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U.S. ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF INSPECTOR GENERAL
STRATEGIC PLAN
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Abbreviations
CIGIE
Council of the Inspectors General on Integrity and Efficiency
CSB
U.S. Chemical Safety and Hazard Investigation Board
EPA
U.S. Environmental Protection Agency
FEVS
Federal Employee Viewpoint Survey
FY
Fiscal Year
OIG
Office of Inspector General
OMB
Office of Management and Budget
OPM
Office of Personnel Management
U.S.C.
United States Code
Are you aware of fraud, waste or abuse in an
EPA or CSB program?
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1200 Pennsylvania Avenue, NW (2431T)
Washington, DC 20460
(888) 546-8740
(202) 566-2599 (fax)
OIG Hotline@epa.gov
Learn more about our OIG Hotline.
EPA Office of Inspector General
1200 Pennsylvania Avenue, NW (2410T)
Washington, DC 20460
(202) 566-2391
www.epa.gov/oiq
Subscribe to our Email Updates
Follow us on Twitter @EPAoig
Send us your Project Suggestions
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EPA Office of Inspector General Strategic Plan 2019-2023
Message from the Acting Inspector General
I am pleased to present the U.S. Environmental
Protection Agency's (EPA's) Office of Inspector
General (OIG) revised Strategic Plan for 2019-2023
under my leadership as acting Inspector General.
In this revised strategic plan, our overall direction and
focus remain consistent with previous leadership's vision
for the organization as we continue to be committed to
delivering the best service in support of the EPA and on
behalf of the American public. Additionally, this strategic
plan maintains alignment with the EPA's and the U.S.
Chemical Safety and Hazard Investigation Board's (CSB's)
mission and new strategic goals, and (1) the OIG's unique
duties, roles, authorities and responsibilities as defined by
the Inspector General Act; and (2) the OIG's specific
management values and vision for inspiring the greatest
level of OIG success in performing our mission. These
goals and objectives reflect our responsibility to detect and
prevent fraud, waste, abuse, mismanagement and
misconduct in the EPA's and the CSB's programs and
operations.
Charles J, Sheehan
Our strategic plan provides a unified direction with clear expectations. I am excited about
our outlook as we promote good governance and contribute to improved human health
and the environment.
(1
Charles J. Sheehan
Acting Inspector General
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EPA Office of Inspector General
Strategic Plan 2019-2023
Table of Contents
Overview of the Office of Inspector General Strategic Plan, 2019-2023 1
Office of Inspector General Roles and Responsibilities 2
Overview of EPA and CSB 3
Planning Our Work to Achieve Our Goals 5
OIG Vision, Mission and Core Value 10
OIG Goals, Objectives and Strategic Measures 11
Goal 1: Contribute to improved EPA and CSB programs
and operations protecting human health and the
environment, and enhancing safety 11
Goal 2: Conduct audits, evaluations and investigations that
enable the EPA and the CSB to improve business
practices and accountability 15
Goal 3: Improve OIG processes, resource allocation and
accountability to meet stakeholder needs 18
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EPA Office of Inspector General
Strategic Plan 2019-2023
Overview of the Office of Inspector General Strategic Plan
2019-2023
VISION
Be a premier oversight organization trusted to speak the truth,
promote good governance, and contribute to improved human health
and the environment.
MISSION
Conduct independent audits, evaluations and investigations; make evidence-based
recommendations to promote economy, efficiency and effectiveness; and prevent and
detect fraud, waste, abuse, mismanagement and misconduct for the U.S. Environmental
Protection Agency and the U.S. Chemical Safety and Hazard Investigation Board.
Contribute to improved EPA and CSB
programs and operations protecting
human health and the environment,
and enhancing safety.
GOALS
Conduct audits, evaluations and
investigations that enable the EPA
and the CSB to improve business
practices and accountability.
Improve OIG processes, resource
allocation and accountability to
meet stakeholder needs.
r • Influence actions and
change that contribute to
improved human health,
safety and environmental
quality.
• Produce results that
contribute to the
identification, reduction or
elimination of
environmental risks and
challenges.
i
OBJECTIVES
• Protect the integrity of programs
and operations through criminal,
civil and administrative
investigations.
• Influence actions and identify
best practices to improve
efficiency and accountability,
and achieve monetary benefits.
• Reduce risk of loss by detecting
monetary benefits.
• Reduce risk of loss by detecting
and preventing fraud, waste,
abuse, mismanagement and
misconduct.
W
r ""
Core Value: Be the best in public service
¦
Customer Service
I
Integrity
1
Accountability
r • Ensure that our products and
services are timely, responsive
and relevant, and maximize
protection of human health and
the environment and return on
investment.
