OFFICE OF
INSPECTOR GENERAL
Semiannual
Report to Congress
April 1, 2020-September 30, 2020
EPA-350-R-20-002
November 2020
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Index of Reporting Requirements
Inspector General Act of 1978, as amended
Requirement
Subject
Page
Section 5(a)(1)
Significant problems, abuses, and deficiencies
14-38
Section 5(a)(2)
Significant recommendations for corrective action
3,14-30, 33-34, 37-38
Section 5(a)(3)
Reports with corrective action not completed
4-9, 58-70
Section 5(a)(4)
Matters referred to prosecutive authorities
31-34,49-50,71
Section 5(a)(5)
Information or assistance refused
12-13
Section 5(a)(6)
List of reports issued
51-52
Section 5(a)(7)
Summaries of significant reports
3,15-30, 33-34, 37-38
Section 5(a)(8)
Audit, inspection, and evaluation reports—questioned costs
48
Section 5(a)(9)
Audit, inspection, and evaluation reports—funds to be put to better use
48
Section 5(a) (10)
Prior audit, inspection, and evaluation reports (1) for which no management decision was
made by the end of the reporting period, (2) for which no establishment comment was
returned within 60 days, and (3) for which there are unimplemented recommendations.
53-70
Section 5(a) (11)
Significant revised management decisions
None
Section 5(a) (12)
Significant management decisions with which OIG disagreed
None
Section 5(a) (14-16)
Peer reviews conducted
72
Section 5(a)(17—18)
Statistics on investigative reports, referrals, prosecutions, and indictments
47,49-50
Section 5(a) (19)
Substantiated investigations involving senior government employees
71
Section 5(a) (20)
Instances of whistleblower retaliation
12
Section 5(a) (21)
Any establishment attempts to interfere with independence
12-13
Section 5(a) (22)
Closed audits, evaluations, and investigations not disclosed to public
48,71
Abbreviations
BEACH Act Beaches Environmental Assessment and Coastal Health Act of 2000
CARES Act Coronavirus Aid, Relief, and Economic Security Act
CSB U.S. Chemical Safety and Hazard Investigation Board
EPA U.S. Environmental Protection Agency
FY Fiscal Year
OIG Office of Inspector General
SES Senior Executive Service
U.S.C. United States Code
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Message to Congress
As the one-year mark of my tenure approaches, I want to express how honored I
am to serve as the inspector general for the U.S. Environmental Protection Agency
and the U.S. Chemical Safety and Hazard Investigation Board. Our work
environment has changed since I took the helm in January 2020, but our continued
productivity and oversight accomplishments are evidenced in this Semiannual
Report to Congress. Although some of the work was initiated before the
coronavirus pandemic, much of it was conducted and completed while our entire
staff was teleworking and simultaneously managing health and safety concerns. In
the face of these challenges, we remained focused on our critical mission to fight
waste, fraud, and abuse related to the programs and operations of the EPA and the
CSB, as well as promote economy, efficiency, and effectiveness in those programs
and operations.
During this reporting period, the OIG addressed the impact of the coronavirus pandemic on the EPA's
operations, established management challenges for the EPA and the CSB, reorganized several of our
internal offices, and examined the EPA's Scientific Integrity Policy.
Coronavirus Pandemic. The OIG has initiated audits, evaluations, and investigations to examine how the
EPA and the CSB have managed their programs and operations during the pandemic. In this semiannual
reporting period, we issued two reports regarding the EPA's pandemic response, as well as a summary
report describing the pandemic-related topics that we are or likely will be examining and a report identifying
the top pandemic-related challenges facing the Agency. In addition, the OIG has investigated potential
misconduct and criminal activity related to the pandemic, such as fraudulent claims regarding the Agency's
approval or endorsement of commercial products' effectiveness against the virus.
EPA and CSB Management Challenges. The OIG is required by statute to prepare a report annually
identifying the top management challenges for the EPA and the CSB. To identify these challenges, we
examined our body of audit and evaluation work for systemic issues. We also considered information
provided by the EPA and CSB to the OIG and the U.S. Government Accountability Office, as well as public
statements the Agencies made to the press and Congress. As a result of our analyses, we identified eight
top management challenges for the EPA, including maintaining operations during pandemics and natural
disasters, communicating risks, and integrating and leading environmental justice, and three management
challenges for the CSB.
These top management challenges are not intended to be static or focused only on the past. They are
dynamic and forward-looking. In line with our overall mission, these top management challenges will thus
frame most ongoing and future projects to help the EPA and the CSB address these challenges.
OIG Reorganization. In June 2020, the OIG's Office of Investigations created two field offices within its
Field Operations Directorate—the Eastern Region Field Office, comprising subordinate offices in EPA
Regions 1 through 5, and the Western Region Field Office, comprising subordinate offices in EPA
Regions 6 through 10. The realignment is intended to enhance communication and efficiency and improve
the manager-to-staff ratio.
Sean W. O'Donnell
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
In August 2020, the Office of Audit and Evaluation returned to two separate offices—the Office of Audit
and the Office of Evaluation. This reorganization allows the OIG to focus on the specific quality standards
required to meet project goals, create internal efficiencies to support a timely response to requests from
Congress and the public, and provide timely reports to the Agencies.
Also, in August, the OIG brought together its strategic planning, congressional and public affairs, and data
analytics functions to create an Office of the Chief of Staff.
Scientific Integrity. This semiannual report includes a new section on scientific integrity. We thought it
was important to raise attention to these issues on the heels of OIG Report No. 20-P-0173. Further Efforts
Needed to Uphold Scientific Integrity Policy at EPA, which examined whether the Policy was being
implemented as intended throughout the EPA. This section reports on the status of scientific integrity
allegations and inquiries received by the Agency's scientific integrity official and the OIG during this
reporting period. It also points to trends in the number and types of issues as well as any challenges to
resolving allegations. Highlighting these significant issues will help to maintain and strengthen scientific
integrity at the EPA.
Impact of OIG's work. The findings and recommendations we make in our audits and evaluations are
intended to enhance the EPA's and the CSB's efforts in meeting their respective environmental, human
health, and safety missions; improving program efficiencies; and reducing costs and risks. Some of our
reports continue to have an impact long after they have been issued. For example, the U.S. District Court
for the Eastern District of Michigan's decision in Walters vs. Flint, issued on August 26, 2020, cited
findings from OIG Report No. 17-P-0004. Management Alert: Drinking Water Contamination in Flint,
Michigan, Demonstrates a Need to Clarify EPA Authority to
Issue Emergency Orders to Protect the Public, issued on
October 20, 2016. The decision recognized that our report
made clear that the EPA did not take appropriate action after
discovering that the City of Flint violated several federal
drinking water standards and that EPA Region 5 had enough
information to issue an emergency order to protect the city's
residents from lead-contaminated water as early as June 2015.
Also, at the beginning of the 2020 hurricane season, the EPA
issued a news release that reminded facility owners they are
obligated to minimize chemical releases and to report
chemical or oil releases and discharges in a timely manner and
as required by law. This action directly reflects the
recommendations in OIG Report No. 20-P-0062. EPA Needs to Improve Its Emergency Planning to Better
Address Air Quality Concerns During Future Disasters, issued on December 16, 2019, which
recommended that the Agency develop a plan to inform communities near industrial areas of health risks
and limit exposure to air toxics.
Sean W. O'Donnell
Inspector General
OIG accomplishments for fiscal year 2020
• Questioned costs and potential monetary
benefits (includes results from single audits):
$63.6 million
• Total fines and recoveries (includes
EPA-only and joint investigations): $.75 million
• Reports issued: 57 reports
• Investigative cases closed: 129 cases
• Administrative actions resulting from
investigative cases: 44 actions
• Hotline inquiries referred for action:
433 inquiries
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Table of Contents
About EPA and Its Office of Inspector General 1
Scoreboard of Results 2
EPA's FYs 2020-2021 Management Challenges Issued 3
Status of OIG Unimplemented Recommendations 4
Furthering EPA's Efforts to Protect Human Health and Environment 10
Instances of Whistleblower Retaliation and Interference with Independence ... 12
Significant OIG Activity 14
Coronavirus Pandemic: Oversight Activities 15
Human Health and Environmental Issues 18
Agency Business Practices and Accountability 24
Investigations 31
Hotline Activities 33
U.S. Chemical Safety and Hazard Investigation Board 37
Other Activity 38
Other Results of OIG Work 39
Follow-Up Is an Important Aspect of OIG Efforts 39
Single Audit Reporting Efforts Make Impact 40
Agency Best Practices 41
Scientific Integrity and Misconduct Issues 43
Scientific Integrity Allegations 43
Scientific Misconduct Allegations Received by OIG 46
Statistical Data 47
Profile of Activities and Results 47
Audit Report Resolution 48
Summary of Investigative Results 49
-continued-
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Appendices 51
Appendix 1—Reports Issued 51
Appendix 2—Reports Issued Without Management Decisions 53
Appendix 3—Reports with Corrective Action Not Completed 58
Appendix 4—Closed Investigations Involving Senior Employees 71
Appendix 5—Peer Reviews Conducted 72
Appendix 6—OIG Mailing Addresses and Telephone Numbers 73
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
About EPA and Its
Office of Inspector General
U.S. Environmental Protection Agency
The mission of the U.S. Environmental Protection Agency is to protect human health and
the environment. 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.
EPA Office of Inspector General
The Office of Inspector General, established by the Inspector General Act of 1978, as
amended, 5 U.S.C. app., is an independent office of the EPA that detects and prevents fraud,
waste, and abuse to help the Agency protect human health and the environment more
efficiently and effectively. OIG staff are located at EPA headquarters in Washington, D.C.;
the EPA's ten regional offices; Research Triangle Park, North Carolina; and Cincinnati, Ohio.
The EPA inspector general also serves as the inspector general for the U.S. Chemical Safety
and Hazard Investigation Board. Our vision, mission, and goals are as follows:
Vision
Be a premier oversight organization trusted to speak the truth, promote good
governance, and contribute to improved human health and the environment.
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 EPA and the CSB.
Goals
1. Contribute to improved EPA and CSB programs and operations protecting human
health and the environment and enhancing safety.
2. Conduct audits, evaluations, and investigations that enable the EPA and the CSB to
improve business practices and accountability.
3. Improve OIG processes, resource allocation, and accountability to meet stakeholder
needs.
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Scoreboard of Results
The information below shows return on investment to the taxpayer for work performed by the EPA OIG during fiscal
year 2020 compared to FY 2020 annual performance goal targets. All results reported are based on goals and plans
established under the Government Performance and Results Act.
Annual Performance Goal 1:
Environmental and business outcome actions taken; changes, corrections, or improvements made; and
risks reduced, eliminated, or influenced by OIG work
Target: 196
Reported: 127
(65% of goal)
Supporting measures
6 Environmental/health improvements realized or influenced by OIG work
121 Environmental, chemical safety, or business policy, practice, or process change made,
or decision implemented
0 Legislative or regulatory changes
Annual Performance Goal 2:
Recommendations, challenges, best practices, or risks identified for action
Target: 460
Reported: 966
(210% of goal)
Supporting measures
20 Certifications, verifications, and validations
*290 Recommendations for improvement (including risk identified)
31 Referrals for Agency action
*624 OIG-identified findings in external reports impacting EPA
Annual Performance Goal 3:
Return on investment: potential dollar return as percentage of OIG budget
Target: $80,427,200
(160% of budget)
Reported: $83,230,723
(103% of target)
Supporting measures fin millions)
OIG budget: $53.1
Potential return: $83.2
*$1.375 Questioned costs
$62,292 Potential monetary benefits identified in reports—excluding questioned costs
$18,272 Monetary actions taken or resolved prior to report issuance
$0,021 Actual cost saved identified after report issuance
$0,521 Cost avoidance savings/cost savings identified after report issuance or based on
investigative results
$0,040 Fines, penalties, settlements, and restitutions resulting from EPA OIG investigations
$0,710 Fines, penalties, settlements, and restitutions resulting from joint investigations between
EPA OIG and other entities
Annual Performance Goal 4:
Criminal, civil, and administrative actions reducing risk, and loss of resources
and operational integrity taken or influenced by OIG work
Target: 200
Reported: 279
(140% of goal)
Supporting measures
65 Allegations disproved
12 Indictments, informations, and complaints
4 Criminal convictions
0 Civil actions
44 Administrative actions taken (other than debarments or suspensions)
18 Suspension or debarment actions
136 Fraud briefings conducted
Other (no targets established)
Savings and recommendations sustained:
• *248 sustained environmental or business recommendations (resolved or agreed to) for action
• *$0,032 million in sustained questioned costs
• $72.25 million in sustained potential monetary benefits
Sources: The OIG Performance Measurement Results System and the Inspector General Enterprise Management System. (EPA OIG table)
* These measures include single audits, which are audits of nonfederal entities performed by private firms.
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
EPA's FYs 2020-2021 Management
Challenges Issued
Report No. 20-N-0231, issued July 21, 2020
The OIG is required by statute to prepare an annual report summarizing what we consider
to be the "most serious management and performance challenges facing the agency."
Identifying and resolving top management challenges are essential to the EPA's protection
of human health and the environment. The EPA 's FYs 2020-2021 Top Management
Challenges report documents and discusses eight risks and challenges facing EPA
leadership through FY 2021:
• Maintaining operations during pandemic and natural disaster responses.
• Complying with key internal control requirements, including developing risk
assessments, ensuring quality data, and
creating effective operational policies and
procedures.
• Overseeing states, territories, and tribes
responsible for implementing EPA
programs.
• Improving workforce/workload analyses to
accomplish the EPA's mission efficiently
and effectively.
• Enhancing information technology security
to combat cyberthreats.
