collecting biological data can help you:
• Characterize the existence and severity of impairment to the water resource
• Evaluate the effectiveness of control actions and restoration activities
• Support use attainability studies and cumulative impact assessments
• Characterize regional biotic attributes of reference conditions
Check EPA's Rapid Bioassessment Protocols for Use in Streams and Wadeable Rivers: Periphyton, Benthic
Macroinvertebrates, and Fish, Second Edition (Barbour, M.T., J. Gerritsen, B.D. Snyder, and J.B. Stribling;
EPA 841-B-99-002; 1999, available online at http://www.epa.gov/owow/monitoring/rbp/) for more information on
bioassessments.
/'/'. Implementing Multiple Monitoring Designs
As your monitoring program matures, its sophistication should increase. You should be collecting more samples,
but you probably will not measure the same parameters for every sample. Your monitoring objectives and
monitoring designs may vary by water body or type of water body. To address this increased complexity, you can
organize your monitoring designs by water body type (e.g., ground water, lake, river), by watershed, by timing
(e.g., seasonal, year-round, special study), by issue of concern (e.g., NPS pollution, point dischargers, specific
pollutants), or by any other categorization that makes sense for your tribe. Developing multiple monitoring designs
will give you the flexibility to shape monitoring for different water bodies in the way best suited to the objectives
related to each water body.
/'/'/'. Conducting Special Studies
In collecting and analyzing monitoring data for your waters, you may identify areas of particular concern or
interest. You may want to monitor the effects of an activity (e.g., a new construction project) on a specific water
body. Or you may find that your monitoring program does not fully address a new program need. In situations like
these, you should consider conducting a special study. Special studies supplement your baseline monitoring
program and will provide you with monitoring data to answer specific questions. To carry out a successful special
study, you should follow the procedure outlined in EPA's Guidance for the Data Quality Objectives Process
(EPA QA/G-4), available online at http://www.epa.gov/quality/qs-docs/g4-final.pdf
2. Data Management
a. Updating and Upgrading Electronic Data Systems
Hardware (e.g., computers, monitors) and software (e.g., spreadsheet programs, database programs)
manufacturers often develop new and improved products that, over time, may make your existing system
obsolete. At some point, you may need to invest in new hardware and software products.
In addition, you should regularly check the Web sites or product centers of your hardware and software
manufacturers to see if any upgrades are available. Many times, software manufacturers will issue product
upgrades or modifications free of charge.
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As the amount of data you store increases, you may find that the hardware and software tools no longer address
all of your data management needs. If this is the case, consider upgrading to a more powerful computer with
greater storage space or processing capacity or a more powerful software package. You may need to upgrade
from a spreadsheet-based program to a database management system. When investing in new software,
remember to consider how you will transfer your data from your existing system into your new software. Most
database management systems allow you to import spreadsheets easily, but you should verify that your new
software is compatible with your old software and make sure that you understand how to transfer your data.
b. Incorporating Additional Monitoring Parameters
When you expand your monitoring program, remember to modify your data management tools to account for
those changes. If you begin to collect additional parameters, make sure that you update your data management
procedures to include procedures for these parameters. Remember to adapt any other electronic tools you use
(e.g., graphing tools, GIS tools) to reflect new data inputs.
c. Using STORET or Electronically Compatible Formats
EPA maintains a database that contains water quality information for the nation's waters. The database, known as
STORET, contains data collected since 1999, along with older data that have been properly documented and
migrated. STORET contains raw biological, chemical, and physical data on surface water and ground water
collected by federal, state, and local agencies, tribes, volunteer groups, academics, and others. All states,
territories, and jurisdictions of the United States are represented in these systems.
Each sampling result in STORET is accompanied by information on where the sample was taken (latitude,
longitude, state, county, Hydrologic Unit Code, and a brief site identification), when the sample was gathered, the
medium sampled (e.g., water, sediment, fish tissue), and the name of the organization that sponsored the
monitoring. In addition, STORET contains information on why the data were gathered, sampling and analytical
methods used, the laboratory that analyzed the samples, the personnel responsible for the data, and the quality
control checks used when sampling and handling the samples.
You will be required to submit electronic reports of certain data elements discussed in this guidance to EPA in a
STORET-compatible format. Because of the technical challenges associated with submitting data to STORET, at
this time EPA will not require you to report data directly to STORET. More information on reporting requirements
is provided in chapter 8. If you would like to submit your data directly to the STORET data warehouse, you or a
contractor must operate STORET locally. The local STORET system is a data management system with data
entry and reporting software modules that operate on personal computers. If you are interested in using STORET
as your water quality data repository, EPA will provide you with the system free of charge. To receive a free
copy of STORET, call 1-800-424-9067 or send an e-mail to STORET@epa.gov. For more information, visit the
STORET Web site, http://www.epa.gov/storet/. EPA is working on improvements to the system that will eliminate
the need to run a local copy of STORET to submit data to the STORET central warehouse.
d. Maintaining a Database with Graphing Capabilities
As the amount of data that you have collected increases, making sense of it will be facilitated by electronic
capabilities such as graphing. Graphs are useful tools to identify environmentally sensitive areas, produce historical
water quality trends analyses, and create spatial and temporal representations of your water quality data. Some of
the products you use to store your data may have graphing tools. A number of GIS tools that can create graphs
are available.
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3. Data Assessment and Analysis
a. Evaluating Monitoring Program Effectiveness
As noted in section 1.14 of chapter 3, program evaluations are important to advancing program goals and
objectives. As you begin to accumulate monitoring data, remember to evaluate whether your monitoring data are
allowing you to meet your program goals. If you are not collecting the right data to achieve your goals and
objectives, identify what additional information you will need to meet your monitoring goals and consider adjusting
your monitoring program accordingly.
b. Measuring Water Quality Improvement
As you begin to implement mitigation or prevention programs to improve or protect water quality, your monitoring
program should allow you to evaluate the results of your protection and restoration activities. For example, your
monitoring results should enable you to determine WQS attainment for specific water bodies if you have
developed WQS. Use your monitoring program not only as an informational tool to help you learn about the
condition of your water resources but also as a diagnostic tool to evaluate the outcomes of your protection and
restoration activities.
III. Mature Program Activities
1. Understanding and Using EPA's "Elements"Guidance
At this point in your program development, your monitoring program should incorporate all of the elements
described in EPA's Elements of a State Water Monitoring and Assessment Program. You should have many of
these elements in place in your program already, but you may need to develop some elements to meet EPA
requirements. The following are the ten elements you should include in your monitoring and assessment program:
1. Monitoring Program Strategy: You should have a comprehensive monitoring program strategy that
meets your water quality needs and addresses all tribal waters, including streams, rivers, lakes, Great
Lakes, reservoirs, estuaries, coastal areas, wetlands, and ground water, as applicable.
2. Monitoring Objectives: You should identify monitoring objectives that are critical to the design of a
monitoring program that is efficient and effective at generating data that serve your decision needs.
3. Monitoring Design: You should use an approach and rationale for selecting monitoring designs and
sample sites that best serve your monitoring objectives.
4. Core and Supplemental WQI: You should use a tiered approach to monitoring that includes core
indicators selected to represent each applicable designated use, plus supplemental indicators selected
according to site-specific or project-specific criteria.
5. Quality Assurance: Your quality management plans and QAPPs should be established and maintained,
and should be approved by your EPA regional office and peer reviewed according to EPA policy to make
sure that your monitoring and laboratory activities are scientifically valid and that you are meeting all
reporting requirements.
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9.
10.
Data Management: You should use an accessible electronic data system for water quality, habitat, and
biological data, enter data in a timely manner, and provide public access to your data.
Data Analysis and Assessment: You should have a methodology for assessing attainment of your water
quality goals for all water body types and all tribal waters based on analysis of various types of data (e.g.,
chemical, biological, land use) from various sources. To the extent possible, your program should include
graphing spatial and temporal trends as a means of tracking water quality changes and identifying trends
overtime.
Reporting: You should produce timely and complete water quality reports and lists called for under CWA
Sections 303(d), 314, and 319 as applicable to your program responsibilities.
Programmatic Evaluation: In consultation with your EPA regional office, you should conduct periodic
reviews of each aspect of your monitoring program to determine how well it serves your needs for all
tribal waters and all water body types.
General Support and Infrastructure Planning: You should identify current and future resource needs to
fully implement your monitoring program strategy.
Refer to Elements of a State Water Monitoring and Assessment Program for more detailed information on
these elements of a mature water quality monitoring program.
Water quality monitoring. Photo courtesy of Gila River
Indian Community.
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Chapter 5: Nonregulatory
Approach
Introduction
This chapter contains information on addressing water quality problems on a watershed basis through
nonregulatory means, including watershed-based planning, nonpoint source (NFS) assessment reports and
management programs, source water assessment and protection, and other voluntary programs. The information
presented in this chapter is relevant for all tribes. Tribes that are developing regulation-based federally approved
Activities Included in Chapter 5
Fundamental Program Activities
1. Understanding Watershed-based Planning
2. Understanding NPS Pollution
3. Understanding Decentralized Wastewater Treatment Facilities
4. Understanding Source Water Protection
5. Choosing and Setting Water Quality Goals
6. Determining Areas with Water Quality Problems
7. Choosing and Setting Watershed-based Goals
8. Developing Projects to Meet Water Quality Goals
9. Conducting Public Outreach and Encouraging Public Involvement
Intermediate Program Activities
Tribes should begin these activities after having completed the relevant fundamental program activities.
1. Understanding Section 319 Grants
2. Section 319 Eligibility. Qualifying forTAS Eligibility for the Section 319 Program
Developing Section 319 NPS Assessment Reports
Developing Section 319 NPS Management Programs
3. Developing a Watershed-based Plan
4. Conducting a Source Water Assessment
5. Implementing Water Quality Protection and Restoration Activities
6. Implementing Section 106 Grant Activities Related to Decentralized Systems
7. Analyzing Water Quality Data and Defining Performance Measures
Mature Program Activities
Tribes should begin these activities after having completed the relevant fundamental and intermediate program activities.
1. Evaluating Restoration Activities
2. Providing Updated Information to Your Partners and Community
3. Refining Your Assessment Report, Management Program, Source Water Assessment, and Watershed-based Plan
4. Coordinating and Cooperating with Other Programs
5. Working in Partnership with Other Tribes and States
6. Other Voluntary Programs
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water quality controls or using tribal law to protect water quality could also benefit from applying the nonregulatory
approaches described in this chapter.
EPA has developed this approach in recognition of the fact that some tribes may lack the technical and financial
resources to implement a regulatory program. In some cases, nonregulatory approaches may address water quality
problems, including NFS pollution, more effectively.
This approach uses nonregulatory water quality goals and objectives to measure program results. These goals may
relate to the biology, chemistry, or habitat of the ecosystem and should focus on identifying the cause of the impact
and possible ways of addressing the impact. See section 1.1 .a of chapter 4 for more information on goals and
objectives.
The tools described in this chapter can include the development of regulatory components, such as zoning
ordinances or land use regulations, or coordination with a neighboring tribe or state in support of their regulatory
program. The intent of this chapter, however, is to highlight nonregulatory solutions for water quality problems.
Regulatory components will not be discussed in depth.
Many watershed-based activities to control water pollution require "on-the-ground" restoration or construction
activities that are not allowable activities under Section 106 grants. The discussion in this chapter is limited to
activities that can be implemented using Section 106 funds but provides links to other grant programs that fund
restoration or construction activities (e.g., CWA Section 319 grants).
I. Fundamental Program Activities
1. Understanding Watershed-based Planning
A watershed is a geographic area in which all of the falling water drains to a common water body. Watersheds may
be as small as a few acres or extend over thousands of square miles. Reservations often cover only part of a
watershed. A watershed can cross tribal and state boundaries and fall under the jurisdiction of tribal, state, and local
governments. It has been demonstrated that water quality improvements have been achieved when all the
communities in a watershed work together.
Watershed-based planning is a "place-based" method for maintaining, protecting, or restoring resources within a
watershed that relies on collaboration among interested stakeholders. Working together with a diverse array of
partners can help tribes identify and implement successful strategies to protect their waters.
Watershed planning generally follows the steps listed below:
Step 1: Build partnerships
Step 2: Characterize the watershed
Step 3: Finalize goals and identify solutions
Step 4: Design an implementation program and assemble a watershed plan
Step 5: Implement a watershed plan
Step 6: Measure progress and make adjustments
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EPA's Planning Handbook
EPA's Office of Water has published a guide to watershed management to help various organizations develop
and implement watershed plans. The Handbook for Developing Watershed Plans to Restore and Protect
Our Waters is aimed toward communities, watershed groups, and tribal, local, state, and federal environmental
agencies.
The handbook is designed to supplement existing watershed planning guides that have been developed by
agencies, universities, and other nonprofit organizations by taking users through each step of the watershed
planning process (including monitoring and assessment, community outreach, selection and application of
available models, best management practices, effective databases, implementation, feedback, and plan
adjustment). The handbook is more specific than other guides about quantifying existing pollutant loads,
developing estimates of the load reductions required to meet WQS, developing effective management
measures, and tracking progress once the plan is implemented.
Available online at http://www.epa.gov/owow/nps/watershed_handbook. copies can also be ordered from the
National Service Center for Environmental Publications. Call 1-800-490-9181 oremailncepimal@one.net.
When ordering, please refer to EPA document number 841-B-05-005.
Working with neighboring states and tribes on improving water quality on a watershed basis will allow you to
address problems on your reservation that originate from activities outside of the reservation thereby improving
the health of your watershed. Some states, tribes, or local governments may have watershed-based plans that you
can help to implement or adapt. In some cases, you may want to enter into agreements with state and local
governments, other agencies, or other tribes.
EPA encourages the development of watershed-based plans to protect pristine waters and restore impacted
waters in accordance with the requirements of the Section 319 program. Watershed-based plans provide a
coordinating framework for solving water quality problems by providing a specific geographic focus, integrating
partnerships, science, and data, and coordinating priority setting and integrated solutions. The watershed-based
plan should address a large enough geographic area so that its implementation will address all of the sources and
causes of impacts and threats to the water body in question. Where feasible, the plan should be designed to meet
WQS. Tribes should refer to EPA's Guidelines for Awarding Section 319 Grants to Indian Tribes, published
each year in the Federal Register, for specific guidance in developing watershed-based plans (the guidelines will
be made available each year on www.epa.gov/owow/nps/tribal.html when they are published). Section 106 grants
can be used to develop watershed-based plans; however, tribes using 106 funds for this purpose should ensure
that watershed-based plans meet programmatic requirements of the Section 319 program as described in the
annual Guidelines for Awarding Section 319 Grants to Indian Tribes. Watershed-based plans cannot be
implemented using Section 106 funds.
EPA's Office of Wetlands, Oceans, and Watersheds (OWOW) maintains a Web site with information about
watersheds at http://www.epa.gov/owow/watershed/. OWOW has also developed a manual called the
Community-based Watershed Management Handbook, available online at http://www.epa.gov/owow/estuaries/
nepprimer/handbook.htm. EPA's Watershed Academy has developed a comprehensive Watershed Analysis and
Management (WAM) Methodology for tribes, available online at http://www.epa.gov/owow/watershed/
wacademy/wam/. The Center for Watershed Protection also provides many tools and guidance materials on their
Web site, http://www.cwp.org. In addition, the Michigan Department of Environmental Quality has written
Developing a Watershed Management Plan for Water Quality: An Introductory Guide, available online at
http://www.deq.state.mi.us/documents/deq-swq-nps-Watershe.pdf These resources can help you develop an
effective watershed-based plan.
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of
The Houlton Band of Maliseet Indians (HBMI) is located in Aroostook County, Maine, on over 800 acres of
reservation/trust land purchased in the late 1980s along the lower end of the Meduxnekeag River. This section
of the river, downstream from a large portion of the watershed (and thus subject to upstream dischargers),
can become choked with large mats of filamentous algae during the summer and turns brown with sediment
after rainfall.
In 1992, the Band began developing a water resources program with the Bureau of Indian Affairs (BIA)
Water Resources Management, Planning, and Redevelopment funds to assess water quality impairments in
the Meduxnekeag. By 1994, they were monitoring water quality for pH, dissolved oxygen, temperature,
turbidity and conductivity. In 1995, funding from the Administration for Native Americans (ANA)
Environmental Regulatory Enhancement program supported laboratory infrastructure and staff training to add
alkalinity, E. coll, total suspended solids, benthic macroinvertebrates, and periphytic algae monitoring to their
program. In 1995, the Band assisted the Maine Department of Environmental Protection's (MDEP) data
collection efforts in support of its Waste Load Allocation study for the River's two dischargers. Currently,
MDEP relies on the Band's water quality data to set some discharge permit limits for two upstream
dischargers.
For the HBMI, developing a comprehensive, well-established, and reliable baseline monitoring program has
paved the way for their water resources program to conduct special studies in partnership with other entities.
Special studies are providing the information necessary to understand specific problems of the Meduxnekeag
River ecosystem, notably the multiple-point and non-point causes of massive algal blooms. Ongoing study
partners include the George Mitchell Center for Environmental and Watershed Research, University of Maine,
and the USGS.
The HBMI is involved in extensive nonregulatory efforts to improve water quality in the Meduxnekeag. They
collect data to better understand the extent and underlying causes of water quality impairment and share this
data with MDEP for use in regulatory efforts to address non-attainment in the Meduxnekeag. As part of an
effort to ensure tribal activities do not impair water quality, they have begun developing tribal water quality
standards that incorporate the Band's cultural values and uses of water. This is coupled with an effort to
develop culturally appropriate EPA-approved water quality standards to be enforced by EPA.
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2.
NFS pollution threatens water quality in many watersheds. Unlike point sources of pollution, which generally are
stationary, fixed facilities (e.g., wastewater treatment plants, industrial facilities) from which pollutants are
discharged via a conveyance, NFS pollution generally is unconfmed rainfall and snowmelt runoff from farms,
lawns, landfills, streets, parking lots, and driveways that picks up natural pollutants such as sediment and topsoil
and man-made pollutants such as pesticides, fertilizers, hazardous wastes, heavy metals, oil, and other automotive
fluids. The rainfall and snowmelt may then flow into surface water or ground water, carrying these pollutants.
A number of factors contribute to NFS pollution. Some of the leading contributors to NFS pollution are:
• Agricultural activities including grazing, plowing, pesticide spraying, irrigation, fertilization, planting, and
harvesting. Major NFS pollutants from these activities include pesticides, sediments, and excessive
nutrients, which can occur through applications of crop fertilizers and manure from animal production
facilities.
• Urban development including road, bridge, building, and parking lot construction. Development can result in
increased flows that cause stream erosion and can carry large amounts of runoff with a variety of
pollutants including sediment from new development, oil and grease from vehicles, and nutrients and
pesticides from turf management and gardening. Failing septic systems also carry pathogenic bacteria and
viruses from inadequately treated sewage.
• Hydromodification, or alteration of the hydrologic characteristics of coastal and noncoastal waters, can
cause degradation of water resources. Hydromodification includes activities such as channelization,
dredging, and construction of dams not covered under existing federal regulations. Excess sediment due to
erosion can alter aquatic communities and carry other harmful pollutants into water bodies.
• Habitat modification, including the removal of vegetation along streambanks and buffers that help filter
runoff and provide shade to the adjacent water body. These modifications can result in an increase in
water temperature and an increase in the quantity and velocity of runoff, making the river or stream less
suitable for the organisms inhabiting it.
EPA has placed a high priority on controlling NFS pollution. Because of the difficulty of tracing NFS pollution to a
single source, Congress enacted Section 319 of the CWA, authorizing EPA to award grants to eligible states and
tribes for the purpose of assisting them in implementing approved NFS management programs developed pursuant
to Section 319(b). The principal goal of the NFS management control program is to control NFS pollution through
implementation of management measures and practices to reduce pollutant loadings resulting from NFS pollution
identified in the tribe's assessment report developed pursuant to Section 319(a). Management measures are
actions that your tribal environmental program, your community, or specific sectors of your community (e.g.,
farmers, builders) can take to minimize the impacts of NPS-pollution-generating activities - for example,
restoring streambanks to prevent erosion and reduce sediment runoff or protecting wetlands to increase natural
filtration of contaminants. Tribes can implement measures through a variety of programs, including nonregulatory
or regulatory programs for enforcement, technical assistance, financial assistance, education, training, technology
transfer, and demonstration projects. EPA encourages the development and implementation of watershed-based
plans to guide implementation of management measures to achieve pollutant reductions from NFS. Remember
that construction activities cannot be completed using Section 106 grants.
NPS Quality Impairment
In its 2000 National Water Quality Inventory report (available online at http://www.epa.gov/305b/2000report/).
EPA identified NPS pollution as the leading source of water quality impairment.
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Because of the diffuse nature of NFS pollution, you will need to work with partners to implement effective NFS
pollution control programs. Partners can include other tribal departments (e.g., fish and wildlife), neighboring
states, local governments, EPA regional offices, other federal entities, and, perhaps most important, members of
your community. NPS programs often rely on the voluntary implementation of management measures by all
partners for success. Although collaboration with other entities is important in all areas of water quality protection,
it is essential to control NPS pollution.
Allowable NPS Control Activities
NPS management measures requiring construction are implemented under Section 319 of the CWA and are
thus ineligible for Section 106 funding. Section 106 funding can be used to develop NPS assessment reports
and management programs, which are required elements when applying for Section 319 program
authorization. Section 106 grants can also be used to develop watershed-based plans.
3. Understanding Decentralized Wastewater Treatment Facilities
Decentralized wastewater treatment systems (commonly called septic systems) are a significant component of
the United States' wastewater infrastructure. They derive their name from their location — they treat
wastewater close to the source, typically on the property of individual homes and businesses. Unlike centralized
urban wastewater treatment systems that pipe large amounts of wastewater many miles through sewers prior to
reaching the treatment facility, decentralized wastewater treatment systems usually use small pipes for collecting
small volumes of domestic wastewater. Decentralized systems (especially smaller ones) usually disperse treated
waste underground, where the soil provides further treatment. Some decentralized systems are designed to
discharge to surface waters following treatment.
The performance of decentralized wastewater treatment systems is a national issue of great concern to EPA.
These systems are used in 25 percent of the homes in the United States and 33 percent of new development, and
they are permanent components of our nation's wastewater infrastructure. Decentralized systems can be an
effective option for protecting public health and the environment if properly designed, installed, and managed.
Proper management of decentralized systems involves: implementation of a comprehensive, life-cycle series of
elements and activities that address public education and participation; planning; performance; site evaluation,
design, construction, operation and maintenance; residuals management; training and certification or licensing;
inspections and monitoring; recordkeeping, inventorying, and reporting; and financial assistance and funding.
Decentralized systems can be a significant threat to public health and water quality when they are not properly
sited, designed, installed, operated, and maintained. "Failure" of onsite systems is a term subject to much debate;
however, 1995 U.S. Census data show that over 10 percent of all systems back up into homes or have
wastewater emerging on the ground surface, and that more than half the systems in the United States were
installed more than 30 years ago, when onsite rules were nonexistent or poorly enforced. Few systems receive
proper maintenance because homeowners are either unaware of the need for maintenance or find it a distasteful
task. In addition, most regulatory programs do not require homeowner accountability for system performance
after installation.
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Although it is difficult to measure and document specific cause-and-effect relationships between onsite
wastewater treatment systems and the quality of our water resources, it is widely accepted that improperly
managed systems contribute to water quality problems. EPA's National Water Quality Inventory 1996 Report to
Congress states that "improperly constructed and poorly maintained septic systems are believed to cause
substantial and widespread nutrient and microbial contamination to ground water." In United States-classified
shellfish growing areas, closures and harvest restrictions have occurred primarily because of the concentration of
fecal coliform bacteria associated with human sewage and with organic wastes from livestock and wildlife.
Onsite wastewater systems also may contribute to an overabundance of nutrients in ponds, lakes, and coastal
estuaries, leading to an overgrowth of algae and other nuisance aquatic plants. EPA is also concerned with the
presence of nitrates in ground water, particularly in rural areas where residents must rely on individual wells and
onsite systems to serve relatively small lots. It is essential to improve the performance of decentralized
wastewater systems through better management to improve the quality of our nation's waters.