• Ensure that our processes and
actions are efficient and
effective through continuous
improvement.
• Recruit, develop and retain an
innovative, high-performing and
diverse workforce that is
valued, appreciated and
respected.
• Enhance constructive
relationships and foster
^ collaborative solutions.
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EPA Office of Inspector General
Strategic Plan 2019-2023
Office of Inspector General Roles and Responsibilities
The Office of Inspector General (OIG) is an independent office of the U.S.
Environmental Protection Agency (EPA). In fiscal year (FY) 2004, Congress
designated the EPA Inspector General to also serve as the Inspector General for
the U.S. Chemical Safety and Hazard Investigation Board (CSB).
The OIG was created and is governed by the Inspector General Act of 1978, as
amended (5 U.S.C. App.3). The act established offices of inspectors general as
independent and objective units to:
1. Conduct and supervise audits and investigations relating to the programs
and operations of their agencies.
2. Review existing and proposed legislation and regulations relating to the
programs and operations of their agencies.
3. Provide leadership and coordination, and recommend policies for
activities designed to promote economy, efficiency and effectiveness, and
to prevent and detect fraud and abuse.
4. Provide a means for keeping the head of the agency and Congress fully
and currently informed about problems and deficiencies, and the
necessity for and progress of corrective actions.
The Inspector General Act requires each OIG to manage a hotline. The purpose
of the hotline is to receive complaints of fraud, waste or abuse in EPA and CSB
programs and operations, including mismanagement or violations of law, rules or
regulations by agency employees or program participants. The hotline also
encourages suggestions for assessing the efficiency and effectiveness of agency
programs. Complaints and requests may be submitted by anyone, including EPA
and CSB employees, participants in EPA and CSB programs, Congress,
organizations and the public. The OIG may conduct audits and investigations
resulting from hotline submissions.
OIG staff are physically located at EPA headquarters in Washington, D.C.; at all
10 EPA regional offices; in Research Triangle Park, North Carolina; and in
Cincinnati, Ohio.
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Overview of EPA and CSB
U.S. Environmental Protection Agency
Si
¦S Develops and enforces
regulations
S Gives grants
S Studies environmental issues
S Sponsors partnerships
S Teaches people about the
environment
S Publishes information on items
of environmental interest
As America's steward for the environment since 1970, the
EPA has endeavored to ensure that the public has
air that is safe to breathe, water that is clean and safe
to drink, food that is free from dangerous pesticide residues,
and communities that are protected from toxic chemicals.
The EPA develops and enforces regulations to implement
environmental laws; provides grants to states, tribes,
nonprofit organizations and educational institutions for
environmental programs or research; operates laboratories
throughout the United States; supports pollution prevention
and energy conservation; and promotes environmental
education.
The OIG plans its work with a focus on identifying and
influencing resolution of the agency's major management
challenges, which are reported and made available on the
Key Management Challenges for EPA and CSB webpage.
The OIG also plans its work in support of the EPA's goals and
objectives, as outlined in the agency's FYs 2018-2022 EPA Strategic Plan.
EPA Strategic Goals
• Core Mission: Deliver real results to provide Americans with clean air,
land, and water, and ensure chemical safety.
• Cooperative Federalism: Rebalance the power between Washington
and the states to create tangible environmental results for the American
people.
Rule of Law and Process: Administer the law, as Congress intended, to
refocus the Agency on its statutory obligations under the law.
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EPA Office of Inspector General
Strategic Plan 2019-2023
EPA Priority Goals
1. Improve air quality by implementing pollution control measures to reduce
the number of nonattainment areas.
2. Empower communities to leverage EPA water infrastructure investments.
3. Accelerate the pace of cleanups and return sites to beneficial use in their
communities.
4. Meet new statutory requirements to improve the safety of chemicals in
commerce.
5. Increase environmental law compliance rate.
6. Accelerate permitting-related decisions.
U.S. Chemical Safety and Hazard Investigation Board
The CSB was created by the Clean Air Act Amendments
of 1990. The CSB's mission is to investigate accidental
chemical releases at facilities, report to the public on the
root causes, and recommend measures to prevent future
occurrences. In FY 2004, Congress designated the EPA
Inspector General to serve as the Inspector General for
the CSB.
The EPA OIG plans its work in support of the three goals outlined in the
FYs 2017-2021 CSB Strategic Plan.
CSB Strategic Goals
1. Prevent recurrence of significant chemical incidents through
independent investigations.
2. Advocate safety and achieve change through recommendations,
outreach, and education.
3. Create and maintain an engaged, high-performing workforce.
The CSB strategies related to these goals are covered in its strategic plan.
