EPA-350-R-001
February 2004
\ PR01X OFFICE OF INSPECTOR GENERAL
Catalyst for Improving the Environment
Strategic
%F ^
l\ '' *!f-f ;. *iŁw
**4;\ii -/-'^
1, , ...... *&tV. .'.Jt l.i^K '
-------
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
s^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^
Mission
Add Value by promoting economy, efficiency, and effectiveness within
EPA and the delivery of environmental programs. Inspire Public
Confidence by preventing and detecting fraud, waste, and abuse in
agency operations and protecting the integrity of EPA programs.
Goals
1. Contribute to Improved
Human Health and
Environment
V J
2. Contribute to Improved
Agency Business Practices
and Accountability
3. Continuously Improve
OIG Products and Services
Objectives
$? 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.
& 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.
Š Improve the timeliness, responsiveness,
and value of our products and services, to
our clients and stakeholders.
Š Apply technology, innovation, leadership,
skill proficiency for motivated staff and
highly regarded products.
Š Align organization plans, performance,
measurement, processes, and followup for a
cost accountable results culture.
Š Maximize use and diversity of resources.
Š Develop constructive relationships to
effectively leverage resources and foster
collaborative solutions.
OIG Product and Service Lines for Strategic Areas of Performance
Performance Audits
and Evaluations
Air
Water
Land
Cross-Media
Financial/Systems Audits
Business Systems
Financial Statements
Contracts
Assistance Agreements
Investigations
Financial Fraud
Program Integrity
Employee Integrity
Laboratory Fraud
Computer Crimes
Advisory/Analysis
Legislation/Regulation Review
Control Assessments
Public Inquiry/Outreach
President's Council on Integrity
and Efficiency Projects
-------
FOREWORD
I am pleased to present the Office of Inspector General's (OIG) Strategic Plan for fiscal 2004-2008.
This plan provides our vision, mission, goals, objectives, measures, and the results we intend to
achieve in the next five years. This Plan uses a Logic Model to identify and define our outcome
goals in relation to both the OIG's and EPA's statutory mission and links the requisite outputs,
products/services, and resources needed to produce those outcomes. We implement the linked plan
by movingfrom resources to outcomes.
\ [intermediate Outcomes(
Resources V [Products/Services
Outputs
Jlntermediate Outcomes! [Impact Outcomes
Staff
Contracts
Technology
Training
Travel
Leadership
Audits
Evaluations
Investigations
Consulting
Legislation/
Recommendations
Referrals to DOJ
Best Practices
Risks Identified
Management
Challenges
Identified
Savings/Recoveries
Process/Policy Change
Indictment/Conviction
Certifications
Practice Change
Civil Judgments
Legislative Change
Regulatory Change
Environmental Risk Reduced
Improved Efficiency
Examples of Environmental
Improvement
Examples of Health
Improvement
Operational Risks Reduced
The Plan is predicated on several themes that guide our organizational philosophy, strategies, and
actions:
Q Change is a Way of Life: The success of this plan and our organization is dependent upon its
flexibility and ability to adapt to new information, priorities, challenges, and opportunities.
Q Emphasis on Environmental Conditions, Risks, Opportunities, Impacts: As part of EPA, the
OIG's primary goal is to add value by helping the Agency achieve its environmental mission as
economically, efficiently, and effectively as possible.
Q Linkage of Performance Planning and Measures with Risks, Costs, and Benefits: We are
working to improve the alignment of our planning, budgeting, performance measurement, and followup
processes within the OIG for greater accountability and results.
Q Cross-Media and Governmental Collaboration: Most environmental issues and problems are
complex, involving more than one media and governmental agency. The OIG promotes multimedia and
cross agency collaboration to leverage resources and shared effort for greater results.
Q Applying a Systems Approach to Ask the Right Questions: We plan our work to answer a
logical sequence of specific but related questions, leading to recommendations that address systemic
environmental and business issues, problems, or opportunities for improvement.
I look forward to working with the Administrator and the Congress on behalf of the American Public
to improve human health, the quality of the environment, and the performance of Government.
Co-tut^ L u<^ť-J2e_v
_
Nikki L. Tinsley /)
-------
EPA Office of Inspector General Executive Leadership Team
Nikki L. Tinsley, Inspector General
Michael J. Speedling, Deputy Inspector General
Melissa M. Heist, Assistant Inspector General for Audit
Kwai-Cheung Chan, Assistant Inspector General for Program Evaluation
Bennie S. Salem, Assistant Inspector General for Human Capital
Elissa R. Karpf, Assistant Inspector General for Planning, Analysis and Results
An-Ming (Tommy) Hwang, Assistant Inspector General for Mission Systems
Eileen M. McMahon, Assistant Inspector General for Congressional and Public Liaison
Lorraine M. Gentile, Acting Assistant Inspector General for Investigations
Mark Bialek, Counsel to the Inspector General
Rick A. Linthurst, Science Advisor
This Strategic Plan was developed by the OIG Office of Planning, Analysis and Results
Elissa R. Karpf, Assistant Inspector General
Michael J. Binder, Deputy Assistant Inspector General
Virginia A. Roll, Senior Auditor
Deborah L. Stanley, Senior Auditor
-------
Office of Inspector General Strategic Plan FY 2004 - 2008
Table of Contents
Introduction 1
Values, Organization and Statutory Authority 2
OIG Goal 1: Contribute to Improved Human Health and Environment
Strategy, Objectives, and Measures 3
Air: 4
Water: 5
Land: 6
Cross-Media: 7
OIG Goal 2: Contribute to Improved Agency Business Practices and
Accountability: Strategy, Objectives, and Measures 9
Good Government 11
OIG Goal 3: Continuously Improve OIG Products and Services:
Strategy, Objectives, and Measures 12
OIG Corporate Strategies: 13
See the Appendix to the OIG Strategic Plan, available in hard copy or at
www.epa.gov/oig for additional information on:
External Factors and Trends That Could Shape Our Future
Data Validation and Information Quality
EPA PART Assessment Schedule
Major Laws Affecting EPA and OIG Work
EPA Goals and Strategies
Description of OIG Product Lines
Criteria Used to Evaluate and Determine Risk, Priorities and Assignments
Alignment of Planning and Measurement Throughout OIG
OIG Management Challenges
Summary Input from External Customer and Staff Surveys/Interviews
Partnering Opportunities/Environmental Programs Across Federal Agencies
-------
Cover picture: Glacier Bay, Alaska, by Craig binder
-------
B-YearRoductLi
AeagrrentRans
&0persfonal
ntroduction
This OIG Strategic Plan illustrates our vision for the next five
years. It builds upon our organizational experiences by
consolidating four previous goals into two Business Line
Goals and one Corporate Goal. The OIG Business Line Goals
Strategy applies a Systems Assessment Approach across "OIG
Product Lines" for Air, Water, Land, Cross-Media, Financial
Statement, Business Systems, and Investigations to assess the
implementation of EPA's Strategic Plan and resolve its
management challenges. Implementation of our strategy considers
questions of current and emerging concerns, shaped by existing
conditions and future trends or external challenges, whose answers
support the efficient and effective realization of EPA's mission.
The OIG Corporate Goal Strategy is designed to improve OIG operational processes and application of
resources for greater efficiency and accountability. OIG Goals are further defined by Objectives with
specific measures and targets. These targets represent a "stretch" from current performance levels, and
are dependent upon adequate resources.
The OIG Strategic Plan is implemented through OIG Multi-Year Plans, which identify specific
assignments and resource allocations to accomplish the OIG's highest priorities. Together these plans
have the flexibility to adapt and anticipate changing conditions, information, technology and innovative
approaches. The plans promote dynamic thinking about how the OIG can best contribute to the
attainment of EPA's mission and goals.
SOURCES OF INPUT FOR OIG STRATEGIC PLAN
EPA Managers &
Management
Challenges
Prior OIG
Work&
Research
^ OIG
STRATEGIC
PLAN
EPA
Strategic
Plan&
Budget
IG
Employees
External
Stakeholders,
Other IGs,
Partners &
Assoc.
Audit
Customer
Surveys
The OIG keeps its plans relevant and valid by
performing trend and pattern analysis of historic
issues and input from customers, stakeholders, and
partners about the most significant environmental and
management issues, problems and opportunities. We
obtain customer input through surveys to help us
evaluate our perceived value, performance, and areas
for improvement. We also survey OIG staff,
managers, and EPA leadership, and perform literature
reviews, to synthesize the strategies and priorities of
this Plan. We share our analysis and conclusions
with EPA leadership to validate our ideas. We will
continue researching and sharing this information
with our partners to promote cost effective alternative
solutions and new opportunities for improvement.
