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U.S. ENVIRONMENTAL PROTECTION AGENCY
OFFICE OF INSPECTOR GENERAL
EPA Office of Inspector General
Congressional and Media
Protocols
June 2017

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Office of Inspector General Approach
The Office of Inspector General (OIG) is an independent office within the U.S.
Environmental Protection Agency (EPA) that performs audits, program evaluations
and investigations of the EPA and the U.S. Chemical Safety and Hazard
Investigation Board (CSB) and their contractors, and prevents and detects fraud,
waste and abuse. By helping the agencies operate more economically, effectively
and efficiently, the OIG provides solutions to problems that ultimately result in
making America a cleaner and healthier place. Developing and maintaining good
working relationships with Congress and the media are critical to our success.
Contact Information
The OIG's Office of Congressional and Public Affairs serves as the primary
point of contact for members of Congress and their staffs and the media, and manages
the OIG's congressional and public affairs program. To contact our office:
By phone: (202) 566-2391
By fax:
(202) 566-2549
By mail: U.S. Environmental Protection Agency
Office of Inspector General
Office of Congressional and Public Affairs
1200 Pennsylvania Avenue, NW
(249IT) Washington, DC 20460
To find out more about the U.S. Environmental Protection Agency Office of
Inspector General and its activities, visit our website at https://www.epa.gov/oig.
Go to the "Contact Us" web page, choose "Subscribe to EPA OIG" and follow
the instructions to receive notices by email when new items are added to the site.
Follow us on Twitter @EPAoig.
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EPA Office of Inspector General Congressional and Media Protocols
Protocols at a Glance
The OIG is an independent office of the EPA created by the Inspector General Act of 1978, as
amended (Inspector General Act). The OIG's role is to detect and prevent fraud, waste and abuse in
the EPA's programs and operations, and assist the EPA in protecting human health and the
environment more efficiently and cost effectively. We also serve as the OIG for the U.S. Chemical
Safety and Hazard Investigation Board.
Any member of Congress, including the Chair or Ranking Member of a committee or subcommittee,
may submit a written request for the OIG to conduct an audit, program evaluation or investigation.
Given limited resources, the OIG may not be able to undertake all such requests and therefore must
prioritize, weighing several factors. The OIG recommends that members of Congress consult with the
OIG prior to submitting a request, so that the OIG can best understand any factors that would affect
the priority the OIG will assign to that request. Sometimes the OIG will terminate an audit or
evaluation project without issuing a report, but generally, at the conclusion of an audit or evaluation,
the OIG issues a report. Such reports adhere to professional standards and guidance. All audit and
program evaluation reports will be released upon issuance by the OIG. At that time, reports will be
made publicly available on the OIG's website, and the EPA and any congressional requester(s) will
be sent a final copy of the report via email.
Requests for OIG testimony should be submitted in writing from the Chair of a congressional
committee or subcommittee. We provide objective testimony based on OIG work. Due to our
independent reporting relationship to Congress under the Inspector General Act, OIG testimony is not
subject to prior review or approval by the Office of Management and Budget or EPA officials.
Further, the OIG welcomes the opportunity to brief members of Congress and/or their staffs, upon
request, on our completed work. The Inspector General Act specifies that the OIG is to review
existing and proposed legislation and regulations relating to the programs and operations of the EPA,
and OIG comments are not subject to prior review or approval by outside entities prior to submission.
For ongoing audit and evaluation work, that is, prior to issuance of a final report, the OIG limits
comments to the scope and objectives of, and methodology for, the review, and anticipated time
frame for completion. We will not discuss possible findings and recommendations until a final report
is issued. The OIG's policy is to neither confirm nor deny whether it is engaged in an ongoing
criminal investigation, a standard protocol for most federal law enforcement agencies.