• Communicating risks to allow the public to
make informed decisions about its health and the environment.
• Fulfilling mandated reporting requirements.
• Integrating and leading environmental justice across the Agency and government.
The OIG views all eight challenges as critically important to EPA operations. These
challenges are also an important part of how the OIG will determine the work it undertakes
in FY 2021. In this semiannual report, we identify which management challenges our
reports address, as applicable, next to the following symbol: {§}.
To identify the EPA's top management
challenges, we conducted a formal
survey of EPA leadership and discussed
management challenges in outreach
meetings with Agency offices. The OIG
also considered, among other sources,
the previous work of the OIG and the
U.S. Government Accountability Office,
as well as public statements by EPA
leaders to the press and Congress.
Finally, the OIG solicited comments and
suggestions through the EPA's Office of
the Chief Financial Officer.
Report Addresses: { } OIG-identified management challenge for EPA. Meets statutory requirements.
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Status of OIG Unimplemented
Recommendations
OIG audits and evaluations provide recommendations to improve EPA or CSB programs
and operations. The EPA, the CSB, and the public benefit from the implementation of these
recommendations. We have analyzed the list of unimplemented recommendations in
Appendix 3 and provided the results of that analysis below. Unimplemented
recommendations are those that have been agreed to by the Agency but for which
corrective action has not been completed. Recommendations that are unresolved are not
counted as unimplemented recommendations. Unresolved recommendations are those with
which the Agency disagrees, the Agency did not provide a formal written response, the
Agency response is incomplete, or the OIG does not agree that the Agency's proposed
corrective actions are responsive to the recommendation. Recommendations that remain
unresolved six months after the final report is issued are listed in Appendix 2.
Unimplemented recommendations as of September 30, 2020
(presented by fiscal year issued)
45
FY 2008 - FY 2015 FY 2016 FY 2017 FY 2018 FY 2019 FY 2020
2014
For the semiannual reporting period ending September 30, 2020, the EPA cumulatively had
112 unimplemented recommendations and the CSB had three unimplemented
recommendations. The potential monetary benefits of these recommendations are
approximately $74 million for the EPA and $349,000 for the CSB.
The table below shows the status of the recommendations, which fall into six categories.
The three CSB reports are included in the "Management and Operations" category.
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Category
Total
Number of
unimplemented
recommendations
Potential
monetary
benefits
(in $000s)
EPA Unimplemented Recommendations
1. Management and Operations
32
$46,122
2. Water Quality
14
0
3. Environmental Contamination and
Cleanup
16
27,800
4. Toxics, Chemical Safety, and
Pesticides
21
0
5. Air Quality
21
0
6. Research and Laboratories
8
0
EPA subtotal
112
$73,922
CSB Unimplemented Recommendations
Management and Operations
3
$349
CSB subtotal
3
349
TOTAL
115
$74,271
Category 1—Management and Operations
Of the recommendations we have issued related management and operations,
35 recommendations across 19 reports remain unimplemented. Three of these
unimplemented recommendations were issued to the CSB, while 32 were issued to the
EPA. When implemented, these recommendations will lead to more effective and efficient
operations and potential monetary benefits of $46.1 million for the EPA and $349,000 for
the CSB:
• Improve oversight of:
1. Reporting under the Grants Oversight and New Efficiency Act and
timeliness of expired grant closeouts (Report No. 20-P-0126). The potential
monetan> benefit of this unimplemented recommendation is $8.3 million.
2. Incident readiness by better managing homeland security and emergency
response equipment (Report No. 20-P-0066). The potential monetary
benefit of this unimplemented recommendation is $835,000.
3. The Office of Air and Radiation's timekeeping practices and outdated EPA
Leave Manual (Report No. 20-P-0063).
4. The EPA's fiscal years 2019 and 2018 (restated) consolidated financial
statements (Report No. 20-F-0033).
5. Information security protection role-based training for contractors (Report
No. 20-P-0007).
6. EPA policy on records management (Report No. 19-P-0283).
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
7. The Senior Environmental Employment program (Report No. 19-P-0198).
8. Overpaid invoices (Report No. 19-P-0157). The potential monetary benefit
of this unimplemented recommendation is $5,000.
9. Companies with multiple cleanup liabilities that self-insure
(Report No. 18-P-0059).
10. The CSB's agency governance and operations (Report No. 16-P-0179).
The potential monetary benefit of this unimplemented recommendation is
$349,000.
11. Grants execution in the U.S. Virgin Islands (Report No. 15-P-0137).
The potential monetary benefit of this unimplemented recommendation is
$3 7 million.
12. Emergency and rapid response contracts (Report No. 14-P-0109).
• Implement better processes for information technology regarding:
13. The EPA's risk management and incident response information security
functions (Report No. 20-P-0120).
14. The CSB's Risk Management, Identity and Access Management, and
Incident Response (Report No. 20-P-0077).
15. Enterprise customer service solution oversight (Report No. 19-P-0278).
16. Pesticide registration fee, vulnerability mitigation, and database security
controls for the EPA's Federal Insecticide, Fungicide, and Rodenticide Act
and Pesticide Registration Improvement Act systems (Report No. 19-P-0195).
17. Combatting cyber threats due to insufficient practices for managing known
security weaknesses and system settings (Report No. 19-P-0158).
18. The CSB's "Incident Response" and "Identity and Access Management"
information security functions (Report 19-P-0147).
19. Individual personal identity verification cards and access to computer
equipment (Report No. 19-F-0003).
Category 2—Water Quality
Of the recommendations we have issued related to water quality, 14 recommendations
across seven reports remain unimplemented. When implemented, these recommendations
will lead to improved human health and environment, as well as more effective and
efficient operations:
1. Improve oversight of notice to the public on drinking water risks to better protect
human health (Report No. 19-P-03 18).
2. Improve emergency outreach to disadvantaged communities (Report No. 19-P-0236).
3. Act on transfer request and petition regarding Ohio's concentrated animal feeding
operation permit program (Report No. 19-N-0154).
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
4. Strengthen oversight of state drinking water programs to improve response to
drinking water contamination emergencies such as in Flint, Michigan
(Report No. 18-P-0221).
5. Provide leadership and better guidance to improve fish advisory risk
communications (Report No. 17-P-0174).
6. Improve management of the Oil Pollution Prevention program
(Report No. 12-P-0253).
7. Revise outdated or inconsistent EPA-state clean water memorandums of agreement
(Report No. 10-P-0224).
Category 3—Environmental Contamination and Cleanup
Of the recommendations we have issued related to environmental contamination and
cleanup, 16 recommendations across six reports remain unimplemented. When
implemented, these recommendations will lead to improved human health and
environment, more effective and efficient operations, and potential monetary benefits of
$27.8 million:
1. Stop the use of unapproved slag at Anaconda Co. Smelter Superfund Site and
inform the public of the health risks of using the slag (Report No. 20-N-0030).
2. Improve compliance, nationwide reporting, and tracking at four EPA Superfund
sites reviewed (Report No. 20-P-0011).
3. Implement more efficient and effective methods to assess the impact of unregulated
pollutants in land-applied biosolids (Report No. 19-P-0002).
4. Finish prioritization and resource allocation methodologies for abandoned uranium
mine sites on or near Navajo lands (Report No. 18-P-0233).
5. Revise risk management inspection guidance to recommend minimum inspection
scope and provide detailed examples of minimum reporting (Report No. 13-P-0178).
6. Make better use of Stringfellow Superfund Special Accounts
(Report No. 08-P-0196). The potential monetary benefit of this unimplemented
recommendation is $27.8 million.
Category 4—Toxics, Chemical Safety, and Pesticides
Of the recommendations we have issued related to toxics, chemical safety, and pesticides,
21 recommendations across nine reports remain unimplemented. When implemented, these
recommendations will lead to improved human health and environment:
1. Facilitate better coordination regarding the EPA's Toxic Substance Control Act
Consent Orders (Report No. 20-E-0177).
2. Report accurate data under the Grants Oversight and New Efficiency Act and
improve timeliness of expired grant closeouts (Report No. 20-P-0126).
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
3. Develop circuit rider inspector guidance (Report No. 20-P-0012).
4. Effectively implement the Lead-Based Paint Renovation, Repair and Painting Rule
(Report No. 19-P-0302).
5. Determine strategies and level of support for overseeing State Managed Pollinator
Protection Plans (Report No. 19-P-0275).
6. Improve measures and management controls over the pesticide emergency
exemption process (Report No. 18-P-0281).
7. Evaluate the impact of the revised Agricultural Worker Protection Standard on
pesticide exposure incidents (Report No. 18-P-0080).
8. Manage pesticide funds more efficiently (Report No. 17-P-0395).
9. Take additional measures to prevent deaths and serious injuries from residential
fumigations (Report No. 17-P-0053).
Category 5—Air Quality
Of the recommendations we have issued related to air quality, 21 recommendations across
nine reports remain unimplemented. When implemented, these recommendations will lead
to improved human health and the environment:
1. Inform residents living near ethylene oxide-emitting facilities about health
concerns and actions to address those concerns (Report No. 20-N-0128).
2. Improve the EPA's emergency planning to better address air quality concerns
during future disasters (Report No. 20-P-0062).
3. Improve oversight for particulate matter emissions compliance testing (Report
No. 19-P-0251).
4. Develop required cost-and-benefit analyses and assess air quality impacts on
children's health for Proposed Glider Repeal Rule allowing used engines in
heavy-duty trucks (Report No. 20-P-0047).
5. Enhance verification of continuous monitoring system performance for air
emissions data (Report No. 19-P-0207).
6. Improve the on-road heavy-duty vehicle compliance program (Report No. 19-P-0168).
7. Improve controls to address strategic risks in the light-duty vehicle compliance
program and achieve compliance with mobile source regulations
(Report No. 18-P-0181).
8. Improve data and oversight to assure compliance with the standards for benzene
content in gasoline (Report No. 17-P-0249).
9. Meet certain statutory requirements to identify environmental impacts of the
Renewable Fuel Standard (Report No. 16-P-0275).
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Category 6—Research and Laboratories
Of the recommendations we have issued related to research and laboratories,
eight recommendations across two reports remain unimplemented. When implemented,
these recommendations will lead to improved human health and environment, as well as
more effective and efficient operations:
1. Improve regional research programs with enhanced project tracking (Report
No. 19-P-0123).
2. Develop a comprehensive vision and strategy for citizen science that aligns with
the Agency's strategic objectives on public participation (Report No. 18-P-0240).
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Furthering EPA's Efforts to Protect Human
Health and Environment
When planning and conducting audits and evaluations, we always consider how our efforts can
support both the OIG's mission to promote economy and efficiency in Agency operations and
the EPA's mission to protect human health and the environment. The table below shows how
our reports issued during the second half of FY 2020 support the Agency and OIG missions.
Throughout this semiannual report, we identify which Agency efforts our reports address, as
applicable, next to the following symbol: . Also, reports summarizing the results of audit
and evaluations conducted to meet statutory requirements are identified with asterisks in the
table below and elsewhere in this semiannual report by the following symbol: .
OIG-lssued Reports Related to EPA Programs and Operations
OIG report
Report
no.
Improving
air quality
Ensuring
clean/safe
water
Cleaning up/
revitalizing
land
Ensuring
safety of
chemicals
Improving
EPA research
programs
Compliance
with the law
Partnering
with states/
others
Operating
efficiently/
effectively
EPA May Have Overpaid for Its
$13 Million Time and Attendance System
by Not Following Information Technology
Investment Requirements
20-P-0134
X
Fiscal Years 2018 and 2017 Financial
Statements for the Pesticide Registration
Fund*
20-F-0135
X
EPA's Processing Times for New Source
Air Permits in Indian Country Have
Improved, but Many Still Exceed
Regulatory Time Frames
20-P-0146
X
EPA Complied with Improper Payments
Legislation, but Internal Controls Need
Substantial Improvement to Ensure More
Accurate Reporting*
20-P-0167
X
EPA Oversight Provided Reasonable
Controls to Deter and Minimize
Trespassing at the Fort Ord Superfund
Site
20-E-0169
X
EPA Needs to Conduct Risk
Assessments When Designing and
Implementing Programs
20-P-0170
X
Further Efforts Needed to Uphold
Scientific Integrity Policy at EPA
20-P-0173
X
EPA Toxic Substances Control Act
Consent Orders Need Better
Coordination
20-E-0177
X
Fiscal Years 2018 and 2017 Financial
Statements for the Pesticide
Reregistration and Expedited Processing
Fund*
20-F-0184
X
EPA's Office of the Chief Financial
Officer Lacks Authority to Make
Decisions on Employee-Debt Waiver
Requests
20-P-0194
X
EPA Needs to Address Internal Control
Deficiencies in the Agencywide Quality
System
20-P-0200
X
EPA's Initial Implementation of CARES
Act Section 3610
20-N-0202
X
EPA's Safer Choice Program Would
Benefit from Formal Goals and
Additional Oversight
20-P-0203
X
10
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
OIG report
Report
no.