-------
VALUES: Bound Our Decisions, Actions am
Commitment to Excellence
The OIG exists to serve our customers: the EPA, the Congress, and the American people. We adapt
to meet customer needs and aggressively work to protect and improve the environment. We are
committed to individual and organizational high performance.
Commitment to Professionalism
We are objective and independent in our pursuit for excellence. We expect individual performance
above the standard for our community. Teamwork is essential to our success. We carry out our work
with the highest integrity and ethical conduct.
Commitment to People
We are committed to building and sustaining a competent, progressive, diverse, and dedicated
workforce. Leadership will ensure that staff receive clear guidance and the tools to perform assigned
tasks. Exceptional performers will be recognized and rewarded.
OIG Organisation
The OIG has a talented workforce that performs audits, evaluations, and investigations designed to
inform decision makers and the public about the performance and results of EPA programs.
Inspector General
Deputy Inspector General
Counsel Executive Staff
Investigations
Product Line
Directors
Product Line
Directors
Program
Evaluation
Product Line
Directors
Human
Capital
Northeastern
Resource Centei
Capital
Resource Cente
Eastern
Resource Centei
Planning, Analysis!
& Results I
Mission
Systems
Congressional
& Public Liaison
OIG: Background, Role, and Authority
Congress passed the Inspector General Act of 1978 (Public Law 95-452) establishing Offices of
Inspector General within Federal Agencies, including the Environmental Protection Agency, to
consolidate existing investigative and audit resources into independent organizations headed by
Inspectors General to promote economy, efficiency, and effectiveness; and prevent and detect fraud,
waste, and abuse. For a detailed description of the Inspector General Act and to learn more about the
Inspector General community please see www.IGNet.gov/
-------
GOAL 1. Contribute to Improved Human Health and Environment
Strategy
OIG evaluations, audits, and investigations mil
answer significant questions and recommend
actions that improve the effectiveness of EPA's
environmental programs.
Objectives and Results We Intend to Achieve
Produci
> AJ
> Water
Land
Cross-Media
Influence programmatic and systemic changes and actions that contribute to
improved human health and environmental quality.
Outcome Measures
Legislative or Regulatory Changes/Decisions
EPA Environmental Policy, Practice, Process Changes
Examples of Environmental Improvements
Best Environmental Practices Implemented
Add to and apply knowledge (or verification) that contributes to reducing or
eliminating environmental and infrastructure security risks and challenges.
Outcome Measures
Environmental Risks Reduced or Eliminated
Certifications, Validations, or Verification
Identify recommendations, best practices, risks, and opportunities to leverage results
in EPA programs and among its partners.
Output Measures
Environmental Recommendations
Environmental Best Practices Identified
Environmental Risks Identified
Human Capital Skills Needed to Support Goal 1
Program Analysis
Physical Science
Social Science
Statistics
Economics
Audit
Investigation
Engineering
Environmental Science
Biological Science
Operations Research
Computer Science
-------
The following represents several key Air, Water, Land, and Cross-Media topics
suggested for OIG attention by our stakeholders, clients, and staff, and through
external research. Specific priority and emerging programmatic topics and questions
are addressed in the OIG Multi-Year Plan.
AIR: OIG Strategic Concerns and Questions for Consideration
Although significant progress has
been made, for millions of people
around the world, breathing
continues to be a risky business. An
estimated three million people die
annually from the effects of
pollutants such as sulfur dioxide,
nitrogen dioxide, ozone and
particulates, among others. Such air
pollutants result from a myriad of
largely human activities, including
the burning of fossil fuels, chemical
and other manufacturing and
transportation. Chronic exposure
especially in metropolitan areas can
cause bronchitis and emphysema
and it is implicated in some cancers.
Children and senior citizens,
especially in cities, are the hardest
hit, often inhaling two to eight times
the concentration of pollutants
deemed acceptable by the World
Health Organization.
Health Effects of the Selected Regulated Air Pollutants
Ozone
Particulate Matter
Carbon Monoxide
Sulfur Dioxide
Lead
Nitrogen Dioxide
Asbestos
Beryllium
Mercury
Vinyl Chloride
Arsenic
Radionuclides
Coke Oven Emissions
Respiratory tract problems, such as difficult breathing
and reduced lung function. Asthma, eye irritation, nasal
congestion. Reduces resistance to infection, and
possibly causes premature aging of lung tissue.
Eye and throat irritation, bronchitis, lung damage,
impaired visibility, cancer.
Ability of blood to carry oxygen impaired.
Cardiovascular, nervous and pulmonary systems
affected.
Respiratory tract problems, permanent harm to lung
tissue.
Retardation and brain damage, especially in children.
Respiratory illness, lung damage.
A variety of lung diseases, particularly lung cancer.
Primarily lung disease, although also affects liver,
spleen, kidneys, and lymph glands.
Areas of the brain, kidneys and bowels affected.
Lung and liver cancer.
Cancer.
Cancer.
Respiratory cancer.
Particulate Matter
How can EPA maximize the effectiveness of its fine particulate matter (PM 2.5) ambient monitoring and
emissions control strategies?
Ozone
How can EPA better execute its ozone reduction strategies?
Air Toxics
How can EPA improve the effectiveness of its efforts to assess, monitor, control, and reduce the risks from
toxic air pollutants to human health and the environment?
-------
Air Quality Data
How can EPA's air data be more cost-effectively obtained while improving its reliability in relation to
program needs?
Indoor Air
How effective are EPA's voluntary programs in addressing the negative impact on human health from indoor
air?
Global Climate Change
How will EPA measure and evaluate the effectiveness and timeliness of its programs to address global
warming?
Multi Pollutants
Is the interaction of pollutants a threat to human health, and does EPA have the scientific basis to determine
the risks associated with the interaction of pollutants to support changes in legislation or regulations?
Updating and Validating Analysis of Air Regulations
How effective is EPA's process for evaluating and periodically re-evaluating the appropriateness and value of
regulations based on social, scientific, and economic analysis?
Market Mechanisms
Can market mechanisms such as emission trading be used to successfully promote better compliance, more
efficient anti-pollution technology and consumer behavior, and better air quality?
Fuels and Vehicles
Are EPA's regulations for fuels and vehicles successfully addressing air pollution, including emissions from
diesel, off-road, and marine vehicles?
Laboratory Assessments/Data Quality
How well are EPA and State/local/Tribal agencies ensuring that laboratories used by regulators are meeting
EPA's quality assurance/control standards and data quality objectives?
Are the Data Quality requirements appropriate?
WATER: OIG Strategic Concerns and Questions for Consideration
Societal demands for greater amounts of
unpolluted water are increasing around the
world. Water is a renewable resource, which
moves perpetually through the hydrologic
cycle. Stationary water sources, such as
lakes and groundwater supplies in aquifers,
are far slower in cleansing themselves than
streams because their flow rates are slower.
Some water pollution can be treated by end-
of-pipe processes; but preventive strategies
are necessary to control other types of water
pollution. End-of-pipe controls work with
point source pollution, where pollutants are
emitted from a specific area such as a sewer
pipe or factory. The job of cleaning and
protecting the nation's drinking water, coastal
zone waters, and surface waters is made
complex by a variety of sources of pollution.
Threats to Watersheds, Wetlands Ecosystems & Oceans
Pollutant
Nutrients
Chlorinated
hydrocarbons,
pesticides, DDT, PCBs
Petroleum
hydrocarbons
Heavy metal (arsenic,
cadmium, lead, zinc)
Particulate matter
Plastics
Source
Fertilizers, sewage
Agricultural runoff,
industrial waste
Oil spills, industrial
waste, urban runoff
Industrial waste,
mining
Soil erosion, dying
algae
Ship dumpings;
household waste, litter
Effects
Algae blooms
Contaminated and
diseased fish and
shellfish
Ecosystem
destruction
Diseased and
contaminated fish
Smothers shellfish,
respiratory disease,
cancer
strangles wildlife
-------
Safe Drinking Water
How can EPA effectively implement the Safe Drinking Water Act Amendments of 1996?
Watershed Protection and Non-Point Sources
How can EPA effectively control, protect, and monitor watersheds, non-point sources of pollution,
and water quality?
Reduced Pollutant Loadings
How can EPA effectively use and improve policy tools to reduce water pollution loadings?
Feasibility and Effectiveness of Controls on Air Deposition to Protect Water Quality
How feasible are EPA's strategies for reducing air pollutant discharges, such as mercury, and to what
degree will its planned reductions lead to meeting water quality goals?