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EPA Office of Inspector General
Strategic Plan 2019-2023
Planning Our Work to Achieve Our Goals
We plan our work with the goal of identifying and influencing resolution of the
EPA's and the CSB's major management challenges, reducing risk, improving
practices and program operations, and saving taxpayer dollars, which can lead to
positive human health and environmental impacts and help the EPA and the CSB
attain their strategic goals. We carry out our mission by conducting many types of
audits, evaluations and investigations for both the EPA and the CSB.
Office of Audit and Evaluation
The OIG's Office of Audit and Evaluation performs the following functions:
• Plans and conducts complex audits, evaluations and follow-ups on
the EPA's and the CSB's programs, systems and operations.
• Serves as the OIG's national technical expert for assigned areas of
responsibility, advising OIG personnel and others concerning program
operations and audit/evaluation approaches.
• Works with senior officials from the EPA and the CSB; the Office of
Management and Budget (OMB); other federal, state and local
government offices; and professional and environmental organizations to
further coordination, customer service and results.
• Prepares reports and delivers presentations on audit and evaluation
results, findings and recommendations.
• Conducts research on and stays attuned to methods and best practices
within the OIG community for use in our audits and evaluations.
Ten directorates within the Office of Audit and Evaluation are responsible
for independent oversight of the EPA's and the CSB's programs and recommend
improvements to their programs and operations. The directorates are as follows:
• Air. Conducts audits and evaluations to assess the EPA's programs and
activities to protect human health and the environment through progress
toward air quality and climate change goals.
• Contract and Assistance Agreements. Conducts performance audits of
the EPA's management of contracts, grants, cooperative agreements and
interagency agreements.
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• Efficiency. Identifies ways for EPA and CSB programs and operations to
improve processes and realize cost savings, thus freeing resources for
high-priority environmental projects.
• Environmental Research Programs. Conducts audits and evaluations of
the EPA's research and development programs, with particular focus on
areas that support human health and environmental protection.
• Financial. Renders opinions on financial statements produced by the EPA
and the CSB, and conducts performance audits of the EPA's and the
CSB's financial matters for efficiency and effectiveness.
• Forensic. Conducts financial audits of EPA assistance agreements and
contracts to identify potentially fraudulent actions and determines the
acceptability of costs claimed under specific financial instruments.
• Information Resources Management. Reviews the economy, efficiency
and effectiveness of the EPA's and the CSB's investments in information
technology for achieving environmental goals and ensuring the integrity of
data used for decision-making.
• Land Cleanup and Waste Management. Conducts audits and
evaluations to assess the EPA's programs, activities and initiatives to
protect human health and the environment through cleanup and waste
management, accident prevention and emergency response.
• Toxics, Chemical Management and Pollution Prevention. Conducts
audits and evaluations to assess the EPA's management of chemical risks
and programs to prevent pollution.
• Water. Conducts audits and evaluations to assess the EPA's protection
and restoration of healthy aquatic communities and waters that sustain
human health.
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EPA Office of Inspector General
Strategic Plan 2019-2023
Office of Investigations
The OIG's Office of Investigations conducts independent investigations to detect
and prevent fraud, waste and abuse, while protecting the integrity of the EPA's
and the CSB's programs, operations and resources. Investigations focus on
alleged fraud, waste and abuse relating to the EPA and the CSB, and
misconduct by the EPA's and the CSB's employees.
Investigations are often done in collaboration with OIG auditors, evaluators
and/or other law enforcement authorities, and may result in referrals for
criminal prosecution and civil actions, indictments, suspensions, debarments and
administrative actions. Investigations may also result in improvements in program
operations, savings, recoveries and penalties, and may identify high-risk
vulnerabilities.
Special Agents within the Office of Investigations are duly appointed federal
criminal investigators and are authorized to carry firearms, make arrests, execute
search and seizure warrants, and perform other law enforcement duties. Special
Agents have been trained as armed law enforcement first responders and are
designated first responders in the event of an active shooter or terrorist attack
impacting the EPA's and the CSB's facilities.
The Office of Investigations conducts the following major investigative activities:
• Financial Fraud (contracts and assistance agreements). Focuses on
criminal activities related to agency grants and contracts dealing with
state revolving funds and interagency and cooperative agreements that
help state, local and tribal governments, universities and nonprofit
recipients; as well as fraud related to mischarging, defective pricing,
defective products and collusion on contracts.
• Employee Integrity and Alleged Criminal Conduct or Serious
Administrative Misconduct. Focuses on activities that could undermine
the integrity of agency programs involving safety and public health, and
erode confidence in the agency pursuing its mission. Cases are initiated
in response to allegations or referrals from audits, evaluations or hotline
complaints. Additionally, cases are developed based upon ongoing
investigations or may be self-initiated in high-risk areas where there is
reasonable suspicion of fraud, violation of law or risk to the public.