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EPA Office of Inspector General Congressional and Media Protocols
Table of Contents
Congressional Requests		1
Factors When Considering Requests		1
Communication with Requesters		3
OIG Work Products and Process		3
Release of OIG Reports		5
Congressional Testimony		6
Congressional Briefings		8
Legislative Review		8
Media		9
Freedom of Information Act and Privacy Act		10
Disclaimer		10
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EPA Office of Inspector General Congressional and Media Protocols
June 2017
Congressional Requests
As Congress is one of the OIG's primary customers, we carefully consider
written requests from any committee or member of Congress that we audit,
evaluate or investigate issues within our authority or jurisdiction. The OIG will
not begin such work without a written request. Given our limited resources, the
OIG may not be able to undertake all requests received from Congress as we
must give priority to our mandated work. Congressional mandates include
requirements for reviews directed by statutes or committee reports. Therefore,
the OIG recommends that members of Congress and committees consult with
the OIG prior to submitting a request so that the OIG can best understand any
factors that would affect the priority the OIG will assign to that request.
Factors When Considering Requests
The OIG will take into account several factors when considering a request, including:
•	Whether it is within the OIG's authority or jurisdiction.
•	Whether it duplicates any prior or ongoing work by the OIG, the Government
Accountability Office or another oversight entity.
•	The scope of the request.
•	The availability of OIG staff and resources.
Congressional requests will be considered in accordance with the OIG's Hotline
Criteria, which are as follows:
HOTLINE CRITERIA
Generally
When determining whether to initiate a new project based on a hotline complaint or request, OIG
considers the specific criteria (below), weighed against the priority of ongoing work, as well as
resource limitations.
OIG gives special consideration to matters raising the threat or potential threat of serious harm to
public health or the environment, having clear potential for a substantial return on investment to
the taxpayer, or meeting Department of Justice thresholds for prosecution.
Matters indicating imminent and substantial harm to public health or the environment will be
immediately referred for action to appropriate federal, state or local officials.
OIG is now tracking congressional requests via the hotline mechanism, but congressional
requests will continue to be considered pursuant to the congressional protocols outlined in this
document.
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EPA Office of Inspector General Congressional and Media Protocols
June 2017
Specific Criteria (listed without regard to weight or priority)
Matter of high public, EPA, Chemical Safety Board (CSB) or congressional interest
Matter implicating high-level officials, for example, political or Senior Executive Service
employees
Credible allegation of mismanagement of, or waste, fraud or abuse in, EPA or CSB programs or
operations, including violations of EPA or CSB requirements, guidelines or policies
Credible allegation of violations of civil or criminal statutes, and regulations
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EPA Office of Inspector General Congressional and Media Protocols
June 2017
Communication with Requesters
The OIG will provide an acknowledgement letter to (the) requester(s) within 10
business days of receiving a written request. The OIG will send an update letter once
a decision is made stating whether the OIG has accepted or declined the request. If
the request has been accepted, the letter may also include details on the scope or
objectives of the review and expected time frame for completion. The OIG will send
a transmittal email and/or letter to the requesting member of Congress when we issue
our final report. It is OIG policy to provide separate written correspondences to any
members of Congress who co-sign or are listed as receiving courtesy copies on the
request letter. Oral communications between the OIG and requester(s) may
supplement any written correspondence.
Once the OIG commences work, the office will, as appropriate, provide status
updates upon request.
OIG Work Products and Process
The OIG generally issues its audit and evaluation results in the form of a report
when it undertakes a project in response to a congressional request, but may
instead issue correspondence or another written product as appropriate. OIG
reports must communicate results in a meaningful, useful and balanced manner
for the agency, Congress and the public.
OIG audits and evaluations are normally conducted in accordance with the
Generally Accepted Government Auditing Standards, commonly known as
GAGAS or the Yellow Book, which is issued by the Comptroller General of the
United States. These standards provide a framework for conducting high quality
government audits and attestation engagements with competence, integrity,
objectivity and independence. The current Yellow Book is available at
http://www.gao.gov/vellowbook.
The OIG may use GAGAS in conjunction with other sets of professional standards
and will cite their use as appropriate. For some projects, adherence to all of the
GAGAS may not be feasible or necessary, which will be noted in the report.
We generally do not provide information about ongoing OIG investigations to protect
the integrity of the investigation.
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EPA Office of Inspector General Congressional and Media Protocols
June 2017
OIG audits and evaluations are generally conducted in phases, including, as applicable:
•	Preliminary Research: During preliminary research, teams may perform
limited data gathering, including assessment of internal controls; collect
information to identify potential conditions and effects; and determine
whether a full review is justified.