Ensuring That All Communities Have Access to Clean Water
How effective are EPA's plans, approaches and investments in helping communities (including
Tribal communities, Alaskan Native villages and small communities) meet clean water and safe
drinking water goals and address the need for critical and expensive repairs and improvements to the
nation's water infrastructure?
Sustainable Infrastructure
How can EPA use market mechanisms and economic incentives to help communities finance and
support new and existing wastewater and drinking water infrastructure?
Water Quality Data and Monitoring
How can EPA improve the quality of its water data and effectively monitor the quality of water to
support valid economic incentives for compliance, infrastructure financing, and conservation?
Laboratory Assessments
How well are EPA and State/1 ocal/Tribal agencies ensuring that laboratories used by regulators meet
EPA's quality assurance/control standards and data quality objectives?
LAND: OIG Strategic Concerns and Questions for Consideration
The Earth's land has been degraded by both the development of mineral resources and by improper
disposal of society's material waste products. As a result, EPA addresses vast and complex
environmental issues in its waste management and cleanup programs. There are over 1,200 national
priority hazardous waste (Superfund) sites in the United States and an estimated 60 million Americans
living within 4 miles of a Superfund site. Some of the most common contaminants at hazardous waste
sites are also the most difficult to clean up, and cleanup may take up to 30 years or more. In addition to
Superfund sites, EPA has identified another 1,714 sites with significant hazardous waste contamination
in need of cleanup under the Resource Conservation and Recovery Act (RCRA). There are also an
estimated 450,000-650,000 "brownfield sites" across the nation where property use is complicated by the
presence or potential presence of a hazardous substance. Not only can there be environmental and health
hazards associated with these sites, but abandonment or underutilization of contaminated sites also
creates major obstacles to social vitality and economic growth in communities.
-------
Superfund
Is EPA making progress toward effective risk reduction and waste cleanup?
How can EPA achieve efficiencies and time reductions in Superfund cleanups?
How can EPA effectively engage communities and affected stakeholders in land reuse decisions?
What are EPA's mechanisms for identifying and evaluating multi-source, or international business
environmental liabilities?
Brownfields
Is EPA making progress toward effective risk reduction, cleanup, and restoring previously polluted
sites to appropriate uses?
How effective has the Brownfields program been in reducing human health or environmental risk, and
generating opportunities for sustained economic growth?
Waste Minimization, Recycling, and Pollution Prevention
How can EPA improve industrial recycling and sustained waste minimization?
How can EPA best influence the nation's awareness of recycling opportunities and needs and
encourage sustained waste reduction and recycling?
How can EPA influence infrastructure development, product improvements, and new technologies to
prevent pollution and encourage recycling?
Pesticide and Chemical Risks
How can EPA establish more effective partnerships with industries, States, and local communities to
foster risk reduction for chemicals and pesticides?
How can EPA best ensure local communities have the ability to implement, and are implementing
risk reduction behaviors associated with chemicals and pesticides?
CROSS-MEDIA: OIG Strategic Concerns and Questions for Consideration
EPA is responsible for addressing environmental threats to our communities and ecosystems that
transcend air, water, and land. Their impacts on ecosystems, communities, homes, and susceptible
populations can require integrated strategies comprised of innovative tools, programs, technologies, and
partnerships. Healthy communities are the goal, and cross-media policies and practices should seek this
outcome by preventing pollution. However, sometimes events require the cleanup and restoration of
communities and ecosystems. The significance and complexity of these cross-media challenges was
tragically demonstrated by the events of September 11 and subsequent anthrax attacks in 2001.
Homeland Security
How can EPA better execute its Strategic Plan to prevent, prepare for, and respond to a possible
terrorist attack to minimize adverse impacts on human health and the environment?
Environmental Stewardship
How well do the States and tribes employ effective management practices, use EPA funds, and
implement EPA guidance to deliver environmental stewardship and human health protection?
How can EPA identify innovative policies, and encourage and track environmental stewardship by the
public, community, business, and industry?
-------
Environmental Justice
How well are environmental justice concerns incorporated into EPA decisionmaking?
Do EPA policies and practices contribute positively or negatively to human health and the
environment in communities of concern?
Compliance Assurance & Enforcement
Is the employment of traditional and nontraditional enforcement approaches optimized to ensure
compliance with environmental rules and regulations that are designed to protect human health and
the environment?
Community and Ecosystem Centered Goals
How can EPA assess combined impacts of media programs on communities, subpopulations, and
ecosystems?
What tools, information, and assistance can EPA provide to improve the capacity of communities to
respond to environmental threats?
How can EPA and its partners approach environmental science, policy, and regulation in a way that
corresponds to the natural environmental systemic processes and problems?
How can EPA coordinate the environmental efforts and investments of Federal, State, and local
entities, as well as commercial stakeholders, to define and achieve a minimum level of environmental
risk and optimal public benefits (e.g., natural resource protection and human health)?
Integrated Compliance and Enforcement with Market Mechanisms
How can EPA evaluate the respective effectiveness of traditional regulatory systems versus those that
use the marketplace through economic incentives and consumer behavior to drive compliance and
conservation across the environmental spectrum?
Chemical, Organism, Pesticide Risks
How well is EPA screening chemicals, pesticides, and microorganisms to assess and manage the risks
to human health and ecosystem through the air, food supply, water supply, and waste treatment
processes?
Science and Research
How can EPA apply the best available science and the most relevant research to support its programs,
develop valid environmental indicators, identify emerging or imminent threats, and reduce the
unknowns?
-------
GOAL 2. Contribute to Improved Agency Business Practices and Accountability
Strategy
OIG evaluations, audits, and investigations use
a Systems Approach to answer significant
questions and recommend actions that
influence the economy, efficiency, and integrity
of EPA's programs and operations.
Product Lines That Support Goal 2
> Financial Statement Audits
> Business Systems Audits
Investigations/Audits
Contracts
Assistance Agreements
Computer Systems and Security
Laboratory Fraud
Objectives and Results We Intend to Achieve
Influence actions that improve operational efficiency, accountability, resolve public
concerns and management challenges, and achieve monetary savings (or returns as
a percentage of the OIG budget.)
Outcome Measures
Policy, Process, Practice, Control Changes
Corrective Actions on Management Challenges
Best Business Practices Implemented
Certification/Validation/Allegations Disproved
Questioned Costs, Savings, Fines, Recoveries
Improve operational integrity and reduce risk of loss by detecting or preventing
vulnerabilities for fraud, abuse, or breach of security.
Outcome Measures
Criminal Convictions
Indictments/Arrests
Civil Judgments/Settlements
Administrative Actions/Security Risks Reduced
Identify recommendations, best practices, risks, weaknesses, opportunities for
savings, and operational improvements.
Output Measures
Recommendations
Best Practices and Opportunities Identified
Risks, Weaknesses, and Challenges Identified
Human Capital Skills Needed to Support Goal 2
Financial Audit
Performance Audit
Management Analysis
Contract/Grant
Forensic Investigation
Criminal Investigation
Computer Analysis
Computer Audit
Environmental Science
Operations Research
-------
Overview of Good Government Risks and Conditions
Applying a Systems Approach to Evaluating EPA Programs and Operations
EPA delivers its environmental programs through a number of interrelated organizational systems.
Having the right people, processes, systems, and information in place is essential to the Agency
efficiently and effectively carrying out its mission. Having effective management systems deters fraud,
waste, and abuse. Sound financial management provides accountability and public confidence. With
EPA annually providing over $4 billion in assistance agreements, and about $2 billion for contracts, it
is important that EPA ensure that funds are used consistently with the laws and regulations and are
safeguarded against waste, fraud, and misuse. Information used to support programs is also vulnerable.
EPA's Top Management Challenges as Reported by OIG: Historical Perspective
Below is a list of the Top Management Challenges that the OIG has reported to EPA since FY 2001.
Although EPA has made significant progress to resolve its Management Challenges, several of these
issues have been ongoing as reported by the OIG since 1997. We will continue to concentrate our
efforts on helping the Agency resolve the most chronic management issues and identify new threats and
challenges. The full text of the OIG Report on EPA Top Management Challenges is available at
www.epa.gov/oig
EPA's Top 10 Major Management Challenges FY FY FY
2001 2002 2003
Linking Mission and Management: Developing more outcome-based strategic and annual
targets in collaboration with partners.
Information Resources Management and Data Quality: Improving the quality of data used
to make decisions and monitor progress.
Human Capital Management: Developing and implementing a strategy that will result in a
competent, well-trained, and motivated workforce.