• Threats Directed Against EPA and CSB Employees, Facilities and
Assets. Involves threats to the physical safety of the EPA's and the CSB's
employees and contractors, or a physical assault upon such employees
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Strategic Plan 2019-2023
and contractors. The Office of Investigations also investigates theft of the
EPA's and the CSB's property and data, including the investigation of
attacks against the agency computers and network systems. Investigations
are coordinated with the Federal Bureau of Investigation; Offices of the
United States Attorneys; the U.S. Department of Homeland Security; and
other federal, state and local law enforcement agencies as appropriate.
• Program Integrity. Focuses on activities that could undermine the
integrity of agency programs involving safety and public health, and erode
confidence in the agency pursuing its mission. This includes cases that
involve laboratory fraud or scientific misconduct, the results of which
could adversely affect agency actions or decisions. Cases are initiated in
response to allegations or referrals from audits, evaluations or hotline
referrals; or may be self-initiated in high-risk areas where there is
reasonable suspicion of fraud, violation of law or risk to the public.
• Other Investigative Activity. Focuses on providing support to OIG
program offices and participating in multiagency coordination on urgent
matters facing the EPA, the CSB and the nation. The Office of
Investigations interacts with the U.S. Department of Justice and other law
enforcement organizations on incidents that have a major impact on a
community or agency programs. The Office of Investigations is an active
participant in task forces that investigate fraud, waste and abuse in
programs supported by the EPA and the CSB.
Leadership and Support
Several offices provide leadership and support functions that help the OIG
achieve its strategic goals. These support offices and their respective duties
include the following:
• Immediate Office. Provides organization-wide leadership and direction
and represents the OIG to the agency and external stakeholders.
• Office of Management. Serves as the corporate focal point for the
Immediate Office of the Inspector General and is responsible for
promoting the most efficient use and accountability of OIG resources, and
helps the OIG effectively achieve its mission and goals. The Office of
Management has three directorates that form the cornerstone of the
OIG's management services:
o Business Analysis and Results Directorate. Supports budget
formulation, execution and analysis; OIG strategic and operational
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Strategic Plan 2019-2023
planning, policy and procedure management; performance
management; internal review; Government Accountability Office
liaison activities; and enterprise risk management.
o Human Resources Directorate. Provides operational support for
activities such as recruiting and staffing; and addresses employee
development, employee relations, and facilities management.
o Information Technology Directorate. Provides software
development, infrastructure and technical support services, along
with information security and records and property management.
• Office of Counsel and Congressional and Public Affairs
Office of Counsel. Provides independent legal and policy advice to
all components of the OIG on a variety of substantive and procedural
matters relating to audits, evaluations, investigations and other
activities. This office represents the OIG in administrative litigation
before the U.S. Merit Systems Protection Board, the U.S. Equal
Employment Opportunity Commission, and the U.S. Department of
Labor. The Office of Counsel manages the OIG ethics program,
providing ethics training, advice and financial disclosure reviews. The
office also coordinates OIG responses to Freedom of Information Act
and other document requests. Office of Counsel activities include
legal reviews as deemed necessary by the Inspector General in
response to requests from members of Congress, the agency or the
public.
Office of Congressional and Public Affairs. Communicates with
Congress, the news media and the public about the OIG's work,
which includes responding to inquiries and requests. The office edits,
publishes online and disseminates OIG reports and correspondence.
This office also manages the OIG's website and social media
platforms, creates multimedia products, operates the OIG's main
telephone line and email box, handles internal communications, and
manages the OIG Hotline.
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EPA Office of Inspector General
Strategic Plan 2019-2023
OIG Vision, Mission and Core Value
Vision
Be a premier oversight organization trusted to speak the truth, promote good
governance, and contribute to improved human health and the environment.
Mission
Conduct independent audits, evaluations and investigations; make evidence-
based recommendations to promote economy, efficiency and effectiveness; and
prevent and detect fraud, waste, abuse, mismanagement and misconduct for the
U.S. Environmental Protection Agency and the U.S. Chemical Safety and Hazard
Investigation Board.
Core Value: Be the best in public service
Customer Service—Everyone deserves to be treated with fairness, respect and
dignity.
• We are committed to treating our customers and stakeholders—the EPA,
the CSB, Congress, the public and each other—with fairness, respect and
dignity.
• We are committed to individual and organizational excellence.
• We are committed to building and sustaining a competent, innovative,
diverse and dedicated workforce.
Integrity—Our people and products are trustworthy.
• We are committed to producing independent, objective, quality and timely
work products that are accurate, factual, thorough and relevant.
