September
OFFICE OF INSPECTOR GENERAL
-------
EPA Office of Inspector General Two-Year Plan: Structure and Selection Criteria
The OIG planning process is continuously carried out at two levels. First, the 5-year Strategic Plan, which is based upon the OIG vision,
mission, values, and establishes the long-term goals, objectives and measures. This Strategic Plan is updated every three years as required
by the Government Performance and Results Act. The Strategic Plan is implemented through the Two-Year Plan as presented in this
document. This Two-Year Plan closely links OIG Product Line Tracks to EPA's Strategic Plan through interrelated Key Questions,
whose answers are critical to the success of EPA's mission and goals. This OIG Two-Year Plan identifies mandated and selected
assignment topics continuing from FY 2004, those scheduled to be started in FY 2005, and additional prospective assignments for FY
2006 that represent emerging significant areas of concern. The OIG will continuously consider current and evolving issues and needs to
identify the highest priority topics, and will revise this plan to maximize value added for the resources invested, based upon the
following criteria:
Statutory and Regulatory Requirements
Adequacy of Business Control Systems
New Programs, Functions, or Technology
Environmental/Business Integrity Risk
Prior Audit History or Evaluation Results
Opportunities to Leverage Results with Partners
Availability of OIG Resources
Customer/Management Needs and Interest
Federal Investment or Regulatory Authority
Opportunity to Improve Process Efficiency
Implementation of this Plan is carried out though audits, evaluations, investigations and public liaison reviews in full compliance with the
Inspector General Act, the Professional Standards of the U.S. Comptroller General, and the Quality Standards for Federal Offices of
Inspector General of the President's Council on Integrity and Efficiency.
We welcome input into our planning process, and feedback on the quality and value of OIG products and services from all customers,
clients stakeholders and the public through our web site: webcomments.oig@epa.gov
/signed 9-30-04/
Nikki L. Tinsley
-------
nai
EPA OIG Strategic Plan, Fiscal 2004 - 2008
Vision
We are catalysts for improving the quality of the
Environment and Government through problem
prevention and identification, and cooperative solutions.
Mission
f ' ' ' '
Add Ysdtae by promotmg econoiny, efficiency, smd eifectiv&ness wtte
' ie
in
H11
Goals
2. Contribute to Improved Agency
Business Practices and Accountability
| 3. :Contintiau$jy Improve OIG
I Products and Services
Objectives (Annual Performance Goals)
18? Influence programmatic and systemic
changes and actions that contribute to
improved human health and environmental
quality.
& Add to and apply knowledge that
contributes to reducing or eliminating
environmental and infrastructure security
risks and challenges.
& Identify recommendations, best practices,
risks, and opportunities to leverage results in
EPA programs and among its partners.
0 Influence actions that improve, operational
efficiency, accountability, resolve public concerns
and management challenges, and achieve
monetary savings.
& Improve operational integrity and reduce risk
of loss by detecting and preventing vulnerabilities
to fraud, abuse, or breach of security.
& Identify recommendations, best practices,
risks, weaknesses, opportunities for savings, and
operational improvements.
© Improve the timeliness, responsiveness, and value
of our products and services to our clients and
stakeholders.
© Apply technology, innovation, leadership, skill
proficiency for motivated staff and highly regarded
products.
© Align organization plans, performance,
measurement, processes, and foliowup for a cost
accountable results culture.
© Maximize use and diversity of resources.
© Develop constructive relationships to effectively
leverage resources:and foster collaborative solutions.
-------
OIG Annual Performance Goals FY 2005
These Annual Performance Goals (APGs) are presented in the OIG portion of EPA's FY 2005 Budget Justifications/Performance
Plans, and Annual Performance Reports to OMB and Congress for OIG Strategic Goats 1 and 2.
Goal 1. Contribute to Improved Human Health and
I iniromiH'nl
Influence 45 programmatic and systemic changes and actions
contributing to human health and the environment.
Best Bttvimittrteatal fraetices
Add to and apply knowledge or verification that contributes
to reducing or eliminating 23 environmental, infrastructure
security risks, challenges or addresses critical public
concerns.
Identify 95 recommendations, best practices, opportunities
or risks to leverage results in EPA programs or amongst its
partners.
Qafotat Measures
or
Coal 2. Contribute to Improved Ayency Business Practices
and Accountability
Influence 102 business systems, process changes and actions
mat improve operational efficiency, accountability, resolve
public concerns and management challenges;
Improve operational integrity and reduce risk of loss by-
detecting or preventing vulnerabilities for fraud, abuse or breach
of security through 80 enforcement actions.
»Ctiiaiaat
Identify 240 recommendations, referrals, best practices, risks,
opportunities for operational improvements.
Identify 150% ($75M) OIG Budget from potential dollar
savings, questioned costs, fines, penalties, and settlements.