Most water quality programs have a role, either direct or indirect, in managing or working with decentralized
systems. Regardless of your program's current involvement with decentralized wastewater treatment systems,
effective watershed-based planning requires that you take these systems into account. Poorly managed or
operated decentralized systems can significantly affect water quality on your reservation. Appropriate
management programs for decentralized systems will support the activities and approaches being used in other
EPA programs, such as watershed management, NPDES, TMDLs, WQS, source water assessment and
protection, and NPS control, and contribute to achievement of water quality and public health goals. For more
information on decentralized systems, visit EPA's new National Management Measures to Control Nonpoint
Source Pollution from Urban Areas Web site, http://www.epa.gov/owow/nps/urbanmm/index.html.
4. Understanding Source Water Protection
Source water is the water from reservoirs, streams, rivers, or underground aquifers that drinking water systems
use to supply drinking water. Source water protection involves identifying any significant potential source water
contaminants, taking steps to maintain the quality of source water and preventing contamination from occurring
(i.e., contingency planning), and determining whether the best available water source is being used. As a key step
in protecting source water, your tribe might want to conduct a source water assessment. A source water
assessment provides the basic information needed to protect drinking water sources and is a foundation for
ensuring the safety of your drinking water. See section II.4 of this chapter for more information on conducting
source water assessments.
EPA is committed to helping tribes assess the rivers, lakes, springs, and aquifers serving as tribal public water
supplies and implement preventative measures against contamination of these water resources. See EPA's Tribal
Source Water Web site (http://www.epa.gov/safewater/protect/tribe.html) for additional resources on source
water protection.
5. Choosing and Setting Water Quality Goals
If you have developed WQS, your water quality goal should be to enable all water bodies to meet their designated
uses. If an NPS TMDL has been established for an impaired water body, then the water quality goal should be at
a minimum to achieve the NPS TMDL. If you have not developed WQS, or if a TMDL has not been established
for an impaired water body, you can establish quantifiable water quality-based goals, such as reducing the levels
of a specific pollutant by a certain percentage or amount. You can also use standards from neighboring states or
tribes as a proxy to measure water body impairment. Alternatively, you could use some basic parameters, such as
sediment, nitrogen, phosphorus, nutrients, total suspended solids (TSS), and dissolved oxygen. For an example of
using basic parameters to establish water quality goals, refer to the Gila River Indian Community case study
presented in section I.l.b of chapter 4. The case study shows how the Gila River Indian Community uses water
quality indicators (WQI) to measure water quality improvement. Although EPA encourages you to use numeric
standards or proxies, in some cases, narrative goals (e.g., remove exotic or invasive species, eliminate nuisance
algae blooms) may better reflect the goals for a water body. c_7
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6. Determining Areas with Water Quality Problems
After you have set water quality goals, you should evaluate your monitoring data to identify water bodies that are
not meeting those goals. As noted in section 1.4 of chapter 3, you can also use data from other sources if you do
not have all the monitoring data you need.
Depending on the expertise and resources available to your program, you may find it helpful to focus on one
watershed or a subset of watersheds each year. You may find that different water bodies differ in topography,
degree of surrounding urbanization, or land use, and some water bodies are more susceptible to pollution. If any of
your water bodies face a severe pollution threat, you may want to evaluate monitoring data from these waters
first. If your source water assessment shows that any of your ground water sources are likely to be contaminated
or are vulnerable to contamination, then you may want to prioritize monitoring and protection of wellhead areas.
Once you have identified areas with water quality problems, you should prioritize these areas. Although you
should consider current conditions when prioritizing problems, the most severe problems may not necessarily be
the problems you want to address first. For instance, a high-quality water resource may be in good condition but
threatened by NFS pollution. You may want to address this problem first; preventing pollution is often more cost-
effective than restoring an impaired water body. In addition, consider cultural significance, biological and
ecological factors, partner buy-in on the project, the cost and feasibility of possible solutions, and tribal members'
concerns when prioritizing water quality problems.
Note than an NFS assessment report, developed in accordance with the Section 319 program, provides a good
framework for determining areas with water quality problems. A source water assessment also can provide you
with information on protecting water quality. Both of these tools are discussed in section II of this chapter.
There are a number of other partners that you can work with to implement nonregulatory activities. Your EPA
regional office, the USDA NRCS program, the USGS, and other government agencies may be implementing NFS
activities in your area. In addition, local universities or community colleges may be able to assist you in developing
management measures and implementing NFS pollution control programs. Talk to your EPA regional office to
identify any NFS pollution control programs in your area.
Rotating Basins Approach
To maximize resources and at the same time address problems in different basins, many organizations have
adopted a rotating basins approach to watershed planning. In this approach, watersheds are grouped into units
of sub watersheds. A five-step watershed management process is followed to focus activities within each basin,
while staggering the overall workload. Specifically, the assessment, planning, and management activities are
grouped under five general categories:
• Data collection/monitoring • Basin plan review/approval
• Assessment/prioritization • Implementation
• Strategy development
Implementation of the rotating basins approach involves beginning the five-step management cycle in one basin
the first year (data collection/monitoring). In the second year, step two (assessment/prioritization) occurs in
that basin, while in another basin step one activities (data collection/monitoring) are undertaken. Moving
sequentially through the five management steps in each basin focuses resources associated with that activity
rather than scattering them.
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7. Choosing and Setting Watershed-based Goals
Your watershed-based goals should relate to your water quality goals and ultimately help you achieve them.
Watershed-based goals can address current and historical distribution and condition of important resources in a
watershed, or the physical and ecological setting of the watershed. Some common watershed-based plan goals
that can be funded with Section 106 grants include:
• Characterize water quality
• Evaluate the impacts of forestry, agriculture, urbanization, septic systems, or construction and effects of
land use on pollution
• Protect natural resources
• Develop watershed-based plans
• Identify causes of streambank erosion
• Investigate causes of declines in ground water quantity
• Characterize stormwater runoff
• Conduct community education and outreach about the watershed
• Develop watershed maps showing water body types, tribal cultural sites, species distribution, and sites of
water quality impairment
• Develop local and community watershed organizations
• Inventory possible restoration sites
• Determine causes of floods
8. Developing Projects to Meet Water Quality Goals
An initial assessment of your water pollution issues can help you identify appropriate goals to address them. For
example, NFS problems are typically addressed through management measures. As noted above, NFS
management measures are practices, techniques, principles, or activities that have been shown to help reduce
NFS in the most effective and practical ways. The goal of these management measures is to reduce NFS
pollution by keeping pollutants out of the water rather than removing them once they are in the water.
Management measures can be sector specific (e.g., agriculture, timber, construction, stormwater, marinas, septic
systems) or cover broader activities that address all sources of NFS pollution (e.g., planting vegetative buffers
around your water bodies, maintaining your streambanks).
Asset Management
Although point sources such as wastewater treatment facilities are not eligible for the use of Section 106
grants, EPA provides extensive information on the management of treatment facility assets. Additional
information is available at http://www.epa.gov/owm/assetmanage and http://www.epa.gov/water/
infrastructure/.
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EPA, states, and many other organizations have developed documents with information on controlling NFS
pollution through management measures. Your EPA regional office can provide you with information on
management measures that have successfully addressed NFS issues similar to the ones you face. In addition,
OWOW maintains a comprehensive list of EPA and non-EPA documents on NFS pollution and management
measures at http://www.epa.gov/owow/nps/pubs.html. EPA's Office of Ground Water and Drinking Water
(OGWDW) offers electronic training on protecting source water at http://epa.gov/safewater/dwa/electronic/
ematerials.html#SWP. EPA's Office of Wastewater Management (OWM) offers information and guidance on
implementing management programs for septic systems at http://cfpub.epa.gov/owm/septic/home.cfm.
Many solutions to water quality problems will require you to work with partners to implement them successfully. A
watershed-based plan can provide the coordinating framework for identifying your partners and prioritizing the
management measures you want to implement. Sections 1.9, III.4, and III.5 of this chapter contain more
information on building networks.
9. Conducting Public Outreach and Encouraging Public Involvement
Water quality protection programs will require active public participation to succeed. A successful tribal water
quality program, particularly one that involves voluntary activities, depends on community involvement and
participation. In addition, informed and involved members of the community are more likely to support your
program's efforts to protect the environment. For example, if you want to address leaching from septic systems,
you will have to work closely with homeowners and small businesses that use septic systems. Sections 1.12, II.5,
and III. 3 of chapter 3 contain some general information on encouraging public participation and involvement.
Depending on the activities you choose to implement, you will need
to target different groups of your population. For example, if you
want to implement a pesticide and fertilization management
program, you will have to work with farmers in your community.
In addition, because of the characteristics of NPS pollution,
watershed-based planning, and source water protection,
community awareness and involvement are especially important in
these areas. Consider carrying out public education programs to
raise awareness on issues such as the proper disposal of car
fluids. The text box on page 5-12 provides some information on
basic activities members of your community can take to reduce
NPS pollution. Some methods that communities have used to raise
public awareness about all water quality issues include:
• Tours of restored or impaired water bodies
• Educational workshops on NPS pollution, source water
protection, and septic system management
• Events and programs such as "adopt-a-river," river
cleanup days, and volunteer monitoring networks
Bishop Paiute Tribe Analytical Lab. Photo
courtesy of Bishop Paiute Tribe.
• Brochures, flyers, and newsletters on NPS pollution, source water protection, and septic system
management
• No-penalty hazardous waste collection programs
• Solicitation of public input in developing a septic system management program
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EPA has developed a comprehensive guide for conducting watershed outreach campaigns that includes specific
information about understanding the audiences in your watershed, creating messages that resonate with them.
finding appropriate ways to communicate your message, and understanding how outreach can help change
behavior (see Getting in Step: A Guide for Conducting Watershed Outreach Campaigns, available online at
www.epa.gov/owow/watershed/outreach/documents/getnstep.pdf). EPA is also in the process of releasing a new
NPS Outreach Digital Toolbox, which will include sample materials and templates of successful outreach
materials (e.g., public service announcements) from across the country that you can customize to meet your own
outreach needs (see www.epa.gov/owow/nps/toolbox.html).
Colorado River Indian Tribes Youth Day. Photograph Courtesy of the Colorado
River Indian Tribe.
NPS and Public Outreach
The Red Lake Band of Chippewa Indians, located in EPA Region 5, has developed a project called "NPS/
Stormwater Management Planning and NPS Reduction/Buffer Zone Education." As part of this project, they
worked with the Natural Resources Conservation Service (NRCS) to produce a folder of informational
pamphlets and resources to be mailed to watershed residents in an effort to raise awareness about
Stormwater and NPS pollution issues. Other sponsors of the project included the University of Minnesota
Extension Service, the Beltrami County Soil and Water Conservation District, and USDA's Farm Service
Agency.
The resource packet offers residents the opportunity to contribute to regional NPS management by evaluating
their own households and properties. In addition to providing an overview of NPS pollution, each folder
contains several pamphlets on topics such as septic system maintenance, reducing the use of hazardous
household products, and agricultural practices. The folder also lists the names and Web sites of numerous
organizations that can offer more information and technical support.
In addition to the mailing, the Band hosts an after school River Watch Program that helps get students
involved in river conservation and an annual Water Festival that provides a variety of educational opportunities
for 5th grade students. During the Water Festival, students participate in fun-filled activities while developing
awareness for the protection of the Band's valuable water resources.
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of Management for Your Community
The management measures listed below are simple actions that members of your community can take to help
reduce NFS pollution. You may want to expand on this list and distribute it to members of your community to
raise their awareness of NFS issues or develop programs to support related NFS prevention activities.
• Properly dispose of pet waste and other animal waste to help prevent runoff of nutrients and
pathogens into your water bodies.
• Report septic system leaks to the proper tribal authority for repair.
• NEVER dump automotive fluids down a drain or on the ground. Recycle used auto fluids at your local
recycling facility; see EPA's Web site for information on recycling waste: http://www.epa.gov/
epaoswer/osw/index.htm.
• NEVER dump household hazardous wastes (HHWs) down a drain or on the ground. Dispose of
HHWs (e.g., cleaners, pesticides, paint) at the proper disposal facility; for more information on HHWs,
see EPA's Web site at http://www.epa.gov/epaoswer/non-hw/muncpl/hhw.htm.
• Educate yourself on the proper use and application of pesticides. Information is available online at
http://www.epa.gov/pesticides/.
• Fence off streams and wetlands from livestock and provide alternate water sources. Livestock in
streams and wetlands affect plant life and cause soil erosion.
• Rotate grazing on lands to prevent overgrazing and stabilize soil.
• Use ground cover, such as jute netting or ground cover plants, on bare ground to prevent soil erosion.
• Plan or participate in community cleanup programs or events.
• Promote and provide environmental education and NPS pollution awareness in your community.
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II. Intermediate Program Activities
1. Understanding Section 319 Grants
This section discusses nonregulatory components of the 319 program, which supports both regulatory and
nonregulatory activities. As noted in section II. 1 of chapter 3, Section 319 grants can be used to implement NFS
activities. Each year, EPA awards Section 319 grants to eligible tribes either as base funding or competitive
funding. Base funding is issued on a non-competitive basis at $30,000 or $50,000 (depending on land area) to
implement the full range of activities in a tribe's approved NFS management program. The remaining funds are
awarded on a competitive basis for the purpose of developing and implementing watershed-based plans and
implementing on-the-ground water quality improvement projects that are expected to achieve actual water quality
benefits in waters impacted by NFS pollution. Tribes are encouraged to submit on-the-ground projects that
implement watershed-based plans. In FY 2005, EPA awarded $7 million to 84 tribes, with approximately $2.8
million awarded to 84 tribes as base funding and $4.2 million awarded to 31 tribes on a competitive basis. Tribes
should refer to the annual guidelines on awarding Section 319 grants for more information about the process for
awarding Section 319 funding, including the criteria for proposed work plans (see http://www.epa.gov/owow/nps/
tribaLhtml).
You can use Section 106 grants to fund some NFS control activities, including the development of NFS
assessments and management programs, as well as the development of watershed-based plans for implementing
NFS projects and management measures. Section 106 grants may also be used for additional NFS activities, such
as inventorying NFS, attending NFS meetings and trainings, and forming partnerships to address NFS issues.
Construction activities and remediation activities are generally prohibited under Section 106 grants. Contact your
EPA grant project officer for more information on specific projects that are authorized for funding under Section
106. Section I.3.b of chapter 3 contains more information on projects that can be funded under a Section 106
grant.
2. Section 319 Eligibility
To be eligible for Section 319 grants, tribes must have (a) TAS eligibility in accordance with CWA Section 518; (b)
an approved NFS assessment report in accordance with CWA Section 319(a); and (c) an approved NFS
management program in accordance with CWA Section 319(b). Section 319 grants cannot be used to develop
NFS assessment reports or management programs (but can be used to update approved NFS management
programs). Section 106 funds can be used for these purposes. You should consider applying for Section 319
grants, especially if you want to implement NFS control activities not allowed under the conditions of your Section
106 grant.
Tribes should work with the EPA grant project officers and refer to EPA's Tribal Nonpoint Source Planning
Handbook (EPA 841-B-97-004) for information on applying for Section 319 grants. The Handbook is available
for order through EPA's Office of Water Publications Web site (http://yosemite .epa.gov/water/owrccatalog.nsF).
In some cases, state NFS funds may be available to tribes through state pass-throughs. Consult your EPA
regional office to see if this option is available in your region.
a. Qualifying for TAS Eligibility for the Section 319 Program
You will need to qualify for TAS eligibility for the purposes of administering the Section 319 program to become
eligible for Section 319 grants. If you have qualified for Section 106 TAS eligibility, you already may have met
some of the requirements for Section 319 TAS eligibility (e.g., federal recognition and demonstration of substantial
governmental duties). See section I.I of chapter 3 and contact your EPA grant project officer for more
information on these requirements.
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b. Developing Section 319 NPS Assessment Reports
An NPS assessment report describes existing and potential NFS-related water quality problems in reservation
waters using existing water quality data. The report identifies the nature, extent, effect, and causes of NPS
pollution. It should also describe existing programs and methods used to control the pollution. The report must be
approved by your EPA regional office.
NPS assessment reports should include four elements:
1. An identification of waters that cannot be expected to attain or maintain WQS without NPS pollution
control. If you have not developed tribal WQS, you can use state standards as a proxy to identify impacted
water bodies.
2. An identification of the sources of NPS pollution (e.g., agriculture, urban runoff, construction) that
contribute to the water quality problems of the identified water bodies.
3. A description of how you will first identify management measures to control NPS pollution and how you
will then use those management measures to control the pollution. Include public participation and
intergovernmental coordination if applicable.
4. A description of any existing tribal, state, federal, and other programs you can use to help control NPS
pollution.
See EPA's Tribal Nonpoint Source Planning Handbook for detailed information on developing an NPS
assessment report.
As your NPS program evolves, you will learn more about NPS pollution and the most effective ways of
controlling different types of pollution. As your program matures and as conditions change, you should continue to
revise and update your assessment to account for this information.
c. Developing Section 319 NPS Management Programs
As set forth in Section 319(b)(l) of the CWA, an NPS management program describes how you intend to control
pollution added from NPS to navigable waters within the reservation and improve the quality of such waters. If
you cannot address all NPS categories, you can focus your management program on NPS pollution that you have
identified as a priority. An NPS management program must have six elements:
1.
A description of the management measures you will use to reduce pollutant loadings from each category
of sources you identified in your NPS assessment report.
2. A description of the programs you will use to implement the management measures you have identified,
including nonregulatory or regulatory (e.g., zoning laws) approaches, technical assistance, financial
assistance, education, training, technology transfer, and demonstration projects.
3. A schedule containing annual milestones for the implementation of management measures identified under
element (1) and the programs identified under element (2).
4. A certification by legal counsel that your tribal laws provide authority to implement the programs identified
under element (2) or a list of additional authorities your tribe will need to implement the management
program. If you need to seek additional authorities, you should submit a schedule and commitment to seek
those authorities as quickly as possible.
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5. A list and description of additional sources of funding (federal or other) for the implementation of NFS
pollution control measures.
6. A list of any assistance programs or development projects (e.g., USDA NRCS) that your tribe will review
to determine their effects on water quality and consistency with your tribe's NFS program.
See EPA's Tribal Nonpoint Source Planning Handbook for detailed information on developing an NFS
assessment report.
If you choose not to apply for Section 319 grants, you should still consider developing an NFS assessment report
and management program. Completing these documents will give you important information to help you assess
your NFS pollution control efforts and plan effectively for the future.
3. Developing a Watershed-based Plan
EPA encourages tribes to develop watershed-based plans to guide the implementation of their NFS programs.
EPA's annual Guidelines for Awarding Section 319 Grants to Indian Tribes provide guidance in developing
watershed-based plans and encourage tribes to use competitive funding for projects that are designed to develop
or implement a watershed-based plan (see http://www.epa.gov/owow/nps/tribal.htmn. The watershed-based plans
incorporate specific elements designed to help tribes identify significant sources of NPS pollution, identify the
management measures that will most effectively address those sources, and estimate the expected water quality-
based goals that will be achieved. Without such information to provide focus and direction, it is less likely that a
project that implements the watershed-based plan can address the sources of water quality impairments
efficiently and effectively. Section 106 grants can be used to develop watershed-based plans; however, tribes
using Section 106 funds for this purpose should ensure that watershed-based plans meet programmatic
requirements of the Section 319 program as described in the annual Guidelines for Awarding Section 319
Grants to Indian Tribes.
The nine elements of a watershed-based plan are:
1. An identification of the causes and sources or groups of similar sources that will need to be controlled to
achieve the goal identified in element (3) below. Sources that need to be controlled should be identified at
the significant subcategory level with estimates of the extent to which they are present in the watershed
(e.g., X number of dairy cattle feedlots needing upgrading, including a rough estimate of the number of
cattle per facility; Y acres of row crops needing improved nutrient management or sediment control; or Z
linear miles of eroded streambank needing remediation).
2. A description of the NPS management measures that will need to be implemented to achieve a water
quality-based goal described in element (3) below, as well as to achieve other watershed goals identified in
the watershed-based plan, and an identification (using a map or a description) of the critical areas in which
those measures will be needed to implement the plan.
3. An estimate of the water quality-based goals expected to be achieved by implementing the measures
described in element (2) above. To the extent possible, estimates should identify specific water quality-
based goals, which may incorporate, for example, load reductions, water quality standards for one or more
pollutant/use, NPS total maximum daily load (TMDL) allocations, measurable in-stream reductions in a
pollutant, or improvements in a parameter that indicates stream health (e.g., increases in fish or
macroinvertebrate counts). If information is not available to make specific estimates, water quality-based
goals may include narrative descriptions and best professional judgment based on existing information.
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PYRAMID LAKE PAIUTE TRIBE
The Pyramid Lake Paiute Indian Reservation is located in western Nevada, about 30 miles northeast of
Reno, and encompasses about 474,000 acres. Pyramid Lake, a slightly saline terminal desert lake, is located
entirely within the reservation. The lake covers approximately 114,000 acres and is the focal point of the
reservation. The Lower Truckee River, which originates in the Sierra Nevada, flows through the reservation
for 31 miles and terminates in Pyramid Lake. The beneficial uses of Pyramid Lake and Truckee River
include provision of a cold freshwater habitat, protection of threatened or endangered species, preservation
of indigenous aquatic life, and the protection of aquaculture. Other water resources at Pyramid Lake
include ground water, streams, creeks, wetlands, springs, and seepages. The beneficial uses of groundwater
and wetlands include cultural, indigenous aquatic life, livestock watering, and water quality enhancement.
According to the tribe, it has depended upon Pyramid Lake and the Truckee River for food, clothing and
shelter materials, as well as cultural and spiritual health
since time immemorial.
In 1994, the tribe's NPS Assessment Report and
Management Program was approved by EPA and the tribe
became eligible for Section 319 funding. The tribe has
been awarded multiple competitive NPS grants to carry
out its NPS pollution control program to address pollutants
found through its water quality monitoring program.
Specifically, the NPS program mitigated and prevented the
effects of uncontrolled grazing by cattle that led to turbidity
from soil erosion, nutrient loads, loss of native vegetation,
and destabilized streambanks. This was accomplished
through the implementation of management measures such
as fencing and providing alternate water sources.
From 1999 to 2004, water quality monitoring and sampling on the Lower Truckee River has shown that
riparian habitat has improved as a direct result of the implementation of NPS on-the-ground projects
including the fencing out of livestock and improved water flow management for cottonwood and willow
trees. The environmental results of the NPS projects show reduction in velocity and sedimentation and
increased bank stability in the Truckee River. Specifically, nitrate and nitrite levels have declined from 0.17
mg/L in May 2000 to
about 0.01 mg/L in July
2004 (see attached chart).
The riparian areas
restored under the NPS
grant program will
continue to recover
through the intensive
management of cattle
grazing, which will allow
the water level to rise
back to support native
vegetation and become
properly functioning
systems.
Nitrate and Nitrite
1999-2004
Lower Truckee River PLPT Data
A\"
Sample Date
Images courtesy of Pyramid Lake Paiute Tribe
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4. An estimate of the amounts of technical and financial assistance needed, associated costs, and/or the
sources and authorities that will be relied upon to implement the plan. As sources of funding, tribes should
consider other relevant federal, state, local, and private funds that may be available to assist in
implementing the plan.
5. An information and education component that will be used to enhance public understanding and encourage
early and continued participation in selecting, designing, and implementing the NFS management measures
that will be implemented.
6. A schedule for implementing the NFS management measures identified in this plan that is reasonably
expeditious.
7. A description of interim, measurable milestones for determining whether NFS management measures or
other control actions are being implemented.
8. A set of criteria that can be used to determine whether the water quality-based goals are being achieved
overtime and substantial progress is being made towards attaining water quality-based goals and, if not,
the criteria for determining whether the watershed-based plan needs to be revised.
9. A monitoring component to evaluate the effectiveness of the implementation efforts over time, measured
against the criterion established under element (8) above.