EPA's Use of Assistance Agreements to Accomplish Its Mission: Improving the management
of the billions of dollars of grants awarded by EPA.
Protecting Critical Infrastructure from Non-Traditional Attacks: Protecting physical and
cyber-based infrastructures, primarily in water and chemical industry /hazardous materials.
Challenges in Addressing Air Toxics Program Phase 1 & Phase 2 Goals: Reducing air toxic
emissions by developing a technology-based approach and assessing levels of risk.
EPA's Working Relationships with States: Improving the working relationships with States
by establishing a structure to address accountability and other issues.
Information Security: Protecting information systems by preventing intrusion and abuse of
systems, and protecting integrity of data.
Backlog of National Pollutant Discharge Elimination System Permits: Addressing the
nationwide backlog of the renewal of permits to manage discharges into water systems.
Management of Biosolids: Ensuring that the regulations applicable to sewage sludge are
adequately enforced and provide sufficient protection to the public.
10
-------
Good Government: OIG Strategic Concerns and Questions
The following represent several key Financial Management, Business Systems, and Operational
Integrity Areas suggested for OIG attention by our stakeholders, clients, and staff, and through external
research. Specific priority and emerging Good Government topics and questions will be addressed in
the OIG Multi-Year Plan.
Financial Management
Does EPA have the people, processes, and systems needed to efficiently provide timely, accurate,
complete, and useful financial information for decisionmaking and accountability?
Information Resources Management
Does EPA have systems, processes, and controls in place to ensure that timely, reliable, and
complete information is available to manage EPA's programs and report on environmental results?
Program Management
Does EPA have the systems and processes in place to plan, budget for, and manage its programs, and
the human capital needed to carry out its mission?
Assistance Agreements
Is EPA using assistance agreements to efficiently and effectively accomplish its mission?
Contracts
Is EPA using contracts to efficiently and effectively accomplish its mission?
Program Integrity Investigations
Will respond to allegations or indicators of fraud or acts which undermine the integrity of, or
confidence in programs, and create imminent environmental risk. Examples include: false
certifications for asbestos removal, fraudulent use of the Agency seals, and fictitious or forged
products and labels.
Laboratory Fraud
Will respond to allegations or indicators of falsification of laboratory results which undermine the
bases for Agency decisionmaking, regulatory compliance, or enforcement actions.
Contract and Assistance Agreement Fraud
Will identify fraudulent practices in awarding, performance, charging, and payment on EPA
contracts, and grants or other assistance agreements.
Homeland Security
Will test environmental infrastructure and information networks against threats of intrusion and
destruction. Also, in response to an attack, will provide protection of EPA information and
resources, and coordinate with State, local, and other Federal law enforcement authorities.
Outreach for Deterrence
Will increase awareness of indicators of fraud, and create a network of potential resources.
Program Assessment Review Tool (PART)
How can the OIG best assist EPA and Office of Management and Budget (OMB) in EPA PART
reviews? A discussion of OIG involvement in PART assessments, and a schedule of EPA PART
assessments are presented in the Strategic Plan Appendix at www.epa.gov/oig
11
-------
GOAL 3: Continuously Improve OIG Products and Services
Strategy
The OIG will lead by example in using cost accounting, proc
analysis, and followup to integrate efficiency and results into its
performance culture. The OIG will apply diverse human skills,
technology, contracting opportunities, and partnering across
product lines and internal operations to leverage resources for
greater results.
Objectives and Results We Intend to Achieve
OIG Corporate Strategies:
1. Address Mission through Product Lines
2. Integration of Human Capital Strategy
3. Integration of Technology Strategy
4. Aligning Planning, Performance
Measurement, and Cost Accountability
5. Customer Focus and Risk Assessment
6. Marketing OIG Products/Services
7. Followup for a Results Driven Culture
8. Process Assessment/ Reengineering
Q Partnering for Collaborative Solutions
Improve the timeliness, responsiveness, and value of our products and services, to our clients
and stakeholders.
Outcome Measures
External customer value rating
Internal customer service rating
Assignments in response to requests
Achievement of assignment milestones
Reduction in process cycle time
Apply technology, innovation, leadership, and skill proficiency for motivated staff and highly
regarded products.
Outcome Measures
Amount of products available electronically
Attainment of training standards
Reduction in "skill gap"
Internal product/process innovations implemented
Congressional or public testimony
Align OIG plans, performance, measurement, processes, and followup for a cost accountable
results culture.
Output Measures
Activities covered with cost accounting measures
Available staff time used on direct assignments
Direct time on followup of prior OIG recommendations
OIG recommendations acted on within four years
Maximize use of (available) resources, staff diversi
Output Measures
Authorized FTE used
Current year budget used
Parity of workforce with civilian labor force
Implement actions for costs savings
, and savings opportunities.
Develop constructive relationships to leverage resources and foster collaborative solutions.
Output Measures
Products done in collaboration with external partner(s)
Lead Partnering and President's Counsel on Integrity and Efficiency (PCIE) projects
12
-------
OIG Corporate Strategies
1. OIG Implementation Strategy - Product Lines
The OIG Strategic Plan is implemented by staff performing audits, evaluations, and investigations
located in offices across the United States through a Multi-year Plan at www.epa.gov/oig
The Multi-year plan demonstrates how the goals, objectives, strategies, and topic areas established in the
Strategic Plan are cohesively arrayed to answer a logical sequence of program and management
questions critical to the success of EPA's mission and goals through OIG Product Lines. A description
of OIG Product Lines is provided in the OIG Strategic Plan Appendix at www.epa.gov/oig
2. Integration of Human Capital Planning into OIG Strategy
Human Capital Objectives:
Q Sustain a diverse, talented workforce that supports OIG goals and reflects the U.S. population.
Q Maintain workforce recruitment/development/retention programs that ensure competent staff to
accomplish work and provide future leaders.
Q Implement a training management information system that helps staff manage career development
and assists the organization in analyzing training costs/patterns to provide cost-effective training
through such mediums as e-learning options.
Q Deploy performance management and reward systems that link performance to results through
multiple sources of feedback for meaningful assessment, accountability, and recognition
3. Integration of Information Technology into OIG Strategy
Effective information management is vital to the success of the OIG's mission and contributes to the
achievement of its goals. Timely, reliable, and accessible information is the foundation of OIG product
line credibility, internal performance management, and service to the public. To make the OIG as
effective and efficient as possible in meeting its goals of serving their internal, external, and public
customers while securing OIG information, we will develop and support a fully integrated management
information system.
Technology Objectives:
Q Provide timely and accurate data that enables management to provide status reports and make
strategic business decisions.
Q Provide a secure technical architecture for OIG to perform independent and objective audits,
evaluations and investigations.
Q Provide timely and quality user support.
Q Deliver business systems on time and with high quality.
Q Enhance innovation, teamwork, and competencies.
Q Promote economy, effectiveness, and efficiency within OIG.
4. Aligning OIG Planning, Performance Measurement and Cost Accountability
The OIG will complete the integration of planning, cost, and performance measurement by linking staff
evaluations and awards to supportable measures or evidence of efficiency and contribution to
OIG/Agency goals or annual targets. We will continue developing a linked hierarchy of plans and
performance measures from operational, to tactical and strategic, accounting for use of resources and
activities, measuring the efficiency (timeliness and cost) of outputs, and effectiveness of outcomes. See
a diagram in the OIG Strategic Plan Appendix at www.epa.gov/oig. We will emphasize followup on
OIG recommendations to promote a results-oriented culture and demonstrate return on investment.
13
-------
5. Customer Focus: The Foundation of Performance Planning & Internal Improvement
The OIG is committed to constant improvement, and relies on customer, client, stakeholder, and staff
feedback to identify possible problems and opportunities for being more effective and responsive in
adding value. We will expand the use of customer surveys, SWOT Analysis (strengths, weaknesses,
opportunities and threats) and interviews to gain more information on the perceived customer value of
our products and professionalism of our staff.
6. Multi-Channel Marketing and Outreach of OIG Work for Greater Results
We will market our products, services, recommendations, and information to all stakeholders in the chain
of action officials and beneficiaries. We will promote open communications with OIG clients and
stakeholders to leverage greater resources, share data, and resolve problems of common interest. We will:
Q use e-mail containing links to full documents and a complete wel- indexed searchable web site;
Q reestablish contacts and relations in Regional offices; and
Q follow up with all stakeholders and partners to report on and assist with progress toward action.