-------
EPA Goal 1: Cleaner
Air and Global
Cfimate Change
OIG Product Line: Air
Carryover Topics from FY 2004
Evaluation of Clean Air Act Title V Permit Adequacy
PM 2.5 Speciation Network Design
Reducing Ozone Precursors Emission
Air Toxics Ambient Monitoring
World Trade Center-Conflict of Interest
State/Local Air Toxics Implementation
Mercury- Development of the Proposed Maximum Achievable Control Technology for Utility Units
Atlantic Steel
New Topics in FY 2005
Evaluation of Program Fee Collections, Funding Alternatives, and Best Practices
State/Local Agency Air Toxics Implementation (people, processes, technology)
Air Toxics Source Characterization/Control Strategies Development
Assessment of State/Local Agency Ozone Permits
Effectiveness of EPA's Non-Road Ozone Emission Reductions Strategies
Prospective Topic for FY 2006
Incentive-Based Efforts to Reduce PM-2.5 Risks Through Early Reductions Evaluation
-------
EPA Goal 2: Clean
and Safe Water ' . j
DIG Product Line: Water
Carryover Topics from FY 2004
National Pollutant Discharge Elimination System (NPDES) Permit Backlog
Source Water Assessments and Protection
Challenges and Opportunities to Implementing the Watershed Approach to Protecting Water Quality
Safe Drinking Water Act Tools
Clean Water Compliance
Lab Fraud: Evaluation of Drinking Water Laboratory Procedures
Water Quality Monitoring and Assessment Program
New Topics in FY 2005
Clean Water State Revolving Fund Results
Total Maximum Daily Loads
Mercury Deposition
Contaminant Candidate List
Impacts of Regulations on Small Drinking Water Systems
Prospective Topic for FY 2006
Office of Water Non-Point Source Grants
-------
EPA Goal 3: Land
Preservation and
Restoration
OIG Product Line: Land
ve
Brwnfields; h EPA insting progress toward «$wtiY$ risls rafctt&ttt, d«am»p, w& r$stwm$. presviousiy jppU«te<|
sites
R0$$tir& CflPs^vatitm 4fc Itewwry A«* (ROfcAh
Carryover Topics from FY 2004
RCRA Financial Assurance
RCRA Interim Status Permitting
Superfund Congressional Request dealing with Expenditures and Program Efficiencies
DOI-OIG and EPA-OIG Hazardous Waste Joint Project
Superfund Contaminated Sediments
Tribal Superfund Program
New Topics in FY 2005
Superfund-Gloucester Environmental Management Services. Inc. Landfill (Congressional Request)
Brownfields: Resources/Full-Time Equivalents (Congressional Request)
Superfund: Review of the Current State of Activities operated Under Comprehensive Environmental Response
Claims Liability Act (CERCLA) (Congressional Request)
Superfund: Alternative Sites
RCRA: Biennial Report System
Superfund: 5-Year Reviews
Prospective Topic for FY 2006
Superfund: State Core Grant Program
-------
EPA Goal 4: Healthy
Communities and
Ecosystems
EPA Goal 5:
Compliance and
Environmental
Stewardship
OTG Product Line:
Cross-Media
* HoHie&Bxd Security: How cart EPA better execute its
i^&alo prevent, prqjare for, aid respond te a
36cisi
-------
EPA (Goal 6)
Management Support
Infrastructure
OIG Product Line:
Assistance Agreements
Carryover Topics from FY 2004
EPA Implementation of the Competition Order
Region 3 Oversight of NPDES Program
Domestic Working Group Grants Project
National Alternative Fuels Foundation
Health Effects Institute
Wrangell Cooperative Association
Utah Clean Water State Revolving Fund
Nevada Clean and Drinking Water State Revolving Funds
Oregon Drinking Water State Revolving Fund
Mandated Topics in FY 2005
New Jersey Superfund Cooperative Agreement
California Superfund Cooperative Agreement
State Revolving Fund Loan Audits
Single Audits
New Topics in FY 2005
Leech Lake Indian Tribe
Business for Social Responsibility Education Fund
-------
EPA (Goal 6)
Management Support
Infrastructure
OIG Product Line:
Assistance Agreements
continued
OIG Product Line:
Contracts
New Topics in FY 2005 (Con't)
International City County Management Association
Natural Resources Defense Council
Accountability for Grants Management (Congressional Request)
Association of State and Interstate WATER Pollution Control Administrators/America Clean Water Foundation
Financial Audit of Alaska Village's Safe Water Grants
Mandated Topics in FY 2006
Superfund Cooperative Agreements
State Revolving Fund Loan Audits
Single Audits
Perspective Topics for FY 2006
Council for Agricultural Science and Technology
Streamlining the Grant Process
Indian General Assistance Program Grants
Carryover Topics from FY 2004
CERCLA Claims-requests by Agency
Ecology & Environment, Inc. Disclosure Statements
Ecology & Environment, Inc. Accounting System
High Performing Components in the Office of Acquisition Management
ICF CY 2000 Incurred Costs
ICF CY 2001 Incurred Costs
ICF CY 2002 Incurred Costs
Structure of Superfund Response Action Contracts
Award and Management of Air and Water Contracts
-------
Management Support
Infrastructure
OIG Product Line;
Contracts continued
Mandated Topics in FY 2005
Defense Contract Audit Agency (DCAA) Monitoring
CERCLA Claims - requests by Agency
Ecology & Environment, Inc. FY 2001 Incurred Cost Audit
Ecology & Environment, Inc. Timekeeping System Audit
Ecology & Environment, Inc. Electronic Data Processing (EDP) General Control Audit
ICF Consulting FY 2005 Floorcheck
Ecology & Environment, Inc. FY 2005 Floorcheck
New Topics in FY 2005
Financial Capability of ICF Consulting Group, Inc.