4. Conducting a Source Water Assessment
A source water assessment characterizes sources of drinking water (rivers, lakes, reservoirs, springs, and ground
water wells) to identify significant potential sources of contamination and to determine how susceptible the
sources are to these threats. The assessments provide the basic information needed to protect drinking water
sources and a foundation for ensuring drinking water safety. Tribes might also choose to conduct a source water
assessment to determine the quality of their water. The final product of a source water assessment is a report that
provides basic information about a drinking water source.
These source water assessments should include the following four major elements:
• A delineation (or map) of the source water assessment area. This determines the boundaries of the area
from which your source water is drawn, i.e., the area that you will need to protect.
• An inventory of all significant potential sources of contamination by regulated contaminants in the
delineated area.
• A determination of how susceptible the water supply is to those contamination sources.
• Assessment results are summarized and made available to the public.
Assessment report summaries help tribes to understand the potential threats to their water supplies and to identify
priority needs for protecting the water from contamination. Tribes can make the assessment summaries available
to the public in a variety of ways. Tribes may: convene public workshops; make copies available at public libraries,
local government offices, or water suppliers; or post their assessment information on the internet.
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Source Water Assessments
For more information on Source Water Assessments, please visit EPA's Source Water Assessment Web site
at http://www.epa.gov/safewater/protect/assessment.html or call the EPA Safe Drinking Water Hotline at 1-
800-426-4791.
5. Implementing Water Quality Protection and Restoration Activities
Your NPS assessment report and management program, watershed-based plan, or source water assessment will
provide you with a road map for your water quality protection and restoration activities. Begin to implement those
activities, prioritizing them as needed. Involve members of your community and other tribal, federal, state, or local
partners, as necessary. Remember that you may not be able to use Section 106 funds to implement all the
management measures you have identified.
6. Implementing Section 106 Grant Activities Related to Decentralized
Systems
If decentralized systems pose a threat to water quality on your reservation, you may be able to use Section 106
funds for a variety of activities related to improving the performance of decentralized systems (remember that
Section 106 funds cannot be used for wastewater treatment facility construction or operation). Activities related
to decentralized systems that can be funded through Section 106 grants include:
• Public outreach, education, and involvement programs
• Programs to promote stakeholder and partner agency involvement
• Development of effective management programs to ensure that performance requirements for
decentralized systems are met
• Watershed and ground water assessments
• Establishment of public health and water resource protection goals related to decentralized systems
• Targeted surface and ground water monitoring
• Studies to characterize the impact of malfunctioning decentralized systems, discharging and non-
discharging, on surface and ground water quality
• Inventory and assessment of decentralized systems
• Identification of critical areas where decentralized systems pose elevated risks (e.g., sites with poor soils,
high water tables, high densities of existing systems, near sensitive surface waters, or in floodplains)
Contact your EPA regional office for more information on eligible activities related to decentralized wastewater
treatment systems. EPA and other organizations provide construction funding through various grant programs:
EPA Programs
To help prevent decentralized system failure and improve management practices, EPA has issued Voluntary
National Guidelines for Management of Onsite and Clustered (Decentralized) Wastewater Treatment
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Systems (EPA 832-B-03-001) and the Handbook for Management of Onsite and Clustered (Decentralized)
Wastewater Treatment Systems (EPA 832-D-03-001), available online at http://cfpub.epa.gov/owm/septic/
home.cfin. These documents are designed to enhance the performance and reliability of decentralized
wastewater treatment systems through improved management programs. Proper management of decentralized
systems involves implementation of a comprehensive group of elements and activities, such as public education
and participation, planning, operation and maintenance, and financial assistance and funding. The Management
Guidelines will help improve system performance by encouraging the institutionalization of management concepts
and raising the quality of state, tribal, and local management programs. Improved management will minimize the
occurrence of failures by ensuring (with proper planning, siting, design, installation, operation and maintenance,
and monitoring) that pollutants are adequately treated and dispersed into the environment, thereby reducing risks
to both public health and local water resources.
• The Alaskan Native Village and Rural Communities Sanitation Grant Program Provides grants to Alaska
Native Villages and rural communities for drinking water and wastewater facility construction, and training
and technical assistance in facility operation. Visit http ://www.epa.gov/owm/mab/indian/anvrs .htm for
more information.
• The Clean Water Indian Set-Aside Grant Program provides grants to Indian tribes and Alaskan Native
Villages for the planning, design, and construction of wastewater treatment systems. More information on
the Clean Water Indian Set-Aside Grant Program is available online at http://www.epa.gov/owm/mab/
indian/cwisa.htm.
Section 319 funds also can be used for projects that implement management measures to address the proper
siting, design, and installation of on-site wastewater treatment systems, upgrading of existing systems, inspections,
assessments, development of local codes and ordinances, and education and training on proper management
practices. Section 319 funds may be used to fund any urban storm water activities that are not specifically
required by a draft or final National Pollutant Discharge Elimination System (NPDES) permit. See section III.6 of
chapter 7 for more information on NPDES permits.
Other Organizations
• The Indian Health Service (IHS) — Sanitation Facilities Construction Program provides funding for
drinking water, wastewater, and solid waste disposal facilities for American Indians. IHS also provides on-
site training and technical assistance for the planning, design, construction, and operation and maintenance
of facilities. The Division of Sanitation Facilities Construction's Web site (http://www.dsfc.ihs.gov/)
contains more information on this program.
• USDA's Rural Utilities Service Water and Waste Disposal Program provides both loans and grants to rural
communities and Indian tribes (with 10,000 or fewer persons) for drinking water and wastewater systems,
and for solid waste and storm drainage products. More information is available through the program's Web
site, http://www.usda.gov/rus/water/.
7. Analyzing Water Quality Data and Defining Performance Measures
Your water quality program should strive to show quantifiable improvements in water quality when possible. As
you implement your water quality protection activities, you should begin to develop performance measures to help
you determine whether the management measures are addressing the water quality problems for which they were
developed. The performance measures you use will vary based on the management measure. For example, if you
have implemented a fertilizer management program in partnership with the agricultural community, you may be
able to use changes in phosphorus concentrations to measure success. If a management measure is not meant to
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address a sector-specific water quality problem but instead addresses all NFS (e.g., streambank stabilization and
restoration projects), you may be able to use attainment of your WQS or proxies for tribal standards (e.g., state
standards) as performance measures. A watershed-based plan can help you make these determinations because
in addition to incorporating specific water quality-based goals, a watershed-based plan also incorporates a specific
set of criteria that can be used to determine whether these
goals are being achieved over time.
III. Mature Program
Activities
Penobscot Indian Nation DNR staff collaborating
with state, EPA, and dischargers on a wasteload
allocation study of the Penobscot River. Photo
courtesy of the Penobscot Indian Nation.
1. Evaluating Restoration Activities
Using the performance measures you identified in section II.7,
you can begin to evaluate the effectiveness of your water
quality protection activities. To the extent possible, try to
collect enough information through monitoring to make
definitive statements about the number or percent of water
bodies meeting or moving towards meeting WQS or water
quality goals. If you do not have enough data to determine the
effectiveness of your activities, identify which data points you
need to collect and adjust your monitoring program as necessary. The data requirements for making decisions
about whether waters support WQS or water quality goals should be included in your tribe's QAPP or a related
document.
If you find that your measures are not affecting water quality as you anticipated, try to determine why. Are all
affected parties implementing the management measures? Are there other sources of the pollutant you are trying
to address that are not covered by your management measures? Do you need to implement additional measures
that supplement the ones you already have in place? Answer these questions to the best of your ability and modify
your approach as appropriate.
As part of your evaluation, you may find it helpful to consider the cost-effectiveness of different types of
activities. Calculating the costs for program activities and measuring their benefits can be very challenging, but
even a rough analysis may give you valuable information about your program. To the extent possible, see if you
can associate specific costs with the implementation of specific program activities. This may be easy to do with a
small construction project but more difficult to calculate for a large, multi-year public outreach program. If you
can determine rough cost estimates for certain types of activities and understand the general effectiveness of
those management measures, you can use that information to help prioritize your pollution control activities. For
example, if your monitoring results show that NFS pollution from car fluids has decreased dramatically since you
distributed a simple one-page flyer to all community residents, you may want to assign a higher priority to other
simple community outreach activities.
2. Providing Updated Information to Your Partners and Community
As your program grows and you begin to see results for your NFS pollution control programs, keep your
community informed of changes in water quality. Improved water quality that results from management measures
can serve as a source of pride to those people involved in the implementation of the management measure and
can spur interest in the program. If the results show that your partnerships have achieved their goals effectively,
your partners may be more likely to agree to participate in and commit resources to other projects in the future.
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3. Refining Your Assessment Report, Management Program, Source Water
Assessment, and Watershed-based Plan
Based on your performance measures and your assessment of your restoration activities, you should refine your
assessment report, management program, source water assessment, and watershed-based plan. As noted in
section II. 1-3 of this chapter, it is important to update and revise your management program and watershed-based
plan as you collect more data on NFS pollution and your understanding of your NFS problems improves. You
should also update your assessment report to account for changing conditions or new problems on your
reservation. Even if you are not applying for Section 319 grants, these tools will help you continue to address NFS
pollution on your tribe's land effectively.
4. Coordinating and Cooperating with Other Programs
In some situations, you may find it useful to engage other programs within your tribe (e.g., fish and game
programs, tribal planning offices) to avoid duplication of effort, maximize resources, and expedite your program
development. You may find coordination and cooperation with other tribal programs especially valuable in
developing NFS pollution control programs because of their reliance on voluntary activities and universal
participation. You may also find it useful to coordinate with external organizations such as states, universities, or
other tribes or coalitions of tribes. Some tribal environmental programs have developed memoranda of agreement
(MOAs) or memoranda of understanding (MOUs) with other programs and organizations that identify areas of
mutual interest and define the role and responsibility for each tribal program within those areas. For example, in
some instances, GIS programs are not part of tribal environmental programs. In these cases, an MOA or MOU
between your program and the program that houses the GIS activities could give you access to GIS services and
valuable GIS data.
5. Working in Partnership with Other Tribes and States
Other tribes and states, as well as local governments and non-governmental organizations, may conduct water
quality protection activities in your watershed. To use limited resources more effectively, you may find it helpful to
collaborate with these entities. Jointly sponsoring events or programs can lead to greater participation, raised
awareness in the community, and cost savings for each program.
Depending on the types of activities being conducted in your watershed, you may be able to support regulatory
programs of neighboring states and tribes, even if your program is nonregulatory. For example, the Penobscot
Indian Nation shares its water quality monitoring data with the Maine Department of Environmental Protection
not only for resource management and planning purposes but also Section 305(b) reporting to Congress, which
Maine is required to perform. More information is provided in the case study below. For other examples of
partnerships you can pursue, see section 1.4 of chapter 6 and section 1.7 of chapter 7.
The Houlton Band of Maliseet Indians (HBMI) and USGS
The partnership that has evolved over the past several years between the HBMI's Water Resources
Program and USGS has had numerous benefits for both parties involved as well as the riverine ecosystem
that they are mutually working to protect. USGS provides strong technical and scientific expertise,
advanced field sampling equipment, staff training, and QA/QC. In turn, the HBMI offers a vast background
of historical information, can effectively respond to storm events, and processes sediment and water
samples in their own lab. By combining their efforts, the amount of data collected and analyzed is far
greater than what either group could do individually.
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6. Other Voluntary Programs
The information included in this chapter does not include all possible voluntary activities your tribal program can
support. If voluntary activities not described in detail in this chapter will allow your tribal program to further its
water quality goals more effectively, you should consider implementing those activities. EPA maintains information
on additional voluntary programs and partnerships on its Voluntary Partnerships Web site, http ://www.epa.gov/
partners/.
Penobscot Nation DNR staff deploying artificial substrates for sampling aquatic macroinvertebrates. Photo courtesy of
the Penobscot Indian Nation.
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Why Monitor? of Nation Quality Monitoring
Section 106 funding has been a critical asset to the Penobscot Indian Nation's (PIN) successful
development of an invaluable water quality monitoring program. The PIN, whose unique reservation is the
Penobscot River and its islands from Old Town northward, uses Section 106 funds to help carry out water
quality monitoring throughout the PIN's reservation, as well as trust land waters. This program is integral to
the tribe's efforts to protect its reservation waters, aquatic resources, and traditional uses. Data collected
from these monitoring activities are used for a variety of purposes including:
• Short- and long-term water resources planning
• Setting fish consumption advisorie s for the Nation
• Tracking water quality
• Surveying water near dischargers to collect indicators of possible noncompliance
• Identifying sources of pollution and developing plans for reduction and future pollution prevention
• Contributing to research projects conducted by academics and consultants who ultimately share their
results with the Nation
• Educating Native and non-Native community members on the health of the Penobscot River
The benefits of these efforts flow well beyond the Nation. Through a cooperative agreement with the
Maine Department of Environmental Protection (MDEP), the Nation shares its data with them for water
resources management and planning purposes as well as 305(b) reporting to Congress. Furthermore, the
technical capabilities, flexibility in scheduling, more frequent and widespread presence on the river, and
ability to respond to emergency situations more quickly have led to the PIN identifying many water quality
problems including:
1. A jet fuel spill from a local airport that was detected by a PIN employee, who was doing a routine
sampling run, and reported and taken care of in a more timely manner than would have otherwise
been possible.
2. A leak from a local gas station that released several thousands of gallons of gasoline into the ground
water and ultimately into the Penobscot River, but, because of the PIN, was contained, stopped, and
remediated, protecting ground water wells of adjacent neighbors and the river.
3. A lumber mill where the Nation's questions about permit compliance resulted in a $800,000 fine and
a consent agreement between the company and the State of Maine.
4. Episodic algae blooms in the river. Nutrient, chlorophyll, and other water quality data have
heightened the Maine DEP's awareness of the severity and frequency of algae blooms in the river,
leading to improvements in the river model and providing an impetus for developing instream criteria
and discharge permit levels for nutrients.
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Through the Cooperative Agreement with Maine DEP, the PIN Water Resources Program also provides
technical and logistical assistance on a variety of projects including:
1. Wasteload allocation studies that provide important scientific data for the development of a model of
the Penobscot and Piscataquis Rivers. These studies are ultimately used to help determine discharge
license limits and conditions.
2. Maine's Dioxin Monitoring Program, which examines levels of dioxin in fish above and below
suspected sources, including kraft paper mills.
3. A surface water ambient toxic program that examines levels and effects of a variety of toxic
contaminants in fish and other biota.
For more information contact:
Daniel H. Kusnierz
Water Resources Program Manager
Penobscot Indian Nation - DNR
12 Wabanaki Way, Indian Island
Old Town, ME 04468
Tel. (207)817-7361
or
(207)827-7776 ext. 7361
Fax(207)827-1137
Dinwater@,penobscotnation.org
Penobscot Indian Nation Department of Natural Resources staff
monitoring water quality of the West Branch of the Penobscot River with
Mount Katahdin in the background. Photo courtesy of the Penobscot
Indian Nation.
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Chapter 6: Tribal Law Water
Quality Protection Approach
Introduction
This chapter is designed for tribes that do not want to develop EPA-approved standards but would nonetheless
like to use tribal law to protect water quality on their reservations. Many of the activities described in chapter 7
may be helpful if you are developing tribal standards. Rather than repeat that information here, this chapter
includes references to relevant sections in chapter 7 where appropriate. Like those discussed in chapter 7, the
activities in this chapter are most appropriate for sophisticated tribal programs.
Many tribal communities have maintained and protected watersheds and waterways for centuries. In those cases,
tribes may already have laws and legal systems to protect water quality. These measures may be rooted in tribal
law and linked to long-standing tradition and culture. The information provided in this chapter is not intended to
supersede any existing tribal law but to provide guidance for tribes that would like basic information on developing
standards. You may find that due to the unique culture and traditions of your tribe, some of the information
provided in this chapter may not apply.
You should work with your tribal attorney general or equivalent office and the tribal council during this process to
make sure that you understand how you can use tribal law to protect water quality. You should also work with
your tribal council to make sure you cover all applicable requirements under tribal law for adoption of standards.
Activities Included in Chapter 6
Fundamental Program Activities
1. Understanding \Nater Quality Standards
2. Understanding What Tribal Standards Can Do
3. Identifying Goals of Tribal Standards
4. Working in Partnership with EPA, Tribes, and States
Intermediate Program Activities
Tribes should begin these activities after having completed the relevant fundamental program activities.
1. Developing Draft Standards
2. Sharing Draft Standards with EPA, Tribes, and States for Review, as Appropriate
3. Conducting Public Outreach
4. Drafting Tribal Code Based on Standards
5. Formally Adopting Standards through Tribal Council
Mature Program Activities
Tribes should begin these activities after having completed the relevant fundamental and intermediate program activities.
1. Implementing Standards
2. Reviewing Standards
3. Developing MOAs with EPA for Permitting Purposes
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I.
1.
Chapter 7 explains the basic structure of standards. Review section I.I of chapter 7 to understand this structure.
2, Do
Developing tribal standards and goals may enable you to protect water on your reservation without EPA-approved
standards. In addition, EPA may use technically sound tribal standards as guidance in permitting actions under the
CWA based on the circumstances. You may also use tribal standards when reviewing and providing comments to
EPA on proposed permits. Section III.3 of this chapter provides more information on working with EPA on
permitting issues.
Your tribal legal staff can help you determine where your standards will apply. If you do not have clear authority
over some water resources you wish to regulate, you may want to work cooperatively with neighboring
governments to ensure adequate protection.
3. of
Chapter 7 discusses identifying goals of tribal standards. Review the information in section 1.6 of chapter 7 for
more information on considerations to keep in mind when defining objectives of standards. Consider any relevant
cultural or traditional goals when thinking about your standards goals. If you are not pursuing EPA approval for
your standards, you may still want to consider some of the goals the CWA has identified as essential for standards
(e.g., protect public health; enhance water quality; restore and maintain the chemical, physical, and biological
integrity of waters; achieve protection and propagation of fish/shellfish/wildlife; and recreation).
You may find that the goals and standards appropriate for your tribe (e.g., protecting tribal treaty rights) differ
from state standards or national recommendations.
4, in
Working in cooperation with neighboring tribes and
states will help you make full use of information and data
already developed that may apply to your reservation. As
discussed in sections 1.5 and 1.7 of chapter 7, you can
use standards from neighboring tribes and states to help
you develop your tribal standards.
If you do not plan to seek EPA approval for your
standards, you are not required to take downstream
standards into consideration, but doing so may give you a
better understanding of the uses water bodies that cross
tribal boundaries can meet. You should also consider
reviewing upstream standards to gain a better
understanding of the quality of waters entering the
reservation.
Klamath River Mouth. Photo courtesy of Yurok Tribe.
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II. Intermediate Program Activities
1. Developing Draft Standards
Section II. 3 of chapter 7 contains information on developing uses, criteria, and antidegradation policies, the key
components of standards. If you do not seek EPA approval for your tribal standards, you will not need to comply
with the requirements or structure outlined in those sections; however, depending on your tribal needs, you may
want to consider those requirements and structure when developing standards.
2. Sharing Draft Standards with EPA, Tribes, and States for Review, as
Appropriate
Even if you are not seeking EPA approval for standards, the appropriate EPA Regional WQS Coordinator can
serve as a valuable resource to help you develop standards. Consider sharing your draft tribal standards with EPA
and neighboring tribes and states for an informal review. Your WQS Coordinator may be able to help you make
sure that the standards you have developed will help you achieve the goals you have established. Neighboring
tribes and states may be able to offer you suggestions based on their experience implementing standards
programs. Working in partnership with your EPA region and neighboring tribes and states may help you develop a
more successful standards program and may help you ensure that your standards will work in coordination with
neighboring standards.
3. Conducting Public Outreach
Your tribe may have public participation requirements that apply to changes to tribal law. Consult your tribal
attorney general or equivalent officer to see if any tribal public participation requirements apply.
In addition, a successful tribal water quality program depends on community involvement and participation. (See
section 1.12 of chapter 3 for more information on community involvement and participation.) Similarly, community
involvement in standards development can lead to successful standards programs. Working in partnership with
your community (including potentially regulated entities), watershed groups, and others will help you understand
your community's perspective and may give you access to data and information that could increase the
effectiveness of your program. In addition, enlisting the support of those affected by the quality of your
reservation waters may build support for the standards development process.
4. Drafting Tribal Code Based on Standards
Once you have drafted standards, you should pursue some mechanism (e.g., amendment to the tribal code) to
incorporate those standards into law on your reservation. You may wish to work with your tribe's legal department
during this process. The department can help you with the structure and language of the standards, and it can help
you acquire the appropriate approvals and signatures. You may want to share a draft of your tribal code with your
tribal council, EPA, and neighboring tribes and states for informal review. They may be able to identify any
potential problems, point out additional topics you may want to address, and confirm that the standards you have
drafted will help you meet your program goals.
5. Formally Adopting Standards through Tribal Council
Work with your tribe's legal department and your tribal council to formally adopt the standards. Make sure that
you have followed all applicable requirements for approval. Once your tribal council has formally adopted your
standards, you may be required to notify your community. You should consider doing this as a follow-up to your
standards development public outreach activities even if it is not a requirement. An informed and educated
community will make it easier for you to implement your standards.
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III. Mature Program Activities
1. Implementing Standards
You can implement your tribal standards through a variety of mechanisms, such as limits placed on pollutants
discharged by point sources or through controls developed to reduce NFS pollution. You may be able to develop
MOAs with EPA for permitting purposes. See section III.3 of this chapter for more information on MOAs. In
cases where control of pollution through permits will not allow you to attain standards, or where NFS are the
principal sources of pollution, you may rely on your NFS control program to reduce the NFS pollutant load.
Chapter 5 contains more information on developing and implementing NFS control programs.
2. Reviewing Standards
Even if you are not required to do so under tribal law, you should consider reviewing your standards periodically
and modifying or adopting new standards, if necessary. EPA recommends triennial reviews of standards. When
reviewing your standards, consider using the same community involvement mechanisms you used to develop the
standards to keep the public up to date and involved. Your tribe may have specific public notification requirements
with which you must comply to modify or change standards. Prior to any public hearing, consider making any
proposed revisions, including supporting analyses, available to the public. When you begin activities to revise or
adopt new standards, consider consulting with your EPA regional office, neighboring states, watershed groups,
and others.
During your standards review, you may want to consider the following:
• New federal or tribal statutes, regulations, or guidance
• Legal decisions involving the application of standards
• Water bodies or segments that do not meet designated uses
• Water bodies with designated uses that do not meet the fishable/swimmable use
• Other necessary clarifications or revisions
3. Developing MOAs with EPA for Permitting Purposes
Even if you have not developed EPA-approved WQS and cannot issue federally approved permits, you can work
in collaboration with EPA and states to help them enforce permits and make compliance determinations. In many
cases, states and tribes have developed cooperative agreements that promote consultation, sharing of technical
information, notification of permitting issues, and joint tribal/state programming. You can expand your role in
assisting permitting authorities through MOAs with neighboring states. Some states and tribes have entered into
MOAs to share enforcement-related files and information that may have an adverse impact on tribal water
bodies. In addition, some tribes have entered into formal agreements with states developing TMDLs on rivers and
lakes that include transboundary waters. This approach enables tribes to use their own or EPA-approved WQS in
setting appropriate protection levels.
Depending on the nature of your MO A, you may want to consider taking the lead in investigating complaints and
other issues. You can also document and report any compliance problems to EPA or to the appropriate permitting
authority.
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Chapter 7: EPA-Approved
Water Quality Protection
Approach
Introduction
This approach to water quality management uses a regulatory framework based on the CWA structure to control
water quality. Tribes that use this approach will develop and establish federally approved water quality standards
(WQS). This is an approach that many tribes have followed already to develop their tribal water quality programs.
WQS will serve the dual purpose of establishing the water quality goals for a specific water body and serving as
the regulatory basis for establishment of water quality-based treatment controls. These water quality-based
treatment controls include Section 401 certification, National Pollutant Discharge Elimination System (NPDES)
permits, and enforcement actions. The activities discussed in the chapter are most appropriate for sophisticated
programs with many years of experience.
EPA has published detailed guidance on issues related to EpA Wgter , standards
developing WQS, including specific guidance for tribes.