7. Followup Process for a Results Driven Culture
The OIG will implement a formalized followup process to enhance our "results oriented" culture. We
will examine the current followup process and work with the Agency to better account for and
implement the chain of actions leading to environmental improvements and impacts influenced by our
work. Therefore, as part of our Multi-Year Plan, we will regularly followup and report on previous work
to determine the extent of Agency action taken and all subsequent results and impacts. This process
acknowledges that the most significant results may require a time lag until they can be recognized and
reported, and that the OIG has a responsibility to track the progress of its recommendations.
8. Process Assessment/Reengineering for Accountability and Efficiency
The OIG will perform internal process assessment reviews to identify ways of improving the application
of resources for greater cost efficiency in cycle time, performance, and quality. These process
assessments will examine opportunities based on areas of reported management weaknesses and
customer and staff feedback.
9. Partnerships: Collaboration in EPA and with Other Government Agencies
The environmental mission cuts across the goals and media offices of EPA as well as across Federal,
State, and local government agencies. EPA only contributes a small percentage of the total investment in
environmental protection compared to other Federal and State agencies, and must work collaboratively
within the Agency and with its partners to leverage the needed resources and authority for more efficient,
consistent and comprehensive results. There are at least 29 Federal agencies with an environmental
mission, as well as each State. Therefore, the OIG will seek and promote partnering opportunities.
One way we will promote our strategy for partnering is through the President's Council on Integrity and
Efficiency (PCIE) Environmental Consortium, composed of members of the IG community whose
respective agencies have an environmental mission, to identify opportunities for collaborative planning
and assignment development based on common issues or problems. The EPA OIG, in conjunction with
the PCIE, developed the Compendium of Environmental Programs, an interactive data base cataloguing
Federal environmental programs by agency: yosemite.epa.gov/oig/compendium.nsf/homepage?openform
14
-------
We request your input and questions concerning this Strategic Plan or any other information
about the EPA Office of Inspector General. Please let us know what we are doing well, and how
we can better serve our customers. This Plan and other information about the OIG and its
products are available on our web site: www. epa.gov/oig
For questions, comments or to obtain copies of this report, please contact either of the following:
Office of Congressional and Public Liaison (202) 566-2391
Michael Binder, Deputy Assistant Inspector General for Planning Analysis and Results (202) 566-2617
Binder.Michael(@,epa.gov
U.S. Environmental Protection Agency
Office of Inspector General
1200 Pennsylvania Ave. NW
Washington, D.C. 20460
This report was prepared by the EPA Office of Inspector General Office of Planning, Analysis and Results
-------
EPA-350-R-001A
February 2004
OFFICE OF INSPECTOR GENERAL
Catalyst for Improving the Environment
Strategic Plan, Fiscal 2004 - 2008
Appendix
The information contained in this Appendix fulfills the requirements of the Government
Performance and Results Act for a Strategic Plan, and provides additional background or
detailed information in support of the EPA OIG Strategic Plan, Fiscal 2004 - 2008.
Contents
Page
External Factors and Trends That Could Shape Our Future 1
Data Validation and Information Quality 3
EPA PART Assessment Schedule 4
Major Laws Affecting EPA and OIG Work 5
EPA Goals and Strategies 6
Description of OIG Product Lines 8
Criteria Used to Evaluate and Determine Risk, Priorities and Assignments 9
Alignment of Planning and Measurement Throughout OIG 9
OIG Management Challenges 10
Summary Input from External Customer and Staff Surveys/Interviews 10
Partnering Opportunities/Environmental Programs Across Federal Agencies ... 11
-------
-------
External Factors and Trends That Could Shape Our Future
This section presents an overview of just some of the environmental and societal issues, concerns, and
threats that could shape our lives, and the future priorities of EPA and the OIG. The Government
Performance and Results Act requires a consideration of external events and threats that should be
accounted for in the plan, or could prevent the goals from being attained. We have selected items that
represent contemporary research and a variety of opinions to increase our awareness of conditions that could
shape our future and form the basis for future discussion and public policy.
Balancing Energy, Transportation, and Development with Environmental Quality
Q The burning of oil, natural gas, and coal provides 80 percent of all human-caused carbon dioxide emissions.
Q Energy demand has nearly doubled in the past three decades and is expected to increase 60 percent by 2020.
Q Automobile manufacturers are producing larger vehicles requiring more fuel, and more roads are being built
encroaching on irreplaceable environmental systems. Due to technological advancements, vehicles today
emit only about one tenth of the pollution as vehicles of the early 1970s.
Q Increasing mobility undoubtedly improves quality of life, by providing access to better employment,
education, health care, and fulfillment of the "American Dream."
Q Growth of urban areas and "sprawl" without coordinated planning or alternatives to the use of fossil fuels
exacerbates pollution, which directly impacts human health.
Q Nearly 10 percent of the world's total energy (mostly from hydropower) comes from alternative sources, such
as wind turbines, solar cells, biomass fuels, and hydrogen fuel cells, could provide half the world's energy by
2050. Gasoline-electric hybrid cars are already reducing carbon dioxide emissions in Japan, Europe and US.
Q A vehicle powered by a hydrogen fuel cell creates emissions you can drink in the form of pure water. Use of
alternative fuels can radically reduce the impacts from carbon dioxide.
Regulated Community Can Be Part of the Solution
Q Environmentally conscious businesses are realizing that conservation may also help the bottom line.
Q Xerox's Waste Free program recycled 80 percent of nonhazardous solid waste generated by the corporation's
factories in 2000. It also kept 158 million pounds of electronics waste out of landfills through
remanufacturing, saving several millions of dollars a year and proving that sustainability is good business.
Q The expanded use of market incentives for the Air Credit Trading program is an example of how economic
incentives, applied properly, with strong oversight and controls, can promote compliance.
Population and Demographics
Q Population growth and movement throughout history have forever changed the quantity and quality of life as
well as the atmosphere, soils and waters. Although fertility rates have fallen sharply in the developing world
due to increased education and greater access to contraceptives, the population in poor countries is expected
to triple in less than the next 50 years.
Q The United States is a destination for many in the world who seek a better life, while the aging population
will live longer and will migrate to more southern and coastal regions, increasing the pressure to yet further
develop precious natural resources and build greater infrastructures to support a higher standard of life at the
expense of wetlands, forests, and shores.
Fraud, Waste, and Abuse When Accountability is Absent and Opportunity Meets Greed
Q Reports of corporate fraud have shaken our financial state of well being.
Q Fraud extends beyond the few who commit it, and when it occurs in government by its employees, grantees,
or contractors, it can have a far-reaching impact, creating a lack of confidence in government by taxpayers.
Q An obvious deterrent to fraud and mismanagement is strong controls, accountability and criminal and civil
punishment for those found guilty of such acts. It requires a better understand of conditions that permit fraud,
waste, and abuse, and a commitment to building or correcting control systems that can prevent it.
-------
Technology, Information, and the Market
Q Environmental protection was originally provided by the government through a series of environmental laws,
and by mandating rules, regulation of industry, and litigation designed to address the most obvious problems.
Q The problems of the future are getting much more complex and increasingly expensive. They will require
greater participation by non-government entities and use of innovative market mechanisms for both funding
and self regulation.
Q In recent years, market based "greenery" has shown promise with a few exceptions. In the past decade, an
amendment to the Clean Air Act, created an emissions trading system to reduce sulfur dioxide.
Q Economists say the market place is the greatest price discovery mechanism capable of self balancing, but
markets are not currently very good at valuing environmental goods.
Q As business begins to realize the benefits of environmental balance sheets, actions such as carbon storage,
watershed management to produce new revenue flows, and paying for greenery upstream rather than cleaning
the water downstream after it is fouled, could provide the economic drivers of environmental solutions.
Q The market itself may not provide enough information to value nature adequately, especially for threats that
have no solution at any price. The difficult notion of both sustainable development and environment can be
pursued through market efficiency and collaborative planning, based upon sound technology and information.
Financial Resources: Who Will Pay and Where Will They Come From
Q The New York Times reported that "states are desperate, struggling with their worst financial crises since
World War II." California, with one of the world's largest economies, has presented an extreme example of
state budget problems, which have forced cuts in many programs including environmental programs.
Q According to the Environmental Council of States (ECOS), "The States' commitment of 1.4 percent of the
total state budget [to environmental spending] is the lowest in 17 years of observation."
Q EPA officials have consistently expressed concerns about the increasing stress on State environmental
programs as State funds decline and environmental responsibilities grow. The majority of Federal
environmental programs are delegated to States, including 98 percent of the Clean Air Act, 84 percent of the
Clean Water Act, and 85 percent of the Resource Conservation and Recovery Act.