Improving
air quality
Ensuring
clean/safe
water
Cleaning up/
revitalizing
land
Ensuring
safety of
chemicals
Improving
EPA research
programs
Compliance
with the law
Partnering
with states/
others
Operating
efficiently/
effectively
EPA Needs to Improve Oversight of
Research Assistance Agreements
20-P-0204
X
X
Internal Quality Assurance Review of
EPA OIG Audit Assignments Completed
in Fiscal Year 2019*
20-N-0230
EPA's FYs 2020-2021 Top Management
Challenges*
20-N-0231
X
X
X
X
X
X
X
X
EPA Needs to Improve Oversight of Flow
States Implement Air Emissions
Regulations for Municipal Solid Waste
Landfills
20-P-0236
X
EPA's Fiscal Years 2018 and 2017
Hazardous Waste Electronic Manifest
System Fund Financial Statements*
20-F-0244
X
EPA Needs to Strengthen Controls Over
Required Documentation and Tracking of
Intergovernmental Personnel Act
Assignments
20-P-0245
X
X
EPA's 2018 BEACH Act Report to
Congress Does Not Fully Meet Statutory
Requirements
20-E-0246
X
X
Lack of Planning Risks EPA's Ability to
Meet Toxic Substances Control Act
Deadlines
20-P-0247
X
Management Alert: EPA Region 5 Needs
to Implement Effective Internal Controls
to Strengthen Its Records Management
Program
20-E-0295
X
Fiscal Years 2019 and 2018 Financial
Statements for the Pesticides
Reregistration and Expedited Processing
Fund*
20-F-0308
X
EPA Needs to Improve Processes for
Securing Region 8's Local Area Network
20-E-0309
X
Fiscal Years 2019 and 2018 Financial
Statements for the Pesticide
Reregistration and Expedited Processing
Fund*
20-F-0328
X
EPA's Lack of Oversight Resulted in
Serious Issues Related to an Office of
Water Contract, Including Potential
Misallocation of Funds
20-P-0331
X
EPA Has Sufficiently Managed
Emergency Responses During the
Pandemic but Needs to Procure More
Supplies and Clarify Guidance
30-E-0332
X
Improved EPA Oversight of Funding
Recipients' Title VI Programs Could
Prevent Discrimination
20-E-0333
X
X
Regions 1 and 5 Need to Require Tribes
to Submit More Detailed Work Plans for
Grants
20-P-0335
X
Data Used for Annual Toxics Release
Inventory Are 99 Percent Complete, but
EPA Could Improve Certain Data
Controls
20-P-0337
X
Audit of EPA's Toxic Substances Control
Act Service Fee Fund Financial
Statements for the Period from Inception
(June 22, 2016) through September 30,
2018*
20-F-0342
X
* Meets statutory requirements.
11
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Instances of Whistleblower Retaliation and
Interference with Independence
Whistleblower Retaliation
Section 5(a)(20) of the Inspector General Act of 1978, as amended, requires a detailed
description of any instances of whistleblower retaliation noted by the EPA OIG.
This requirement includes reporting information about an official found to have engaged
in retaliation and the consequences the Agency imposed to hold that official accountable.
There were no whistleblower retaliation cases closed within the semiannual period
ending September 30, 2020. No officials were found to have engaged in retaliation.
Interference with Independence
Section 5(a)(21) of the Inspector General Act requires a detailed description of any
attempt by the Agency to interfere with the independence of the EPA OIG, including
"incidents where the establishment has resisted or objected to oversight activities of the
[OIG] or restricted or significantly delayed access to information, including the
justification of the establishment for such action."
In its previous Semiannual Report to Congress (Report No. EPA-350-R-20-001. issued
May 2020), the OIG recounted its issuance of a "Seven-Day Letter" to the administrator,
which identified interference with the OIG's independence through the refusal of a senior
Agency official to participate in interviews related to an investigation and an audit. The
administrator sent the Seven-Day Letter to Congress, accompanied by a memorandum
from the EPA general counsel, which significantly narrowed the OIG's authority to access
information. Three chairs of U.S. House of Representatives committees have subsequently
urged the Agency to withdraw the general counsel's memorandum, observing that, "if
accepted, [it] would eviscerate the authority of the Inspector General and undermine the
ability of EPA to function in a transparent manner." The Agency, however, has not
withdrawn the general counsel's memorandum. Left in place, this memorandum signals to
all EPA employees that they do not need to fully cooperate with the OIG in the pursuit of
its mission to detect and prevent fraud, waste, and abuse.
The Inspector General Act, specifically 5 U.S.C. app. § 6(a)(1)(A), authorizes the OIG
"to have timely access to all records, ... documents, ... or other materials" relating to
Agency programs or operations. As described in an audit report that we issued on
September 25, 2020, EPA 's Lack of Oversight Resulted in Serious Issues Related to an
Office of Water Contract, Including Potential Misallocation of Funds, Report No.
20-P-0331. an Agency employee destroyed financial tracking documents after the OIG
requested those documents. The Agency contended that the deleted documents were not
12
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
records but were instead "working papers" that the Agency was not obligated to maintain
pursuant to the Federal Records Act, even though the OIG had requested the documents
prior to their destruction. The OIG is authorized to access documents available to the
Agency regardless of whether they are records pursuant to the Act.
During a criminal investigation, an Agency manager directed staff to withhold pertinent
information and allegations of possible fraud from the OIG. Additionally, the manager
attempted to restrict OIG efforts to communicate with and obtain information from
Agency personnel and an EPA contractor. The manager claimed to have adequately
addressed the issues underlying the allegations and expressed a desire to keep the
allegations ""in-housc." The OIG informed Agency counsel of the manager's
interference. The Agency manager agreed to discontinue this conduct.
13
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Significant OIG Activity
Congressionally Requested Activities
During this reporting period, the OIG provided 13 briefings to Congress on the OIG's
oversight work. Briefings involved OIG staff meeting with congressional staff to better
understand their perspectives, obtain feedback on the OIG, and establish the foundation
for an open dialogue. Other briefings included discussions with House and Senate
Appropriations Committee staff of recent, ongoing, and future OIG work. During the
reporting period, the OIG received 11 congressional requests.
14
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Coronavirus Pandemic: Oversight Activities
Pandemic Management Challenges Identified
Top Pandemic-Related Challenges Facing the EPA
Issued June 17, 2020
During the coronavirus pandemic—that is, the SARS-CoV-2 virus and resultant
COVID-19 disease—the EPA has had to continue its core mission of protecting human
health and the environment while also adjusting to and absorbing fresh demands added
by the pandemic. These new demands include approving new disinfectants, conducting
pandemic-related scientific research, and overseeing delegated permitting and
enforcement programs. To this end, the CARES Act provides the EPA with $7.23 million
to clean and disinfect EPA facilities, fund research on methods to reduce the risks from
environmental transmission of SARS-CoV-2 via contaminated surfaces or materials, and
expedite registration and other actions related to pesticides to address SARS-CoV-2,
among other things.
The OIG has identified challenges and associated risks to the EPA's ability to
successfully implement Agency programs and maintain a safe and productive workforce
during the coronavirus pandemic. These challenges include risk communication,
enforcement and fraud risks, and effective remote technology. Some of the Agency's
immediate responses to the coronavirus pandemic include approving disinfectants to kill
SARS-CoV-2 on surfaces and developing a list of products that are registered to destroy
viruses known to be as or more difficult to kill than SARS-CoV-2. The EPA is also
allowing companies to change, without its usual prior approval, suppliers of certain active
ingredients in approved products to address pesticide supply chain shortages. The EPA
has made adjustments to programs and operations by, for example, issuing regulatory
waivers and allowing exceptions to regulatory requirements, policy, and internal controls.
Reports Related to EPA's Pandemic Response
EPA Has Sufficiently Managed Emergency Responses During the Pandemic but
Needs to Procure More Supplies and Clarify Guidance
Report No. 20-E-0332, issued September 28, 2020
ijg Cleaning up and revitalizing land
} Maintaining operations during pandemic and natural disaster responses
The EPA sufficiently protected human health and the environment by responding to
emergencies during the pandemic and taking some initial measures to protect its on-scene
coordinators, who respond to emergency incidents. In an OIG survey, however,
some on-scene coordinators said that the EPA did not provide sufficient supplies and
Report Addresses: EPA mission-related effort, { } OIG-identified management challenge for EPA. Statutory requirements.
15
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
that they either had issues complying with the EPA's health and safety guidance or
needed additional clarification about the guidance. In addition, one regional manager said
that a lack of N95 masks may make it difficult for the EPA to respond to large emergency
incidents such as wildfires. The Agency agreed with our recommendation
to clearly communicate with on-scene coordinators about safety concerns that the
guidance does not sufficiently address, but it disagreed with our other three
recommendations. Resolution efforts are in progress.
EPA's Initial Implementation of CARES Act Section 3610
Report No. 20-N-0202, issued June 29, 2020
Operating efficiently and effectively
( ' Maintaining operations during pandemic and natural disaster responses
The EPA created and provided detailed guidance to its contracting personnel and
contractors regarding the reimbursement of contractors under Section 3610 of the
Coronavirus Aid, Relief, and Economic Security Act, known as the CARES Act. Enacted
in March 2020, the Act authorizes—but does not require—federal agencies to modify the
terms and conditions of a contract to reimburse contractors that provide pandemic-related
paid leave to their employees or subcontractors. The EPA's final guidance was consistent
with the statute, and we made no recommendations.
OIG Investigations Related to Pandemic
The Office of Investigations opened a number of cases to investigate allegations of fraud
related to SARS-CoV-2. Allegations investigated included schemes to defraud
Americans through, among other things, the misuse of the EPA logo or seal. The office
investigated many of these cases jointly with the EPA Criminal Investigation Division or
other law enforcement agencies, and coordinated with and referred matters to the EPA,
as appropriate.
The pie chart below reflects the conclusions of the 14 pandemic-related cases closed
during this semiannual reporting period.
Report Addresses: EPA mission-related effort, { } OIG-identified management challenge for EPA. Statutory requirements.
16
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Semiannual Report to Congress April 1, 2020-September 30, 2020
Results of closed cases involving the coronavirus pandemic
Inconclusive
14%
Supported in Part
7%
Supported
57%
Not Supported
22%
Source: Office of Investigations. (EPA OIG graphic)
OIG Transparency Efforts
Webpage: EPA OIG's Response to the COVID-19 Pandemic
Launched May 2020, continually updated
To ensure transparency and keep the public up to date on our efforts, we maintain a
website of our work related to the pandemic. This website lists potential audit or
evaluation topics, recently announced projects, potential investigation targets, and issued
reports.
COVID-19 Pandemic Report: Summary of Oversight Activities as of July 31, 2020
Issued July 31, 2020
This summary report captures the OIG's work to meet the new challenges posed by the
coronavirus pandemic. The OIG has begun and will continue to initiate audits,
evaluations, and investigations related to the impact of the coronavirus pandemic on the
EPA and the CSB. We are examining and identifying how the pandemic has impacted
Agency programs and operations, as well as potential misconduct and criminal activity.
Some subjects we have looked at or may look at include the EPA's responses to
emergency incidents such as hurricanes and wildfires; fraud schemes involving cleaning
products; Agency staffing shortfalls; employees" health and safety when returning to
work; maintaining strong information technology protections while teleworking; and
cyberscams and security threats targeting the Agency or its employees, contractors, and
grantees. To accomplish these pandemic-focused oversight initiatives, we are working
and coordinating with other federal OIGs, the Pandemic Response Accountability
Committee under the Council of the Inspectors General on Integrity and Efficiency, and
the U.S. Government Accountability Office.
Report Addresses: EPA mission-related effort, { } OIG-identified management challenge for EPA. Statutory requirements.
17
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Human Health and Environmental Issues
Further Efforts Needed to Uphold Scientific Integrity Policy at EPA
Report No. 20-P-0173, issued May 20, 2020
Improving EPA research programs
The results of the OIG's 2018 agencywide survey on scientific integrity—which received
4,320 responses (a 23.5 percent response rate)—showed that 3,987 respondents were
aware of or had some familiarity with the EPA's
Scientific Integrity Policy. Among 1,842
respondents with a basis to judge, 1,025 (56 percent)
were satisfied with the overall implementation of
the Scientific Integrity Policy. While the Scientific
Integrity Committee has implemented many
requirements from the Scientific Integrity Policy and identified actions to improve
scientific integrity at the EPA, procedures to address potential violations were not
finalized, mandatory training was not tracked, annual reporting was not timely, and the
release of scientific products was not supported by a centralized clearance system. The
EPA agreed with our 12 recommendations and has completed corrective actions for two
of them.
Further information on the EPA's
Scientific Integrity Policy efforts can
be found under the "Scientific
Integrity and Misconduct Issues"
section in this report.
Improved EPA Oversight of Funding Recipients' Title VI Programs Could Prevent
Discrimination
Report No 20-E-0333, issued September 28, 2020
Compliance with the law; Operating efficiently and effectively
{O Integrating and leading environmental justice;
Complying with key internal control requirements (policies and procedures)
The EPA has not fully implemented an oversight system to provide reasonable assurance
that Agency funding recipients are complying with Title VI of the Civil Rights Act of
1964, which requires agencies to be responsible for ensuring that programs or agencies
receiving federal financial assistance do not
discriminate based on race, color, or national
origin. We made six recommendations,
including that the Agency develop guidance on
systemic issues underlying Title VI complaints
and develop metrics to assess the effectiveness
of Title VI tools and programs. As the Agency
has not yet provided a formal response to our
report, all of our recommendations are 0, _ . „ , . _r
1 The St. Francis Prayer Center in Flint,
unresolved. Michigan, filed a discrimination complaint
with the EPA. (EPA OIG photo)
Report Addresses: £« EPA mission-related effort.
OIG-identified management challenge for EPA.
18
Statutory requirements.
-------
Semiannual Report to Congress
April 1, 2020-September 30, 2020
EPA Needs to Improve Oversight of How States Implement Air Emissions
Regulations for Municipal Solid Waste Landfills
Report No. 20-P-0236. issued July 30, 2020
£ Improving air quality
{o} Complying with key internal control requirements (data quality);
Overseeing states, territories, and tribes implementing EPA programs
We identified 12 large municipal solid waste landfills in Georgia and Texas that could be
operating without the Title V permits required by the Clean Air Act and EPA regulations.