• Our people are committed to teamwork, professionalism and the highest
ethical standards.
• Our processes are transparent.
• We are an independent voice without preference or prejudice.
Accountability—We are individually and collectively responsible for all we do.
• We lead by example and are responsible and accountable to one another.
• Our work returns value to our stakeholders.
• We hold ourselves and others accountable for compliance with laws,
regulations, policies and sound business practices.
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EPA Office of Inspector General
Strategic Plan 2019-2023
OIG Goals, Objectives and Strategic Measures
Each OIG strategic goal has specific objectives and performance measures to
assess progress and goal accomplishment. OIG annual plans establish projects
and assignments that are linked to OIG strategic goals and objectives. Projects
are assessed for results that support OIG strategic goals.
OIG senior managers will use this strategic plan routinely as a management tool
to guide the organization's path forward, track progress, and assess and address
the risks and challenges that could potentially interfere with the OIG's ability to
accomplish its goals.
Over the next 5 years, our three strategic goals will be supported by objectives
and measures that focus on promoting good governance and contributing to
improved human health and the environment. Our strategic measures are
supported by annual measures included in the annual performance plans and
budgets that the OIG submits to Congress.
Strategies and strategic measures in this plan highlight key areas in which the
OIG will focus over the next 5 years and are not intended to address all ongoing
or future programs. Annual performance plans and budgets, and supporting
annual and operational measures, address a broader range of the OIG's work.
To hold the organization accountable to its goals and objectives, the OIG will
hold, at a minimum, mid-year and end-of-year reviews to assess progress toward
annual and strategic measures.
GOAL
Contribute to improved EPA and CSB programs and
operations protecting human health and the
environment, and enhancing safety.
Over the next 5 years, the EPA plans to "improve its processes and reinvigorate
the rule of law as it administers environmental regulations as Congress intended
and refocus the agency on its core statutory obligations." The OIG's Goal 1 relates
to the EPA's three strategic goals and six priority goals for FYs 2018-2022, and
the CSB's three goals for FYs 2017-2021. As stated in the EPA's FYs 2018-2022
Strategic Plan:
The EPA will ensure compliance with the law by providing
consistency and certainty for the regulated community and clarify
the impact of proposed actions on human health, the environment
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and the economy to provide a clear path and timeline for entities
to achieve compliance.
OIG responsibilities include performing audits and evaluations that target the EPA's
processes and procedures that undergird and provide a structure in which programs
promoting human health, the environment and enhancing safety may thrive.
The EPA asserts that over the next 5 years the agency will seek cost-effective
ways to enhance its compliance assurance toolbox in collaboration with state,
tribal, local, federal and industry partners. For example, the EPA cites the
E-Enterprise Web Portal as offering the EPA a gateway for making shared
services available to states, tribes and the agency to transact business
(e.g., e-permitting and reporting). An important aspect of this tool's capability is
compliance monitoring, which will use data to assist in the detection of
noncompliance in various sectors. While the EPA's compliance assurance toolbox
continues to mature, the OIG will review whether the toolbox is indeed cost-
effective and whether the program is yielding the intended results.
Over the next 5 years, the OIG will increase its agility to assess emerging
environmental threats. The EPA has made air, water, land and chemicals priority
programs for the same period. As such, the OIG will address audits and
evaluations in the following EPA focus areas, among others:
Air
• Over the next 5 years, the EPA will prioritize key activities to support
attainment of the national ambient air quality standards and
implementation of stationary source regulations.
• The EPA will work with state and tribal partners to rapidly approve
their implementation plans for attaining air quality standards to reduce
contaminants that cause or exacerbate health issues.
Water
• The EPA will modernize and update aging drinking water, wastewater
and stormwater infrastructure on which the American public depends.
• The agency will continue to leverage the state revolving funds and the
Water Infrastructure Finance and Innovation Act to help states, tribes,
municipalities and private entities finance high-priority infrastructure
investments that protect human health and the environment.
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Land
• The EPA will place particular emphasis on a top-priority list of
Superfund sites and will implement Superfund Task Force
recommendations to accelerate the pace of cleanups and promote
site reuse, while addressing risks to human health and the
environment.
• The EPA will accelerate cleanup by re-prioritizing resources to focus
on remedial actions, construction completions, ready-for-reuse
determinations and National Priorities List site deletions.
Chemicals
• The EPA will prioritize the safety of chemicals in the marketplace by
implementing the new Frank R. Lautenberg Chemical Safety for the
21st Century Act, which modernizes the Toxic Substances Control
Act.
• The EPA will focus on meeting statutory requirements and mandatory
deadlines of the Toxic Substances Control Act, and the OIG will
conduct audits and evaluations that are efficient, effective and
transparent to stakeholders.