Note: EPA water quality standards are only for the
protection of surface waters of the U.S. They are
not applicable to ground water.
This guidance is not intended to duplicate these
technical guidance documents; instead, it provides
an overview of the major elements of WQS and
directs you to appropriate sources of information.
Consult the appropriate Regional WQS
Coordinator before you begin to develop WQS.
Because tribes choosing this approach will be developing regulatory programs for federal approval, they must
comply with specific requirements. EPA's Office of Science and Technology (OST) has written a general
guidance for developing standards and a reference guide for Indian tribes. In addition, OST maintains a WQS
Web site that includes links to all approved tribal WQS. More information on these resources is provided in the
box below.
Reference Materials Related to WQS Development
EPA's Reference Guide to Water Quality Standards for Indian Tribes (EPA 440/5-90-002), available online
at http: //epa. gov/waterscience/library/wqstandards/indianguide .pdf. contains more information on tribal
considerations in developing WQS. It also lists sources of information that you can consult to help you
understand and develop standards.
EPA's Water Quality Standards Handbook: Second Edition (EPA-823-B-94-005), available online at http://
www.epa.gov/waterscience/standards/handbook/. contains technical information on all aspects of WQS
development, including requirements for tribes and issues related to adoption of tribal standards.
OST's Water Quality Standards Policy and Guidance Web site, http://www.epa.gov/waterscience/standards/
policy.htm. contains links to policy and guidance documents. Consult this site for a complete list of all EPA
WQS resources. Approved standards for states, tribes, and territories are posted on http://www.epa.gov/
waterscience/standards/wqslibrary/.
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in 7
Fundamental Program Activities
1. Understanding \Nater Quality Standards
2. Understanding Section 401 Certification
3. Understanding Section 404 Permitting
4. Using EPA WQS Trainings and Educational Materials
5. Reviewing Existing Tribal and State Water Quality Standards
6. Identifying Goals of Tribal Regulatory Program
7. Working in Partnership with EPA, Tribes, and States
Intermediate Program Activities
Tribes should begin these activities after having completed the relevant fundamental program activities.
1. Applying for TAS Eligibility for a WQS Program and a Section 401 Certification Program
2. EPA Review of Tribal Application for TAS Eligibility for WQS Program and Section 401 Certification Program
3. Developing Standards Working With EPA, Tribes, and States
Reviewing EPA Regulation and Guidance
Designating Uses
Developing Criteria
Developing an Antidegredation Policy
Developing General Policies
4. Submitting Draft WQS for Formal Public Hearing and Comment
5. Formally Adopting WQS through Tribal Council
6. Submitting Adopted WQS for EPA Approval
7. Understanding EPA's WQS Review Process Approved WQS
Disapproved WQS
8. Understanding EPA's Dispute Resolution Mechanism
Mature Program Activities
Tribes should begin these activities after having completed the relevant fundamental and intermediate program activities.
1. Implementing WQS
2. Conducting Triennial Reviews
3. Implementing Section 401 Certifications
4. NPDES Program Overview
5. Sources Regulated Under the NPDES Program
6. Understanding NPDES Permits
7. Reviewing Permits
8. Considering NPDES Program Authorization
9. Developing Capabilities for Permitting, Compliance, and Enforcement
10. Preparing for NPDES Program Authorization Developing Tribal Code and Obtaining Approval from the Tribal Government
Inventorying Existing Point Sources
Establishing Sources of Funding to Run the NPDES Program
11. Obtaining NPDES Program Authorization
12. Assuming the Section 404 Program
13. Working with EPA to Transition from Federal to Tribal Implementation
14. Conducting Public Outreach
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EPA Regional WQS Coordinators
EPA's Regional WQS Coordinators play a key role in working one-on-one with tribes to develop WQS. You
should work closely with your regional WQS Coordinator throughout the WQS development process. You
can obtain contact information for your regional WQS Coordinator on OST's Web site, http://www.epa.gov/
waterscience/standards/regions.htm.
This chapter also provides information about the WQS program authorization process. Before EPA can approve a
tribe's water quality standards under the CWA, it must approve the tribe's application for TAS eligibility to
administer the WQS program.
As noted in chapter 4, analysis of your monitoring data
can provide useful inputs to development of your
WQS. Before you attempt to regulate the quality of
waters on your reservation, you should know their
current condition. Monitoring data will help you
understand the natural variability in water quality data,
make informed management decisions, and identify
sources most severely affected by point source and
NPS pollution. Monitoring results will also help you
identify specific parameters of concern (e.g., high
levels of toxic chemicals) for water bodies on your
land. Once you have developed and implemented a
WQS program, your monitoring program will help you
assess whether your water bodies are meeting the
criteria for their designated uses and determine the
effectiveness of your standards. A strong monitoring
and assessment program complements and improves a
WQS program.
Testing water quality on the Verde River. Photo courtesy of Salt
River Pima-Maricopa Indian Community
EPA-approved WQS serve as the basis for water quality-based effluent limits for facilities with NPDES permits
that are discharging to waters of a reservation covered by the standards. A tribe may also evaluate whether
discharges under a federal license or permit will be consistent with its WQS when granting, denying, or
conditioning a water quality certification under Section 401 of the CWA. Facilities developing or renewing
NPDES permits or other federal licenses or permits for discharging to waters of a reservation must have their
federal permits or licenses certified by the tribe under CWA Section 401 (unless certification is waived). The tribe
and EPA will refer to the tribal WQS when identifying whether waters are impaired and developing total
maximum daily loads (TMDLs) under Section 303(d) of the CWA. Finally, effluent limitations for a permit to
discharge upstream from tribal waters must assure compliance with downstream federally approved standards.
Federal WQS for Reservation Waters
Tribes may adopt EPA-approved WQS to enhance the ability to include appropriate effluent limits in CWA
permits for point source discharges into reservation waters. In situations where tribes have not adopted
EPA-approved WQS, EPA may consider adopting federal WQS for reservation waters. EPA, however,
prefers to work cooperatively with tribes and states on WQS issues and to initiate federal promulgation only
when absolutely necessary.
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I. Fundamental Program Activities
1. Understanding Water Quality Standards
WQS apply to "waters of the United States." For tribes, these can include rivers, streams, intermittent streams,
lakes, natural ponds, wetlands, estuaries, and near-shore coastal waters that are within the tribe's reservation. The
statutory basis for EPA's WQS program is located in Section 303(c) of the CWA. According to this Section, the
purpose of WQS is to support the following goals found in Section 101(a) of the CWA:
• Restoring and maintaining the chemical, physical, and biological integrity of waters
• Achieving, whenever attainable, a level of water quality that provides for the protection and propagation of
fish, shellfish, and wildlife and for recreation in and on the water
WQS consist of three components: designated uses, water quality criteria, and an antidegradation policy. WQS
define the water quality goals for a water body by designating its use(s) (e.g., recreation, water supply, aquatic
life) and setting water quality criteria (e.g., numeric pollutant concentrations, narrative requirements) to protect
the use(s). WQS must also include an antidegradation policy. The policy must at a minimum maintain and
protect existing uses (i.e., prevent water quality from deteriorating), protect high-quality waters, and maintain
water quality in water bodies designated as Outstanding National Resource Waters (ONRWs). In addition, tribes
may, but are not required to, include in their WQS policies that address implementation issues (e.g., low-flow
conditions, variances from WQS, mixing zones near point source discharges).
Outstanding National Resource Waters
ONRWs are generally regarded as the highest quality waters of the United States; however, other water
bodies that are unique, or ecologically sensitive but of lower quality (e.g., wetlands), also can be classified as
ONRWs. This classification is intended to protect and maintain current water quality. Therefore, no
degradation or change in water quality is allowed, except on a short-term, temporary basis (i.e., weeks or
months). California's Lake Tahoe, Florida's Biscayne Bay, and Tennessee's Reelfoot Lake are examples of
water bodies designated as ONRWs.
WQS serve as the basis for water quality-based control actions (e.g., a NPDES permit, a water quality
certification for a federal license). WQS do not impose any directly enforceable requirements on any party,
however. WQS will have no direct effect on any entity until they are implemented in a permit or some other CWA
decision. Once WQS have been implemented in a permit, the permit can be enforced. The CWA does not require
authorized tribes to regulate NFS pollution through enforceable controls, although tribes can determine what, if
any, controls on NFS pollution are needed to attain WQS.
EPA recognizes that tribes have varying abilities to develop WQS. Some tribes have more technical capability and
experience in drafting and implementing regulations and may be capable of adopting more complex standards.
Regardless of your tribe's level of expertise, as a first step you should focus on the basic structure of WQS (i.e.,
designated uses for identified water segments, appropriate narrative and numeric criteria, an antidegradation
policy). The complexity and sophistication of the structure you adopt will depend on your program's abilities and
the environmental concerns you wish to address.
WQS development is an ongoing process. The CWA and federal regulation require triennial revisions of WQS
(see section III.2 of this chapter for more information on triennial reviews). Tribes and states use triennial reviews
to fine tune WQS. EPA anticipates that tribal staff will also use triennial revisions to further refine their WQS.
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Examples of EPA-approved tribal WQS, including designated uses, are available online at http://www.epa.gov/
waterscience/standards/wqslibrary/tribes .html.
2. Understanding Section 401 Certification
Section 401 of the CWA provides eligible tribes with a powerful mechanism to control discharges to waters on
Indian reservations. Under Section 401 of the CWA, tribes with approved WQS can review any application for
federal permits or licenses that may result in a discharge to reservation waters for which the tribe has developed
approved WQS. As stated in 40 CFR 131.4, your tribe is eligible for TAS for Section 401 certification purposes if
your tribe is determined to be eligible for TAS for the WQS program.
The Section 401 certification process allows your tribe to certify whether the discharge will comply with your
tribe's EPA-approved WQS. In addition, you can examine whether the discharge will violate effluent limitations,
toxic pollutant limits, and other water resource requirements of tribal law or regulation. This means that a facility
with a NPDES permit or other federal license or permit discharging into reservation waters for which you have
developed approved WQS will be required to obtain a 401 certification from your tribe when renewing the permit
or license. If you determine that the proposed discharge will not comply with the tribe's approved water quality
standards or other appropriate requirements of tribal law, you may in your certification set forth license conditions
necessary to do that. Those conditions shall become part of the federal license or permit. More information about
Section 401 certifications is available online at http://www.epa.gov/OWOW/wetlands/regs/sec401 .html.
3. Understanding Section 404 Permitting
Section 404 of the CWA establishes a program to regulate the discharge of dredged and fill material into waters of
the United States, which includes wetlands. Discharges into waters of the United States that are regulated under
this program include, but are not limited to, fills for development, water resource projects (such as dams and
levees), infrastructure development (such as highways and airports), and conversion of wetlands to uplands for
farming and forestry. The basic premise of the program is that no discharge of dredged or fill material can be
permitted if a practicable alternative exists to achieve the project purpose that is less damaging to the aquatic
environment or if a water body would be significantly degraded by the placement of dredged or fill material. The
U.S. Army Corps of Engineers (the Corps) issues Section 404 permits based on CWA Section 404(b)(l)
guidelines written by EPA (40 CFR Part 230). EPA and the Corps both have enforcement authority over 404
discharges.
States and tribes can assume administration of the Section 404 permit program in certain waters within their
jurisdictions. Since authority has been available to states and tribes, only two states have elected to assume the
federal program.
4. Using EPA WQS Trainings and Educational Materials
EPA holds a number of training sessions, workshops, and meetings related to WQS development and
implementation. If you would like more information on the basics covered in this guidance, you should consider
using EPA's educational materials. The WQS Academy, for instance, offers a basic WQS course that introduces
students to all aspects of the WQS program, including the interpretation and application of WQS regulation,
policies and program guidance, the development of water quality criteria, and other facets of the water program.
From time to time, EPA also conducts specialized workshops on WQS development for Indian tribes. More
information on the WQS Academy, other long-distance training opportunities, and guidance documents are
available online at http://www.epa. gov/waterscience/standards/training .htm.
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5. Reviewing Existing Tribal and State Water Quality Standards
As you begin to develop WQS for your tribe, EPA recommends that you work closely with the water quality
standards coordinator in the appropriate EPA regional office to obtain the latest criteria recommendations and to
discuss the adjacent state and tribal WQS as an option or starting point for your tribal WQS. You are required to
take into consideration and ensure the attainment and maintenance of downstream WQS when developing your
WQS (40 CFR 131.10). Hence, as a first step you may benefit from reviewing downstream tribal and state
standards. You may decide to use them as a basis for your standards. This is an expedient way of getting WQS in
place. If necessary, they can then be revised during the triennial review process. You can also use downstream
tribal and state standards to gain an understanding of existing conditions in your area, EPA's expectations for
approved standards, and WQS in general.
OST maintains a list of all EPA-approved state standards online at http://www.epa.gov/waterscience/standards/
states/. EPA-approved tribal standards are available online at http://www.epa.gov/waterscience/standards/
wqslibrary/tribes.html.
6. Identifying Goals of Tribal Regulatory Program
WQS should achieve the goals outlined in section I.I of this chapter (protect public health or welfare, enhance
water quality, and otherwise serve the purposes of the CWA). Before developing WQS, however, tribes may
want to consider specific environmental problems that standards could address. WQS can be a very useful tool
for some environmental programs. Some tribes have used WQS to help the program achieve goals such as
providing guidance about existing water quality, protecting aquatic life, defining allowable levels and types of
discharges, helping to establish priorities for the allocation of treatment resources and cleanup efforts, and
ensuring additional protection for waters used as drinking water supplies. EPA-approved WQS do not apply to
ground water; hence, tribes where surface water is scarce may find that standard development may not help
them achieve their goals most effectively. After an evaluation of standards in relation to its overall program goals,
a tribal water quality program may decide that development of WQS will not help achieve its goals in the most
effective way. Tribes reaching this determination may elect to pursue one of the other routes for program
development presented in this guidance and described in chapters 5 and 6.
7. Working in Partnership with EPA, Tribes, and States
Sound environmental planning and management suggest that you collaborate with neighboring tribes and states
and EPA. Particularly in the field of environmental regulation, your tribe, neighboring states, and EPA often share
the same problems, and coordination may help you to address them comprehensively. Working together to resolve
these problems serves the interests of all parties. You may also benefit by contacting other organizations in your
watershed, including local governments and watershed organizations.
EPA can provide technical expertise and guidance, and thus strongly encourages tribes to work with their EPA
Regional WQS Coordinator well before adopting and submitting WQS to EPA for approval. Working together
early in the development process will help prevent problems that may lead to EPA disapproving a tribal submission
later on. Likewise, working with your neighboring states as you develop your standards may be helpful.
In some cases, you may want to work even more closely with neighboring tribes and states. Depending on
circumstances, you may choose to negotiate a cooperative agreement with a neighboring tribe or state regarding
standards on common water bodies or adopt the standards of an adjacent state as your own, making modifications
as needed. When available, these options can be quick and cost-effective ways of establishing WQS and may be
more likely to result in consistent upstream and downstream standards for water bodies that flow through the
reservation.
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Even if you find that your tribe and neighboring tribes or states disagree on some topics, many points of
agreement and cooperative partnership between states and tribes that can benefit both parties can be negotiated.
Usually, these agreements have focused on information exchanges and transboundary coordination, much like
agreements commonly reached between states. Some agreements have also allowed tribes to access state
resources, such as training and on-the-ground work to protect water resources.
Approaches to WQS Development
Remember that the development of WQS is an iterative process. As your WQS program evolves, you may
change your approach for establishing standards. You may adopt existing state standards initially and modify
them as necessary in subsequent years. The WQS regulation requires that you review EPA-approved WQS
at least once every 3 years and revise them if necessary.
II. Intermediate Program Activities
1. Applying for TAS Eligibility for a WQS Program and a Section 401
Certification Program
As is the case with obtaining eligibility for Section 106 grants, you must obtain EPA approval for TAS for the
WQS program to have your standards approved by EPA under the CWA. To be approved for WQS program
eligibility, you must meet the TAS requirements of CWA Section 518 and 40 CFR 131.8. See section 1.1 of
chapter 3 for a summary of some of the CWA Section 518 statutory requirements. If you have TAS eligibility for
Section 106, you may have met some of these requirements already. You may have to submit only information not
submitted previously or submit updated information where previously submitted information is no longer current.
Refer to appendix B, Requirements for Authorization of Tribal Administration of the WQS Program, for a
checklist of some of the items to be included with WQS program authorization applications. See CWA Section 518
and 40 CFR 131.8(b) and contact the EPA Regional WQS Coordinator for information on specific requirements
that you must include in your application to the EPA Regional Administrator (RA).
EPA will work individually with the tribe making the application for eligibility for the WQS program to ensure that
the application is complete and meets all of EPA's requirements. EPA strongly recommends that you contact the
appropriate EPA WQS Coordinator and the Office of Regional Counsel to discuss specifics before you submit
your application for program eligibility. EPA's WQS Coordinators are also available to assist you in developing
WQS for your reservation prior to obtaining authorization to conduct the WQS program.
Although a tribe can submit a TAS eligibility application and an application for WQS approval together, EPA will
not approve a tribe's WQS until it has approved the eligibility application. A tribe that receives eligibility approval
for WQS from EPA is also approved to conduct the Section 401 certification program on reservation lands and
certify that federally licensed or permitted discharges comply with the tribe's EPA-approved WQS. There is no
separate application for the Section 401 certification program.
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2. EPA Review of Tribal Application for TAS Eligibility for WQS Program and
Section 401 Certification Program
The EPA process for reviewing tribal applications for TAS eligibility for the WQS program consists of five steps.
They are:
• Step 1: The Tribe Submits an Application. Tribes are encouraged to work with EPA staff in
developing their eligibility applications to administer a WQS and certification program. Drafts or
components of the applications may be shared with EPA staff before being formally submitted to EPA.
EPA will examine the tribe's application and may request additional information.
• Step 2: Comment Period. EPA then provides appropriate governmental entities with notice of the tribe's
application, including information as to the substance and basis of the tribe's claims regarding authority to
regulate reservation water quality, and provides 30 days for comments on the tribe's application. EPA also
publishes a notice in relevant newspapers, offering the public the opportunity to provide comments through
appropriate governmental entities. EPA then affords the applicant tribe the opportunity to provide a
response to the comments.
• Step 3: EPA Review. A team of EPA regional and Headquarters staff reviews the application to
determine whether the tribe meets the requirements for eligibility listed above. If necessary, EPA may
request additional information from the tribe.
• Step 4: Proposed Findings of Fact (if needed). Where appropriate, EPA prepares a proposed findings
of fact document regarding tribal authority that would form a basis for EPA's decision on whether the tribe
has adequate authority as described above. EPA provides the tribe, appropriate governmental entities, and
the public with the opportunity to comment on the analysis in the proposed findings of fact. The tribe
applying for eligibility is given the opportunity to respond to comments received.
• Step 5: Final Decision. The EPA team reviews all of the materials — including the original application,
any proposed findings of fact, and all comments submitted — prepares draft decision documents, including
a response to comments, and submits them for final review within the Agency. The RA (or delegatee) then
makes a final decision and, if EPA approves the application, produces a decision document with the
findings of fact as an appendix if needed. The regional office will notify the tribe in writing of EPA's
approval of the tribe's application. The approval letter and the decision document are transmitted to the
tribe.
3. Developing Standards
a. Working with EPA, Tribes, and States
You should consider sharing your draft standards with your EPA region and neighboring states and tribes or
working with them to develop your draft standards. Working with your EPA Regional WQS Coordinator as you
develop your standards may help prevent problems that could lead to EPA disapproving your submission later on.
Similarly, working with neighboring states and tribes as you develop your standards will promote coordinated
water quality protection.
EPA's Water Quality Standards Handbook (referenced on page 7-1 of this chapter) contains technical guidance
on developing standards. In addition, this section provides some basic information you should consider.
As mentioned in section 1.7 of this chapter, it is important to work with your EPA regional office early in the WQS
development process and share drafts of your tribe's WQS as they are developed. Once you have developed
draft standards and have completed the public participation requirements as laid out in section II.2 of this chapter,
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your tribe may adopt the WQS. When the WQS are tribally adopted, you must submit them to EPA to receive
approval for your WQS.
b. Reviewing EPA Regulation and Guidance
Although you have some flexibility in the standards you adopt, they must meet some basic requirements. At a
minimum, EPA expects that tribal WQS, at least initially, should focus on basic contents and reflect existing uses
and existing water quality. The standards must be established for all "waters of the United States" within the
reservation area covered by the application. Tribes should focus on the basic structure of a WQS system
(designated uses, water quality criteria to protect the uses, and an antidegradation policy). How complex or
sophisticated these elements need to be depends on the tribes' technical capacity and the environmental concerns
to be addressed.
Tribal WQS should be developed considering the quality and designated uses of waters entering and leaving
reservations. It is important that tribes be aware of the WQS of surrounding states and tribes. Even though there
is no requirement to match those standards, WQS regulation requires that tribes consider and ensure the
attainment and maintenance of downstream WQS (40 CFR 131.10).
See section 1.9.1 of EPA's Water Quality Standards Handbook for more information on EPA's basic
expectations for tribal WQS. Section 2.2 of the handbook discusses consideration of downstream uses.
c. Designating Uses
Use classifications refer to the types of activities you expect water bodies to support. You must develop a
classification system to designate uses for water bodies or segments of water bodies on your reservation. You
may adopt and use any categories appropriate for your tribe that meet all applicable requirements when
developing uses. You may also adopt subcategories of a use (e.g., you could divide the "recreation" use into two
subcategories - recreation in the water and recreation on the water). For more information on designated uses,
see 40 CFR 131.10. General categories for designated use include:
• Public Water Supplies: Waters that are drinking water sources. They may require treatment prior to
distribution by public water systems.
• Protection and Propagation of Fish, Shellfish, and Wildlife: This category is often divided into
subcategories (e.g., cold-water fish, warm-water fish). It can also include protection of aquatic flora. You
should designate aquatic life uses that appropriately address biological integrity and adopt biological criteria
necessary to protect those uses.
• Recreation: This category is traditionally divided into primary and secondary contact recreation. Primary
contact includes activities likely to result in immersion in the water (e.g., water skiing, swimming, surfing).
Secondary contact includes activities when immersion is unlikely (e.g., boating, fishing, rafting).
• Agriculture and Industry: Agricultural use defines waters suitable for crop irrigation, livestock
consumption, support of vegetation for range grazing, and other uses that support farming and ranching
and protect livestock and crops from injury. Industrial uses include industrial cooling and processed water.
• Navigation: This use protects ships and crews and maintains water quality to avoid restricting or
preventing navigation.
• Other Uses: You may adopt other uses that you think are necessary, such as any tribally relevant
traditional or cultural uses, aquifer protection, or hydroelectric power.
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When designating uses, remember that water bodies can support more than one use. Criteria for waters with
multiple use designations must support the most sensitive use, as required by 40 CFR 131.1 l(a). You can
designate uses for entire water bodies or segments of water bodies. When designating uses, you should take
physical, chemical, and biological characteristics of the water body into account. You should also consider its
geographical setting, scenic qualities, and any relevant economic considerations. In addition to the minimum uses
required by the CWA (i.e., aquatic life use, wildlife use, and primary contact recreation use), you can designate
other uses as appropriate, but you must ensure that your water quality criteria (discussed below) protect the most
sensitive use, as required by 40 CFR 131.11 (a).
CWA Section 101(a)(2) states that it is a national goal that wherever attainable:
1. protection and propagation offish, shellfish, and wildlife, and
2. recreation in and on the water
be achieved. As a result, all waters are designated for these two uses at a minimum unless a use
attainability analysis is provided. A use attainability analysis is a structured scientific assessment of the factors
affecting the attainment of a use that may include physical, chemical, biological, or economic factors described in
40 CFR 131.10(g). It also examines whether the water body can attain fishable/swimmable use through effluent
limits for point dischargers and cost-effective management measures for NFS. As required by 40 CFR 131.20(a),
every 3 years you must re-examine those water bodies where designated uses of fishable/swimmable were not
deemed attainable to determine whether new information has become available that indicates the fishable/
swimmable uses can be attained.