The EPA did not identify deficiencies in how Georgia and Texas implemented Clean Air
Act regulations to control air emissions from municipal solid waste landfills, nor did it
implement a federal plan to implement Clean Air Act regulations for the State of
Arkansas when there was no approved state plan for Arkansas. The Agency agreed with
our four recommendations to determine whether the 12 municipal solid waste landfills
identified in our report should apply for Title V permits, to help Arkansas develop a state
plan or implement the federal plan, and to develop a process to review implementation of
Clean Air Act regulations. The Agency disagreed with our remaining three
recommendations, and resolution efforts are in progress.
EPA's Safer Choice Program Would Benefit from Formal Goals
and Additional Oversight
Report No. 20-P-0203, issued June 30, 2020
£• Ensuring the safety of chemicals
The EPA's Safer Choice program—designed to
prevent pollution by encouraging the use of
safer chemicals in products—does not list its
goals in the FY 2018-2022 U.S. EPA Strategic
Plan, and the program has not reported results
for FYs 2018-2019, which limits the program's
accountability to Congress and the public. The
program does have internal, non-outcome-
oriented goals to add 200 products and
25 chemicals to the Safer Chemical Ingredients
List each year, which it is generally achieving.
The program relies on third-party auditors to
r Safer Choice product vat. (EPA OIG photo)
ensure Safer Choice products comply with K v r >
program criteria, but the EPA does not conduct effective oversight of these auditors. The
EPA risks approving products that do not comply with the Safer Choice Standard. Hie
EPA agreed with our recommendations.
Report Addresses: £» EPA mission-related effort, {o} OIG-identified management challenge for EPA. Statutory requirements.
19
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
EPA's Processing Times for Mew Source Air Permits in Indian Country Have
Improved, but Many Still Exceed Regulatory Time Frames
Report No. 20-P-0146. issued April 22, 2020
£« Improving air quality
Of all the tribal minor-source-New Source Review permits that the EPA issued between
2011 and August to October 2018, 62 percent exceeded the applicable regulatory time
frame. The permits are a part of the Clean Air Act's preconstruction permitting program
for new sources of emissions and
modifications to existing sources of
emissions in Indian Country. In
addition, not all EPA regions
accurately documented when the
applications for these permits were
deemed complete, and the Agency
did not have a systematic approach
to identify non-filers, which are
facilities on tribal lands that need but
have not applied for a permit. The
Agency agreed with our six
recommendations, including to
establish a permit tracking system,
develop guidance to determine complete applications, identify those sources that do not
have the required permit, and educate emission sources on their permitting
responsibilities.
EPA Toxic Substances Control Act Consent Orders Need Better Coordination
Report No. 20-E-0177. issued May 28, 2020
£• Ensuring the safety of chemicals
The Office of Chemical Safety and Pollution Prevention did not consult with the Office
of Enforcement and Compliance Assurance when issuing the 2009 Toxic Substances
Control Act Section 5(e) consent order given to DuPont (now The Chemours Company)
to manufacture two GenX chemicals—even though the Office of Enforcement and
Compliance Assurance is responsible for verifying that companies comply with
Section 5(e) consent orders. Furthermore, EPA Region 4 inspectors were unaware of the
2009 consent order until EPA headquarters requested that they inspect Chemours's
Fayetteville Works facility. We recommended that the Office of Enforcement and
Compliance Assurance review all consent orders it is responsible for and that the Agency
provide final consent orders to the appropriate regional offices. The Agency agreed with
both our recommendations and has completed one.
Indian Country (in green) spans across all ten EPA regions. (EPA OIG
graphic made from data from the U.S. Census Bureau)
Report Addresses: £» EPA mission-related effort, {o} OIG-identified management challenge for EPA. Statutory requirements.
20
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Lack of Planning Risks EPA's Ability to Meet Toxic Substances
Control Act Deadlines
Report No. 20-P-0247, issued August 17, 2020
Ensuring the safety of chemicals > Improving workforce/workload analyses
Although the EPA met several of the deadlines imposed by the Frank R. Lautenberg
Chemical Safety for the 21st Century Act, which amended the Toxic Substances Control
Act of 1976, the Agency did not complete all ten required existing chemical risk
evaluations by the June 19, 2020
deadline. The EPA also missed several
more reporting and document
development deadlines. In addition, the
required number of existing chemical
risk evaluations doubled at the end of
2019. The EPA's Office of Pollution
Prevention and Toxics, which is
responsible for implementing the Toxic
Substances Control Act amendments,
lacks a workforce-and-workload
analysis to successfully meet the
deadlines. The Agency agreed with our
three recommendations to publish a plan
identifying anticipated Toxic Substances Control Act implementation efforts and required
resources, conduct a workforce analysis to assess its capability to implement the Act, and
specify skill gaps that need to be filled by FY 2021 to meet Act's requirements.
EPA's 2018 BEACH Act Report to Congress Does Not Fully Meet Statutory
Requirements
Report No. 20-E-0246, issued August 13, 2020
Ensuring clean and safe water; Compliance with the law
Fulfilling mandated reporting requirements
The Beaches Environmental Assessment and Coastal Health Act of 2000, known as the
BEACH Act, requires the EPA to submit reports every four years to Congress regarding
the Agency's BEACH Act program. However, the EPA's 2018 report to Congress did not
fully meet the reporting requirements of the Act or the Plain Writing Act of 2010, nor did
it comply with U.S. Office of Management and Budget internal control principles. By
issuing a report that did not fully meet the requirements of the BEACH Act and the Plain
Writing Act, the EPA missed the opportunity to provide Congress with the information
needed for effective decision-making. The Agency disagreed with our two
recommendations, and resolution efforts are in progress.
Staff and
resource
planning
The EPA's ability to assess its Toxic Substances
Control Act workload—and subsequently estimate
the workforce levels necessary to achieve that
workload—is critically important.
(EPA OIG graphic)
Report Addresses: EPA mission-related effort, { } OIG-identified management challenge for EPA. Statutory requirements.
21
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Data Used for Annual Toxics Release Inventory National Analysis Are
99 Percent Complete, but EPA Could Improve Certain Data Controls
Report No. 20-P-0337, issued September 30, 2020
£* Operating efficiently and effectively
j Complying with key internal control requirements (data quality)
The EPA's Toxics Release Inventory National Analysis publishes data submitted by
facility owners and operators on each toxic chemical they reported using in the preceding
calendar year in amounts that exceeded the established toxic chemical threshold. Data
reported to the EPA after it freezes the dataset in mid-October accounted for an average
of less than one-half of 1 percent, or 70.3 million pounds, of the 15.2 billion total pounds
reported from 2013 through 2016. The Agency agreed with our four recommendations,
including that the EPA continue to follow up with facilities that do not report their
data on time, analyze the impact of late-reported data, and establish controls to validate
the accuracy of the data.
EPA Needs to Address Internal Control Deficiencies in the Agencywide
Quality System
Report No. 20-P-0200, issued June 22, 2020
£* Operating efficiently and effectively
> Complying with key internal control requirements (data quality)
The Office of Mission Support has not fully implemented internal controls for the EPA's
agencywide Quality System, which outlines standards for environmental data collection
activities conducted by or for the Agency. The EPA and the public rely upon the quality
of the Agency's data, which helps the
Agency make reliable, cost-effective,
and defensible decisions. Activities
covered by the Quality System include
characterizing or evaluating ecological
systems or human health, establishing
ambient air conditions, developing
models to characterize environmental
processes, and mapping environmental
conditions or human health risk data.
Of our 15 recommendations—which
included reviewing policies,
procedures, and guidance within
required time frames; conducting
regular assessments of program and regional quality systems; and assessing staff and
resource needs—the EPA agreed with 13, while two remain unresolved with resolution
efforts in progress.
/"V
• m
i l Agencywide i 1
u Quality
M System I I'll 1/
{' \v
The EPA's Quality System's primary goal is to
ensure that environmental data are of sufficient
quantity and quality to support intended
uses. (EPA OIG graphic)
Report Addresses: EPA mission-related effort, { } OIG-identified management challenge for EPA. Statutory requirements.
22
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
EPA Oversight Provided Reasonable Controls to Deter and Minimize
Trespassing at the Fort Ord Superfund Site
Report No. 20-E-0169. issued May 14, 2020
£¦ Cleaning up and revitalizing land
The EPA, the U.S. Army, and other organizations use fencing and signage as institutional
controls at Fort Ord, a 28,000-acre Superfund site in California, to deter and minimize
trespassing and protect human health. Although trespassing continues to be an issue, a
site visit confirmed that signs indicate the site is dangerous and entry is not allowed and
that the integrity of the fencing and gates is not compromised. We made no
recommendations in the report.
y' i'rriV,
Locked gate to Fort Ord with signage indicating danger in the area and no
trespassing allowed. (EPA OIG photo)
Report Addresses: £» EPA mission-related effort, {o} OIG-identified management challenge for EPA. Statutory requirements.
23
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Agency Business Practices and Accountability
EPA Needs to Conduct Risk Assessments When Designing and Implementing
Programs
Report No. 20-P-0170, issued May 18, 2020
Operating efficiently and effectively ; } Complying with key internal control requirements
In FY 2018, the EPA's program offices did not conduct program-level risk assessments
when designing and implementing programs, even though such assessments are required
by the U.S. Government Accountability Office and the Office of Management and
Budget. We also found that the program offices were unable to distinguish between the
Government Accountability
Office's requirement to assess risk
at the program level and the Office
of Management and Budget's
requirement to address risk
strategically using the Enterprise
Risk Management process. In
addition, the Agency's Enterprise
Risk Management guidance did not
address the Government
Accountability Office's Standards
for Internal Control in the Federal
Government, known as the Green Book. The Agency agreed with our recommendation to
train staff who execute EPA programs on the Green Book, with emphasis on program-
level risk assessments.
EPA Needs to Improve Oversight of Research Assistance Agreements
Report No. 20-P-0204, issued June 30, 2020
Operating efficiently and effectively; Improving EPA research programs
' Complying with key internal control requirements (data quality)
EPA project officers for research assistance agreements awarded by the Agency did not
always complete baseline monitoring accurately or in a timely manner, enforce recipient
compliance with progress reporting requirements, or document their review of recipient
progress reports. In addition, the EPA's Office of Research and Development did not
consistently post the results of the research assistance agreements on its website. The
EPA agreed with our seven recommendations regarding the monitoring, reporting, and
posting of research projects funded by the EPA.
No risk
assessment
at program level
0
$5.7 billion
in taxpayer
dollars at risk
2018
The EPA had not prepared program-level risk
assessments for the 20 highest dollar value programs
in fiscal year 2018, resulting in $5.7 billion taxpayer
dollars at risk. (EPA OIG graphic)
Report Addresses: EPA mission-related effort, { } OIG-identified management challenge for EPA. Statutory requirements.
24
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
EPA May Have Overpaid for Its $13 Million Time and Attendance System by
Not Following Information Technology Investment Requirements
Report No. 20-P-0134, issued April 13, 2020
Operating efficiently and effectively <§> Complying with key internal control requirements
The Office of the Chief Financial Officer did not perform several requirements before
updating PeoplePlus, the EPA's time and attendance system, such as conducting a cost
analysis, considering alternative options, or conducting four of the five reviews required
by the EPA's Chief Information Officer
system life cycle management procedure. As
a result, the EPA cannot confirm that the
upgrade was the best use of taxpayer funds.
We found that if the EPA selected the U.S.
Department of Interior's Interior Business
Center time-and-attendance system, the EPA
could have saved between $7.7 million and
$8.1 million based on the Interior Business
Center estimates. The EPA agreed with our
four recommendations—including
conducting the required analyses and
reviews—and has completed two.
EPA's Office of the Chief Financial Officer Lacks Authority to Make Decisions on
Employee-Debt Waiver Requests
Report No. 20-P-0194, issued June 15, 2020
Operating efficiently and effectively
The Office of the Chief Financial Officer improperly made decisions on 15 employee-
debt waiver requests totaling $53,539. The agency claims officer—who is located in the
Office of General Counsel—has the authority to waive employee debts up to $100,000
for erroneous payments of pay and other allowances. Thus, the Office of the Chief
Financial Officer should have referred the 15 employee-debt waivers to the agency
claims officer. The Agency agreed with our recommendations to update policies and
procedures to require employee-debt waivers be reviewed by the agency claims officer
and to ensure employee-debt waiver decisions are made in accordance with applicable
laws and directives.
$8 million
Taxpayer
I savings? j
ALTERNATIVE
The EPA missed the opportunity to save up
to $8 million in taxpayer funds by not
performing cost and alternatives analyses
(EPA OIG graphic).
Report Addresses: EPA mission-related effort, { } OIG-identified management challenge for EPA. Statutory requirements.
25
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
EPA Needs to Strengthen Controls Over Required Documentation and Tracking
of Intergovernmental Personnel Act Assignments
Report No. 20-P-0245, August 10, 2020
Operating efficiently and effectively; Compliance with the law
Complying with key internal control requirements (policies and procedures)
The EPA's use of assignments under the Intergovernmental Personnel Act—which
allows for the temporary assignment of personnel between the federal government and
eligible nonfederal organizations—complied with
statutory and regulatory requirements and with
guidance issued by the U.S. Office of Personnel
Management. However, the Agency lacked controls
to verify that documents are submitted and
maintained as required, as well as a reliable system to
track employees on assignment. The Agency agreed
with our recommendations to update its
Intergovernmental Personnel Act Policy and
Procedures Manual (IPA), strengthen controls over
assignment documentation, enforce requirements for
noncompliance with these requirements, and
strengthen controls over the tracking of employees on
assignment.