Objective 1.1: Influence actions and change that contribute to
improved human health, safety and environmental quality.
Strategic Measure 1.1.1—By September 30, 2023, the OIG will have conducted
audits and evaluations resulting in recommendations in specific areas geared
toward improvement in EPA policies, procedures and practices contributing to
improved human health, safety, or environmental quality in each of its major
offices and sub-offices. Further, the OIG will continue to work with the agency to
track implementation of OIG recommendations.
Strategies for Achieving Objective
The OIG will monitor external reports from various sources, especially
Congress and the Government Accountability Office, regarding their
assessment of the EPA's success or challenges in its mission. The OIG will
use external and internal sources to further refine its assessment of the
agency's progress. Specifically, the OIG will conduct audits and evaluations
over the next 5 years that will assess a targeted selection of initiatives
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supporting the following EPA priorities as reflected in the EPA's 2018-2022
Strategic Plan:
• Improve air quality by implementing pollution control measures to
reduce the number of nonattainment areas.
• Empower communities to leverage EPA water infrastructure
investments.
• Accelerate the pace of cleanups and return sites to beneficial use in
their communities.
• Meet new statutory requirements to improve the safety of chemicals in
commerce.
• Increase the environmental law compliance rate.
• Accelerate permitting-related decisions.
Objective oduce results that contribute to the
identification, reduction or elimination of environmental
risks and challenges.
Strategic Measure 1.2.1—By September 30, 2023, the OIG will be able to show
quantitative measures supporting the OIG's contribution to the reduction or
elimination of environmental risks and challenges by conducting audits,
evaluations or investigations. We will conduct at least one audit, evaluation and/or
investigation addressing an emerging environmental risk or challenge.
Strategic Measure 1.2.2—By September 30, 2023, the OIG will have contributed
to the reduction and elimination of environmental risks and challenges by
conducting at least one audit and/or evaluation in each of the EPA's six priority
goal areas rendering impactful recommendations.
Strategic Measure 1.2.3—By September 30, 2023, the OIG will have refined its
performance metrics to better align with mission objectives, improve our ability to
"tell the OIG story" of our influence and impact on our contribution to the
elimination of environmental risks and challenges, and confirm that we maintain
relevance with current goals and objectives.
Strategies for Achieving Objective
The OIG will use generally accepted government auditing standards and
other professional standards to evaluate, analyze and provide
recommendations to EPA offices working to mitigate environmental risks and
challenges. To increase effectiveness in this area, the OIG will conduct an
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annual planning process that identifies and targets current and future
environmental risks in addition to the OIG's mandatory required work.
GOAL
Conduct audits, evaluations and investigations that
enable the EPA and the CSB to improve business
practices and accountability.
Goal 2 represents how the OIG will promote economy and efficiency, and help
detect and prevent fraud, waste, abuse, mismanagement and misconduct as
specified by the Inspector General Act, in relation to the EPA's and the CSB's
use and control of operational resources. The EPA and the CSB deliver their
programs through many interrelated organizational systems. It is essential for the
EPA and the CSB to have the right people, processes, systems, controls and
information in place to efficiently and effectively carry out their missions. By
having the right resources in place, both agencies provide a strong deterrent to
fraud, waste, abuse, mismanagement and misconduct.
Goal 2 deals with assisting the agency to improve business practices and
accountability. OMB Circular A-123 (revised) encourages the use of enterprise
risk management and internal control assessments to strengthen business
practices and therefore overall organizational accountability. Over the next
5 years, the OIG will strengthen its data and business analytics, as well as
business intelligence capabilities, to support success for this goal.
• Data Analytics. A process that involves inspecting, cleansing,
transforming and modeling data with the goal of discovering useful
information, informing conclusions and supporting decision-making. We will
use the methodologies and predictive analysis of data analytics to assist in
defining ways forward in audits, evaluations and investigations, as well as
in core mission-support elements from management to legal resources.
• Business Analytics. Technologies and practices for continuous iterative
exploration and investigation of past business performance to gain insight
and drive business planning. Business analytics involve developing new
insights and understanding of business performance based on data and
statistical methods.
• Business Intelligence. Uses a consistent set of metrics to measure past
performance and guide business planning, which is also based on data
and statistical methods.
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Strategic Plan 2019-2023
Over the next 5 years, the OIG will increase its ability to use the above methods
to assist the agency with improving business practices and accountability. The
OIG will use the assistance of automated tools and increased human capital
assets with expertise in those areas to achieve this goal's success.
Objective 2.1: Protect thi of programs and
operations through criminal, civil and administrative
investigations.