Q State financial problems are also in the context of increasing Federal deficits, the largest in the nation's
history, which will have long-term impacts on all levels of government and funding for expensive but urgent
infrastructure and other environmental projects.
Information: The Most Powerful Tool of Environmental Protection
Q The environmental movement in this country was inspired by the vision and grass roots efforts of a minority
of concerned citizens using limited information to leverage public involvement and action that eventually
resonated with our politicians and policy makers to solve the most obvious problems.
Q The information age, through scientific, social, and economic research, will continue to inspire the actions
necessary to reevaluate the kind of legislation needed to solve the more complex, but less obvious,
environmental problems at all levels of government.
Q The public is demanding more environmental disclosure by companies, and EPA similarly can promote and
actively use information to make the most informed policies that further encourage compliance and even
economic benefit from strong environmental stewardship.
Q Information brings many stakeholders and partners together to collaboratively seek an optimal balance
between social and financial costs and benefits. Information about risks, condition impacts, trends, and
performance will only be valuable if it has integrity, and is comparable, valid, reliable, accurate, complete,
and timely.
Q Environmental data along with its analysis of cause and effect relationships to ecosystems and human health
is relatively new, because the devastation of environmental impacts has happened so recently in the scheme
of all history. Also, science and the effects are usually episodic, information is fragmented, and measurement
is inconsistent.
-------
Unlocking the Future
Q A new sensitivity to humanity's impact on the environment has leveraged corrective actions by individuals
and governments through science, economic interests, and activism.
Q We can not turn back the clock and return nature to a pristine state, nor would we want to, at the expense of
otherwise higher standards of living. Similarly, we cannot freeze nature at its current state.
Q The debate about the future of natural resources will need to include, technology, institutions, public and
private involvement, and especially the capacity to innovate. Where there are strong scientific indications of
unsustainability, we must act on behalf of the future, even at the price of today's development.
Q The demands of development seem sure to grow into the next few decades, but we seem to be entering a
period of huge technological advances in emerging fields such as bio technology, which could greatly
increase resource productivity and more than offset the effects of population growth, economic development,
and energy usage on the environment.
Q The best way is to encourage powerful forces of sustainability is through partnerships, empowerment of local
people to manage local resources, encouragement of science and technology for information and innovation,
and reliance on businesses to be active participants in funding, compliance, and risk reduction.
External Threats
Q As we have become aware, there is now almost a certainty that uncontrollable and unforeseen threats such as
terrorism and natural disasters will alter our plans, lives, and intended paths to results.
Q Contrived threats such as fraud, political unrest, military conflict and terrorism have become constant
disruptive forces both domestically and internationally.
Q Economic and resource deprivation can drive acts of desperation. Additionally, there is always the peril of
naturally occurring disasters and environmental neglect and degradation.
Q Homeland Security was an unfamiliar term a few years ago, yet now dominates our attention, sense of well
being, and national priorities. We must stay constantly vigilant in anticipation of such threats, with the
flexibility and preparation to adapt and take responsive contingency actions.
Conclusion
Humans are both dependent upon and interdependent with their environments. Natural resources remain the basis for
economic growth and civilization even as development of those resources contributes to the loss of other
environmental values. Improved technologies have helped humans to have far greater impacts on their environment,
but the same technology has outpaced our knowledge of its effects on the environment. When the problems were
obvious, such as belching smoke stacks and dumping of raw sewage at the end of a pipe, the solutions were relatively
easy to define. Many problems and their effects on our future environmental and public health are not as obvious, yet
could be devastating, including the political environment internationally and domestically as competition increases
for limited natural and economic resources. The availability of funding at all levels of government is an emerging
issue which will increase during the next several years. We cannot predict the future consequences of our actions,
but there are undisputable trends. The cost and complexity of the potential solutions will require significant
participation by the marketplace and government agencies working together for the synergy to drive the needed
science, technology, legislation, and actions to sustain growth and our environment. The OIG has an important role
in helping EPA address these issues and find needed solutions.
Data Validation and Information Quality
All data and analysis used in this Strategic Plan are derived from independent authoritative sources. OIG products
and services are subject to rigorous compliance with the Government Auditing Standards of the Comptroller General,
and are regularly reviewed by OIG management, an independent OIG Management Assessment Review Team, and an
external independent peer review. This Plan specifically complies with the OIG Data Quality Standards, the OIG
Strategic Planning Policy and procedures, and the Government Performance and Results Act. This Plan attempts to
use the best available information and opinions that will help direct the future decisions and activities of the OIG.
Also in accordance with the Federal Managers' Financial Integrity Act of 1982, the OIG annually submits an
assurance letter to the EPA Administrator reporting on whether the OIG's management controls reasonably protect
the OIG programs from waste, fraud, abuse, or mismanagement.
-------
OIG Assistance With OMB PART Assessments of EPA Programs
For the fiscal year 2004 budget process, the Office of Management and Budget (OMB) introduced a new instrument,
the Program Assessment Rating Tool (PART), for assessing government programs' purpose, design, strategic
planning, management, results, and accountability to determine overall effectiveness. PART assessments are similar
to the OIG Goal 2 Strategy of using a Systems Approach to evaluate the economy, efficiency, and effectiveness of
EPA programs. Therefore, the OIG will assist the Agency and OMB in performing effective PART reviews by
selectively aligning our audit and program evaluation work to correspond with PART review questions for the
scheduled EPA programs. Information about PART assessments is found at
http://www.whitehouse.gov/omb/mgmt-gpra/spring.html
The following represents several approaches for OIG involvement with PART assessments based upon discussions
with OMB and our own research. Specific OIG PART activities and EPA program areas, of those scheduled for
OMB review (below), will be addressed in the OIG Multi-Year Plans.
Q Link or cross reference PART reviews to prior and current OIG reports/assessments
Q Include scheduled Agency PART assessments in OIG planning process/selection criteria
Q Provide review comments on Agency PART assessments, before and after OMB ratings
Q Conduct special OIG PART- related reviews/evaluations
Q Coordinate OIG level of effort, expectation agreements with OMB
Schedule of EPA Programs Currently Planned for OMB PART Review
rfc
Represents additional programs subject to review at OMB direction
FY 2004
FY 2005*
FY 2006*
FY 2007*
FY 2008*
Leaking Underground
Storage Tanks
Air Toxics
Nonpoint Source
Superfund Removal
Drinking Water SRF
Pesticides
Registration
Pesticides
Reregistration
New Chemicals
Existing Chemicals
Tribal GAP
Civil Enforcement
RCRA Corrective
Action
RCRA State Grants
Ecosystem Research
Clean Water SRF
(including CWSRF
Indian Set Aside
Program)
Criminal Enforcement
PM Research
Brownfields
Pollution Prevention
Research
Acid Rain
Environmental
Education
Superfund R&D
Superfund Remedial
Actions plus other
Superfund
National Estuary
Program
Stratospheric Ozone
Programs
Compliance Assistance
Programs
Air State Grants
(except Radon)
High Production
Volume
Chemicals Challenge
Program
Climate Change
Programs
Mexican Border
Alaskan Native
Village
State Water Pollution
Control Grants
Clean Water
Regulations
Clean Water
Implementation
Environmental
Information
Human Health
Research
Indoor Air
Ozone and PM
Implementation
Public Water System
Supervision Grants
Drinking Water
Regulations
Drinking Water
Implementation
Toxic Release
Inventory
Regulatory
Development
Research
Science Advisory
Board, Science
Policy &
Coordination,
Science Advisor
Homeland Security
UST State Grants and
UST Program
-------
Statute Provisions
Toxic Substances Control Act
Federal Insecticide, Fungicide and
Rodentcide Act
Federal Food, Drug and Cosmetic Act
Resource Conservation and Recovery
Act
Comprehensive Environmental
Response, Compensation & Liability
Act
Clean Air Act
Clean Water Act
Safe Drinking Water Act
Marine Protection Research and
Sanctuaries Act
Asbestos School Hazard Act
Asbestos Hazard Emergency
Response Act
Emergency Planning and Community
Right to Know Act
Requires that EPA be notified of any new chemical prior to its manufacture and
authorizes EPA to regulate production, use or disposal of a chemical.
Authorizes EPA to register all pesticides and specify the term and conditions of their use,
and remove unreasonably hazardous pesticides from the market place.
Authorizes EPA in cooperation with the Food and Drug Administration to establish
tolerance levels for pesticide residues on food and food products.
Authorizes EPA to identify hazardous wastes and regulate their generation,
transportation, storage and disposal.
Requires EPA to designate hazardous substances that can present substantial danger and
authorizes the cleanup of sites contaminated with such substances.