EPA Complied with Improper Payments Legislation, but Internal Controls Need
Substantial Improvement to Ensure More Accurate Reporting
Report No. 20-P-0167, issued May 13, 2020
£i-> Compliance with the law Fulfilling mandated reporting requirements
In FY 2019, the EPA complied with all six of the requirements under the Improper
Payments Elimination and Recovery Act of 2010, as modified by the Improper Payments
Elimination and Recovery Improvement Act of 2012. However, the EPA needs to
improve the accuracy and completeness of improper payments reporting for the grant
payment stream. We identified an additional $571,469.19 in improper payments that were
not included in the FY 2019 Agency Financial Report. We also found that EPA
employees who review grant payments were not following or sufficiently trained in
improper-payment-review policies. The EPA agreed with our recommendation to verify
that it implemented internal controls over reviewer training and proficiency but did not
provide planned corrective actions that fully addressed the recommendation. The
recommendation is unresolved with resolution efforts in progress.
U.S. EPA
TRACKING A
The EPA lacks adequate controls over the required
documentation for and the tracking of
Intergovernmental Personnel Act assignments.
(EPA OIG graphic)
Report Addresses: EPA mission-related effort, { } OIG-identified management challenge for EPA. Statutory requirements.
26
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Regions 1 and 5 Need to Require Tribes to Submit More Detailed Work Plans
for Grants
Report No. 20-P-0335. issued September 29, 2020
Operating efficiently and effectively
(o) Overseeing states, territories, and tribes responsible for implementing EPA programs
Federal law and EPA policies require tribes receiving
grants from the Agency to develop and implement
environmental programs to submit detailed work plans
to ensure that costs claimed under the grants are
reasonable, allocable, and allowable. We found that
the work plans submitted by the Passamaquoddy Tribe
in Region 1 and the Fond du Lac Band Tribe in
Region 5 lacked adequate details regarding
supply-related components, such as laptops and
computer services, or funding amounts. We also
identified $16,533 in questioned costs for the
Passamaquoddy Tribe and $6,335 in questioned costs
for the Fond du Lac Band Tribe. The Regions agreed
with our recommendations.
EPA Needs to Improve Processes for Securing Region 8's Local Area Network
Report No. 20-E-0309, issued September 10, 2020
£. Operating efficiently and effectively
{o} Enhancing information technology security
The vulnerability tests that the Office of Mission Support performs on Region S's local
area network—which includes the Region's headquarters, laboratory, Montana office,
and Superfund Cost Recovery Package Imaging and Online System—were not
comprehensive. Vulnerabilities could cause denial-of-service attacks, unauthorized
disclosure of personally identifiable information, and corruption of scientific data.
Region 8 agreed with our seven recommendations to update its local area network system
security plan, verify that vulnerability tests and their results are comprehensive, and
implement security controls to protect personally identifiable information on the
Superfund Cost Recovery Package Imaging and Online System.
unv
The EPA provides financial
assistance to tribes to help them
develop and implement
environmental programs.
(EPA image)
Report Addresses: £» EPA mission-related effort, {o} OIG-identified management challenge for EPA. Statutory requirements.
27
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Audit of EPA's Toxic Substances Control Act Service Fee Fund Financial
Statements for the Period from Inception (June 22, 2016) through
September 30, 2018
Report No. 20-F-0342, issued September 30, 2020
£** Operating efficiently and effectively Fulfilling mandated reporting requirements;
Complying with key internal control requirements (data quality; policies and procedures)
The Frank R. Lautenberg Chemical Safety for the 21st Century Act requires the EPA
OIG to audit the Toxic Substances Control Act Service Fee Fund financial statements
every year to determine whether the financial statements were fairly stated, internal
controls were in place, and management complied with laws and regulations. We
rendered an unmodified opinion, meaning that the statements were fairly presented and
free of material misstatement. We noted that the EPA overstated expenses from other
appropriations by $8.4 million and that the Agency made errors in its calculation for
expenses from other appropriations. The EPA agreed with our recommendations to
improve the management review process and establish written policies and procedures.
Financial Statements for the Pesticide Registration Fund
£* Operating efficiently and effectively
Congress authorized the EPA to assess and collect pesticide registration fees, which are
deposited into the Pesticide Registration Fund. The Pesticide Registration Improvement
Act requires us to annually audit the Pesticide Registration Fund's financial statements:
• Report No. 20-F-0135. Fiscal Years 2018 and 2017 Financial Statements for the
Pesticide Registration Fund, issued April 14, 2020. We rendered an unmodified
opinion on the FY 2018 financial statements, meaning that they were fairly
presented and free of material misstatement. We rendered a qualified opinion on
the financial statements for FY 2017, meaning that except for the possible effects
of the Agency's inability to support Pesticide Registration's payroll accruals and
related expenses, the FY 2017 financial statements were fairly presented. We
made no recommendations in the report.
• Report No. 20-F-0328. Fiscal Years 2019 and 2018 Financial Statements for the
Pesticide Registration Fund, issued September 23, 2020. We rendered an
unmodified opinion on the FY 2019 and FY 2018 financial statements. We did
note one material weakness: the EPA's failure to properly record accounting
adjustments and exercise due diligence in the preparation of the financial
statements, which compromises their accuracy. The Agency agreed with our
recommendation that the chief financial officer improve the management review
of the financial statements.
Report Addresses: EPA mission-related effort, { } OIG-identified management challenge for EPA. Statutory requirements.
28
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Financial Statements for the Pesticides Reregistration and Expedited
Processing Fund
Operating efficiently and effectively {o} Fulfilling mandated reporting requirements
The EPA is responsible for reassessing the safety of older pesticide registrations against
modern health and environmental testing standards. To expedite the reregistration
process, Congress authorizes the EPA to collect fees from pesticide manufacturers. These
fees are deposited into the Pesticides Reregistration and Expedited Processing Fund, also
known as the Federal Insecticide, Fungicide, and Rodenticide Act Fund. The Food
Quality Protection Act requires that the OIG perform an annual audit of the financial
statements for the Fund. In this semiannual period, we audited the FYs 2017 through
2019 Fund financial statements:
• Report No. 20-F-0184. Fiscal Years 2018 and 2017 Financial Statements for the
Pesticides Reregistration and Expedited Processing Fund, issued June 1, 2020:
We rendered an unmodified opinion on the financial statements for FY 2018,
meaning they were fairly presented and free of material misstatement. We
rendered a qualified opinion on the Fund's financial statements for FY 2017,
meaning that except for the possible effects of the Agency's inability to support
the Federal Insecticide, Fungicide, and Rodenticide Act's payroll accruals and
related expenses, the FY 2017 financial statements were fairly presented. The
Agency agreed with our recommendation to adjust or monitor the annual
pesticides maintenance fees so that the fees collected do not exceed the statutory
targets for each fiscal year and completed the corrective action.
• Report No. 20-F-0308. Fiscal Years 2019 and 2018 Financial Statements for the
Pesticides Reregistration and Expedited Processing Fund, issued September 8,
2020: For the FYs 2019 and 2018 financial statements, we rendered an
unmodified opinion, meaning they were fairly presented and free of material
misstatement. We made no recommendations in the report.
Pesticides being applied. (EPA photo)
Report Addresses: EPA mission-related effort, {o} OIG-identified management challenge for EPA. Statutory requirements.
29
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
EPA's Fiscal Years 2018 and 2017 Hazardous Waste Electronic Manifest System
Fund Financial Statements
Report No. 20-F-0244, issued August 10, 2020
£* Operating efficiently and effectively { > Fulfilling mandated reporting requirements
The Hazardous Waste Electronic Manifest Establishment Act requires the EPA to prepare
and the OIG to audit each year the accompanying financial statements of the EPA's
Hazardous Waste Electronic Manifest System fund, known as the e-Manifest fund. We
rendered an unmodified opinion on the EPA's fiscal years 2018 and 2017 e-Manifest
fund financial statements and found them to be fairly presented and free of material
misstatement. We noted two significant deficiencies: the EPA improperly recorded
e-Manifest receivables and earned revenue and misclassified e-Manifest user fee revenue.
The Agency agreed with our recommendations and completed corrective actions.
Report Addresses: EPA mission-related effort, { } OIG-identified management challenge for EPA. Statutory requirements.
30
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Investigations
Significant Investigations
Former Employee Debarred
On February 6, 2020, a former EPA Senior Executive Service official who served as the
director of the National Enforcement Training Institute within the Office of Enforcement
and Compliance Assurance's Office of Compliance was debarred for three years from
participating in federal procurement and nonprocurement programs. The individual failed
to maintain an active bar membership in at least one state, the District of Columbia, a
U.S. territory, or the Commonwealth of Puerto Rico and concealed this failure while
occupying a position that required bar membership. The investigation determined that the
individual, who was hired as an attorney in 1979 and joined the SES in 1991, was
classified as a general attorney throughout the individual's employment at the EPA and
thus should have maintained active bar membership the entire time.
"Phishing" Computer Intrusion Attacks
On September 23, 2020, Olumide Ogunremi was sentenced to 36 months of
incarceration, followed by 24 months supervised release, and ordered to pay $68,618.41
in restitution. From 2012 through 2014, more than 1,700 EPA employees were subjects
of repeated "phishing" computer intrusion attacks by Ogunremi and his coconspirators.
Using the employees' hacked email accounts, Ogunremi and his coconspirators
fraudulently purchased hundreds of thousands of dollars of office supplies from
U.S. General Services Administration vendors with stolen credit card information. In
February 2018, Ogunremi was scheduled to plead guilty but instead fled the United
States. In April 2019, Ogunremi was located and arrested in Toronto, Canada. After
being extradited to the United States, Ogunremi pleaded guilty on February 20, 2020, in
the U.S. District Court for the District of New Jersey to conspiracy to commit wire fraud,
18 U.S.C. § 1349. The total amount of fraud perpetrated by the group totaled well over
$3.2 million.
This case was worked jointly with the General Services Administration OIG, Department
of Commerce OIG, Defense Criminal Investigative Service, and Federal Bureau of
Investigation.
Company President Sentenced
On September 25, 2020, Aaron Jamison, president of Micah Group LLC and Micah
Group Environmental Contractors, was sentenced to 36 months of incarceration, followed
by three years of supervised release, and ordered to pay restitution in the amount of
31
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
$640,638.31. In 2012, the EPA awarded Micah Group Energy and Environmental a
$4,389,144.24 contract for soil remediation in Treece, Kansas. Jamison signed vouchers
certifying that all subcontractors and suppliers received timely payment for their work.
The investigation disclosed that the subcontractors were not paid until several years later
and were not paid the amount billed to the EPA. Additionally, Jamison falsely certified
and submitted state-required documents under the Underground Storage Tank program.
On January 22, 2020, Jamison pleaded guilty to theft from an employee benefit plan,
18 U.S.C. § 664; conspiracy to commit mail fraud, 18 U.S.C. § 371; and unlawful storage
of hazardous waste, 42 U.S.C. § 6928(d)(2)(A). Also, on December 20, 2019, Mark
Stafford, a former Micah Group employee, pleaded guilty to conspiracy to commit mail
fraud, 18 U.S.C. §371.
This case was worked jointly with the U.S. Department of Labor OIG, the EPA 's
Criminal Investigation Division, and the United States Secret Service.
Reports of Investigation—Employee integrity
A Report of Investigation documents the facts and findings of an OIG investigation and
generally involves an employee integrity matter. When the OIG's Office of Investigations
issues a Report of Investigation that has at least one "supported" allegation, it requests
that the entity receiving the report—whether it is an office within the EPA, the CSB, or
the OIG—provide a notification to the OIG within 60 days regarding the administrative
action taken or proposed to be taken in the matter. This section provides information on
how many Reports of Investigation with at least one supported allegation were issued to
the EPA, the CSB, or the OIG, as well as how many of those Reports of Investigation did
not receive a response within the 60-day period.
For the reporting period ending September 30, 2020, the Office of Investigations issued
two Reports of Investigation and received no responses outside the 60-day window:
Agency and OIG Reports of Investigation
Number of Reports of
Agency
OIG
Investigation issued
response*
Awaiting
response*
during reporting period
received after
Agency
received
Awaiting OIG
with findings
60 days
response
after 60 days
response
2
0
0
0
0
* Agency or the OIG will or will not take an action or will conduct a supplemental investigation.
32
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Hotline Activities
The Inspector General Act of 1978, as amended, 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. As a result of these contacts, the OIG may conduct audits, evaluations, and
investigations.
Reports Initiated via OIG Hotline
EPA's Lack of Oversight Resulted in Serious Issues Related to an Office of Water
Contract, Including Potential Misallocation of Funds
Report No. 20-P-0331, issued September 25, 2020
£* Operating efficiently and effectively
{o} Complying with key internal control requirements (policies and procedures)
The EPA's management of Contract No. EP-C-16-001, which the Agency awarded to
Northbridge Group in December 2015 for support services for the Office of Water,
lacked sufficient controls. The EPA potentially misallocated at least $639,220 in paid
invoices without input from the appropriate EPA staff and did not conduct the required
records inspections. If the EPA had performed detailed reviews of invoices, it could have
potentially saved up to $565,529 on direct labor and associated overhead over
three years. The EPA also violated the Inspector General Act of 1978, as amended, by
destroying documents after the OIG requested them. The Agency agreed with four of our
recommendations and disagreed with two. It did not provide acceptable corrective actions
for one of the agreed-to recommendations. Three recommendations are unresolved with
resolution efforts in progress.
Examples of potentially misallocated funds identified during our analysis*
Amount
Potential misallocation
$129,950.00
The Office of Water may owe these funds to Region 9 because of a reconciliation
error and unused funds.