Transport and Assimilation
In no case may you adopt waste transport or waste assimilation as a designated use for any waters of the
United States. You also may not replace a designated use with a designated use that is lower than the use
currently being attained.
When establishing WQS for the first time, you should carefully consider the uses that are appropriate for each
water body or segment. Removing or downgrading a designated use, while possible, requires a substantial
demonstration that attaining the use is not possible. (See section 2.7 of the Water Quality Standards Handbook
for more information on removing designated uses.) You may always add a use and develop scientifically
defensible criteria to protect that use.
Chapter 2 of EPA's Water Quality Standards Handbook contains information on developing water body uses.
For more information on use attainability analyses, consult EPA's Technical Support Manual for Conducting
Use Attainability Analyses (EPA 440-486-038). Pages 1-233 apply to rivers and streams, pages 234-422 apply to
estuarine systems, and pages 422-622 apply to lakes. The manual is available online at http://www.epa.gov/
waterscience/librarv/wastandards/uaavol 123 .pdf.
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Use Classifications for Wetlands (from EPA's Water Quality Standards for Wetlands
Handbook, EPA 440/S-90-011)
• Ground water recharge/discharge • Nutrient removal/transformation
• Flood flow alteration • Wildlife diversity/abundance
• Sediment stabilization • Aquatic diversity/abundance
• Sediment/toxic retention « Recreation
You can obtain the Water Quality Standards for Wetlands handbook online at http ://www.epa.gov/
waterscience/librarv/wa standards/wetlandsguidance .pdf.
d. Developing Criteria
Water quality criteria are levels of individual pollutants, water quality characteristics, or descriptions of a water
body that, if met, protect designated uses. Water quality criteria can consist of numeric criteria or narrative
descriptions of conditions a water body must meet (narrative criteria). In some cases, narrative criteria can
supplement numeric criteria.
Numeric criteria establish values expressed as levels, concentrations, toxicity units, or other numbers, deemed
necessary to protect designated uses. Numeric criteria can refer to chemical (e.g., phosphorus), physical (e.g.,
temperature), or biological (e.g., the types and numbers of aquatic species that should be present in the water
bodies) parameters. Numeric criteria are appropriate for known causes of toxicity and for protection against
pollutants with potential human health effects. Numeric criteria may be values not to be exceeded (e.g., toxic
chemicals), values that must be exceeded (e.g., dissolved oxygen), or a range (e.g., pH).
Narrative criteria are general statements designed to protect a specific designated use or set of uses (e.g., "free
from substances that will produce undesirable or nuisance aquatic life"). Narrative criteria are especially
important for the control of NFS, chemicals with no numeric criteria, and activities that may affect the physical or
biological aspects of water quality.
See 40 CFR 131.11 for more information on numeric and narrative criteria.
EPA publishes recommended water quality criteria consisting of scientific information on concentrations of
specific chemicals or levels of parameters in water that protect aquatic life and human health, as required by
Section 304(a) of the CWA. You should consider this information, along with recommended criteria, as the basis
for developing WQS. Criteria must be based on a sound scientific rationale and must contain appropriate
parameters or constituents to protect designated uses. Section 303(c)(2)(B) requires that you adopt numeric
criteria for priority toxic pollutants for which EPA has developed Section 304(a) recommendations and that may
be discharged or present in your waters and impair designated uses. You are also encouraged to adopt numeric
and narrative criteria for other pollutants. If you adopt narrative criteria, you must develop implementation
procedures to explain how you will regulate point source discharges of priority toxic pollutants in impaired waters.
In adopting criteria, tribes may:
• Adopt the criteria that EPA publishes periodically as required under Section 304(a) of the CWA
• Modify the Section 304(a) criteria to reflect site-specific conditions
• Adopt criteria based on other scientifically defensible methods
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Narrative Criteria
EPA's most recent Section 304(a) criteria summary document includes the following narrative criteria:
All waters [shall be] free from substances attributable to wastewater or other discharges that:
• Settle to form objectionable deposits
• Float as debris, scum, oil, or other matter to form nuisances
• Produce obj ectionable color, odor, taste, or turbidity
• Injure or are toxic or produce adverse physiological responses in humans, animals, or plants
• Produce undesirable or nuisance aquatic life
The most recent criteria published under Section 304(a) of the CWA are available online at http: //www. epa. gov/
waterscience/criteria/wqcriteria.html. Other than the requirement to adopt criteria for a specific list of priority
toxic pollutants wherever they are reasonably expected to interfere with designated uses, EPA has not established
mandatory lists of criteria. For numeric criteria for toxics, states and tribes usually rely on EPA's recommended
values, rather than on monitoring results. At a minimum, however, you should consider all of EPA's published
Section 304(a) criteria. These include:
• Narrative "free fronts" (e.g., free from substances that will produce undesirable or nuisance aquatic life)
• Dissolved oxygen
• pH
• Temperature
• Bacteriological criteria (for recreational use, and potentially for cultural and traditional uses)
• The list of non-priority pollutants in EPA's Section 304(a) recommended water quality criteria
Requirements
Tribes located within the Great Lakes Basin are required to comply with all of the requirements of the Great
Lakes Water Quality Guidance when adopting WQS under the CWA, including adopting specific water quality
criteria. Information on Great Lakes Basin requirements is available online at http://www.epa.gov/
waterscience/gli/.
If you think these regulations may apply to you, you should consult your EPA regional office. For further
information, contact the Great Lakes National Program Office. To see a map of the Great Lakes Basin, visit
http://www.epa.gov/glnpo/atlas/ and click on "Ecoregions, Wetlands, and Drainage" under the heading List of
Maps near the bottom of the page.
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Chapter 3 of the Water Quality Standards Handbook contains more information on adopting criteria that protect
designated uses. Chapter 4 of EPA's Water Quality Standards for Wetlands contains additional information on
narrative and numeric criteria. In addition, a compendium of EPA's National Recommended Water Quality
Criteria can be found at http://www.epa.gov/waterscience/criteria/wqcriteria.html.
e. Developing an Antidegradation Policy
Your WQS must include an antidegradation policy. In addition, you must identify the methods for implementing the
policy. Stated simply, antidegradation policies must ensure that all existing water body uses are maintained in all
water bodies. Antidegradation policies must maintain and protect high-quality waters, as well as water quality of
ONRWs. Tribes must identify their antidegradation implementation procedures. Antidegradation implementation
procedures identify the steps and issues to be addressed when proposed regulated activities (e.g., new
development projects) may affect water quality. Your policy must be consistent with 40 CFR 131.12.
For those tribes located within the Great Lakes Basin, antidegradation policies must be consistent with both 40
CFR 131.12 and 40 CFR Part 132, Appendix E. There are additional implementation procedures for
bioaccumulative chemicals of concern that tribes in the Great Lakes Basin are required to adopt.
The federal antidegradation policy (listed in 40 CFR 131.12(a)) consists of three tiers protecting different levels of
uses:
• Tier 1: Protects existing uses (i.e., those uses actually attained in the water body on or after November
28, 1975, whether or not they are included in the WQS), applying a minimum level of protection to all
waters.
• Tier 2: Applies to waters whose quality exceeds that necessary to support the goals of the CWA. The
quality of these waters cannot be lowered to less than the level necessary to protect the fishable/
swimmable uses and other existing uses and can only be lowered to these levels after you show that
allowing lower water quality is necessary to accommodate important economic or social development in
the area in which the waters are located.
• Tier 3: Applies to ONRWs where ordinary use classifications or supporting criteria may not be sufficient
or appropriate. You may choose to classify specific waters as ONRWs. This may be an appropriate
classification for unique waters such as those located in tribal wilderness areas or wildlife refuges.
Classifying a water body as an ONRW is often the most effective approach to protecting high-quality or
ecologically significant water resources, but remember that this classification may restrict or preclude
significant development activities both on and off your reservation because of its stringent prohibitions
against any lowering of water quality.
Some tribes have developed an additional Tier, Tier 2 1A. This tier is more stringent than Tier 2 but less stringent
than Tier 3.
Your antidegradation policy cannot permit any activity that would partially or completely eliminate any existing
use.
Public participation and intergovernmental coordination can make a tribe's antidegradation policy and
implementation procedures more effective. Requirements for public participation and intergovernmental
coordination when determining whether to allow lower water quality in high-quality water are detailed in 40 CFR
Consult chapter 4 of EPA's Water Quality Standards Handbook for more information on antidegradation
policies.
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f.
You may also adopt policies in your standards that affect how you apply and implement those standards. Policies
on mixing zones, variances, and low flows are the most common general policies. These policies are subject to
EPA review and approval. You may implement other general policies that apply to your standards with the
approval of your EPA regional office.
A mixing zone is a limited area or volume of water
where a discharge enters a water body and numeric
criteria may be exceeded as long as acutely toxic
conditions are avoided. It serves as an area where the
original discharge is diluted. In some cases, it may be
appropriate for you to designate a mixing zone. If you
implement a mixing zone policy, your WQS should
describe the methodology for determining the location,
size, shape, outfall engineering design, and in-zone water
quality of mixing zones. You should give careful
consideration to the appropriateness of mixing zones
where the substance discharged is persistent in the
environment (i.e., only slowly decomposes into other
substances), accumulates in aquatic life, or causes cancer.
Mixing zones for bioaccumulative chemicals are prohibited
in the Great Lakes Basin because of the threat that these
chemicals pose to human health, aquatic health, and
wildlife. For more information on this prohibition, see 40
CFR Part 132 or visit http://www.epa.gov/waterscience/
gli/mixingzones/.
* v~
Members of the Karuk Tribe of California fishing for salmon.
Photo courtesy of the Karuk Tribe of California.
Variances can serve as an alternative to downgrading the
designated use of a water body through a use attainability
analysis if you believe that the use ultimately can be
achieved. You may grant variances for specific pollutants
to an individual discharger. Controlling discharges via a
variance instead of designating a use requiring less
stringent criteria can help you ensure that water quality in
the water body continues to improve. The variance must
be justified based on one of the six factors listed in 40
CFR131.10(g).
You may designate a critical low-flow volume below which numerical criteria do not apply; however, narrative
criteria should be applied even in low-flow situations. Low-flows are used in developing water quality-based
effluent limits and waste load allocations. These policies are also subject to review and approval by EPA.
Consult chapter 5 of EPA's Water Quality Standards Handbook for more information on general policies.
4. for
Development of WQS under the CWA requires public involvement and participation. CWA Section 303(c)(l)
requires that, at a minimum, you hold a public hearing to review proposed WQS and make the results of that
review available to the Administrator. EPA urges you to involve the public even more actively in helping to
establish WQS through public hearings and workshops. Public hearings must comply with applicable tribal law,
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EPA's Public Participation Regulation (40 CFR Part 25), and EPA's WQS regulation. Prior to the hearing, you
must make the proposed WQS and any applicable supporting materials (e.g., analyses of water quality) available
to the public. Section 1.12 of chapter 3 and section II. 3 of chapter 6 have more information on conducting public
outreach.
5. Formally Adopting WQS through Tribal Council
Before you can submit your standards to EPA for approval, you must adopt the standards as tribal law. EPA will
not formally approve any tribal WQS unless they have been adopted by the tribal council, and you have submitted
a certification stating that the WQS have been approved by the tribal council to EPA. You must include a
certification from your tribal attorney general or equivalent officer with your WQS package to indicate that the
WQS were adopted in accordance with tribal laws and codes and can be implemented in accordance with tribal
laws and codes. Sections II.4 and II.5 of chapter 6 contain more information on adoption of standards as part of
tribal law.
6. Submitting Adopted WQS for EPA Approval
After your tribe has approved your WQS, you must formally submit the tribally adopted WQS to EPA for review.
Include the following elements in your submission:
• Use designations consistent with CWA Sections 101(a)(2) and 303 (c)(2)
• Methods used and analyses conducted to support WQS
• Water quality criteria sufficient to protect designated uses (including those for priority toxic pollutants and
biological criteria)
• An antidegradation policy consistent with WQS regulation 40 CFR 131.12
• Certification by the appropriate legal authority within your tribe that the WQS were duly adopted
according to tribal law
• General information to help EPA determine the adequacy of the WQS' scientific bases for uses not
specified in CWA Section 101(a)(2), including any sound scientific rationale on which water quality criteria
are based
• Information on general policies that may affect the application and implementation of WQS
• Use attainability analyses (UAA) for all waters not classified as fishable/swimmable, as required by 40
CFR 131.10(j) (UAAs may or may not touch on the supporting water quality criteria)
• A record of public participation, including public comments made and your responses to comments
In addition, your EPA regional office, in consultation, as appropriate, with the Fish and Wildlife Service and/or the
National Marine Fisheries Service, will review your WQS to ensure, consistent with the federal Endangered
Species Act, that they protect federally listed endangered or threatened species that may be present within the
tribe's boundaries. The two Services and EPA will work cooperatively with your tribe to address concerns about
protecting endangered or threatened species. For more information on this process, consult the Endangered
Species Act implementing regulations at 50 CFR Part 402 and the Memorandum of Agreement between EPA, the
U.S. Fish and Wildlife Service, and the U.S. National Marine Fisheries Service (published in the Federal Register
on February 22, 2001, 66 Fed. Reg. 11202-11217), available online at http://www.epa.gov/ost/standards/esa.html.
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Your EPA regional office may request additional information. Check with the appropriate EPA Regional WQS
Coordinator to determine if you should include anything else in your submission.
7. Understanding EPA's WQS Review Process
After you submit adopted WQS, EPA reviews them, assessing whether:
• You have adopted water uses that are consistent with CWA requirements and criteria that protect the
designated water uses
• You have followed your legal procedures for revising or adopting standards
• Your tribal standards are based on appropriate scientific and technical data and analysis
• You meet the submission requirements discussed above in section II.6
EPA's regional offices review WQS with assistance from the WQS Branch at Headquarters, if necessary. EPA
uses the same regulatory requirements when reviewing tribal standards as when reviewing state standards.
If the submitted WQS meet the regulatory requirements in 40 CFR Part 131 and Part 132, EPA will approve
them. If some or all of the provisions fail to meet these requirements, EPA will notify you and specify the
necessary changes.
a. Approved WQS
If EPA determines that you have met all appropriate requirements and approves your WQS, the appropriate
Regional Administrator (RA) or other designated regional official will notify your tribal chair and the tribal agency
responsible for the WQS program through an approval letter. If EPA approves only a portion of the standards you
submitted, the RA will provide information on the sections that need modification in this letter.
b. Disapproved WQS
If your standards do not meet the requirements of the CWA and EPA's regulations, the appropriate EPA RA or
designee will notify you and specify the necessary revisions. It is EPA policy to encourage tribes to work with
their appropriate EPA regional office in making such revisions. If a tribe does not adopt the changes specified by
EPA within 90 days after notification of EPA's disapproval, EPA shall promulgate such standards pursuant to
Section 303(c)(4)(A) of the CWA, which provides that EPA is to "promptly prepare and publish proposed
regulations setting forth a revised or new [WQS]...if a revised or new [WQS] submitted by such [tribe]...is
determined by the Administrator not to be consistent with the applicable requirements of the [CWA]."
8. Understanding EPA's Dispute Resolution Mechanism
Section 518 of the CWA requires EPA to establish a mechanism to resolve any unreasonable consequences that
may arise as a result of differing WQS set by states and tribes located on common bodies of water. This
mechanism is promulgated at 40 CFR 131.7. Either a state or a tribe may request EPA involvement in a dispute, in
which case the RA, if appropriate, will work with the parties in an effort to reach an agreement. The RA may
include other parties besides the tribe and state (e.g., permittees, landowners) in the dispute resolution mechanism.
EPA may use mediation, nonbinding arbitration, and the Agency's default procedure to resolve disputes.
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To resolve disputes through mediation, the RA may appoint a mediator to facilitate discussions between the state
and the tribe. Under nonbinding arbitration, the RA may appoint an arbitrator or panel of arbitrators to work with
parties and recommend a nonbinding solution to EPA. Under the default procedure, EPA will review all available
information and issue a recommendation for resolving the dispute.
For more information on EPA's dispute resolution mechanism, see section 1.7 of the Water Quality Standards
Handbook.
III. Mature Program Activities
1. Implementing WQS
Many of the CWA's mechanisms for protecting water quality rely on WQS as the foundation for water quality-
based decisions. For example, WQS can be used to develop NPDES permit requirements, and WQS serve as a
basis for identifying impaired waters under the CWA. WQS are also used as a basis for tribes (or EPA where a
tribe is not administering the WQS program) to protect water quality from upstream discharges. For example, if
an upstream permit applicant proposes a discharge that cannot ensure compliance with applicable CWA water
quality requirements of downstream affected tribes, that discharge is prohibited under the CWA. They are also a
basis for assessing and reporting on water quality biannually under Section 305(b) of the CWA.
In addition, WQS are important for programs other than those associated with the CWA. For example, under
EPA's Superfund program, water quality standards promulgated pursuant to the CWA are generally considered
"Applicable or Relevant and Appropriate Requirements" (ARARs) that must be attained or waived during
Superfund remedial actions. See EPA's CERCLA Compliance with Other Laws Manual, EPA/540/G-89/006,
Interim Final, August 8, 1988, http://www.epa.gov/superfund/resources/remedy/pdf/540g-89006-s.pdf.
If regulation-based actions are not enough to attain WQS, or NPS are the principal sources of pollution, you may
also rely on your NPS control program to reduce the NPS pollutant load. Chapter 5 contains more information on
developing and implementing NPS control programs.
2. Conducting Triennial Reviews
EPA's regulations require that a tribe's WQS approved under the CWA be reviewed at least once every 3 years
and revised if necessary. You must hold a public hearing when any element of a WQS is modified or changed, and
the public hearings must meet the same requirements as the public hearings held during standards development
(discussed in section II.4 of this chapter). Prior to the hearing, you must make any proposed revisions, including
supporting analyses, available to the public. When you begin activities to revise or adopt new standards, you
should consult with your EPA Regional WQS Coordinator.
Remember that you must re-examine water bodies or segments with designated uses that do not meet the
fishable/swimmable use to determine if any new information or technology has become available that would make
fishable/swimmable uses attainable. In addition, if designated uses for any water bodies are less restrictive than
those uses currently being attained, you must revise your standards to reflect the uses attained. You must also
review any variances you have granted and decide whether to issue new variances.
Change in use designation requires that you consider the need for a change in criteria. If a use is removed, the
criteria developed to protect that use may be deleted or revised. If a use is added, you will need to develop
adequate criteria to protect the use.
See chapter VIII of the Reference Guide to Water Quality Standards for Indian Tribes for more information
on conducting triennial reviews.
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During triennial reviews, you can also establish procedures for identifying and reviewing standards on specific
water bodies in detail. These water bodies are likely to be those where: water quality-based permits are scheduled
to be issued or reissued; CWA goals are not being met; toxics have been identified and may be precluding a use or
posing an unreasonable risk to human health; or potential impacts on threatened or endangered species may exist.
See section 6.1.4 of the Water Quality Standards Handbook for more information on identifying and reviewing
specific water bodies.
When revising standards, you must review all available information to determine whether the discharge or
presence of a toxic pollutant is interfering with or likely to interfere with the attainment of designated uses of any
water body segment. If so, you must adopt water quality criteria for that toxic pollutant sufficient to protect the
designated use (40 CFR 131.11(a)(2)).
You should consult with the appropriate EPA Regional WQS Coordinator before you begin this process. For
information on EPA's review process, see section 6.2 of the Water Quality Standards Handbook.
3. Implementing Section 401 Certifications
Once you have received EPA approval for your WQS, you may want to consider developing a comprehensive set
of Section 401 certification implementing regulations to facilitate and enhance the defensibility of your control over
the certification process. The language of Section 401(a)(l) of the CWA is written very broadly with respect to
the activities it covers. Any federally licensed or permitted activities that may result in discharges into navigable
waters, including CWA 404 permits and FERC (Federal Energy Regulatory Commission) licenses, require Section
401 water quality certification. This includes, but is not limited to, the construction or operation of facilities. The
purpose of the certification is to ensure that no license or permit is issued for any activity that could become a
source of pollution through inadequate planning or otherwise. Carefully considered Section 401 certification
regulations can be very effective in conserving water quality and in ensuring that you apply all appropriate criteria
to every certification decision. Some considerations to include in your Section 401 certification implementing
regulations include the timeframe for review, application requirements, permit fees, and basis for decisions.
Section VI of EPA's 1989 Wetlands and 401 Certification: Opportunities and Guidelines for States and
Eligible Indian Tribes contains more information on these considerations and is available online through the
Office of Water's Online Publication Web site, http ://yosemite .epa.gov/water/owrccatalog .nsf/. Appendix D of
that document also contains some example certification conditions.
After you receive WQS and Section 401 certification program authorization, entities must apply for and obtain
certification from your tribe before obtaining a federal license or permit for any activity that may result in a
discharge into waters on your reservation. When evaluating applications from these regulated entities for Section
401 certification, you should consider all potential water quality impacts over the life of the project (e.g., direct and
indirect, short and long term, upstream and downstream), as well as impacts resulting from construction and
operation of the facility when making your decision.
If your tribe has received an application for 401 certification for an activity that may affect the water quality of a
downstream jurisdiction, you may wish to notify EPA. When an activity requiring 401 certification in one
reservation or state will have an impact on the water quality of another reservation or state, EPA will notify any
other tribe or state with water bodies that could be affected by the decision after receiving notice of application
from a federal permitting or licensing agency within 30 days of the date of notice. EPA will also notify the
licensing or permitting agency and the applicant. If within 60 days after receipt of such notification, other affected
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states or tribes determine that issuance of the permit will affect the quality of their waters so as to violate any
water quality requirements of the state or tribe, and notify EPA and the licensing or permitting agency in writing of
their objections, the licensing or permitting agency will hold a hearing at which EPA will submit its evaluation and
recommendations on the proposed permit. The licensing or permitting agency must then condition the permit or
license to ensure compliance with all applicable water quality requirements.
4. NPDES Program Overview
The NPDES program is a cornerstone of the CWA. The program regulates the discharge of pollutants into the
waters of the United States by means of permits issued to industrial, municipal, and other point source
dischargers. Across the United States, more than fifty categories of industry (including several hundred thousand
businesses) and the nation's network of more than 16,000 municipal sewage treatment systems are required to
comply with standards implemented in NPDES permits. These permits remove billions of pounds of conventional
pollutants and millions of pounds of toxic pollutants each year. Today, more than 400,000 facilities are required to
have NPDES permits. EPA regional offices currently issue and enforce NPDES permits in Indian Country.
If your tribe has EPA-approved WQS and wishes to use the NPDES program to regulate point source discharges
based on your standards, you will find helpful information in the pages that follow. However, if your tribe has
EPA-approved WQS, you are not required to seek NPDES program authorization. The process for tribal
authorization of the NPDES permitting program is similar to the WQS authorization process and is described
below. However, the elements that must be in place prior to tribal authorization are considerably more complex
than those required for other CWA programs, such as WQS or Section 319. These requirements are found at 40
CFR Part 123.
EPA's NPDES and Sewage Sludge Program Authority, a Handbook for Federally Recognized Indian
Tribes (EPA 833-B-94-004) contains more information on the NPDES program for tribes. You may download the
Handbook from http://www.epa.gov/owm/rmes/tribalcwas 106_app-e.pdf. You can also visit EPA's NPDES Web
site at http://cfpub.epa.gov/npdes/index.cfm for general information and links to guidance, regulations, and training
information.
