EPA-350-R-001A
February 2004
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
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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
• • The burning of oil, natural gas, and coal provides 80 percent of all human-caused carbon dioxide emissions.
• • Energy demand has nearly doubled in the past three decades and is expected to increase 60 percent by 2020.
• • 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.
• • Increasing mobility undoubtedly improves quality of life, by providing access to better employment,
education, health care, and fulfillment of the "American Dream."
• • Growth of urban areas and "sprawl" without coordinated planning or alternatives to the use of fossil fuels
exacerbates pollution, which directly impacts human health.
• • 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.
• • 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
• • Environmentally conscious businesses are realizing that conservation may also help the bottom line.
• • 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.
• • 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
• • 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.
• • 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
• • Reports of corporate fraud have shaken our financial state of well being.
• • 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.
• • 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.
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Technology, Information, and the Market
• • 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.
• • 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.
• • 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.
• • 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.
• • 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.
• • 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
• • 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.
• • 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."
• • 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.
• • 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
• • 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.
• • 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.
• • 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.
• • 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.
• • 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.
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Unlocking the Future
• • A new sensitivity to humanity's impact on the environment has leveraged corrective actions by individuals
and governments through science, economic interests, and activism.
• • 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.
• • 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.
• • 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.
• • 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
• • 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.
• • Contrived threats such as fraud, political unrest, military conflict and terrorism have become constant
disruptive forces both domestically and internationally.
• • Economic and resource deprivation can drive acts of desperation. Additionally, there is always the peril of
naturally occurring disasters and environmental neglect and degradation.
• • 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.
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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.
' ' Link or cross reference PART reviews to prior and current OIG reports/assessments
• • Include scheduled Agency PART assessments in OIG planning process/selection criteria
• • Provide review comments on Agency PART assessments, before and after OMB ratings
• • Conduct special OIG PART- related reviews/evaluations
• • 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
Superftind 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
Superftind R&D
Superftind Remedial
Actions plus other
Superftind
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
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Major Laws Affecting EPA And OIG Work
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
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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
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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.
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OIG Product Lines
Below is a description of the OIG Product Lines, which are designed to focus on specific aspects or
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.
• • Contract Audits determine the allowability, allocability, and reasonableness of costs claimed by contractors and
assess the effectiveness of EPA's contract management.
• • Assistance Agreement Audits assess financial and performance of EPA's State Revolving Fund programs, EPA
grants, interagency agreements, and cooperative agreements.
• • 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.
• • 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.
• • 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.
• • 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.
• • Computer Fraud investigations respond to suspected computer intrusions, and support Agency information
security personnel as they examine the Agency network for weaknesses and vulnerabilities.
• • 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.
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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.
Evaluation Factors in Determining Goals, Objectives, Strategies and Measures
In relation to current, Strengths, Weaknesses, and emerging Opportunities and Threats
1. Environmental Risk
2. Risk of Fraud
3. Business Systems
4. Customer/Stakeholder Interest
5. Federal Investment
6. Agency Credibility
7. Previous Experience
New Indicators
8. Quality/Value
9. Timely/Cost Effective
10. Innovative
Considers problems, relative risks, and our potential to reduce or prevent the risks
Considers indicators of fraud, waste, or abuse, and opportunities for improvement
Considers major management challenges, processes, accountability for decision making
Considers customer/client/partner interest, need, value, and public benefit
Considers investment level from EPA and others, and potential of larger scale results
Considers if our work can enhance, protect, or restore EPA credibility in its operations
Considers historic work of the OIG (and others), chronic problems or issues, and new
knowledge, research, indicators
Considers ways of improving and leveraging results and usefulness of OIG work
Considers process improvements to deliver products faster and more efficiently
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
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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
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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
Federal Deoartments and Agencies
Participation
No. of Programs/Activities
Air • Water • Waste
Identified)
Totals
_Department of Agriculture J
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
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
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
6
12
14
6
18
16
12
0
15
1
1
6
0
5
1
4
0
2
0
0
0
0
0
0
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
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