$248,010.00
Hawaii may owe these funds to the Office of Water because Office of Water
funds were used to pay for Hawaii Loan and Grant Tracking System work that
exceeded the amount funded by Region 9.
$244,460.31
The Office of Water may owe these funds to California because California
funds were used to pay Hawaii Loan and Grant Tracking System work assignment
costs.
$16,799.69
The Office of Water may owe these unspent funds to Region 9.
$639,220.00
Total potential misal locations
Source: OIG analysis of EPA email records. (EPA OIG table)
* Our analysis was not able or intended to be all-inclusive so other misallocated funds may exist.
Report Addresses: EPA mission-related effort. < > OIG-identified management challenge for EPA. Statutory requirements.
33
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Management Alert: EPA Region 5 Needs to Implement Effective Internal
Controls to Strengthen Its Records Management Program
Report No. 20-E-0295, issued August 31, 2020
Operating efficiently and effectively
¦ Complying with key internal control requirements (policy and procedures)
An EPA OIG Hotline complaint submitted in May 2019 alleged that thousands of
electronic files were lost during an attempt to migrate files to the Agency's cloud file
storage system. Region 5 did not know whether electronic files that contained records or
information subject to litigation holds were lost. In addition, Region 5 did not require
employees to take training on the cloud file storage system, nor did it communicate the
suspected loss of potential records to the agency records officer in a timely manner. We
recommended that Region 5 implement internal controls to verify that records are
maintained in the EPA's official recordkeeping system and that training on new
technology systems is tracked. We also recommended that the EPA update Agency
records management policy, procedures, and guidance. The EPA agreed with our six
recommendations and has completed three.
Hotline Statistics
The OIG Hotline receives complaints of fraud, waste, abuse, mismanagement, and
misconduct in EPA and CSB programs and operations. The figures below detail the
number and type of complaints that the hotline received and referred for review by OIG
investigation, audit, and evaluation staff; EPA program offices; and other government
agencies during FY 2020.
Number of Hotline Complaints
Received and Referred
500
450
400
350
300
250
200
150
100
50
0
433
196
Semiannual Period: Annual Period:
4/1 /20-9/30/20 10/1 /19-9/30/20
250
200
150
100
50
Number of Hotline Complaints Referred,
10/1/19-9/30/20
Referrals to
OIG offices
Referrals to EPA
program offices
25
Referrals to other federal,
state, and local agencies
Note: Hotline complaints may be referred to more than one entity, so the number of referrals made to individual entities may
be higher than the total number of complaints referred.
Report Addresses: EPA mission-related effort. < > OIG-identified management challenge for EPA. Statutory requirements.
34
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Categories of hotline complaints referred to OIG offices
Whistleblower related
Unethical Conduct
Threats and Workplace Violence
Stolen Credentials and/or Government Equipment
Scientific Misconduct/Integrity
Programmatic and Operational Issues
Mismanagement
Misconduct - Programs
Misconduct - Employee
Lost Credentials and/or Government Equipment
Lab Fraud
Impersonation
Harassment
Grant Fraud
Fraud
Falsifying Official Documents
False Statements
False Claims
Environmental - Water Pollution Control Act
Environmental - Toxic Substances Control Act
Environmental - Safe Drinking Water Act
Environmental - Other
Environmental - Hazardous Material Transportation Act
Environmental - Clean Air Act
Employee Time/Attendance
Employee Ethics
Employee - Personnel Action Fraud
Employee - Other
Coronavirus Pandemic
Contract Improprieties - Solicitation
Contract Improprieties - Other
Contract Improprieties - Mismanagement of Funds
Contract Improprieties - Award
Contract Fraud
Conflict of Interest
Computer Fraud
Computer Crimes-Electronic Crimes Division
Computer - Security
Bribery
Abuse of Power
14
11
27
29
29
11
11
10
30
23
15
10
15
20
25
30
35
35
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Hotline Confidentiality
Individuals who contact the hotline are not required to identify themselves and may
request confidentiality when submitting allegations. However, the OIG encourages those
who report allegations to identify themselves so that they can be contacted if the OIG has
additional questions. Pursuant to Section 7 of the Inspector General Act, the OIG will not
disclose the identity of an EPA or CSB employee who provides information unless that
employee consents or the inspector general determines that such disclosure is
unavoidable during the course of an investigation. As a matter of policy, the OIG will
provide comparable protection to employees of contractors, grantees, and others who
provide information to the OIG and request confidentiality. Individuals concerned about
the confidentiality or anonymity of electronic communication may submit allegations by
telephone or regular mail.
EPA OIG Hotline
To report fraud, waste, or abuse, contact us through one of the following methods:
Email: OIG Hotline@epa.gov
Phone: (888) 546-8740 or (202) 566-2476
Fax: (202)566-0814
Online: EPA OIG Hotline
Mail: EPA OIG Hotline
1200 Pennsylvania Avenue, NW
Mail Code 2431T
Washington, DC 20460
EPA Whistleblower Protection Coordinator
The EPA whistleblower protection coordinator can be reached at:
Phone: (202)566-1513 En
Email: whistleblower protection@.epa.gov
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
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 the root causes to the public, 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. As a result, the EPA OIG has the
responsibility to audit, evaluate, inspect, and investigate the CSB's programs and to
review proposed laws and regulations to determine their potential impact on the CSB's
programs and operations. Details on our work involving the CSB are available on this
OIG webpage.
Fiscal Year 2020 U.S. Chemical Safety and Hazard Investigation Board
Management Challenges
Report No. 20-N-0218, issued July 6, 2020
We maintained the two management challenges from FY 2019 and identified a new
management challenge:
• New board members must be
nominated and confirmed
(continuing). The five-
member CSB had four
vacancies as of
September 30, 2020. Having
only one member impairs the
function of the CSB, as all
functions rest with that one
member.
The Clean Air Act provides for five CSB board
• Policy must be developed for members, but as of June 2020, the board consisted
board member responsibilities of on|ythe chairperson. (EPA OIG image)
(continuing). According to the
CSB general counsel, the board decided that a Senate-confirmed chairperson
should approve any new policy. A new chairperson was confirmed in
March 2020, but a policy had not been developed as of June 2020.
• Operations must continue during the coronavirus pandemic (new). The CSB
must rely on its internal controls to continue operations to the extent practicable
and to safely return employees to work at CSB facilities.
• MARCH 2020
• CURRENT
Report Addresses: Statutory requirements.
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Other Activity
Internal Quality Assurance Review of EPA OIG Audit Assignments Completed in
Fiscal Year 2019
Report No. 20-N-0230, issued July 16, 2020
Internal compliance reviews of EPA OIG audit assignments completed in FY 2019 found
that the OIG complied with generally accepted government auditing standards and
substantially complied with OIG policies and procedures. The only systemic issue we
identified concerned the estimation and approval of audit and evaluation time frames and
cost estimates. We also found that the OIG should ensure that all training records are
adequately documented and that reports include the required language when audits and
evaluations are not conducted in accordance with generally accepted government auditing
standards. Because the OIG implemented corrective actions to address our findings in
October 2019, we made no recommendations. We will assess these corrective actions
during our FY 2020 internal quality assurance review.
Report Addresses: Statutory requirements.
38
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Other Results of OIG Work
Follow-Up Is an Important Aspect of OIG Efforts
It is important for the OIG to follow up on certain previously issued reports to ensure that
appropriate and effective corrective actions have been taken. The following reports issued
during the semiannual reporting period ending September 30, 2020, involved follow-up
on prior OIG reports.
Report number
Report title
Date issued
20-F-0135
Fiscal Years 2018 and 2017 Financial Statements for the
Pesticide Registration Fund
4/14/20
20-P-0167
EPA Complied with Improper Payments Legislation, but
Internal Controls Need Substantial Improvement to Ensure
More Accurate Reporting
5/13/20
20-P-0170
EPA Needs to Conduct Risk Assessments When Designing
and Implementing Programs
5/18/20
20-P-0173
Further Efforts Needed to Uphold Scientific Integrity Policy at
EPA
5/20/20
20-F-0184
Fiscal Years 2018 and 2017 Financial Statements for the
Pesticides Reregistration and Expedited Processing Fund
6/1/20
20-P-0194
EPA's Office of the Chief Financial Officer Lacks Authority to
Make Decisions on Employee-Debt Waiver Requests
6/15/20
20-P-0203
EPA's Safer Choice Program Would Benefit from Formal
Goals and Additional Oversight
6/30/20
20-P-0204
EPA Needs to Improve Oversight of Research Assistance
Agreements
6/30/20
20-N-0231
EPA's FYs 2020-2021 Top Management Challenges
7/21/20
20-F-0244
EPA's Fiscal Years 2018 and 2017 Hazardous Waste
Electronic Manifest System Fund Financial Statements
8/10/20
20-E-0246
EPA's 2018 BEACH Act Report to Congress Does Not Fully
Meet Statutory Requirements
8/13/20
20-P-0247
Lack of Planning Risks EPA's Ability to Meet Toxic
Substances Control Act Deadlines
8/17/20
20-F-0308
Fiscal Years 2019 and 2018 Financial Statements for the
Pesticides Reregistration and Expedited Processing Fund
9/8/20
20-E-0309
EPA Needs to Improve Processes for Securing Region 8's
Local Area Network
9/10/20
20-F-0328
Fiscal Years 2019 and 2018 Financial Statements for the
Pesticide Registration Fund
9/23/20
20-P-0331
EPA's Lack of Oversight Resulted in Serious Issues Related
to an Office of Water Contract, Including Potential
Misallocation of Funds
9/25/20
20-P-0335
Regions 1 and 5 Need to Require Tribes to Submit More
Detailed Work Plans for Grants
9/29/20
20-P-0337
Data Used for Annual Toxics Release Inventory National
Analysis Are 99 Percent Complete, but EPA Could Improve
Certain Data Controls
9/30/20
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Single Audit Reporting Efforts Make Impact
In accordance with the Single Audit Act of 1984 and Office of Management and Budget
guidance, nonfederal entities that expend more than $750,000 in federal funds are required to
have a comprehensive annual audit of their financial statements and comply with major
federal program requirements. The entities receiving the funds include states, local
governments, tribes, and nonprofit organizations. The Act provides that grantees are to be
subject to one annual comprehensive audit of all their federal programs versus a separate
audit of each federal program—hence the term "single audit." The single audits are
performed by private firms. Federal agencies rely upon the results of single audit reporting
when performing their grants management oversight of these entities.
The OIG provides an important service to the EPA by performing technical reviews of
single audit reports, for which the OIG issues memorandums for audit resolution and
corrective action. These memorandums recommend that EPA action officials confirm that
corrective actions have been taken. If the corrective actions have not been implemented,
the EPA needs to obtain a corrective action plan, with milestone dates, for addressing the
findings in a single report. The following is a summary of single audit reporting actions
during the semiannual reporting period ending September 30, 2020.
Summary of single audit activity in FY 2020
April 1, 2020-
September 30, 2020
Total for FY 2020
Number of single audit memorandums issued to EPA
169
276
Number of single audit findings reported to EPA
265
699
Questioned costs reported to EPA
$1,150,644
$1,351,674
Number of quality reviews of single audit reports done by OIG
2
7
Deficiency letters issued to single auditors by OIG
2
4
Source: EPA OIG analysis. (EPA OIG table)
The OIG also provides technical assistance and advice to the EPA, external auditors who
perform single audits, and others involved with the single audit process.
40
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Agency Best Practices
During this semiannual reporting period, OIG reports highlighted Agency best practices
that have potential value and applicability to other components in the EPA or elsewhere:
• Data about toxic chemicals that were submitted late for the EPA's Toxics
Release Inventory National Analysis accounted for an average of less than
one-half of 1 percent of the releases reported in the data we reviewed. One reason
for the low percentage is that the Agency followed up with prior-year reporters
who had not yet reported in the current year before freezing the data.
(Report No. 20-P-0337)
• In addition to ensuring that work plan requirements are met for the Fond du Lac
Band Tribe, Region 5's Tribal & Multi-media Programs Office is committed to
regularly educating all grantees on grant rules and requirements. A training
planned in March 2020 about work plan component costs was cancelled due to
the coronavirus pandemic but will be rescheduled in FY 2021.
(Report No. 20-P-0335)
• The Agency took some initial measures to protect its on-scene coordinators
during the coronavirus pandemic. For example, starting in March 2020, the EPA
began adjusting its operations by reviewing its ongoing and time-critical
emergency responses and delaying responses when possible to do so without
further detriment to public health or the environment. (Report No. 20-E-0332)
• In July 2019, the Agency issued a swimming season report, EPA-820-F-19-002,
which covered the 2018 swimming season. Although not mandated by the
Beaches Environmental Assessment and Coastal Health Act of 2000 and not
regularly produced by the EPA, these swimming season reports summarize
information about relevant beach activity that has been reported to the EPA. For
example, states, territories, and tribes with coastal and Great Lakes beaches
report any beach closings and advisories to the EPA. (Report No. 20-E-0246)
• Our review of the EPA's plans to implement Section 3610 of the CARES Act,
found that the Office of Acquisition Solutions created and provided detailed
guidance to EPA contracting personnel and contractors related to reimbursements
under Section 3610. Two Office of Acquisition Solutions-issued guidance
documents—the Implementation Plan and the Contractor Supplemental Invoice
Instructions—specifically capture the purpose of and implementation steps for
Section 3610. (Report No. 20-N-0202)
41
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
• During this semiannual reporting period, the Agency proactively corrected some
OIG-identified issues before we issued the associated reports:
o The EPA agreed to update, during our audit period, the accounting posting
models for receivables and earned revenue. The estimated completion
date for the improper recordings corrective actions is September 30, 2021.