Strategic Measure 2.1.1—By September 30, 2023, the OIG will have conducted
investigations geared toward protecting the integrity of programs and operations
within the EPA's six priority goals.
Strategic Measure 2.1.2—By September 30, 2023, the OIG will have conducted
investigations for the prevention of cyber-related attacks. These investigations will
result in increased protective measures codified in policy and procedure.
Strategies for Achieving Objective
Over the next 5 years, we will use data analytics and enhanced automated
tools to target investigations geared toward weeding out fraud, waste and
abuse at all levels of the organization. We will seek to strategically position
agents in areas of high visibility and known and/or potential "hot spots." We will
encourage the use of the hotline and will seek creative ways to increase its
effectiveness and impact.
Objective 2.2: Influence actions and identify best practices to
improve efficiency and accountability, and achieve monetary
benefits.
Strategic Measure 2.2.1—By September 30, 2023, the OIG will perform audits
and evaluations in each EPA priority area, resulting in documented, data-
supported improvements in efficiency and accountability across the agency.
Strategies for Achieving Objective
The OIG will endeavor to achieve this objective and its strategic measure
through increased collaboration with the Council of the Inspectors General on
Integrity and Efficiency (CIGIE). The OIG will seek out and employ best
practices that show immediate, tangible and reportable results. OIG Assistant
Inspectors General will be accountable for achieving measures that show their
respective offices to be results-driven entities. Results will be reviewed each
mid-year and end-of-year to monitor progress.
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Strategic Plan 2019-2023
Objective 2.3: Reduce risk of loss by detecting monetary
benefits.
Strategic Measure 2.3.1—By September 30, 2023, the OIG will have reduced risk
of loss by detecting monetary benefits through audits and evaluations targeting
initiatives within the EPA's six priority goals.
Strategies for Achieving Objective
The Inspector General Act defines a recommendation that funds be put to
better use as "a recommendation by the Office that funds could be used more
efficiently if management of an establishment took actions to implement and
complete the recommendation." Such recommendations might pertain to
deobligation of funds, implementation of improvements that make costs
unnecessary, and other savings.
Over the next 5 years, the OIG will ensure that audits and evaluations
performed on initiatives within the six priority goals result in recommendations
pertaining to deobligation of funds, costs not incurred by implementing
recommended improvements, and other identified savings. By implementing
these recommendations, the EPA can reduce the risk of loss through identified
efficiencies. Recommendations for stronger controls and accountability will be
key in minimizing this risk as well as influencing the implementation of
formidable defenses against future potential vulnerabilities. Prioritizing audits
and evaluations on initiatives with high risk for loss will also assist with
achieving monetary benefits.
Objective 2.4: Reduce risk of loss by detecting and preventing
fraud, waste, abuse, inagement and misconduct.
Strategic Measure 2.4.1—By September 30, 2023, the OIG will have increased
its capacity for case management of investigations involving mismanagement and
misconduct that result in fraud, waste and/or abuse.
Strategic Measure 2.4.2—By September 30, 2023, the OIG will have increased
the effectiveness of audits and evaluations using quantifiable impact in
implemented recommendations as our measure.
Strategic Measure 2.4.3—By September 30, 2023, the OIG will increase its return
on investment to a minimum ratio of 12 to 1 as an average across the 5 years from
2019 to 2023.
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Strategic Plan 2019-2023
Strategies for Achieving Objective
The OIG will work with appropriate stakeholders within the EPA and the CSB
to audit, evaluate and investigate processes and programs that appear
vulnerable to fraud, waste and abuse, and report results and recommendations
to decision-makers geared toward closing gaps, reducing vulnerabilities and
increasing compliance.
The OIG's Office of Investigations will be positioned with increased assets
(both human and automation). Over the next 5 years, there will be an increase
in Office of Investigations' human assets, and the tools the office uses for case
management will be more efficient. This will allow the Office of Investigations to
use more efficient and effective best practices in the identification,
management and successful prosecution of mismanagement and misconduct
cases.
Additionally, the Office of Audit and Evaluation, along with the Office of
Management, will use data analytics and other evaluation tools to impact the
efficiency and effectiveness of policies and procedures within the OIG, the
EPA and the CSB. Stronger controls and increased accountability will be key
over the next 5 years as we attempt to continue reducing the risk of loss due to
mismanagement and misconduct.
GOAL J Improve OIG processes, resource allocation and
3 J accountability to meet stakeholder needs.
Goal 3 addresses how the OIG plans to improve the way it works, its processes,
and its methods of allocating resources and systems of accountability to meet the
needs of stakeholders and provide the greatest return on investment. We will
develop specific action plans based on an analysis of our strengths, weaknesses,
opportunities and threats, as well as use input from our stakeholders.