5. Sources Regulated under the NPDES Program
Pollutant discharges may come from direct and indirect sources. Direct sources discharge wastewater directly
into a receiving water body; indirect sources discharge wastewater to a publicly owned treatment works
(POTW), which in turn discharges into the receiving water body. Under the national program, NPDES permits
are issued only to direct point source discharges. The primary focus of the NPDES permitting program is
individual permit issuance for municipal and industrial direct discharges. The NPDES program has other
components, such as general permits, pretreatment programs, the industrial stormwater program, the construction
stormwater program, confined animal feeding operations, and biosolids. If you would like more information on
these components, visit EPA's NPDES Web site (http://cfpub.epa.gov/npdes/index.cfmV
• Municipal Sources: Municipal sources are POTWs that receive primarily domestic sewage from
residential and commercial customers. Larger POTWs also typically receive and treat wastewater from
industrial facilities (indirect dischargers) connected to the POTW sewerage system. The types of
pollutants treated by a POTW always include conventional pollutants (e.g., human wastes, ground-up food
from sink disposals, laundry and bath waters) and may include nonconventional pollutants (e.g., nutrients
such as nitrogen and phosphorus) and toxic pollutants (e.g., pesticides, solvents, dioxin, lead, silver,
mercury, copper) depending on the characteristics of the commercial and industrial sources discharging to
the POTW. The treatment provided by POTWs typically includes physical separation and settling (e.g.,
screening, grit removal, primary settling), biological treatment (e.g., trickling filters, activated sludge), and
disinfection (e.g., chlorination, UV, ozone). Some older POTWs have the additional concern of combined
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sewer overflow (CSO) systems that can release untreated effluent during storms. CSOs were an
economic way for municipalities to collect both sanitary sewage and stormwater and are controlled under
the NPDES program. A number of municipalities have municipal separate storm sewer systems (MS4s)
that are also subject to NPDES requirements.
• Nonmunicipal Sources: Nonmunicipal sources, which include industrial and commercial facilities, have
unique products and processes. At industrial facilities, the types of raw materials, production processes,
treatment technologies, and pollutants discharged vary widely and depend on industry and facility
characteristics. The operations at industrial facilities are generally carried out within a clearly defined plant
area; thus, the collection systems are typically less complex than those for POTWs. Examples of
nonmunicipal commercial sources include concentrated animal feeding operations, which are required to
obtain NPDES permits to control runoff of nutrients and manure, especially in non-agricultural areas, and
the construction stormwater program.
6. Understanding NPDES Permits
A permit is a license for a facility to discharge a specified amount of a pollutant into a receiving water, subject to
certain conditions. Pollutant limitations are based on the more stringent of technology-based or water quality-
based requirements. Permits may also authorize facilities to process, incinerate, send to a landfill, or beneficially
use sewage sludge. The two basic types of permits that can be issued under the NPDES program are individual
permits, which are tailored for particular facilities, and general permits, which are developed and issued to cover
multiple facilities within a single category. If your tribe has many facilities of the same kind or that have certain
elements in common, a general permit may be appropriate. A general permit can help you ensure that similar
facilities are subject to consistent conditions.
A tribe's WQS serve as a basis for establishing water quality-based effluent limitations for facilities with NPDES
permits that are discharging to those reservation waters covered by the standards. Most facilities with permits
issued by EPA that could be affected by a tribe's WQS probably have been operating with technology that has
satisfied the WQS set outside the reservation. Whether the facilities will need to undertake different or additional
pollution control measures when their NPDES permits are reissued will depend in part on any differences
between the tribe's and state's WQS, and on EPA's technical procedures in applying the two sets of standards.
An NPDES permit contains effluent limitations (e.g., restrictions on the amount of specific pollutants that a facility
can discharge into a water body) as well as monitoring and reporting requirements to ensure compliance with the
effluent limitations. You can find more information on NPDES permits in EPA's NPDES Permit Writer's Manual
(EPA 833-B-96-003), available online at http://cfpub.epa.gov/npdes/writermanual.cfm?program_id=45.
7. Reviewing Permits
As noted in section III.2, you must hold public hearings to review applicable WQS and modify or adopt standards,
if necessary, at least once every 3 years. During your tribe's triennial review, tribal staff responsible for
administration of the NPDES program should revisit any variances that have been granted. If the conditions that
necessitated the variance still apply, no permit modification need be made. Otherwise, the permit containing the
variance should be modified to reflect the new circumstances.
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8. Considering NPDES Program Authorization
Before deciding to pursue NPDES program authorization, you should consider all the benefits and costs
associated with it. You may want to consider:
• Tribal intere st in furthering autonomy and self-determination
• The role the tribal program plays in the protection of tribal interests
• The abilities of your tribal program (i.e., whether your program has the organizational ability to develop and
maintain a permitting authority)
• New tribal statutes or regulations you will need to manage the NPDES program
• Costs associated with expanding your regulatory role and ability to protect public health and the
environment
• The infrastructure necessary to implement the program
• Your ability to support this type of program for many years
If you plan on seeking NPDES program authorization, you should contact your EPA regional office to discuss the
process. The regional office can help guide you through the application process.
Photo Courtesy of EPA Great Lakes National Program Office, National Park Service, Indiana Dunes National
Lakeshore.
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9. Developing Capabilities for Permitting, Compliance, and Enforcement
You must have the ability to implement all portions of an NPDES program, including writing permits, tracking
compliance, and enforcing permit conditions at the time of approval (40 CFR 123.23(a)). To help you meet this
requirement, you should consider training engineers and permit writers. EPA offers various training courses and
workshops that explain the regulatory framework and technical considerations of the NPDES permit program.
These courses are designed for permit writers, dischargers, EPA officials, and other interested parties. Updated
information about courses and workshops is available on the Internet at http://cfpub.epa.gov/npdes/
outreach.cfm?program_id=0&otype=l.
The extent to which permit writers are involved in monitoring, compliance, and enforcement activities will depend
on the size of the organization set up by your tribal program. In smaller programs, a single individual or a small
group of individuals may be responsible for all activities. In larger programs, individuals may specialize in different
functions, so that the permit writer, while aware of the general activities of the permittee, may not be as closely
involved with monitoring, compliance, and enforcement as are the individuals who specialize in each of those
activities.
EPA has issued a number of guidances for permit writers that contain information on developing, issuing, ensuring
compliance with, and enforcing NPDES permits. You can find general guidance and documents related to specific
permit types online at http://cfpub.epa.gov/npdes/pubs.cfm?program_id=0.
10. Preparing for NPDES Program Authorization
a. Developing Tribal Code and Obtaining Approval from the Tribal Government
You will need to follow your tribal mechanisms to develop any necessary legal authority required to administer the
NPDES program. Section II of chapter 6 includes some general considerations for developing tribal code and
obtaining approval from your tribal government. Consult this section for more information.
Remember that you should work with your tribal attorney general or equivalent office during this process to
produce tribal code that meets tribal as well as NPDES program requirements. You should also work with your
tribal council to make sure you cover all applicable tribal requirements for adoption of your NPDES program.
b. Inventorying Existing Point Sources
Typical point source discharges come from POTWs and industrial facilities. The NPDES program does address
certain types of agricultural activities (e.g., concentrated animal feeding operations), but the majority of
agricultural facilities are defined as nonpoint sources and are exempt from NPDES regulation. You should
coordinate with the existing (state or federal) permitting authority on your reservation to make sure that you have
a complete list of all municipal and nonmunicipal point source dischargers currently regulated by NPDES permits.
c. Establishing Sources of Funding to Run the NPDES Program
In obtaining authorization for an NPDES program, your tribe will have to consider whether it is willing to commit
to the long-term financial support of the program. The decision to ask for authorization will have environmental
and economic consequences over many years. The tribe must determine whether it has (or plans to obtain) the
revenue to hire and train the staff needed to run the NPDES program. You may be able to collect some funding
through program and permit fees, but you may need additional dedicated tribal appropriations or other sources of
EPA funding to fully support your program. Your EPA regional office may be able to help you locate sources of
additional funding. A portion of your Section 106 grant could be used to support a NDPES program, but there is no
separate CWA funding program for state or tribal permit programs.
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11. Obtaining NPDES Program Authorization
As with obtaining eligibility for the standards program, you must meet basic requirements to be eligible for TAS
under the NPDES program (40 CFR 123.32). You must be recognized by DOI, and you must demonstrate
existing substantial governmental duties and powers, defined authority over water resources, and tribal capacity to
administer the program. Remember that if you have already met any of these requirements, you may have to
submit only information not submitted previously or resubmit information that is no longer current.
As established in 40 CFR 123.32, your application for eligibility for TAS for the NPDES program must include:
• A statement that the tribe is recognized by the Secretary of the Interior
• A descriptive statement demonstrating that the tribal governing body is currently carrying out substantial
governmental duties and powers over a defined area
• A map or legal description of the area over which the Indian Tribe asserts authority under section
518(e)(2) of the Act; a statement by the Tribal Attorney General (or equivalent official authorized to
represent the Tribe in all legal matters in court pertaining to the program for which it seeks approval)
which describes the basis for the tribe's assertion (including the nature or subject matter of the asserted
regulatory authority); copies of those documents such as tribal constitutions, by-laws, charters, executive
orders, codes, ordinances, and/or resolutions which the tribe believes are relevant to its assertion under
section 518(e)(2) of the Act; and a description of the location of the surface waters for which the tribe
proposes to establish an NPDES permit program
• A narrative statement describing the capability of the Indian Tribe to administer an effective,
environmentally sound NPDES permit program
The Regional Administrator may, at his or her discretion, request further documentation necessary to support a
tribe's eligibility. If the Administrator or his or her delegatee has previously determined that a tribe has met the
prerequisites that make it eligible to assume a role similar to that of a state as provided by statute under the Safe
Drinking Water Act, the Clean Water Act, or the Clean Air Act, then that tribe need provide only that information
unique to the NPDES program which is requested by the Regional Administrator.
In evaluating whether your tribe is capable of implementing an NPDES program in a way that is consistent with
the CWA and applicable regulations, EPA will consider:
• Your tribe's previous management experience
• Environmental or public health programs that your tribe currently administers
• Existing mechanisms to carry out the executive, legislative, and judicial functions of tribal government
• The relationship between the entities that will be regulated and the agency of the tribal government that is
designated as the primacy agency
• The technical and administrative capabilities of the staff responsible for administering and managing the
program
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12. Assuming the Section 404 Program
To be eligible to assume the federal program, a tribe must have TAS status for the Section 404 program. In
addition, to assume the program, a tribe must develop a wetlands permit program no less stringent than the federal
program and submit an application to EPA. The tribal program must meet the requirements in CWA Section 518
and 40 CFR233.60-233.61.
While tribes can assume the Section 404 program for all surface waters on tribal land, the U.S. Army Corps of
Engineers (the Corps) retains jurisdiction for Section 404 permits for certain waters as provided in CWA Section
404(g)(l).
If a tribe wishes to regulate jurisdiction over these "Section 10" waters and adjacent wetlands (Section 10 of the
Rivers and Harbors Act), it must either develop a parallel permit program with the Corps or assume a State
Programmatic General Permit (SPGP) with the Corps. If a tribe develops a parallel permit program, a permittee
would need to receive a permit from the Corps and from the tribe for activities in these waters. An SPGP is a
type of general permit founded on an existing state, local, or other federal agency program and designed to avoid
duplication with that program.
When tribes assume administration of the Section 404 program, the Corps no longer processes Section 404
permits in waters included within the tribal program. Instead, your tribe would assume responsibility for the
program, determine what areas and activities are regulated, process individual permits for specific proposed
activities, and carry out enforcement activities. Tribes may issue general permits in addition to individual permits.
Note that there are regulatory requirements that apply to general permits issued by the tribe. More information
about Section 404 permitting is available from http://www.epa.gov/owow/wetlands/facts/fact23.html and http://
www.epa.gov/owow/wetlands/pdf/reg_authority.pdf
13. Working with EPA to Transition from Federal to Tribal Implementation
The transition from a federal to a tribal NPDES program will be laid out in the MOA between EPA and the tribe.
Upon approval of a tribal program, EPA will suspend the issuance of federal permits for activities covered by the
tribal program. After program approval, EPA will retain jurisdiction over any permits (including general permits)
that it has issued unless your MOA with EPA calls for you to assume responsibility for them. During the transition
from a federally administered NPDES program to a tribally administered NPDES program, tribal staff should
work with EPA to identify and review existing permits and establish mechanisms for tribal permit implementation.
14. Conducting Public Outreach
You should meet any public notification requirements particular to your tribe that are associated with NPDES
permits prior to and after program authorization. Consult your tribal attorney general or equivalent officer to see if
any public participation requirements apply.
In addition, the NPDES administrative procedures require that the public be notified and allowed to comment on
NPDES permit applications. Once you assume authority for the NPDES program, you will be required to provide
public notice and allow for comments on NPDES permit applications in accordance with federal regulations. See
40 CFR 124.10-124.12 for more information on public comments requirements.
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Chapter 8: Reporting
Introduction
As noted in the introduction to this guidance, one of this document's goals is to make it possible to aggregate data
in a way that allows EPA to begin to assess national results associated with the Section 106 Tribal Program.
Establishing consistent reporting requirements and data formats across all tribal water quality programs is the first
step in aggregating and using the data to make statements about tribal water quality nationwide. This chapter
discusses the annual Assessment Report that tribes will have to submit as a requirement of their work plan for
their Section 106 tribal grants.
The Assessment Report consists of three components: a description of your monitoring strategy; a water quality
assessment; and electronic copies of water quality data. It is different from progress reports required under the
grant. Progress reports help your EPA regional office ensure that you are meeting your work plan objectives and
project schedule. See section 1.13 of chapter 3 for more information on progress reports. The Assessment Report
contains information about water quality on your reservation and will help EPA begin to compile data that
demonstrate national results for the Section 106 Tribal Program. EPA will also use the data provided in the
Assessment Report to understand national trends and overall water quality. Tribes are critical partners in helping
to develop this national picture. See appendix A for more information on what to include in your Assessment
Report.
In addition to helping EPA assess national results, the elements required in tribal Assessment Reports provide a
foundation to tribes for assessing water quality for reservation waters. The assessments will allow tribes to
compare water quality data over time and serve as tools to help tribes make informed decisions about their
program's future.
Some tribes already submit 305(b) water quality reports and other types of assessments. However, greater
consistency among these reports is needed to assess water quality on a national scale. This document is intended
to provide guidance on reporting that will lead to greater consistency among tribal reports and ultimately allow
EPA to demonstrate environmental results for the Section 106 Tribal Program.
The reporting requirements outlined in this chapter reflect EPA's minimum reporting expectations for tribes. Tribes
that currently collect and report more than the minimum required elements should not reduce their efforts to the
minimum but continue to collect and report additional elements of interest to their programs.
Reporting Requirements
While EPA expects tribes able to do so to report on all of the parameters discussed in this chapter, it is
understood that labor and financial contraints, relevant parameters, and other factors will vary among tribes.
Individual reporting requirements will be determined on a case-by-case basis by EPA regional offices. A
specific reporting requirement may be waived, for instance, if it can be demonstrated with data collected by
the tribe or another entity that a required parameter does not affect a specific water body, or that the
reporting requirements would cause an undue economic hardship.
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In selecting tribal reporting components, EPA has attempted to balance tribal non-disclosure issues with EPA's
goals of documenting national results for the Section 106 Tribal Program and assessing water quality nationwide.
Certain information may be protected from release. For example, confidential business information, some personal
privacy information, and limited other tribal information may be exempt from disclosure under the Freedom of
Information Act (FOIA) or special provisions worked out at the regional level. There are also significant
technological challenges associated with reporting raw data directly to STORET, and many tribes do not have the
resources to meet those challenges. On the other hand, EPA has an obligation to demonstrate results for the
Section 106 Tribal Program and to understand conditions on Indian reservations in sufficient detail to make
effective decisions at a national level. The Agency believes the reporting requirements presented in this chapter
reflect a balance between tribal data sensitivity issues and EPA data needs, take resources available for water
quality monitoring into account, and reflect the goals outlined in AIEO's Tribal Leader Letter on Tribal Data
Access (see appendix C for a copy of the Letter).
The diagram below is a summary of the reporting requirements for the Section 106 Tribal Program.
Summary of Reporting Requirements for the Section 106 Tribal Program
1. Description of Your Monitoring Strategy
escription
A description of the needs, goals, and objectives you have
identified, as well as a full description of the methodology and
parameters sampled within your monitoring program.
2. Water Quality Assessment
A narrative account detailing the types of water sampled,
sampling procedures, and resulting data summaries. The
summary report must also include the tribe's interpretation of the
data and the assessment methodology used.
3. EPA's Nine Basic Parameters Submitted in an Electronic Format
Fundamental
Monitoring
Parameters
Intermediate
Monitoring
Parameters
Mature
Monitoring
Parameters
1. Dissolved Oxygen
2. pH
3. Water Temperature
6. Turbidity
4. Phosphorus
5. Total Nitrogen
8. Macro invertebrates
7. £. co// or
enterococci
9. Basic habitat
information
DO testing kits and multi-parameter probes are readily available
on the market.
pH testing kits and multi-parameter probes are readily available
on the market.
Thermometers and multi-parameter probes are available from
laboratory supply stores.
Turbidity data should be collected in lakes and reservoirs using
a Secchi disc method, probes, or meters. In streams, turbidity
should be collected using a turbidity tube, kits, probes, or
meters.
While total phosphorus data is preferred, ortho-phosphorus data
is acceptable. Ortho-phosphorus may be measured using kits,
probes, or contract laboratories.
Total nitrogen should be reported separately as the sum of total
Kjeldahl nitrogen (TKN), ammonia, and nitrate-nitrite.
Multiple monitoring methods are acceptable.
Samples can be measured with a market kit and an incubator or
sent to a laboratory for analysis.
For each reach, include existing streambank erosion, existing
hydrologic modification, stream bottom characteristics, and land
use patterns near sampling sites.
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Reporting Requirements
As a grant requirement for continuing to receive Section 106 funds, tribes must submit to their EPA
regional offices annual tribal Assessment Reports that consist of the three components listed below.
Tribes, however, will not be required to upload their raw data into STORET. EPA expects that all tribal
data will be uploaded into STORET, but recognizes that in many cases the burden for data
management will lie with EPA regions or EPA Headquarters. When tribes have approved Section 106 work
plans, they will be required to submit the assessment in accordance with their approved work plan. In some
instances (e.g., when a tribe can demonstrate through its own data or data collected by another entity, such as a
state or watershed council, that a required parameter does not affect a specific water body or when the reporting
requirements would cause an undue economic hardship), EPA may waive specific reporting requirements. Unless
EPA has waived specific reporting requirements for your tribe, you must include all the elements listed below in
your assessment:
1. A description of your monitoring strategy. If you have followed the procedures outlined in this
guidance, you already should have developed a monitoring strategy, and you may have included it as part
of your QAPP (See section I.I.a of chapter 4 for more information on developing a monitoring strategy.)
As stated in chapter 4, characteristics of monitoring strategies will vary from tribal program to tribal
program based on program goals and objectives, the level of program sophistication, and resources
available. The complexity of the strategy you describe will depend on the sophistication of your monitoring
program. Your strategy description can vary in length as long as you adequately describe a program that
meets your data and information needs and considers future needs. If you have a monitoring strategy in
place, you do not need to develop a new monitoring strategy to meet this requirement. Tribes will be
allowed to report strategies they already have developed using Section 106 funds or other funds.
Information on strategies is included in appendix A. This requirement will help EPA measure success
towards subobjective 2.2.1 of the National Water Program Tribal Targets for FY 2005-2008, "protect and
improve water quality on a watershed basis," in particular the monitoring component of that target,
"number of tribes that currently receive EPA funding that have developed comprehensive monitoring
strategies." Understanding existing water quality is a key step in protecting and improving water quality.
Comprehensive monitoring strategies help tribes understand existing water quality conditions.
2. A water quality assessment. This narrative and graphical account should include your assessment of
water quality. Assessments will vary based on the tribal program's sophistication. A tribe just beginning to
implement a water quality program might submit a short assessment covering only a single year of
monitoring results, while a tribe with a more advanced program might submit a more detailed and complex
assessment that is based on several years of monitoring and includes GIS maps. At a minimum, the
assessment must include summary information on the types of water sampled (e.g., rivers, lakes, wetlands,
ground water), including the total extent (acres, miles) on the reservation and the total extent assessed,
numbers of samples taken, and the complete set of parameters for which samples were collected. For the
parameters discussed below, the summary report must also include mean/median values, the range of
concentrations found, a threshold against which comparisons are being made, and the number of sampling
locations (or miles of streams, acres of lakes, etc.) for which samples were above or below (as
appropriate) the threshold value. EPA encourages tribes to provide this information for all parameters,
including the minimum nine parameters. The summary report must also include the tribe's interpretation of
the data and the assessment methodology used. If the tribe has EPA-approved WQS or tribally adopted
standards, or has otherwise assigned designated uses to its waters, this report should include a summary of
the number of stream miles, lake acres, etc. that are meeting designated uses, not meeting designated uses
(i.e., impaired water bodies), or are unassessed. More advanced tribes should also consider including a
table of water body-specific assessment information. (Information on assessments is included in appendix
A.) This requirement will also help EPA measure success towards subobjective 2.2.1, in particular the
strategic target showing water quality improvement in tribal waters.
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3. Electronic copies of surface water quality data for nine basic parameters (submitted in a
STORET-compatible format). This requirement will (1) ensure that tribes formulate their water quality
assessments using consistent parameters; (2) provide EPA with data to assess water quality on Indian
reservations at a national level; and (3) prepare tribes for submitting data to STORET, a possible grant
requirement in future years. Although tribes are encouraged to report all data they collect, tribes are
required to report only the nine basic parameters listed below. These parameters will enable EPA to make
national comparisons and assess the health of all tribal waters. EPA believes that most tribal monitoring
programs already include most of these nine basic parameters. Many tribes will not need to conduct
additional monitoring to collect these parameters. In some cases, one or more of these requirements may
be waived by EPA. For instance, if your tribal program has determined that pathogens are not a concern in
your water bodies and you have data to support this determination, your EPA regional office may waive
the pathogen monitoring requirement. While EPA recommends monitoring for these parameters biannually,
individual monitoring requirements will be negotiated between individual tribes and the appropriate EPA
region on a case-by-case basis.
You may submit electronic copies of your water quality data via e-mail or on a CD-ROM or floppy disk. EPA
strongly encourages tribes to submit additional parameters to EPA in this STORET-compatible format. Standard
templates for data reporting will be developed through coordination among EPA Headquarters, EPA regional
offices, and tribes, and will be available through EPA regional offices before tribes begin implementing the
reporting requirements outlined in this guidance. For more information, see the text box titled "QAPPs and
Monitoring" on page 4-4.
Although all tribes are encouraged to report data for all required parameters even if that data is reported
elsewhere (such as in state 305(b) reports), as well as any additional parameters for which the tribe has
monitored, tribes' abilities to monitor and report on some of the parameters may vary. EPA recognizes that it will
not be possible for all tribes to begin collecting information on all nine parameters immediately. EPA understands
that lack of resources and training may prevent some tribes from collecting and reporting data for all parameters.
EPA has classified each of the nine parameters as fundamental, intermediate, or mature based on the level of
complexity required by the monitoring and reporting activities associated with that parameter. EPA regions will
use these classifications as guidelines in determining reporting requirements for each tribe, but ultimately
will decide which parameters a tribe is required to report on a case-by-case basis. In situations where tribes
cannot monitor for all nine parameters, EPA regional offices and tribes should negotiate ways to build tribal
capacity (e.g., training, technical assistance, purchase of laboratory equipment) so that the tribe ultimately can
collect information on all parameters. The nine parameters are:
Fundamental Reporting Parameters
1. Dissolved oxygen
2. pH
3. Water temperature
4. Turbidity
Intermediate Reporting Parameters
1. Phosphorus. Total phosphorus data is preferred, but ortho-phosphorus data is acceptable.
2. Total nitrogen. Total nitrogen data should be reported separately as the sum of total Kjeldahl
nitrogen (TKN), ammonia, and nitrate-nitrite.
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Mature Reporting Parameters
1. Macroinvertebrates
2. E. coll or enterococci
3. Basic habitat information. For each reach (i.e., stream segment), you must include the basic
habitat information listed below in your report:
• Existing streambank erosion
a. Undercutting bank
b. Widening channel
• Existing hydrologic modification
a. Dams or water restriction structures
b. Drainage pipes into stream
c. Diversion of stormwater into stream through culverts or pipes
d. Burying of streams in pipes
e. Bridge abutments
f Rerouting stream channel
• Stream bottom characteristics
a. Soft muddy bottom
b. Firm sandy bottom
c. Hard rocky bottom
• Land use patterns near sampling sites
a. Forested
b. Pasture/crops/open land
c. Wetlands
d. Residential
e. Commercial/industrial
f. Roads/highways
g. Construction underway
h. Cleared right-of-ways
Tribes should use analytical methods consistent with 40 CFR Part 136 or other approved alternate test
procedures, as documented in a tribe's approved QAPP. Each of these nine parameters is discussed in detail in
section I.l.b of chapter 4.