The EPA corrected the misclassified fees during the audit. We originally
reported on these findings in OIG Report No. 20-F-0033, EPA's Fiscal-
Years 2019 and 2018 (Restated) Consolidated Financial Statements,
issued November 19, 2019. (Report No. 20-F-0244)
o The Agency agreed to revise, during our audit period, its guidance to
address the need to conduct program-level risk assessments for new and
existing programs. The EPA issued revised guidance in February 2020.
(Report No. 20-P-0170)
42
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Scientific Integrity and Misconduct
Issues
Scientific integrity at the EPA helps ensure that the development and use of science in the
Agency's decision-making is of the highest quality. Scientific integrity is crucial because
it helps to safeguard objective science
that is free from bias, fabrication,
falsification, plagiarism, outside
interference, and suppression. The
EPA issued its Scientific Integrity
Policy in February 2012. The Policy
sets the expectation that all EPA
employees will adhere to the terms of
the Policy, including reporting Policy
breaches. In addition, the EPA has a Scientific Integrity Program, which consists of the
Agency's scientific integrity official, deputy scientific integrity officials from each of the
Agency's program and regional offices, and program staff that support implementing the
Scientific Integrity Policy.
As part of its mission to detect and deter waste, fraud, abuse, and mismanagement, the
EPA OIG conducts investigations related to "research misconduct" or "scientific
misconduct." Scientific misconduct includes, among other things, fabrication,
falsification, or plagiarism. EPA Order 3120.5 contains the Agency's policy and
procedures for addressing research misconduct, including when to notify the OIG of
potential misconduct. In addition, the OIG may refer various scientific integrity
allegations that it receives to the scientific integrity official. With certain exceptions, the
OIG has, through coordination procedures, delegated the initial investigation of scientific
misconduct allegations involving plagiarism to the scientific integrity official. The
scientific integrity official and the OIG meet quarterly to discuss the status of cases.
This section reports the status of scientific integrity allegations received by the scientific
integrity official and any scientific misconduct cases received by the OIG.
Scientific Integrity Allegations
The Scientific Integrity Program allegation process contains two paths: (1) advice and
assistance and (2) a procedure for reporting and adjudicating allegations. The purpose of
advice and assistance is to avert allegations by addressing issues early with minimal
senior-level involvement. Someone with a scientific integrity concern can receive advice
from the Scientific Integrity Program to ascertain whether the issue concerns scientific
integrity and to address the issue before it rises to the level of an allegation. If an
"Science is the backbone of the EPA's decision-making.
The Agency's ability to pursue its mission to protect
human health and the environment depends upon the
integrity of the science on which it relies. The
environmental policies, decisions, guidance, and
regulations that impact the lives of all Americans every
day must be grounded, at a most fundamental level, in
sound, high quality science."
—EPA Scientific Integrity Policy, Section II
43
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
allegation is reported, the Scientific Integrity Program conducts an initial screening to
determine whether the allegation is covered under the Policy. This initial screening may
then be followed by a preliminary inquiry to gather additional facts. If needed, the
scientific integrity official can convene a review panel with the deputy scientific integrity
officials to determine whether a violation has occurred and to recommend corrective
scientific actions and preventive measures.
Trends in Scientific Integrity Inquiries Received by the Scientific
Integrity Official
Scientific integrity inquiries by topic since Scientific Integrity Policy inception
Category
Total inquires received by the scientific integrity official
from FY 2012 (Policy inception) to September 30, 2020
Percentage (number) of
formal allegations
Percentage (number) of
inquiries for advice
Authorship
16% (16)
10% (24)
Data quality
8% (8)
8% (18)
Delay/Suppression
16% (16)
20% (46)
Interference
33% (33)
44% (103)
Plagiarism
3% (3)
1% (2)
Other
13% (13)
11% (25)
Not scientific integrity
10% (10)
7% (17)
TOTAL
99 allegations
235 inquiries
Source: EPA. (EPA OIG table)
Note: Percentages in this table were rounded.
Scientific integrity inquiries by topic during semiannual reporting period ending
September 30, 2020
Category
Received by the scientific integrity official during
semiannual reporting period ending September 30, 2020
Percentage (number) of
formal allegations
Percentage (number) of
inquiries for advice
Authorship
25% (1)
9% (2)
Data quality
-
9% (2)
Delay/Suppression
-
9% (2)
Interference
75% (3)
55% (12)
Plagiarism
-
5% (1)
Other
-
-
Not scientific integrity
-
14% (3)
TOTAL
4 allegations
22 inquiries
Source: EPA. (EPA OIG table)
Note: Percentages in this table were rounded.
44
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Semiannual Report to Congress April 1, 2020-September 30, 2020
Number of scientific integrity inquiries by fiscal year since Policy inception
80
17
9
5
14
61
28
57
56
23
13
10
1 2
15
11
12
2012 2013 2014 2015 2016 2017 2018 2019 2020
¦ Advice I Allegation
Source: EPA. (EPA OIG table)
Status of Scientific Integrity Inquiries Received by the Scientific
Integrity Official
For the semiannual reporting period ending September 30, 2020, the scientific integrity
official received four new allegations and 22 new requests for advice. During the
semiannual reporting period ending September 30, 2020, four allegations were closed or
resolved, including one that was received in this reporting period. Of the four allegations
that were closed or resolved in this reporting period, two were authorship disputes that
were not substantiated, one was closed due to the submitter failing to provide additional
information, and one was closed due to pending litigation.
There are currently 17 open allegations (14 from prior reporting periods and three from
the current reporting period). All but one of the 17 remaining open allegations deal with
high-profile issues or senior officials. As recommended in the OIG's May 2020 audit
report, the Scientific Integrity Program is currently in the process of developing
procedures to address these types of allegations.
Status of requests for advice for semiannual
reporting period ending September 30, 2020
Status
Number as of
September 30, 2020
Converted to allegation
2
Not scientific integrity
4
Other advice provided
16
TOTAL
22
Source: EPA. (EPA OIG table)
45
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Semiannual Report to Congress April 1, 2020-September 30, 2020
Status of allegations for semiannual reporting
period ending September 30, 2020
Status
Number as of
September 30, 2020
Open/Active*
17
Closed - substantiated
0
Closed - not substantiated**
4
Withdrawn
0
Transferred to OIG
0
Not scientific integrity
0
Source: EPA. (EPA OIG table)
* This number includes the total open/active
allegations remaining from the current and previous
reporting periods.
** This number includes only the allegations closed
during this reporting period. Not all closed
allegations were received this reporting period. One
allegation was closed due to pending litigation.
The Scientific Integrity Program also publishes an annual report, which includes status
statistics and summarized resolution information. The latest annual report can be found
on the EPA's Scientific Integrity Program website.
Scientific Misconduct Allegations Received by OIG
For the semiannual reporting period ending September 30, 2020, the OIG received no
allegations involving potential scientific misconduct. The OIG has two open allegations
involving potential scientific misconduct that it is investigating.
The OIG had no results of investigations that it conducted or oversaw to report to the
Agency for a determination of appropriate action. The OIG had no results of
investigations that it conducted involving criminal misconduct to refer to the Department
of Justice, pursuant to the Inspector General Act of 1978, as amended.
46
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Statistical Data
Profile of Activities and Results
OIG audits and evaluations3
($ in millions)
April 1, 2020-
September 30, 2020
FY 2020
Questioned costsb $0,224
Potential monetary benefits0 $21.126
Audit and evaluation reports issued by OIGd 28
$1,375
$80,564
50
a Section 5(a)(22) requires detailed descriptions of the particular circumstances of
each inspection, evaluation, and audit conducted by the OIG that was closed and not
publicly disclosed. There were no instances of inspections, evaluations, or audits that
were closed and not publicly disclosed during the semiannual period ending
September 30, 2020. Investigations involving senior employees that were closed
during this semiannual reporting period are in Appendix 4.
b This measure includes single audits, which are audits of nonfederal entities
performed by private firms.
c This measure includes potential monetary benefits identified in reports and monetary
actions taken or resolved prior to report issuance.
d This measure includes performance and financial audits conducted in accordance
with generally accepted government auditing standards, as well as evaluations
conducted in accordance with the Quality Standards of Inspection and Evaluation.
Appendix 1 lists all reports issued.
Investigative operations
($ in millions)
April 1,2020-September
30, 2020
FY 2020
EPA OIG
EPA OIG
only
Joint*
Total
only
Joint*
Total
Total fines and recoveries
$0,008
$0,710
$0,718
$0,040
$0,710
$0,750
Cost savings
$0,059
$0,000
$0,059
$0,436
$0,085
$0,521
Civil settlements
$0,000
$0,000
$0,000
$0,000
$0,000
$0,000
Cases opened during period
52
36
88
105
46
151
Cases closed during period
46
13
59
102
27
129
Indictments/informations/complaints
1
6
7
1
11
12
Convictions
0
1
1
0
4
4
Civil judgments/settlements/filings
0
0
0
0
0
0
* With one or more federal agencies.
47
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Audit Report Resolution
Table 1: OIG-issued reports with questioned costs for semiannual period ending
September 30, 2020 ($ in thousands)
Report category
Number
of reports
Questioned
costs*
Unsupported
costs
A.
For which no management decision was made by
April 1, 2020**
11
$230
$0
B.
New reports issued during period
32
23
21
Subtotals (A + B)
43
$253
$21
C.
For which a management decision was made during
the reporting period:
27
(i) Dollar value of disallowed costs
$0
$0
(ii) Dollar value of costs not disallowed
0
0
D.
For which no management decision was made by
September 30, 2020
16
$253
$21
* Questioned costs include unsupported costs.
** Any difference in the number of reports and the amounts of questioned costs between this report and our previous
semiannual report results from corrections made to data in our audit tracking system.
Table 2: OIG-issued reports with recommendations that funds be put to better use for
semiannual period ending September 30, 2020 ($ in thousands)
Report category
Number of
reports
Funds to put to
better use
A. For which no management decision was made by April 1, 2020*
11
$49,803
B. New reports issued during the reporting period
32
21,149
Subtotals (A + B)
43
$70,952
C. For which a management decision was made during the reporting period:
27
(i) Dollar value of recommendations from reports that were
agreed to by management
16
$29,431
(ii) Dollar value of recommendations from reports that were
not agreed to by management
0
D. For which no management decision was made by September 30, 2020
$41,521
* Any difference in the number of reports and the amounts of funds put to better use between this report and our previous
semiannual report results from corrections made to data in our audit tracking system.
48
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Summary of Investigative Results
Summary of investigative activity for semiannual period ending September 30, 2020
Cases open as of April 1, 2020
135
Cases opened during period
88
Cases closed during period
59
Cases open as of September 30, 2020
164
Complaints open as of April 1, 2020*
19
Complaints opened during period
72
Complaints closed during period
86
Complaints open as of September 30, 2020
5
* Adjusted from prior period.
Results of prosecutive actions
EPA OIG only
Joint*
Total
Criminal indictments/informations/complaints**
1
6
7
Convictions
0
1
1
Civil judgments/settlements/filings
0
0
0
Criminal fines and recoveries
$0
$709,556
$709,556
Civil recoveries
$0
$0
$0
Prison time
0 months
72 months
72 months
Prison time suspended
0 months
0 months
0 months
Home detention
0 months
0 months
0 months
Probation
0 months
60 months
60 months
Community service
0 hours
0 hours
0 hours
* With one or more federal agencies.
** Sealed indictments are not included in this category.
Administrative actions
EPA OIG only
Joint*
Total
Suspensions
0
5
5
Debarments
2
4
6
Other administrative actions
20
7
27
Total
22
16
38
Administrative recoveries
$8,429
$0
$8,429
Cost savings
$58,828
$0
$58,828
* With one or more federal agencies.
49
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Semiannual Report to Congress April 1, 2020-September 30, 2020
Summary of investigative reports issued and referrals for prosecution*
Number of investigative reports issued**
3
Number of persons referred to U.S. Department of Justice for criminal prosecution
28
Number of persons referred to state and local authorities for criminal prosecution
7
Number of criminal indictments and informations resulting from any prior referrals to
prosecutive authorities
0
* Investigative reports comprise final, interim, and supplemental Reports of Investigation, as well as Final Summary
Reports.
** Reports of Investigation issued may differ from the numbers reported in the Reports of Investigation section.
In calculating the number of referrals, corporate entities were counted as "persons."
Employee integrity cases*
Political
appointees
SES
GS-14/15
GS-13 and
below
Misc.
Total
Pending as of April 1, 2020
8
4
9
26
3
50
Opened*
0
2
0
3
0
5
Closed*
0
2
6
12
0
20
Pending as of September 30, 2020 **
8
4
2
16
2
32
* Employee integrity investigations involve allegations of criminal activity or serious misconduct by Agency employees that
could threaten the credibility of the Agency, the validity of executive decisions, the security of personnel or business
information entrusted to the Agency, or financial loss to the Agency (such as abuse of government bank cards or theft of
Agency funds). Allegations against former employees are included under "Misc."
** Pending numbers as of September 30, 2020, may not add up due to investigative developments resulting in subjects
being added or changed.
The chart below provides a breakdown by grade and number of employees who are the subject of
employee integrity investigations.
Employee integrity cases: Breakdown by grade and number of employees
¦ Political Appointees
¦ 13 and below
50
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Appendices
Appendix 1—Reports Issued
Section 5(a)(6) of the Inspector General Act of 1978, as amended, requires a listing, subdivided according to subject matter, of each
report issued by the OIG during the reporting period. For each report, where applicable, the Inspector General Act also requires a listing
of the dollar value of questioned costs and the dollar value of recommendations that funds be put to better use.