The OIG will use thought leadership, strategic innovation and intelligent
systems to provide greater accountability and targeted resource allocation. The
OIG will employ business process improvement and re-engineering
strategies such as Lean Management Systems ("Lean") to increase the
efficiency and effectiveness within the organization. Lean moves an organization
from discovery to solution in an efficient manner. Over the next 5 years, the OIG
will implement this industry standard to meet its process and business solution
needs.
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Strategic Plan 2019-2023
Objective 3.1: Ensure that our products and services are
timely, responsive and relevant, and maximize protection of
human health and the environment arc. ^ mm on investment.
Strategic Measure 3.1.1—By September 30, 2023, the OIG will implement new
timeliness measures and goals on products and services provided to our
stakeholders and to the agency.
Strategies for Achieving Objective
Timely products and services are basic tenets of our organization. We have
cyclical products required by Congress, the OMB and the Office of Personnel
Management (OPM). Deadlines set forth by these entities are non-negotiable
and must be adhered to by providing products that are timely, accurate and
substantive. Services that we provide to our customers must be responsive,
relevant and uncompromised, and maximize supporting the protection of the
American public.
Objective 3 ?: f nsure that our processes and actions are
efficient and effective through continuous improvement.
Strategic Measure 3.2.1—By September 30, 2023, the OIG will implement at
least 10 best practices across the OIG, aimed at increasing our efficiency in our
human resources, information technology and budgetary missions.
Strategic Measure 3.2.2—By September 30, 2023, the OIG will have
implemented an enterprise risk management system whose governance and cycle
of accountability will increase our organization's effectiveness.
Strategic Measure 3.2.3—By September 30, 2023, the OIG will identify high-risk
and high-vulnerability OIG activities, implement appropriate review for activities
that are considered high risk, and minimize them to an appropriate degree. The
OIG will implement at least one mitigation plan.
Strategies for Achieving Objective
Over the next 5 years, the OIG will use lean principles in performance
management, along with increased data analysis, to produce a more
impactful, efficient and effective organization. We will implement enterprise
risk management principles to minimize and eliminate high risk in the
organization that work against effectiveness. The OIG will establish
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Strategic Plan 2019-2023
governance over its enterprise risks and will employ tactics that will foster an
efficient and effective work environment.
Objective 3.3: Recruit, develop and retain an innovative, high-
performing and diverse workforce that is valued, appreciated
and respected.
Strategic Measure 3.3.1—By September 30, 2023, the OIG will match or improve
on federal government retention rates and will continue to develop programs to
attract and retain high-talent staff.
Strategic Measure 3.3.2—By September 30, 2023, the EPA OIG's Federal
Employee Viewpoint Survey (FEVS) scores in at least three of the five OPM
embedded indexes (Employee Engagement, Global Satisfaction, Effective
Communications, New Inclusion Quotient, and Human Capital Assessment and
Accountability Framework) will increase by at least 10 percent from each index's
2018 average.
Strategic Measure 3.3.3—By September 30, 2023, due to various programs that
we put into place, the EPA OIG will increase its "Best Places to Work" score for an
agency subcomponent (as administered by the Partnership for Public Service) by
at least one quartile from FY 2018 levels.
Strategies for Achieving Objectives
The OIG has been and will continue to be intentional in its approach to creating
a high-performing workforce. The OIG achieves its mission through its
workforce. To identify, understand and address the challenges facing the OIG,
we will continue to invest in our workforce by recruiting and retaining talented
employees and by maintaining workforce excellence and the highest standards
of professional conduct. We will manage attrition by implementing strategic
workforce planning with succession plans at every level of the organization.
We will foster a work environment that enhances productivity, innovation,
excellence and employee satisfaction, and we will cultivate a culture of
continuous improvement.
The majority of the data used to develop "Best Places to Work" rankings were
collected by the OPM through its FEVS. As the OIG increases its scores on the
FEVS, we will gradually see our "Best Places to Work" score increase as well.
This will reflect a healthy and engaged workforce, boost retention, and attract
high performers.
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EPA Office of Inspector General
Strategic Plan 2019-2023
Objective 3.4: Enhance constructive relationships and foster
collaborative solutions.
Strategic Measure 3.4.1—By September 30, 2023, the OIG will be a recognized
and active participant in leader forums with sister agencies and with stakeholders
as appropriate (e.g., interactions with OMB, OPM, the EPA's Criminal Investigative
Division, CIGIE).
Strategies for Achieving Objective
It is imperative that the OIG is involved with developing relationships and
building collaborative solutions to garner best practices from various
organizations. Our relationships and collaborations will help the OIG maintain
its position as a respected organization whose voice provides the needed
influence with stakeholders.
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