Management of Response Action Contracts
Superfund Emergency Response Program Contracts
Mandated Topics for FY 2006
DCAA Monitoring
Ecology & Environmental FY 2002 Incurred Cost Audit
Ecology & Environmental System Review Relating to Internal Controls
CERCLA Claims -requests by Agency
ICF Consulting FY 2006 Floorcheck
Ecology & Environment FY 2006 Floorcheck
Cost Accounting Standards Review at ICF Consulting Group, Inc.
EDP General Controls Review at ICF Consulting Group, Inc.
ICF Consulting FY 2003 Incurred Costs
-------
4H"- * " '\ ^~ "" ^" ^
Management Support
Infrastructure
OIG Product Line:
Financial Statements
rarrvover Topics from 2004 . .
Chemical Safety Board FY 2004 Financial Statements (Contract oversight)
. FY 2004 Pesticides Registration and Expedited Processing Fund
. FY 2004 Pesticide Reregistration Financial Statements
FY 2004 EPA Financial Statements
2005 Pineal Statements (Contract oversight)
FY 2005 Pesticides Registration and Expedited Processing Fund
FY 2005 Pesticides Reregistration Financial Statements
. FY 2005 EPA Financial Statements
New Topics in FY 2005
Account Receivable Collections
Cost Accounting
Purchase Cards
^? Kia, Statements (Contract oversight)
FY 2006 Pesticides Registration and Expedited Processing Fund
FY 2006 Pesticides Reregistration Financial Statements
FY 2006 EPA Financial Statements
-------
EP A (Goal 6)
Management Support
Business Systems
Carryover Topics from 2004
EPA's Remote Access Servers Configuration Management
Information Technology Project Management
FY 2004 Federal Information Security Management Act (FISMA) Evaluation
Information Technology Audit Support for FY 2004 Financial Statements Audit
Chemical Safety Board FY 2004 FISMA Evaluation (Contract oversight)
Mandated Topics in FY 2005
Application Controls for Account Receivable Transactions (Contract oversight)
Service Continuity Plans for the Mainframe Computer (Contract oversight)
Controlling Operating System Software Changes (Contract oversight)
Application Controls for Grants Information System (Contract oversight)
FY 2005 Application Controls for Integrated Financial Management Feeder System (Contract oversight)
FY 2005 Chemical Safety Board FISMA (Contract oversight)
IT Audit Support for FY 2005 Financial Statement Audit
FY 2005 FISMA Evaluation
Access Controls Over Financial Management Data
New Topics in FY 2005
EPA's Data Quality Strategic Plan
Information Technology Investment Management - Capital Planning and Investment Control Process
EPA's Managing for Results
Implementation of Human Capital Strategies
Managing Systems Development Contracts
Controls Over Local Area Networks
-------
Management Support
Infrastructure
DIG Product Lines
Business Systems
continued
OIG Product Line:
Public Affairs/
Ombudsman
Mandated Topics for FY 2006
Various Application Control Reviews for Financial Systems
Various General Control Reviews of Financial Systems
FY 2006 Chemical Safety Board FISMA (Contract oversight)
IT Audit Support for FY 2006 Financial Statement Audit
FY 2006 FISMA Evaluation
Prospective Topics for FY 2006
Technologies for Authenticating Electronically Submitted Data
EPA's Implementation of Intrusion Detection Systems
Office of Pesticides Network Security of Confidential Business Information Data (Requested by Agency)
EPA's Energy Efficiency and Conservation
EPA's Implementation of Geospatial Activities and E-Gov Standards
Data Integration and Standards (Data Registries & Administrative Data Systems)
Office of Congressional and Public Liaison
Carryover Topics from 2004
Gibson County Indiana (Turkey Farm)
McFarland Contamination
Piney Point Phosphate Plant
Underground Stage Tanks, Columbus, OH
Yucca Mountain
Woodside Landfill
Oklahoma Corporation Commission
Camp LeJeune, NC
Hercules 009 Landfill
Industrial Excess Landfill
Rocky Mountain Arsenal
Escambia
------- |