•	Field Work: During field work, teams gather and analyze sufficient,
competent and relevant data to fully answer their audit or evaluation
objectives.
•	Reporting: During the reporting phase, teams summarize information
collected, meet with the agency to discuss tentative project results, and
develop a final report/product so that the findings and recommendations
can be communicated to the EPA/auditee or appropriate customers. The
team issues a draft report to the agency to verify information and obtain the
views of officials responsible for the subject area. After receiving the
agency's response to the draft report, a final report is issued. Reports
undergo independent referencing, which is a quality control mechanism
intended to check the accuracy of information contained in reports.
The OIG endeavors to complete its work in a timely manner. However, the
time frame for completing audits, evaluations or investigations varies
depending on their scope and complexity. In addition, factors beyond the
OIG's control may impact how quickly a review is completed.
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EPA Office of Inspector General Congressional and Media Protocols
June 2017
Release of OIG Reports
Upon issuance, reports or other work products will be posted on the OIG's
public website at https://www.epa.gov/oig unless prohibited by law.
Simultaneously, the EPA and any congressional requester(s) will be sent copies
via email and, if requested, by regular mail or delivery.
It is important to note that EPA officials have the opportunity to review OIG
draft reports, and to provide written comments to be incorporated into final
chapter and memorandum reports. Management alert reports include, at a
minimum, summaries of oral comments from agency officials.
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EPA Office of Inspector General Congressional and Media Protocols
June 2017
Congressional Testimony
Testifying before Congress provides the OIG a significant opportunity to inform
members of Congress about the work that we do. We provide objective testimony
based on OIG work products that adhere to professional standards and guidance.
Due to our independent authority provided under the Inspector General Act, OIG
testimony is not subject to prior review and approval by the Office of Management
and Budget or EPA officials.
Requests for OIG testimony should be submitted in writing by the Chair of a
committee or subcommittee and addressed to the Inspector General. We strongly
encourage committees to consult with the OIG prior to submitting a request to ensure
that our work is properly aligned with the hearing subject matter and the appropriate
OIG witness is available. The OIG will consider a committee's request for a specific
OIG witness, but the Inspector General reserves the right to determine who will
testify on behalf of the OIG.
OIG witnesses typically will be the Inspector General, Deputy Inspector General,
Counsel to the Inspector General, appropriate Assistant Inspector General or an
appropriate subject matter expert, depending on the subject matter and availability.
The OIG usually limits testimony to work we have completed. While focused on the
most updated information, OIG testimony may include older reports or investigations
that still have relevance to the subject. Regarding ongoing audits and evaluations, that
is, prior to issuance of a final report, we limit our testimony to the scope and
objectives of, and methodology for, our reviews, and expected time frames for
completion. To ensure the integrity of an ongoing investigation, the OIG generally will
not testify about it.
OIG testimony will adhere to specific committee guidelines on format and
will be submitted within required deadlines. OIG testimony is posted on
our website at https://www.epa.gov/oig within one business day of a
hearing.
Once a committee or subcommittee has scheduled a hearing at which one
or more OIG witnesses will testify, the OIG will share any written
information or documents provided to either the committee or
subcommittee's majority or minority staff with the other group, as well. In
the event that either group requests an in-person or telephone conversation
during this period, the OIG will follow a protocol that has been determined
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EPA Office of Inspector General Congressional and Media Protocols	June 2017
by committee staff and agreed to both by the majority and the minority—
that is, either that both groups be represented or that such conversations be
conducted separately.
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EPA Office of Inspector General Congressional and Media Protocols
June 2017
Congressional Briefings
The OIG welcomes the opportunity to brief members of Congress and committees
or their staffs on our completed work. Requests should be specific as to the subject
matter to ensure that discussions are focused on the intended topics. This
information also will help us determine which OIG subject matter experts should
participate in the briefing. While the OIG seeks to limit the number of OIG
participants, we also want to ensure that the appropriate people are present to
answer questions.
The OIG will not discuss possible findings or recommendations from ongoing
audits or evaluations until a final report has been issued. Similarly, the OIG usually
cannot discuss ongoing investigations.