The nine parameters described in this chapter reflect the minimum monitoring expectations for tribal water quality
programs. Tribes that are currently monitoring additional parameters should not curtail their current monitoring
programs. In addition, as less experienced tribal programs begin to develop expertise, EPA expects that these
tribes will begin to incorporate additional parameters.
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Data Formatting and STORET
As noted in chapter 4, STORET is a repository for water quality, biological, and physical data that can be used by
tribal and state environmental offices, EPA and other federal agencies, universities, private citizens, and many
other organizations to assess water quality across the nation.
Each sampling result in STORET is accompanied by appropriate metadata (section I.2.a of chapter 4 contains
more information on metadata). These metadata allow other users of the data to put them in their proper context
when using them. You can visit http://www.epa.gov/storet/index.html for more information on STORET. Sample
metadata templates will be available from your EPA regional office.
Currently, there are limitations to using STORET. In addition, tribes must be trained on STORET to submit data.
Although several tribes report data to STORET, EPA recognizes that technical limitations prevent many tribes
from reporting their data via STORET. EPA is working to address this issue and create simpler mechanisms (i.e.,
a Web-based interface) to allow users to submit data. Until this update to STORET is completed, EPA will
not require tribes to report data directly into STORET. Tribes that already report data are encouraged to
continue to do so. At this time, all tribes should focus on assembling data sets that include adequate metadata and
are in a STORET-compatible format. Properly formatted data are not only a Section 106 requirement, they are
also a key component of effective data management. As discussed in chapter 4, you will need properly formatted
data sets to use your data as effectively as possible. Properly formatted data will allow you to make valid
comparisons among water bodies, use data for purposes besides those for which you originally collected the data,
and ensure that the data remain useful as personnel changes. Tribes that wish to submit data may do so through
one of several options:
• Run a local copy of STORET or access a hosted version. You can run a local copy of STORET to
record your results. EPA can provide translation formats for upload to the national STORET database, but
your tribe must either run a local copy of STORET or have access to a hosted version of STORET to use
this option.
• Use a contractor with STORET experience to upload STORET data. Several tribal programs have
used contractors to upload their data into STORET. Other tribes in your region may be able to provide you
with information about contractors they have used to do this. This option does not require tribes to use
specialized software packages, but may require them to pay software licensing fees and setup costs.
• Provide water quality data to EPA via a CD, DVD, or diskette. Tribes can save the data they have
collected onto a CD-ROM, DVD, or diskette and arrange to submit it to their EPA region for STORET
upload.
EPA recognizes that it will not be possible for all tribes to begin to report data in a STORET-compatible format
immediately. In situations where tribes cannot report data in a STORET-compatible format, EPA regional offices
and tribes should negotiate ways to build tribal capacity (e.g., training, technical assistance) so that the tribe can
ultimately store and report data in a properly formatted electronic file.
Where feasible, EPA encourages all tribes to submit all their data to STORET. Not only will the data help EPA
build a comprehensive picture of water quality, but tribes will have free access to an offsite storage site they can
rely on if their data are lost.
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Appendix A: Assessment
Reports
As described in chapter 8, tribes receiving Section 106 grants are required to submit an annual Assessment
Report consisting of the following three components:
1. A description of your monitoring strategy
2. A water quality assessment
3. Electronic copies of surface water quality data for nine basic parameters
The information to be included in each component of the report is described below, along with suggested formats
for your report.
I. Monitoring Strategies
A tribal monitoring strategy is simply an implementation plan that describes how a monitoring program will serve
tribal water quality management needs and address tribal waters overtime. It should be comprehensive in scope
(i.e., addressing all water body types within tribal boundaries) and it should identify the issues and needs that are
currently impediments to an adequate monitoring program. An adequate monitoring program should include the
following:
• Water quality indicators (WQI) and/or other parameters to be monitored
• Monitoring frequency for each WQI and parameter
• Monitoring sites
• Monitoring data use and display
See section I.I and II.2 of chapter 4 for more information on WQI and other parameters, monitoring site
selection, and monitoring data use and display.
The requirements for tribal water monitoring strategies are described below in three tiers for fundamental,
intermediate, and mature tribal water quality programs. EPA anticipates that over time, all tribal monitoring
programs will advance to the highest level practical. The tribal strategy should be reviewed regularly to determine
if goals are being achieved and if the tribal monitoring program is advancing toward maturity.
Example Monitoring Objectives
Initial ground water monitoring conducted under the previous grant period indicated the presence of
nitrates and nitrites within shallow ground water. The tribe has implemented management measures
to lower total nitrogen levels. The tribe will continue monitoring at existing ground water locations to
assess the impact of the management measures.
Our tribal waters are experiencing significant eutrophication, but we do not have existing surface
water data. We will conduct monitoring of the two lakes on our reservation to determine the extent
of the problem and use the results to attempt to determine possible causes.
Waters on our reservation are pristine. Our monitoring strategy will aim to maintain and protect our
excellent water quality and attempt to identify any potential causes of concern or possible sources of
pollution.
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1. Monitoring Strategies for Fundamental-Level Tribal Programs
A monitoring strategy for a tribal program at a fundamental level of development should include the following:
Monitoring Objectives — This should be a narrative describing the major goal(s) and measurable objectives of
the monitoring program. These objectives may include identifying water quality problem areas, tracking trends
over time, or identifying NFS impacts.
Monitoring Design — The strategy should describe the tribe's approach for selecting sampling sites that best
serve its monitoring objectives. Fundamental monitoring programs will most probably be designed using a fixed
station design to begin to locate problem areas.
Core Water Quality Indicators (WQI) — The strategy should define the core set of WQI that will be
monitored (for fundamental programs, temperature, pH, DO, and turbidity are required parameters, as described
in chapter 8). The strategy also should identify any supplemental indicators the tribe may choose to monitor.
Quality Assurance — A Quality Management Plan (QMP) and Quality Assurance Project Plan (QAPP) must
be developed and approved to ensure the validity of monitoring and laboratory activities. The QAPP should reflect
the level of quality that is appropriate for the specific uses of the data. EPA guidance on developing QMPs and
QAPPs is available at http://www.epa.gov/quality. See the introduction to chapter 4 for more information on
QAPPs.
Data Management — The strategy should describe how tribal data are stored in an electronic data system that
can be used to manage tribal data and is in a format that will allow data sharing with EPA. Data collected on the
four core indicators and metadata (date, time, location, etc.) should be managed electronically. EPA Headquarters
will work with tribes and EPA regional offices to develop a standard format for data reporting, including metadata.
Standard templates will be available through EPA regional offices before tribes begin to implement the reporting
requirements outlined in this document. See section 1.2 of chapter 4 for more information on metadata.
Data Analysis and Assessment — The strategy should describe the tribe's assessment methodology — how
data collected will be compiled and analyzed to make assessment decisions. Assessments should address whether
water quality is attaining available standards or criteria. If the tribe has EPA-approved WQS, the methodology
should use them for determining attainment. If the tribe does not have EPA-approved WQS, the methodology
should use one of the following sets of alternative standards or criteria:
• Tribal standards adopted and submitted to EPA, but not yet approved by EPA.
• Tribal standards adopted under tribal law for application solely under tribal law.
• Proposed or draft tribal standards prepared for use under either federal or tribal law, preferably consistent
with EPA's guidance at http ://www.epa.gov/waterscience.
• Standards adopted by an adjacent or nearby tribe or state and approved by EPA for similar types of
waters. The full text of each tribe's and state's EPA-approved WQS is available at http://www.epa.gov/
waterscience/standards/wqslibrary/.
• EPA's recommended water quality criteria published under Section 304(a) of the CWA, adjusted for site-
specific application in tribal waters. The recommended criteria are available at http://www.epa.gov/
waterscience.
• EPA's recommended water quality criteria published under Section 304(a) of the CWA, without site-
specific adjustment.
If any of the non-tribal standards approaches are used (i.e., the last three bullets above), the tribe would be free to
apply all of the standards or criteria available, or to use selected designated uses and associated criteria depending
on what needs to be protected for that tribe. Depending on the tribe and the waters, some designated uses and
criteria may not be appropriate.
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Reporting — The strategy should describe the tribe's procedures and protocol for preparing and submitting its
annual tribal Assessment Report, which includes a description of the tribe's monitoring strategy, a water quality
assessment, electronic copies of water quality data, and any other reporting needs identified by the tribe, in
accordance with its approved grant work plan. Standard templates will be available through EPA regional offices.
Programmatic Evaluation and Needs Planning — The strategy should describe the process for conducting
regular reviews of the tribal water quality monitoring program with the EPA region. These reviews will help
determine how well the program is serving water quality decision needs. The tribe should also identify any current
and future monitoring resources needed to fully implement a comprehensive program.
2. Monitoring Strategies for Intermediate-Level Programs
Monitoring Objectives — Similar to the fundamental level, this should be a narrative describing the major goals
and measurable objectives of the monitoring program. The tribe should be considering CWA goals and objectives
such as identifying problem areas needing protection. See section II. 1 of chapter 4 for more information on
updating monitoring objectives.
Monitoring Design — The strategy should describe the tribe's approach for selecting sampling sites that best
serve its monitoring objectives. The tribe should consider several monitoring designs (e.g., rotating watersheds) to
meet a broader range of monitoring objectives and to ensure comprehensive coverage of all water body types.
See section II. 1 of chapter 4 for more information on updating monitoring objectives.
Core and Supplemental WQI — The strategy should define the core WQI that will be monitored (in addition to
the fundamental core parameter requirements, the intermediate level should include measurement of total nitrogen
and total phosphorus). The strategy should also identify any supplemental indicators the tribe may choose to
monitor to better meet its program objectives. Core and supplemental WQI are discussed in section I.l.b of
chapter 4.
Quality Assurance — The strategy should describe protocols for expanding and refining the existing tribal QMP
and QAPP to ensure the validity of monitoring and laboratory activities. The QAPP should reflect the level of
quality that is appropriate for the specific uses of the data. EPA guidance on developing QMPs and QAPPs is
available at http://www.epa.gov/quality.
Data Management — The strategy should describe how tribal data are stored in an electronic data system that
can be used to manage tribal data and is in a format that will allow data sharing with EPA. Data collected on the
six core indicators and metadata (date, time, location, etc.) should be managed electronically. Standard templates
will be available through EPA regional offices before tribes begin to implement the reporting requirements outlined
in this document. Section 11.2 of chapter 4 has more information on data management for intermediate programs.
Data Analysis and Assessment — The strategy should describe the tribe's assessment methodology — how
data collected will be compiled and analyzed to make assessment decisions. Progress toward tribal water quality
objectives should be discussed. Section II.3 of chapter 4 has more information on data analysis and assessment.
Reporting — The strategy should describe the tribe's procedures and protocol for preparing and submitting its
annual tribal Assessment Report, which includes a description of the tribe's monitoring strategy, a water quality
assessment, electronic copies of water quality data, and any other reporting needs identified by the tribe, in
accordance with its approved grant work plan.
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Programmatic Evaluation and Needs Planning — The strategy should describe the process for conducting
regular reviews of the tribal water quality monitoring program with the EPA region. These reviews will help
determine how well the program is serving water quality decision needs. The tribe should also identify any current
and future monitoring resources — such as staff and training, lab resources, and funding — needed to fully
implement a comprehensive program.
3. Monitoring Strategies for Mature-Level Programs
Tribal water quality programs at the mature level should generally follow the guidance of EPA's Elements of a
State Water Quality Monitoring and Assessment Program guidance. While not required, mature tribal programs
are encouraged to submit 305(b) reports. Comprehensive, detailed reports are expected at this level. In addition to
the six parameters required in the other two levels, tribal programs must add, at a minimum, reporting on
macroinvertebrates, physical habitat, and E. coll parameters. Data should be managed electronically and provided
to EPA on an annual basis in an accessible format.
II. Water Quality Assessment Report
Under this Guidance on Awards of Grants to Indian Tribes under Section 106 of the Clean Water Act, tribes
are required to collect, assess, and report annually on water quality monitoring data that were gathered using EPA
Section 106 funding. The tribal water quality assessment should contain a basic set of information presented in a
consistent fashion, as described below. EPA expects that each tribe's water quality assessment will become
increasingly comprehensive as its monitoring program matures.
1. Fundamental Water Quality Program
The major components of an Assessment Report for a tribe with a fundamental water quality monitoring program
should include the following:
1. An atlas table of tribal water resources. This atlas should include the estimated number of stream
miles, lake acres, wetland acres, or estuarine square miles on your reservation.
2. A narrative description of tribal water quality monitoring programs and assessment methods.
Refer to chapter 4 for general information on developing a water quality monitoring program. Sections 1.3
and II.3 of chapter 4 contain information on assessment methods. This discussion should include:
• The purpose of the monitoring program (e.g., to identify problem areas, track trends over time,
identify NPS impacts, address public health concerns)
The number of stream miles/lake or wetland acres/estuary square miles monitored
Parameters monitored
Monitoring frequency
Discussion of any applicable WQI, tribal goals and objectives, or standards
Coordination or collaboration with other organizations
Any lab support
How data are interpreted and managed
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3. Narrative description of results of water quality monitoring on your reservation. This should
include an interpretation and summary of the findings of tribal monitoring activities, including probable
causes and sources of impairment. Tribes that are in the early stages of developing a monitoring program
should consider conducting simple watershed surveys and/or stream or lake habitat walks to learn about
potential sources of impairment to their waters. EPA's Volunteer Stream Monitoring: A Methods
Manual contains field sheets and explanatory information on conducting watershed surveys and habitat
walks. Section 1.3 of chapter 4 contains more information on interpreting your monitoring results through
data assessment and analysis.
4. Brief narrative descriptions of issues of tribal concern. This discussion should identify any issues of
special concern, such as:
• Outbreaks of waterborne disease
• Fish kills
• Fishing or shellfishing advisories
• Restrictions on surface drinking water supplies
• Restrictions on bathing
5. Monitoring data, submitted electronically, for each assessed water body. Latitude/longitude
location of the sites monitored, the water body name, and the name of the watershed are integral parts of
this information. Standard templates will be available through EPA regional offices.
2. Intermediate and Mature Water Quality Program
The major components of a tribal Assessment Report for an intermediate or mature program should include the
following components. A standard format is provided below and is recommended for use by tribes.
1. An atlas table of tribal water resources. This atlas should include the estimated number of stream
miles, lake acres, wetland acres, or estuarine square miles on your reservation.
Table 1
Atlas of Tribal Waters
Total number of stream miles
Total number of lake acres
Total number of wetland acres
Total number of estuary square miles
95
250
140
10
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2. Brief narrative descriptions of monitoring programs and assessment methods. This discussion
should include:
• The purpose of the monitoring program (e.g., to identify problem areas, track trends over time,
identify NFS impacts, address public health concerns)
• The number of stream miles/lake or wetland acres/estuary square miles monitored
• Parameters monitored
• Monitoring frequency
• Monitoring network design (e.g., rotating basin, fixed station)
• Discussion of any applicable WQI, tribal goals or objectives, or standards
• Coordination or collaboration with other organizations
• Nature of laboratory support
• How data are interpreted and managed
Note: The table below shows a suggested approach for determining support of designated uses or tribal goals
using the nine basic parameters for tribes with EPA-approved or tribally-adopted WQS. Tribes with WQI or tribal
codes can use a similar approach.
Table 2
Making Assessment Decisions
Designated Use or Tribal Goal
Contact recreation/swimming/cultural uses
Aquatic life and wildlife
Drinking water
Shellfish/fish consumption
Parameter(s) to be Measured to Determine
Support of Use or Goal
£. co/; or enterococci, nitrogen, phosphorus
DO, temperature, pH, turbidity,
macroinvertebrates, habitat, nitrogen,
phosphorus
£. co/; or enterococci, nitrates, turbidity
£. co/; or enterococci
3. Summary tables of the extent to which streams, lakes, and estuaries meet designated uses or
tribal goals (including cultural uses of waters). Tribes should use WQI or EPA-approved or tribally-
adopted WQS to determine whether streams, lakes, and estuaries meet designated uses or tribal goals.
Table 3
Use/Goal Support in Tribal Streams
Designated Use
or Tribal Goal
Swimming
Aquatic life
Cultural
Fish consumption
No. of Stream
Miles Monitored/
Assessed
50
45
30
20
No. of Stream Miles
Fully Supporting
Use or Goal
40
20
30
10
No. of Stream
Miles Supporting
Use or Goal but
Threatened*
5
20
5
5
No. of Stream Miles
Not Supporting Use
or Goal
10
25
0
10
*Note: Threatened miles are a subset of those miles fully supporting the use or goal.
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For tribes whose monitoring programs are in the intermediate stages, assessment decisions should be made on the
best available information. Mature programs should consult EPA's Consolidated Assessment and Listing
Methodology (CALM) guidance, available online at http://www.epa.gov/owow/monitoring/calm.html. and
Elements of a State Water Monitoring and Assessment Program, available online at http://www.epa.gov/owow/
monitoring/elements/, for more information on making assessment decisions.
4. Summary tables of causes and sources of impairment.
Table 4
Causes of Impairment in Tribal Streams
Parameter
£. co//
Dissolved oxygen
Turbidity
Habitat degradation
No. of Stream Miles
Monitored or Assessed
50
45
45
45
No. of Stream Miles Not
Supporting Use or Goal
10
25
20
25
Table 5
Sources of Impairment in Tribal Streams
Source of Impairment
Hydrologic modification
Agriculture (livestock grazing)
Stormwater runoff
Unregulated septic systems
No. of Stream Miles
Monitored or Assessed
45
45
20
50
No. of Stream Miles Not
Supporting Use or Goal
25
30
20
25
III. Monitoring Data, Submitted Electronically, for
Each Assessed Water Body
Latitude and longitude of the sites monitored, the water body name, and the name of the watershed are integral
parts of this information. EPA Headquarters will work with tribes and EPA regional offices to develop a standard
format for data reporting, including metadata. Standard templates will be available through EPA regional offices
before tribes begin to implement the reporting requirements outlined in this document.
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Appendix B: Requirements for
Authorization of Tribal
Administration of the WQS
Program
Summarized below are some, but not all, of the requirements a tribe must meet in order to be authorized to
administer a WQS program. A full statement of the requirements is contained in CWA Section 518 and regulations
at 40 CFR 131.8(b). You are encouraged to consult your Tribal Attorney General or equivalent and the appropriate
EPA Regional Administrator as you begin to develop your TAS application.
1. Tribe is federally recognized by the Secetary of the Department of the Interior. See Further Information below.
2. Tribe has a governing body carrying out substantial governmental duties and powers
Description of the form of tribal goverment
Description of governmental functions being carried out
Sources of tribal government's authority to carry out govermental
functions
3. WQS Program pertains to the management and protection of reservation water resources
Map and/or legal description of area where tribe asserts authority
Narrative statement describing legal basis of tribe's authority
Obtain copies of imporant tribal documents
Identify surface waters where tribe proposes to establish WQS
Where are the boundaries of the reservation areas over
which the tribe asserts authority?
Are there tribal trust lands?
Are there non-member owned fee lands on the reservation?
Include description of authority over member and nonmember
activities.
Include description of authority over areas/waters covered by
the application.
Include a statement by the tribe's legal counsel that describes
the tribe's authority over member and nonmember activities.
Constitution, codes, by-laws, charters, resolutions, executive
orders, treaties, etc.
What rivers, lakes, reservoirs, and wetlands are within the
reservation boundaries?
Map the important features.
4. Tribe exhibits capability to administer the WQS Program
Desciption of the tribe's previous management experience
List of existing environmental or public health programs
administered by the tribal government
Description of the entities that exercise the executive, legislative,
and judicial functions of goverment
Description of the agency that will assume primary responsibility
for the WQS program
Description of the technical and administrative capabilities of the
program staff
Copies of related tribals laws, policies, and regulations.
Alternately, describe how this capacity will be developed.
The plan must also address how tribe will obtain the funds
required to develop technical and administrative expertise.
Further Information
1. The DOI maintains a list of all federally recognized Indian tribes, which is published periodically in the Federal Register.
The list can be found at wwwdni gnv/hureau-indian-affairs html
2. Additional documentation may be required by the Regional Administrator to support a tribal application.
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Appendix C: Letter to Tribal
Leaders on Information Access
UNITED ENVIRONMENTAL PROTECTION AGENCY
WASH1MGTON, D.C.
OCT 1 4 2005
OFFICE OF
WATER
Dear Tribal Leader:
We are writing today to discuss an issue that is of importance to both the
Environmental Protection Agency (EPA) and tribes. The issue concerns records,
information, and data which are generated under an EPA assistance agreement and
required to be submitted to EPA under the agreement. We wish to inform you of the
Agency's position on this issue, to promote use of EPA's national data systems, and to
discuss what, if any, legal protections may be available to exempt this information from
release in the event EPA receives a Freedom of Information Act (FOIA) request for it.
On May 11,2005, EPA circulated a draft tribal leaders' letter with a call for
comments throughout Indian country by way of the Tribal Caucus of EPA's Tribal
Operations Committee. These issues were also discussed with tribes in June at the
National Tribal Environmental Management Conference in Traverse City, Michigan and
prior to that in May at the River Network's 2005 River Rally in Keystone, Colorado.
Thank you for the thoughtful comments EPA received. Enclosed is a Comment and
Response document to provide a more detailed explanation of the information in this
letter.
Be assured that EPA's primary purpose in collecting this information is to help us
implement the purpose of the relevant assistance agreement. EPA awards assistance
agreements to tribes to carry out various statutory and program goals established in the
Federal laws that EPA administers. In addition, by obtaining appropriate environmental
data and information from tribes, EPA can ensure that it has a long-term and complete
record of tribal environments from which to make necessary decisions, allocate
resources, direct efforts, and mark progress over time. Using EPA's national data systems
also provides EPA and tribes the ability to understand the tribes' important positioning
within air sheds and watersheds that cross tribal-state boundaries, and will allow all
parties to work together to improve the environment and human health.
At this time when Congress and the President are requiring EPA to clearly
demonstrate accountability and results from the financial assistance we provide to
recipients, it is necessary for EPA offices to have this information available to make this
showing. The Federal assistance agreements law makes clear that Federal agencies have
full rights to information and data generated from activities financed by assistance
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agreements. The American Indian Environmental Office (AIEO) supports making this
information available. We believe that a lack of tribal information may hinder EPA's
ability to justify and account for its programs in Indian country to the overall detriment of
tribes.
Once information is obtained by EPA, any person may request a copy of the
information through FOIA. FOIA contains nine exemptions from releasing records, but
no specific restrictions preventing public access to tribal information in general. You
should not assume that tribal information generated under an assistance agreement is
automatically exempt from release. Certain information may be protected from release,
for example, confidential business information, some personal privacy information, and
limited other tribal information may be exempt from disclosure under FOIA.
Please be assured that EPA will continue to work closely with our tribal partners
on a government-to-government basis to discuss EPA's program needs and ensure the
appropriateness of our information collection requirements. We have heard many
thoughtful comments regarding the need to protect tribally known sacred sites, medicinal
plant locations, and particular species. In general such information is beyond the scope
of EPA funded activities and would not be requested by EPA. AIEO will continue to
emphasize to all EPA offices the importance of becoming knowledgeable about the
effects that these requests have on tribal program capacity, the differences between
working with states and tribes, and the overall sensitivity that the issue has in Indian
country.
If you have any questions please contact me, Carol Jorgensen, Director, AIEO, at
(202) 564-0303, or have your staff contact Jeff Besougloff, AIEO, at (202) 564-0292.