Authorizes EPA to conduct research, set air quality standards, and emissions limits,
regulate emission of stationary area and, mobile sources, and take enforcement action.
Authorizes EPA to establish a list of toxic water pollutants and set standards.
Requires EPA to set drinking water standards to protect public health from hazardous
substances.
Regulates ocean dumping of toxic contaminants.
Authorizes EPA to provide loans and grants to schools with financial need for abatement
of severe asbestos hazards.
Authorizes EPA to establish a comprehensive regulatory framework for controlling
asbestos hazards in schools.
Requires states to develop programs for responding to hazardous chemical releases and
requires industries to report on the presence and release of certain hazardous substances.
Other Laws * Laws that contain provisions that mandate EPA-OIG work.
Anti-Deficiency Act
Chief Financial Officers Act*
Clinger-Cohen Act
Competition in Contracting Act
Computer Fraud and Abuse Act/Computer Security Act
Consolidated Reports Act of 2000
Contract Disputes Act
E-Government Act*
Endangered Species Act
Environmental Research, Development and Demonstration Act
Ethics in Government Act
False Claims Act
Federal Advisory Committee Act
Federal Facility Compliance Act
Federal Financial Management Improvement Act*
Federal Claims Collection Act
Federal Grant and Cooperative Agreement Act
Federal Information Security Management Act
Federal Managers' Financial Integrity Act
Federal Records Act
Federal Technology Transfer Act
Food Quality Protection Act*
Freedom of Information Act/Privacy Act
Government Performance and Results Act
Homeland Security Act
Inspector General Act of 1978, as amended*
National Environmental Education Act
National Environmental Policy Act of 1969
Ocean Dumping Act
Oil Pollution Act of 1990
Paperwork Reduction Act
Pollution Prevention Act
Single Audit Act
Solid Waste Disposal Act
U.S. Code, Title 18 (Criminal Code)
VA, HUD and Independent Agencies Appropriations Acts
Whistle Blower Protection Act
-------
EPA Goals: A New Five-Goal Structure Focuses on Environmental Results
The following pages are EPA's Strategic Goals, Strategies, and Objectives, with corresponding references to the OIG
Strategic Plan. This OIG Strategic Plan closely parallels the EPA's Plan, applying the OIG's unique role and
authority in EPA. The EPA Strategic Plan is available at: http://www.epa.gov/ocfo/plan/2003sp.pdf
EPA Goals FY 2004 - 2008
1. Clean Air and Global Climate Change:
Protect and improve the air so it is healthy to
breathe, and risks to human health and the
environment are reduced. Reduce greenhouse
gas intensity by enhancing partnerships with
business and other sectors.
2. Clean and Safe Water: Ensure drinking
water is safe. Restore and maintain oceans,
watersheds and their aquatic ecosystems to
protect human health, support economic and
recreational activities, and provide healthy
habitat for fish, plants, and wildlife.
3. Land Preservation and Restoration:
Preserve and restore the land by using
innovative waste management practices, and
cleaning up contaminated properties to reduce
risks posed by releases of harmful substances.
4. Healthy Communities and Ecosystems:
Protect, sustain, or restore the health of people,
communities, and ecosystems using integrated,
and comprehensive approaches, and
partnerships.
5. Compliance and Environmental
Stewardship: Improve environment through
compliance with environmental requirements,
preventing pollution, and promoting
environmental stewardship. Protect human
health and the environment by encouraging
innovation, and providing incentives for
government, business, and the public that
promote environmental stewardship.
EPA Cross Goal Strategies
Focusing on Results: A new set of goals
Implementing Reforms: The President's
Management Agenda
Improving Accountability: Assessing the State of the
Environment
Strengthening Partnerships: Improved Relationships
with States and Tribes
Information
> Analytical Capacity
* Governance
* Excellence in Information Service Delivery
Innovation
> Innovation: Enabling state and tribal Innovation
> Using innovation to solve priority problems
* Developing problem solving tools and approaches
* Creating a culture and organizational systems
Human Capital
> Strategic alignment with mission
> Workforce planning and deployment
> Leadership and knowledge management
> Performance Culture
> Recruiting and retaining talent
> Accountability
Science
> Generating and using scientific information
* Science Priorities
* EPA science practices
* Meeting the challenge
* Achieving results
Homeland Security
> Organizing the work
* Coordinating the effort
* Achieving results
Economic and Policy Analysis
> Enhancing the quality of Agency decisions
> Improving analytic tools and capabilities
* Addressing public priorities
-------
EPA Strategic Air Objectives FY 2004 to 2008 - Corresponds to OIG Goal 1 Air Product Line
Healthier Outdoor Air: EPA and its partners will protect human health and the environment by attaining and
maintaining health-based air quality standards and reducing risk from toxic pollutants.
Healthier Indoor Air: 22.6 million more Americans than in 1994 will be experiencing healthier indoor air in
homes schools and office buildings.
Reduce Greenhouse Gas Intensity: EPA's voluntary climate protection programs will contribute 45 million metric
tons of carbon equivalent annually to the President's 18 percent greenhouse gas intensity improvement.
Protect the Ozone Layer: Through worldwide action, ozone concentrations in the stratosphere will have stopped
declining and slowly begun the process of recovery, and the risk to human health from over exposure to ultraviolet
radiation, particularly among susceptible subpopulations, such as children, will be reduced.
Radiation: EPA and its partners will minimize unnecessary releases of radiation and be prepared to minimize
impacts to human health and environment should unwanted releases occur.
Enhance Science and Research: Provide and apply sound science to support clean air by conducting leading edge
research and developing a better understanding and characterization of environmental outcomes.
EPA's Strategic Water Objectives FY 2004 to 2008 - Corresponds to OIG Goal 1 Water Product Line
Protect Human Health: Protect human health by reducing exposure to contaminants in drinking water (including
protecting source waters), in fish and shellfish, and in recreational waters.
Protect Water Quality: Protect the quality of rivers, lakes, & streams on a watershed basis & protect coastal &
ocean waters.
Enhance Science and Research: Provide and apply a sound scientific foundation to EPA's goal of clean and safe
water by conducting leading edge research and developing a better understanding and characterization of the
environmental outcomes.
EPA's Strategic Land Objectives FY 2004 to 2008 - Corresponds to OIG Goal 1 Land Product Line
Preserve Land: Reduce adverse effects to land by reducing waste generation, increasing recycling, and ensuring
proper management of waste and petroleum products at facilities in ways that prevent releases.
Restore Land: Control risks to human health and the environment by mitigating the impact of accidental or
international releases and by cleaning up and restoring contaminated sites or properties to appropriate levels.
Enhance Science and Research: Provide and apply sound science for protecting and restoring land by conducting
leading-edge research and developing a better understanding and characterizations of environmental outcomes.
EPA's Strategic Healthy Communities and Ecosystems/Compliance and Environmental Stewardship
Objectives FY 2004 - 2008 - Corresponds to OIG Goal 1 Cross-media Product Line
Chemical, Organisms, and Pesticide Risks: Prevent and reduce pesticide, chemical and genetically engineered
biological organism risks to humans, communities and ecosystems.
Communities: Sustain, clean up and restore communities and the ecological systems that support them.
Ecosystems: Protect, sustain, and restore the health of natural habitats and ecosystems.
Homeland Security: Enhance the nation's capability to prevent, detect, protect and recover from acts of terror.
Enhance Science and Research: Provide a sound scientific foundation for EPA's goal of protecting, sustaining and
restoring the health of people, communities and ecosystems by conducting leading edge research and developing a
better understanding and characterization of environmental outcomes.
Improve Compliance: Maximize compliance to protect human health and the environment through compliance
assistance, incentives and enforcement.
Improve Environmental Performance Through Pollution Prevention and Innovation: Improve environmental
protection and enhance natural resource conservation on the part of government, business, and the public through
adoption of pollution and sustainable practices that include the design of products and manufacturing processes that
generate less pollution, the reduction of regulatory barriers and the adoption of results based, innovative, and
multimedia approaches.
-------
OIG Product Lines
Below is a description of the OIG Product Lines, which are designed to focus on specific aspects o
approaches, while working together for systemic recommendations and improvements.
Program Evaluations determine whether EPA's programs, projects, and tasks are achieving the desired
results and impacts in the most efficient and cost-effective manner. Staffed with a mix of program analysts,
scientists, auditors, economists, and others, program evaluations assist the Agency in identifying what works
and at what cost for Air, Water, Land, and Cross-Media environmental programs. Evaluations by type
include:
Process evaluations assess the extent to which a program is operating as it was intended.