Legislative Review
Section 4(a) of the Inspector General Act specifies that the OIG shall review
existing and proposed legislation and regulations relating to the programs and
operations of the EPA, and make recommendations concerning their impact.
The OIG can receive requests to review legislative items from the Office of
Management and Budget, the EPA or the Council of the Inspectors General on
Integrity and Efficiency, the statutorily created entity comprising the federal
Inspectors General. However, the OIG also will review and comment on specific
legislation if requested by a member of Congress or congressional committee. Due
to our independent authority under the Inspector General Act, OIG comments are
not subject to prior review and approval by outside entities prior to submission.
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EPA Office of Inspector General Congressional and Media Protocols
June 2017
Media
The OIG's Office of Congressional and Public Affairs is the primary point of contact
for all media inquiries on matters related to the OIG, which ensures that they are
handled expeditiously. We understand and appreciate that reporters often work under
short deadlines, so our goal is to respond to any inquiry within one business day. We
will respond only to media inquiries that pertain to the OIG; inquiries that are
program- or policy-oriented will be referred to the EPA's Office of Public Affairs.
For ongoing audit or evaluation work, that is, prior to issuance of a final report, the
OIG limits comments to the scope or objectives of, and methodology for, the
review, and anticipated time frame for completion. We will not discuss findings
and recommendations until a final report is issued. The OIG does not release to the
media congressional request letters unless they are already publicly available. If a
letter is not publicly available, we will refer the media representative asking for it
to the member of Congress or congressional committee that submitted the relevant
request to the OIG.
The OIG does not routinely issue news releases or statements on final reports,
though we do so at times. However, the OIG maintains and utilizes a subscription-
based "email updates" list that notifies subscribers whenever a new item is posted
on our website. Go to the "Contact Us" web page, choose "Subscribe to EPA
OIG" and follow the instructions to receive notices by email when new items are
added to the site. Media and the general public also are encouraged to follow the
OIG on Twitter @EPAoig.
The OIG's policy is to neither confirm nor deny the existence of an ongoing
criminal investigation, which is standard protocol for most federal law enforcement
agencies. When appropriate, OIG may refer inquiries regarding criminal
investigations to the U.S. Department of Justice. The OIG may issue news releases
on the outcomes of investigations when warranted or in conjunction with the
Department of Justice.
The OIG will consider interview requests from all types of news media. In lieu of the
spokesperson requested, we may suggest someone else, depending on topic and
availability.
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EPA Office of Inspector General Congressional and Media Protocols
June 2017
Freedom of Information Act and Privacy Act
The OIG is committed to open government and transparency. The Freedom of Information Act
(FOIA) provides that any person has a right to obtain access to federal agency records, except to
the extent that such records are protected from public disclosure by any of nine exemptions and
three special law enforcement exclusions. The Privacy Act protects from disclosure all personally
identifiable information in a government system of records, with certain exceptions established
by statute.
We will release to Congress upon request OIG documents and records that are not publicly available,
except to the extent that those records are protected from disclosure by law. Requests from individual
members of Congress, however, are processed in accordance with FOIA. The OIG will consult with
the EPA, or refer to the EPA for direct response, any EPA documents originating outside the OIG. In
turn, the EPA does not release OIG documents, but will refer such requests to the OIG in order for the
OIG to maintain control over our information and independence. Requests for EPA documents should
be directed to the EPA FOIA office.
Members of the media and the public must submit a written request for OIG documents not publicly
available. They are encouraged to submit FOIA requests for OIG documents using the FOIAonline
system at http://foiaonline.reaulations.gov.
However, FOIA requests can also be sent directly to the OIG FOIA officer by mail to:
FOIA Officer
EPA Office of Inspector General
Mail Code 241 IT
Washington, DC 20460-0001
Or, requests can be submitted directly to the OIG via email to OIG FOIA@epa.gov. Provide a
detailed description of the records you are seeking in a way that will permit the OIG to
identify and locate them.
For more information about the OIG FOIA process, please contact (202) 566-1512 or visit
our website's "Contact Us" page under the "FOIA Requests" section.
Disclaimer
This document is a description of EPA OIG practices. Nothing in it shall be construed as legally
binding on the EPA OIG or any of its employees.
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