Sincerely,
Benjamin H. Grumbles
Assistant Administrator
Carol J. Jorgensen
Director
American Indian Environment Office
Enclosure
cc: Indian Program Policy Council
National Tribal Caucus
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Tribal Information Access:
EPA responses to Tribal comments regarding
Tribal Leaders letter and conference presentations
September 2005
EPA's American Indian Environmental Office received written comments from five
tribes and evaluated feedback at two meetings in response to the May 11, 2005, draft
tribal leaders letter on Tribal Information Access from Carol Jorgensen, Director of
EPA's American Indian Environmental Office. EPA had provided a copy of this draft
letter to the Tribal Caucus of EPA's Tribal Operations Committee for wider distribution
to tribal leaders for comment prior to the letter being finalized. Additionally, these issues
were also discussed with tribes in June at the National Tribal Environmental Management
Conference in Traverse City, Michigan, and prior to that in May at the River Network's
2005 River Rally in Keystone, Colorado. The comments are summarized and combined
by topic from all comments received. All attempts were made to use the original
commenting language.
STORET/Other Data Systems
Tribal Comment: STORET is a cumbersome and excessively time-consuming and nonuser-
friendly database. Also, using the program is incredibly labor-intensive and will take
away from time and grant money that could be used for more beneficial programs. Tribes
find it unreasonable of EPA to require the use of this program to store data.
EPA Response: EPA is aware of the challenges involved in the use of STORET by tribal
Clean Water Act Section 106 grant recipients and we have been working with tribes in
several Regions to help facilitate submittal of tribal water quality monitoring data to
EPA. Our Region 8 office has been working with tribes to load data into a copy of
STORET hosted by an EPA contractor. Region 5 has been working with tribes on
development of a simple Excel spreadsheet for use by tribes that can provide data in a
consistent format that is readily accessible to STORET through the STORET Input
Module (SIM) tool. EPA is currently embarking on the development of a new data
management system (Water Quality Exchange, or WQX) that will free tribes and states
from the burden of maintaining a local copy of STORET in order to submit their data to
EPA. The Wind River Reservation is currently partnering with EPA in this effort. As we
implement the Clean Water Act Section 106 tribal grant guidance, we will continue to
work with tribes to implement better tools to manage water quality data and to submit
that data to EPA.
Tribal Comment: The tribe is willing to use STORET if EPA is willing to input the data
into the database for tribes.
EPA Response: In addition to the steps outlined in EPA's response above, some EPA
Regional programs are exploring the feasibility of developing tools to facilitate the entry
of entering tribal Clean Water Act Section 106 information into STORET in order to ease
the resource burden on the tribes and EPA.
Tribal Comment: The tribe would be willing to use a workable database provided by EPA
to replace STORET. The tribe opposes use of other databases (SDWIS, AQS, or any
other) that operate similarly to STORET and take time and resources away from tribal
priorities.
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EPA Response: EPA is working to ensure that any data and information system used by
tribal funding award recipients meets the needs of tribes as well as EPA. EPA recognizes
that there may exist significant challenges to requiring tribal use of some EPA systems
that were designed for input by non-tribal recipients and users. EPA is currently working
with tribes to modify systems, such as the Air Quality System, to create a more tribal user
friendly platform. EPA will continue to work with tribes to ensure that these challenges
are recognized and resolved and that the need for data and information does not
negatively impact tribes' ability to conduct other activities under the EPA award.
Tribal Comment: If issues regarding EPA positions on tribal data and information are not
addressed, and data reporting becomes too costly and burdensome, then the tribe will
have to consider pursuing other funding sources to implement its water quality program
in a way that is consistent with tribal needs, goals, and priorities.
EPA Response: It is EPA's desire to strengthen its tribal program and tribal
environmental programs to ensure the highest level of protection of human health and the
environment in Indian country. To maintain and grow programs, EPA has identified a
need for information that allows EPA to examine the effectiveness of its programs. At a
time when all federal programs are being required to show results and positive benefits
for the tax dollars spent, combined with decreasing federal resources for domestic
programs, such serf-examination is occurring in all federal programs. EPA is committed
to working with the tribes to minimize the burden on the data providers as they implement the
Clean Water Act Section 106 tribal guidance.
Consultation and Coordination by EPA with Tribes
Tribal Comment: Direct consultation needs to occur between EPA and tribal leaders
before positions can be taken on general data and information issues and before a
finalized Clean Water Act Section 106 tribal guidance is released.
EPA Response: EPA takes seriously its government-to-government relationship with
tribes and its consultation and coordination obligations. The release of the May 11, 2005,
draft tribal leaders letter on Tribal Information Access from Carol Jorgensen, Director of
EPA's American Indian Environmental Office, is part of EPA's effort to consult and
coordinate. These efforts will continue to occur. Related actions, such as fmalization of
the Clean Water Act Section 106 tribal guidance, will also receive the proper level of
coordination and consultation.
Tribal Comment: The tribe questions the statement that there is a lack of tribal
information regarding environmental quality in Indian country available to EPA. Tribes
submit reports to Regional offices.
EPAResponse: EPA lacks comprehensive national information in a number of media
areas for Indian country. EPA Regional offices have worked very hard with tribes to
develop the information necessary to allow EPA Regional Programs to operate and
continue funding. There is an additional need for EPA to have an ability to make
comprehensive national statements regarding the environment in Indian country in order
to support and maintain the current program levels. With the exceptions of limited
circumstances, this is not occurring. The information submitted, in various manners and
forms, to EPA Regional offices is not able to be combined in such a way as to present a
national picture of need, nor of the effectiveness of the work being performed in Indian
country under EPA funding. A number of EPA programs are expected develop national
data systems for their programs in the coming years. Tribal leaders can expect to see
additional EPA activity regarding tribal data. This activity is likely to take the form of
requiring information that can be used on a national level.
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Legal Issues
Tribal Comment: There was no citation to the laws cited in the draft letter regarding
access to data and information.
EPA Response: As a general matter a grant of federal funds subject to conditions which
must be met by the grantee, creates a type of contract between the United States and the
grantee. See, McGee v. Mathis, 71 U.S. (4 Wall.) 143,155 (1866); Pennhurst State
School andHosp. V. Halderman, 451 U.S. 1,17 (1981); Bennettv. New Jersey, 470 U.S.
632, 638 (1985). In carrying out its statutory grant authority, an agency is permitted to
impose conditions on grantees who receive federal funds. Virginia Dep't of Educ. v.
Riley, 23 F.3d 80,87 (4th Cir. 1994). For example, EPA can impose grant conditions
under the Clean Water Act which are related to the water quality goals of the Act. Shanty
Town Associates Limited Partnership v. EPA, 843 F. 2d782 (4th Cir. 1988).
Grant conditions not only include specific terms and conditions and applicable regulatory
requirements, but also commitments made in a grant work plan. For example, EPA's
tribal environmental program grant regulations provide that a complete grant application
must meet the requirements in 40 CFR Part 31 and include a proposed work plan. 40
CFR 35.505. The work plan is negotiated between a tribe and the Regional
Administrator and reflects consideration of national, regional, and tribal environmental
and programmatic needs and priorities. 40 CFR 35.507(a). The work plan is "the basis
for the management and evaluation of performance under the grant agreement" and must
include "the work plan components to be funded under the grant" and the "commitments
for each work plan component, and a time frame for their accomplishment." 40 CFR
35.507(b). Thus, if EPAis awarding a Clean Water Act Section 106 grant to a tribe for
purposes of assessing tribal water quality, EPA has the authority to require in the work
plan a commitment that the tribe submits to EPA water quality data collected under the
grant.
Tribal Comment: To ensure the appropriateness of EPA policies regarding access to data
collected by tribes under federal assistance agreements, EPA should consider all existing
Federal statutes, some of which prohibit public disclosure of information. Limitations can
be found in the Freedom of Information Act and the National Historic Preservation Act.
The limitations should be utilized as much as possible to protect tribal information.
EPA Response: Under the Freedom of Information Act, a person may request any
Agency record, including ones provided to EPA as part of a Federal assistance
agreement. The requested record must be disclosed unless it is protected by one or more
of the nine FOIA exemptions. Although FOIA does not contain a specific exemption to
protect tribal-related information, such information may be protected under existing
FOIA exemptions. Although several comments were received listing specific statutes that
provide limitations on the disclosure of information under FOIA, most of these statutes
have not been litigated, so their status as "Exemption 3" statutes is uncertain. Also, some
of these laws appear to apply to information within specific agencies other than EPA.
Tribal Comment: STORET is a data warehouse that is available to the public. For such
data systems EPA must enter into a Memorandum of Agreement (MO A) or a Plan of
Action (POA) with each tribe in each Region to address issues regarding sensitive data.
EPA Response: The negotiated grant work plan contains any agreement regarding
information requirements and data systems to be used under the funding award. No
further agreement is required. EPA believes the issues of tribally-determined sensitive
and cultural information warrants further discussion as these situations arise.
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Tribal Comment: EPA's rights to access records of grantees under 40 CFR 31.42
(retention and access requirements for records), states in Section (f) that grantees do not
have to allow public access and dissemination of records unless required by law.
EPAResponse: The regulation cited, 40 CFR 31.42, provides EPA and the Comptroller
General with the right of access to any pertinent books, documents, papers, or other
records of the grantees and subgrantees which are pertinent to the grant, in order to make
audits, examinations, excerpts, and transcripts. Under Section (f), a grantee is not
required to give the public the same right of access to these financial and programmatic
records, unless otherwise required by law. This right of access is in addition in any other
rights provided to EPA by the grant agreement itself, such as the requirement that a
recipient submit water quality or other environmental data to EPA. Nothing in this
regulation limits EPA's authority to collect information through workplan commitments,
as discussed above.
AIEO's Role in the Process
Tribal Comment: What role does AIEO play in this process?
EPAResponse: AIEO plays an important role in developing EPA Tribal Program policies
and in working with individual EPA Headquarters and Regional Offices on their
activities with tribes. AIEO will continue to work with media specific offices - such as
the Office of Water's Office of Wastewater Management on the incorporation of
STORET use into tribal Clean Water Act Section 106 grants - to ensure respect for the
government-to-government relationship and adherence to EPA's 1984 Indian Policy and
its trust responsibility. AIEO has already begun discussions with EPA offices regarding
the sensitivity of some tribal information and EPA's obligation to work with tribes to
develop mutually beneficial solutions to any challenges. Through these efforts, AIEO
promotes the concept of seeking holistic solutions across tribal-state political boundaries
by including tribal concerns in national level discussions.
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Appendix D: Bibliography
Chapter 1
General Resources
The Federal Water Pollution Control Act (Clean Water Act). Available online at http://www.epa.gov/region5/
water/cwa.htm.
The Code of Federal Regulations. Available online at http://www.gpoaccess.gov/cfr/index.html.
U.S. EPA. EPA 2006 - 2011 Strategic Plan: Charting our Course. 2006. Available online at http://
www.epa.gov/cfo/plan/06strat_plan.pdf.
Chapter 3
General Resources
Reed, A. and Dates, G. 2003. Listening to Watersheds: A Community-based Approach to Watershed
Protection. Portland, OR. Available online at http://www.rivernetwork.org/ltw/.
U.S. EPA Regional Office Web site. Available online at http://www.epa.gov/ow/region.html.
U.S. EPA. Water Management Solutions: A Guide for Indian Tribes (EPA 908-K-93-001). 1993. Denver,
CO. Available online at http://epa.gov/waterscience/tribes/wms.pdf
Funding Resources
The Catalog of Federal Domestic Assistance. Available online at http://12.46.245.173/cfda/cfda.html.
U.S. Department of Agriculture Natural Resources Conservation Service. 2005. Conservation Partnership
Initiative. Available online at http://www.nrcs.usda.gov/programs/cpi/index.html.
U.S. Department of Health and Human Services Web site. Available online at http://www.acf.dhhs.gov/
programs/ana/programs/annsumm .html.
Obtaining Hard Copies of Electronic Resources
Throughout this guidance you will find links to online technical documents, policies, and other guidances.
If you wish to obtain a hard copy of any of these documents, you should contact your EPA regional
office or the EPA Water Resource Center using the contact information provided below:
United States EPA
Water Resource Center (PC-4100) Phone: (202)566-1729
1200 Pennsylvania Ave.,NW Fax: (202)566-1736
Washington, D.C. 20460
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U.S. EPA. 2005. EPA Order 5700.7. Available online at http://www.epa.gOv/ogd/grants/award/5700.7.pdf.
U.S. EPA. 2005. Wetland Program Development Grants. Available online at http://www.epa.gov/owow/
wetlands/grantguidelines/.
U.S. EPA. 1998. Interim Guidance for Cost Sharing/Match Requirement on the Award of Grants to
Indian Tribes. Available online at http://www.epa.gov/owm/rmes/tribalcwas 106_app-d.pdf.
U.S. EPA American Indian Environmental Office. Related Links. Available online http://www.epa.gov/indian/
links.htm.
U.S. EPA American Indian Environmental Office Web site. Available online at http://www.epa.gov/indian/
tgrant.htm.
U.S. EPA Environmental Information and Exchange Network and Grant Program Web site. Available online
at http://www.epa.gov/neengprg/.
U.S. EPA Office of Grants and Debarment Web site. Available online at http://www.epa.gov/ogd/index.htm.
U.S. Office of Management and Budget. Grants Management Web site. Available online at http://
www.whitehouse.gov/omb/financial/fin_grants_expanded.html#admin.
Geographical Resources
U.S. Department of Agriculture Natural Resources Conservation Service Web site. Available online at http://
www.nrcs.usda.gov/.
U.S. EPA. 2005. EPA Reach File References. Available online at http://www.epa.gov/waters/doc/
rfindex.html.
U.S. Geological Survey Web site. Available online at http://www.usgs.gov/.
U.S. Geological Survey. National Hydrography Dataset. Available online at http://nhd.usgs.gov/.
Training and Capacity Development Resources
U.S. EPA American Indian Environmental Office. Training And Education. Available online at http://
www.epa.gov/indian/training.htm.
U.S. EPA Office of Wastewater Management. Training Opportunities. Available online at http://
www.epa.gov/owm/mab/indian/training.htm.
U.S. EPA Office of Wetlands, Oceans, and Watersheds. Online Training in Watershed Management.
Available online at http://epa.gov/watertrain/.
Outreach and Community Education Resources
U.S. EPA. Environmental Education Web site. Available online at http://www.epa.gov/enviroed/index.html.
U.S. EPA. Volunteer in Your Watershed. Available online at http://www.epa.gov/owow/volunteer.html.
U.S. EPA. What Can You Do? Available online at http://www.epa.gov/water/citizen.html.
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Program Review
U.S. EPA. Program Evaluation Information Resources Web site. Available online at http://www.epa.gov/
evaluate/links .htm.
Chapter 4
Monitoring and Reporting
American Public Health Association. 2005. Standard Methods for the Examination of Water and
Wastewater. 21st edition. Washington, B.C.: American Public Health Association.
Barbour, M.T., J. Gerritsen, B.D. Snyder, and J.B. Stribling. 1999. Rapid Bioassessment Protocols for Use
in Streams and Wadeable Rivers: Periphyton, Benthic Macroinvertebrates, and Fish, Second Edition
(EPA 841-B-99-002). Available online at http://www.epa.gov/owow/monitoring/rbp/.
McCafferty, W. P. 1981. Aquatic Entomology: The Fishermen's and Ecologists' illustrated Guide to
Insects and their Relatives. Boston, MA: Science Books International.
Microbiological & Chemical Exposure Assessment Research Division of the National Exposure Research
Laboratory. 2005. The EPA Microbiology Website. Available online at http://www.epa.gov/nerlcwww.
U.S. EPA. 2004. Ecological Condition of Western Cascades Ecoregion Streams (EPA 910-R-04-005).
Seattle, WA. Available online at http://www.epa.gov/emap/remap/html/docs/wcs.html.
U.S. EPA. 2003. Elements of a State Water Monitoring and Assessment Program (EPA 841-B-03-003).
Available online at http://www.epa.gov/owow/monitoring/repguid.html.
U.S. EPA. 2002. Consolidated Assessment Listing Methodology (CALM) Guidance Document. Available
online at http://www.epa.gov/owow/monitoring/calm.html.
U.S. EPA. 2000. Guidance for the Data Quality Objectives Process (EPA 600/R-96/055). Available online
at http://www.epa.gov/quality/qs-docs/g4-final.pdf
U.S. EPA. 1996. Volunteer Monitor's Guide to QAPPs. Available online at http://www.epa.gov/owow/
monitoring/volunteer/qappcovr.htm.
U.S. EPA. Knowing Our Waters: Tribal Reporting under Section 305(b). Available online at http://
www.epa.gov/volunteer/305btribal.pdf
U.S. EPA. Monitoring and Assessing Water Quality — Volunteer Monitoring. Available online at http://
www.epa.gov/owow/monitoring/volunteer/.
U.S. EPA. Volunteer Monitoring Guidances. Available online at http://www.epa.gov/owow/monitoring/
U.S. EPA Region 8 Water Management Division. Integrating Quality Assurance Into Tribal Water
Programs. Undated.
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U.S. EPA Region 9. 2004. Wetlands Quality Assurance Project Plan Guidance. Available online at http://
www.epa.gov/Region9/qa/pdfs/wetlandsqapp-04.pdf.
Voshell, J. R. 2002. A Guide to Common Freshwater Invertebrates of North America. Blackburg, VA: The
McDonald & Woodward Publishing Company.
Data Management Tools
STORET Web site. Available online at http://www.epa.gov/storet/.
Water Quality Databases
U.S. EPA. 305(b) Water Quality Report Database. Available online at http://www.epa.gov/305b/.
U.S. EPA. Databases and Mapping. Available online at http://www.epa.gov/owow/data.html.
Water Quality Problems
U.S. EPA. 1997. Volunteer Stream Monitoring: A Methods Manual. Available online at http://
www.epa.gov/owow/monitoring/volunteer/stream/.
U.S. EPA. Agriculture 101: Pathogens. Available online at http://www.epa.gov/agriculture/ag 101 /
impactpathogens .html.
U.S. EPA. Alterations to Hydrology. Available online at http://www.epa.gov/bioindicators/aquatic/
hydrology.html.
U.S. EPA. Animal Feeding Operations. Available online http://cfpub 1 .epa.gov/npdes/
home.cfm?program_id=7.
U.S. EPA. Channelization and Chanel Modification. Available online at http://www.epa.gov/owow/nps/
MMGI/Chapter6/ch6-2a.html.
U.S. EPA. Forestry. Available online at http://www.epa.gov/owow/nps/forestry.html.
U.S. EPA. How Excessive Water Use Affects Water Quality. Available online at http://www.epa.gov/ow/
you/chap2.html.
U.S. EPA. Land Disposal Restrictions. Available online at http://www.epa.gov/epaoswer/hazwaste/ldr/
snapshot.htm.
U.S. EPA. Nonpoint Source Pollution From Agriculture. Available online at http://www.epa.gov/region08/
water/nps/npsag .html.
U.S. EPA. Office of Prevention, Pesticides, and Toxic Substances Web site. Available online at http://
www.epa.gov/oppts/.
U.S. EPA. Office of Waste Water Management Web site. Available online at http://www.epa.gov/owm/.
U.S. EPA. Pollution. Available online at http://www.epa.gov/bioindicators/aauatic/pollution.html.
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U.S. EPA. Salty Water. Available online at http://www.epa.gov/watrhome/you/salty.html.
U.S. EPA. Sedimentation. Available online at http://www.epa.gov/bioindicators/aquatic/sediment.html.
U.S. EPA. What is Acid Mine Drainage? Available online at http://www.epa.gov/region3/acidification/
what is amd.htm.
Chapter 5
Nonpoint Source Management Program Resources
Center for Watershed Protection Web site. Available online at http://www.cwp.org.
Michigan Department of Environmental Quality. 2000. Developing a Watershed Management Plan for
Water Quality: An Introductory Guide. Available online at http ://www. deq. state .mi .us/documents/deq-swq-
nps-Watershe.pdf.
U.S. EPA. 2005. Community-based Watershed Management Handbook (EPA 842-B-05-003). Available
online at http://www.epa.gov/owow/estuaries/nepprimer/handbook.htm.
U.S. EPA. 2000. Watershed Analysis and Management (WAM) Guide for Tribes. Available online at http://
www.epa.gov/owow/watershed/wacademy/wam/.
U.S. EPA. 1997. Tribal Nonpoint Source Planning Handbook (EPA 841-B-97-004). Available for order
online at http://yosemite.epa.gov/water/owrccatalog.nsf/.
U.S. EPA. Clean Water Act, Section 319. Available online at http://www.epa.gov/owow/nps/cwact.html.
U.S. EPA. Publications and Information Resources. Available online at http://www.epa.gov/owow/nps/
pubs.html.
U.S. EPA. Watersheds. Available online at http://www.epa.gov/owow/watershed/.
Outreach
U.S. EPA. 2003. Getting in Step: A Guide for Conducting Watershed Outreach Campaigns. Available
online at http://www.epa.gov/owow/watershed/outreach/documents/getnstep.pdf.
U.S. EPA. Non Point Source Outreach Digital Toolbox. Available online at http://www.epa.gov/owow/nps/
toolbox.html.
Grants
U.S. EPA. Tribal Information Page. Available online at http://www.epa.gov/owow/nps/tribal.html.
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Chapter 7
Water Quality Standards Resources
U.S. EPA. 2001. Water Quality Standards and the Endangered Species Act. Available online at http://
www.epa.gov/ost/standards/esa.html.
U.S. EPA. 1994. Water Quality Standards Handbook. Available online at http://www.epa.gov/
waterscience/standards/handbook/.
U.S. EPA. 1990. Reference Guide to Water Quality Standards for Indian Tribes. Available for purchase at
http://yosemite.epa.gOv/water/owrccatalog.nsf/0/64f92e619e6flldf85256b0600724bcd7OpenDocument.
U.S. EPA. 1990. Water Quality Standards for Wetlands. Available online at http://www.epa.gov/owow/
wetlands/regs/quality.html.
U.S. EPA. 1988. CERCLA Compliance with Other Laws Manual, EPA/540/G-89/006, Interim Final.
Available online at http://www.epa.gov/superfund/resources/remedy/pdf/540g-89006-s.pdf.
U.S. EPA. 1983. Technical Support Manual for Conducting Use Attainability Analyses (EPA 440-486-
038). Available online at http://www.epa.gov/waterscience/library/wqstandards/uaavoll23.pdf.
U.S. EPA. Current National Recommended Water Quality Criteria. Available online at http://
www.epa.gov/waterscience/criteria/wqcriteria.html.
U.S. EPA. Tribal Water Quality Standards Approved by EPA. Available online at http://www.epa.gov/
waterscience/standards/wqslibrary/tribes .html.
U.S. EPA. Water Quality Standards: Trainings, Meetings, and Educational Materials. Available online at
http://www.epa.gov/waterscience/standards/training.htm.
Section 401 Certification
U.S. EPA. 1989. Wetlands and 401 Certification: Opportunities and Guidelines for States and Eligible
Indian Tribes. Available online through the Office of Water's Online Publication Web site, http://
yosemite.epa.gov/water/owrccatalog.nsf.
U.S. EPA. Clean Water Act Section 401 Certification. Available online at http://www.epa.gov/OWOW/
wetlands/regs/sec401 .html.
Section 404 Permitting
U.S. EPA. Section 404 of the Clean Water Act: An Overview. Available online at http://www.epa.gov/
owow/wetlands/pdf/reg_authority_pr.pdf
U.S. EPA. State or Tribal Assumption of the Section 404 Permit Program. Available online at http://
www.epa.gov/owow/wetlands/facts/fact23.html.
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NPDES
U.S. EPA. 1996. NPDES Permit Writer's Manual (EPA 833-B-96-003). Available online at http://
cfpub. epa.gov/npde s/writermanual. cfm ?program_id=45.
U.S. EPA. 1994. NPDES and Sewage Sludge Program Authority, a Handbook for Federally
Recognized Indian Tribes (EPA 833-B-94-004). Available online at http://www.epa.gov/owm/rmes/
tribalcwasl06_app-e.pdf.
U.S. EPA. NPDES Web site. Available online at http://crpub.epa.gov/npdes/index.cfm.
U.S. EPA. NPDES Publications. Available online at http://crpub.epa.gov/npdes/pubs.cfm?program_id=0.
U.S. EPA. NPDES Training Courses and Workshops. Available online at http://crpub.epa.gov/npdes/
outreach.cfm?program id=0&otvpe=1.
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