Outcome evaluations assess the extent to which a program achieves its outcome-oriented objectives.
Impact evaluations assess net effect of a program by comparing outcomes to absence of the program.
Cost Benefit evaluations compare the program's outputs or outcomes with the costs to produce them.
Audits determine whether EPA's programs, systems, and processes are operating effectively & efficiently.
Q Contract Audits determine the allowability, allocability, and reasonableness of costs claimed by contractors and
assess the effectiveness of EPA's contract management.
Q Assistance Agreement Audits assess financial and performance of EPA's State Revolving Fund programs, EPA
grants, interagency agreements, and cooperative agreements.
Q Financial Statement Audits review the Agency's financial systems and statements to ensure that adequate
controls are in place and the Agency's financial information is timely, accurate, reliable and useful, and complies
with applicable laws and regulations.
Q Business Systems Audits review the economy, efficiency and effectiveness of operations by examining the
Agency's support systems for achieving environmental goals, including its information systems and systems for
setting priorities, developing and implementing strategies to accomplish them, and measuring performance.
Investigations identify and close high risk and systemic weaknesses; obtain prosecutions, recoveries,
indictments, and convictions for criminal activity, and civil and administrative remedies.
Q Contract and Assistance Agreement investigations focus on financial crimes, criminal activity, or serious
misconduct in the performance of EPA contracts and procurement practices; grants to individuals, businesses or
organizations, the application and awarding of EPA grant monies. These investigations also focus on similar
activities in the use of EPA money involved in State Revolving Funds, interagency agreements, and cooperative
agreements awarded to state, local, and tribal governments, universities, and nonprofit recipients.
Q Employee Integrity investigations focus on allegations of criminal activity or serious misconduct by EPA
employees that could threaten the credibility of the Agency, validity of executive decisions, security of personnel
or business information entrusted to the Agency, or financial loss to the Agency.
Q Computer Fraud investigations respond to suspected computer intrusions, and support Agency information
security personnel as they examine the Agency network for weaknesses and vulnerabilities.
Q Laboratory Fraud investigations uncover criminal activity in laboratories within the environmental community
including commercial and EPA laboratories. The Agency relies upon laboratory test results to assess
environmental threats and determine what actions are necessary to control hazardous wastes, toxins, and other
contaminated substances that pollute our air, water, and land.
-------
Planning Criteria Used to Evaluate and Determine Risk, Priorities and Assignments
In addition to Strategic Customer Analysis, we constantly consider a number of factors listed below to assess
risks and opportunities. This process helps identify new directions, the best application of resources, and the
selection of assignments through the Multi-Year Plan in support of the Strategic Plan.
In relation to current, Strengths, Weaknesses, and emerging Opportunities and Threats
1. Environmental Risk
Considers problems, relative risks, and our potential to reduce or prevent the risks
2. Risk of Fraud
Considers indicators of fraud, waste, or abuse, and opportunities for improvement
3. Business Systems
Considers major management challenges, processes, accountability for decision making
4. Customer/Stakeholder Interest
Considers customer/client/partner interest, need, value, and public benefit
5. Federal Investment
Considers investment level from EPA and others, and potential of larger scale results
6. Agency Credibility
Considers if our work can enhance, protect, or restore EPA credibility in its operations
7. Previous Experience
New Indicators
Considers historic work of the OIG (and others), chronic problems or issues, and new
knowledge, research, indicators
8. Quality/Value
Considers ways of improving and leveraging results and usefulness of OIG work
9. Timely/Cost Effective
Considers process improvements to deliver products faster and more efficiently
10. Innovative
Considers new products, approaches, and applications of technology & skills
Alignment of Planning and Performance Measurement Throughout the OIG, for Integration with
Staff Performance Expectation Agreements
Year Product
Tactic& Operation^
Rare/Staff Performance
ntl
Plan: Linking Purpose
and Expectations
Measures: Linking
Performance/Results
- Strategic strengths, weaknesses,
opportunities, threats
- Cultural/organizational change
& direction (vision, values)
- Alternative options
- Set goals and targets
- Tactical Program Direction^
- Management Accountability
- Establish milestones
- Align process activities
- Assignment/Staff Performance
Expectation Agreements
Annual/Semiannual Reporting
-Intermediate & Impact
Outcomes
- Return on Investment of
Resources
Monthly/Quarterly Reporting
- Outputs/Quantity
- Quality/Activity
- Customer Value
- Cost/Resource Application
- Timeliness
-------
OIG Management Challenges (From FMFIA Reporting)
Below is the list of Management Level Weaknesses that the OIG has reported to the EPA Administrator
FY 2001-2003 in accordance with OMB Circular A-123, Management Accountability and Control, and
the Federal Managers' Financial Integrity Act (FMFIA), and internal control requirements of OMB
Circular A-130, Management of Federal Information Resources. The strategies and objectives in Goal 3
of this Plan are specifically designed to resolve OIG weaknesses and improve upon previously reported
issues. The issues listed below will also have priority for OIG internal process assessment.
OIG Management Level Weaknesses
OIG Intranet
Records Management
Cost Accounting
Business Planning Process
Followup on Assignments/Corrective Actions
Human Capital Strategy
Organizational Structure
Information Technology Strategy
Inspector General Operations Reporting System (IGOR)
Project Management/ Accountability
Background Investigations/ Security Process
2001
2002
2003
Summary of Most Frequent Suggestions for Improving OIG Products and Services Identified
from External Customer and Staff Surveys/Interview*
Develop better program and technical knowledge
Make recommendations more specific and focused,
but flexible to help implement solution
Improve timeliness of products
Provide better transfer of knowledge, problems,
recommendations and best practices across EPA
Expand advisory services to help solve specific
problems and issues
Provide Agency with monthly status report with brief
descriptions and links to significant work
Perform followup to keep the Agency focused
Link performance awards to outcomes
Provide better communication with Regions to better
balance regional issues with national concerns
Need to work closer with states to help coordinate
problem identification and solutions
Need more user friendly web page
Need historical index of work and recommendations
Segment products better by 1. research/problem
identification, 2. solution development, 3. followup
Partner more with Agency training activities, especially in planning,
measuring, grants
Provide better balance and credit on progress
Offer more practical recommendations/solutions instead of ones
requiring more resources
Improve IG local contact points in Regions
Help improve EPA program efficiency, helping and finding ways of
doing more with less
Keep Agency more currently informed of project findings, and
provide more time to respond
Coordinate better with GAO and internally to avoid duplication
Follow up on leads presented during reviews
Should have separate review and assistance teams to identify and help
advise on solutions
Should review Working Capital Fund and Regional support
Provide advisory assistance to recommend solutions on specific
problems and issues
Eliminate pass/fail performance evaluations
Improve consistency of communications and actions with values
Employ flexible faster recruiting and contracting tools
10
-------
EPA and OIG Federal Partnering Opportunities
The following chart, from the Compendium of Environmental Programs demonstrates, that there are 29
Federal agencies with a known environmental mission, and provides the number of programs
administered within each media area, presenting significant opportunities for collaboration. The full
Compendium is available at: yosemite.epa.gov/oig/compendium.nsf/homepage?openform
Participation
(No. of Programs/Activities Identified)
1 1
_Department of Agriculture ]
Department of Interior
Department of Transportation
Department of Commerce
Department of Defense
Department of Energy
Department of Health and Human Services
Tennessee Valley Authority
Department of Justice
National Aeronautics and Space Administration
National Science Foundation
Federal Emergency Management Agency
Office of Science and Technology Policy
Department of Treasury
Department of Housing and Urban Development
Department of State
U.S. Postal Service
Nuclear Regulatory Commission
National Academy of Sciences
Small Business Administration
General Services Administration
Department of Labor
Agency for International Development
Federal Housing Finance Board
Department of Veterans Affairs
Joint Subcommittee on Aquiculture
N. American Research Strategy for Tropospheric Ozone
International Boundary and Water Commission
Endocrine Disrupter Screening & Testing
Advisory Commission
1 Air |
16
9
36
13
7
22
14
19
0
9
3
0
5
0
1
1
0
0
2
0
0
1
0
0
0
0
1
0
0
| Water 1
73
68
12
33
21
5
14
8
1
2
3
0
0
0
3
0
4
1
1
2
2
0
2
0
0
1
0
1
1
| Waste |
6
12
14
6
18
16
12
0
15
1
1
6
0
5
1
4
0
2
0
0
0
0
0
0
| Totals
95
89
62
52
46
43
40
27
16
12
7
6
5
5
5
5
4
3
3
3
3
2
2
1
1
1
1
1
1
11
------- |