Questioned costs Potential
Report
number
Report title
Date
Ineligible
Unsupported
Unreasonable
monetary
benefits
EVALUATIONS IN ACCORDANCE WITH
QUALITY STANDARDS FOR INSPECTION AND EVALUATION
20-E-0169
EPA Oversight Provided Reasonable Controls to Deter and Minimize
5/14/20
$0.00
$0.00
$0.00
$0.00
Trespassing at the Fort Ord Superfund Site
20-E-0177
EPA Toxic Substances Control Act Consent Orders Need Better
5/28/20
0.00
0.00
0.00
0.00
Coordination
20-E-0246
EPA's 2018 BEACH Act Report to Congress Does Not Fully Meet
8/13/20
0.00
0.00
0.00
0.00
Statutory Requirements
20-E-0295
Management Alert: EPA Region 5 Needs to Implement Effective
8/31/20
0.00
0.00
0.00
0.00
Internal Controls to Strengthen Its Records Management Program
20-E-0309
EPA Needs to Improve Processes for Securing Region 8's Local
9/10/20
0.00
0.00
0.00
11,477,250.00
Area Network
20-E-0332
EPA Has Sufficiently Managed Emergency Responses During the
9/28/20
0.00
0.00
0.00
0.00
Pandemic but Needs to Procure More Supplies and Clarify Guidance
20-E-0333
Improved EPA Oversight of Funding Recipients' Title VI Programs
9/28/20
0.00
0.00
0.00
0.00
Could Prevent Discrimination
SUBTOTAL = 7
$0.00
$0.00
$0.00
$11,477,250.00
FINANCIAL AUDITS IN ACCORDANCE WITH
GENERALLY ACCEPTED GOVERNMENT AUDITING STANDARDS
20-F-0135
Fiscal Years 2018 and 2017 Financial Statements for the Pesticide
Registration Fund
4/14/20
$0.00
$0.00
$0.00
$0.00
20-F-0184
Fiscal Years 2018 and 2017 Financial Statements for the Pesticides
Reregistration and Expedited Processing Fund
6/1/20
0.00
0.00
0.00
0.00
20-F-0244
EPA's Fiscal Years 2018 and 2017 Hazardous Waste Electronic
Manifest System Fund Financial Statements
8/10/20
0.00
0.00
0.00
0.00
20-F-0308
Fiscal Years 2019 and 2018 Financial Statements for the Pesticides
Reregistration and Expedited Processing Fund
9/8/20
0.00
0.00
0.00
0.00
20-F-0328
Fiscal Years 2019 and 2018 Financial Statements for the Pesticide
Reregistration and Expedited Processing Fund
9/23/20
0.00
0.00
0.00
0.00
20-F-0342
Audit of EPA's Toxic Substances Control Act Service Fee Fund
Financial Statements for the Period from Inception (June 22, 2016)
through September 30, 2018
9/30/20
0.00
0.00
0.00
8,418,837.00
SUBTOTAL = 6
$0.00
$0.00
$0.00
$8,418,837.00
PERFORMANCE AUDITS IN ACCORDANCE WITH
GENERALLY ACCEPTED GOVERNMENT AUDITING STANDARDS
20-P-0134
EPA May Have Overpaid for Its $13 Million Time and Attendance
System by Not Following IT Investment Requirements
4/13/20
$0.00
$0.00
$0.00
$1,200,000.00
20-P-0146
EPA's Processing Times for New Source Air Permits In Indian Country
Have Improved but Many Still Exceed Regulatory Time Frames
4/22/20
0.00
0.00
0.00
0.00
20-P-0167
EPA Complied with Improper Payments Legislation, but Internal
Controls Need Substantial Improvement to Ensure More Accurate
5/13/20
0.00
0.00
0.00
0.00
Reporting
51
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Questioned costs Potential
Report
number
Report title
Date
Ineligible
Unsupported
Unreasonable
monetary
benefits
20-P-0170
EPA Needs to Conduct Risk Assessments When Designing and
5/18/20
0.00
0.00
0.00
0.00
Implementing Programs
20-P-0173
Further Efforts Needed to Uphold Scientific Integrity Policy at EPA
5/20/20
0.00
0.00
0.00
0.00
20-P-0194
EPA's Office of the Chief Financial Officer Lacks Authority to Make
6/15/20
0.00
0.00
0.00
29,608.00
Decisions on Employee-Debt Waiver Requests
20-P-0200
EPA Needs to Address Internal Control Deficiencies in the
6/22/20
0.00
0.00
0.00
0.00
Agencywide Quality System
20-P-0203
EPA's Safer Choice Program Would Benefit from Formal Goals and
6/30/20
0.00
0.00
0.00
0.00
Additional Oversight
20-P-0204
EPA Needs to Improve Oversight of Research Assistance
6/30/20
0.00
0.00
0.00
0.00
Agreements
20-P-0236
EPA Needs to Improve Oversight of Flow States Implement Air
7/30/20
0.00
0.00
0.00
0.00
Emissions Regulations for Municipal Solid Waste Landfills
20-P-0245
EPA Needs to Strengthen Controls Over Required Documentation for
8/10/20
0.00
0.00
0.00
0.00
and Tracking of Intergovernmental Personnel Act Assignments
20-P-0247
Lack of Planning Risks EPA's Ability to Meet Toxic Substances
8/17/20
0.00
0.00
0.00
0.00
Control Act Deadlines
20-P-0331
EPA's Lack of Oversight Resulted in Serious Issues Related to an
9/25/20
0.00
0.00
0.00
0.00
Office of Water Contract, Including Potential Misallocation of Funds
20-P-0335
Regions 1 and 5 Need to Require Tribes to Submit More Detailed
9/29/20
2,038.00
20,830.00
0.00
0.00
Work Plans for Grants
20-P-0337
Data Used for Annual Toxics Release Inventory Are 99 Percent
9/30/20
0.00
0.00
0.00
0.00
Complete, but EPA Could Improve Certain Data Controls
SUBTOTAL=15
$2,038.00
$20,830.00
$0.00
$1,229,608.00
PROJECTS NOT IN ACCORDANCE WITH
GENERALLY ACCEPTED GOVERNMENT AUDITING STANDARDS
OR QUALITY STANDARDS FOR INSPECTION AND EVALUATION
20-N-0202
EPA's Initial Implementation of CARES Act Section 3610
6/29/20
$0.00
$0.00
$0.00
$0.00
20-N-0218
Fiscal Year 2020 U.S. Chemical Safety and Flazard Investigation
7/06/20
0.00
0.00
0.00
0.00
Board Management Challenges
20-N-0230
Internal Quality Assurance Review of EPA OIG Audit Assignments
7/16/20
0.00
0.00
0.00
0.00
Completed in Fiscal Year 2019
20-N-0231
EPA's FYs 2020-2021 Top Management Challenges
7/21/20
0.00
0.00
0.00
0.00
SUBTOTAL = 4
$0.00
$0.00
$0.00
$0.00
TOTAL REPORTS ISSUED = 32
$2,038.00
$20,830.00
$0.00
$21,125,695.00
52
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Appendix 2—Reports Issued Without Management Decisions
For Reporting Period Ending September 30, 2020
Section 5(a)(10)(A) of the Inspector General Act of 1978, as amended, requires a summary of each audit, inspection,
and evaluation report issued before the commencement of the reporting period for which no management decision
had been made by the end of the reporting period, an explanation of the reasons such management decision had not
been made, and a statement concerning the desired timetable for achieving a management decision on each such
report. Office of Management and Budget Circular A-50 requires resolution within six months of a final report being
issued. In this section, we report on audits and evaluations with no management decision or resolution within
six months of final report issuance. In the summaries below, we provide the resolution status of management
decisions not made as of September 30, 2020, which the OIG desires to resolve as soon as possible.
Section 5(a)(10)(B) of the Inspector General Act of 1978, as amended, requires a summary of each audit, inspection,
and evaluation report issued during the reporting period for which no establishment comment was returned within
60 days of providing the report to the establishment. The literal language of Section 5(a)(10)(B) requests the OIG to
track reports issued prior to commencement of the reporting period. However, given that this provision was intended
to codify the February 27, 2015 semiannual requests from Senators Grassley and Johnson, the OIG interprets this
provision to apply to reports within the semiannual period. There was one report for which we did not receive a
response within 60 days during the semiannual period. We discuss this report in the "Reports for Which No Response
Was Received Within 60 Days" section at the end of this appendix.
Office of Air and Radiation
Report No. 20-P-0047. EPA Failed to Develop Required Cost and Benefit Analyses and to Assess Air Quality
Impacts on Children's Health for Proposed Glider Repeal Rule Allowing Used Engines in Heavy-Duty Trucks,
December 5, 2019
Summary: The EPA did not comply with the requirements of Executive Orders 12866 and 13045 when developing
and issuing the proposed Glider Repeal Rule. Additionally, the EPA did not follow its principal rulemaking guidance—
the Action Development Process—in developing the proposed Glider Repeal Rule, nor did it meet Federal Records
Act requirements. The proposed repeal rule would relieve industry of the compliance requirements of the Phase 2
rule, which set emissions standards and production limits for gliders beginning January 1, 2018. According to
EPA managers and officials, the then-EPA administrator directed that the Glider Repeal Rule be promulgated as
quickly as possible. Although EPA officials were aware that available information indicated the proposed Glider
Repeal Rule was "economically significant," the then-EPA administrator directed the Office of Air and Radiation to
develop the proposed rule without conducting the analyses required by the executive orders for "economically
significant" rules. The lack of analyses caused the public to not be informed during the public comment period of the
proposed rule's benefits, costs, potential alternatives, and impacts on children's health. As of December 5, 2019, the
proposed Glider Repeal Rule was listed on the EPA's Fall 2019 Regulatory Agenda as "economically significant."
We recommended that the Agency identify for the public the substantive changes to the proposed rule made at the
suggestion or recommendation of the Office of Management and Budget's Office of Information and Regulatory
Affairs, conduct the required analyses prior to finalizing the repeal, provide the public a means to comment on the
analyses supporting the rulemaking, and document the decisions made. The Agency provided sufficient planned
corrective actions for two recommendations, while one recommendation remains unresolved.
Resolution Status: Resolution efforts are in progress for the remaining unresolved recommendation.
Office of Enforcement and Compliance Assurance
Report No. 18-P-0239. EPA Asserts Statutory Law Enforcement Authority to Protect Its Administrator
but Lacks Procedures to Assess Threats and Identify the Proper Level of Protection, issued September 4, 2018
Summary: The Protective Service Detail for the EPA administrator had no approved standard operating procedures
to address the level of protection required for the administrator or how those services were to be provided. As a
result, the detail incurred over $3.5 million in costs from February 1, 2017, through December31, 2017, forthe
then-EPA administrator—an increase of over 110 percent compared to the prior period's costs of $1.6 million for the
previous administrator—without documented justification. We also found that agents worked overtime without proper
justification, resulting in improper payments.
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We recommended that the EPA implement new policies, procedures, and guidance for Protective Service Detail
operations and agents; regularly complete a threat analysis to identify the proper protection required for the
administrator; and identify and report any improper payments to the Office of the Chief Financial Officer. Of the seven
recommendations issued to the Office of Enforcement and Compliance Assurance, one remains unresolved.
Resolution Status: The Agency provided responses on August 29, 2019; October 4, 2019; and March 31, 2020. We
informed the Agency on May 29, 2020, that its overtime analysis was incorrect. The Office of Enforcement and
Compliance Assurance agreed to make the corrections, but hard copy records needed to make the corrections are in
the office. Access to the office is limited due to the coronavirus pandemic. The recommendation remains unresolved.
Office of Land and Emergency Management
Report No. 20-P-0066. EPA Can Improve Incident Readiness with Better Management of Homeland Security
and Emergency Response Equipment, issued January 3, 2020
Summary: The EPA needs to improve its management of Homeland Security and Emergency Response equipment.
Specifically, we found that the EPA did not:
• Identify the Homeland Security and Emergency Response equipment needed to respond to a nationally
significant incident.
• Fully use its agencywide equipment system to track the availability of EPA-owned Homeland Security and
Emergency Response equipment.
• Address the status of Homeland Security and Emergency Response equipment that is unused or broken.
While the EPA has successfully responded to past incidents, there is a risk that—until it identifies a list of Homeland
Security and Emergency Response equipment it needs to meet its responsibilities during an incident—the Agency
may not have the correct equipment to respond to future incidents. Also, while the EPA spends $554,310 annually on
the Agency Asset Management System, which has the ability to manage and track the EPA's equipment, the Agency
is not using this functionality. Instead, the EPA spent an additional $2,365,938 to track the equipment outside of its
Agency Asset Management System, making it difficult for the EPA to have an accurate inventory of Homeland
Security and Emergency Response equipment. Compounding this problem is the mismanagement of unused or
broken equipment.
We recommended that the Agency create and maintain an official agencywide list of the equipment needed for
incidents, maintain one official agencywide management and tracking system for Homeland Security and Emergency
Response equipment, update the Agency Asset Management System to include missing equipment, implement
controls to verify and record the status of unused or broken equipment, and verify the implementation of internal
controls to justify the Agency keeping unused or broken equipment. The EPA agreed with two recommendations but
did not provide corrective actions, and it disagreed with the remaining three recommendations.
Resolution Status: The Agency provided a response to the final report on March 2, 2020, which proposed a
corrective action plan for the five recommendations. We accepted the Agency's planned corrective actions for four
recommendations, which met the intent of our recommendations. We did not consider the planned corrective action
acceptable for Recommendation 2. This recommendation—which is to maintain one official agencywide management
and tracking system that provides the status, availability, and acquisition costs for homeland security and emergency
response equipment—remains unresolved. In a memorandum dated August 17, 2020, we requested a revised
corrective action plan for Recommendation 2. On September 22, 2020, the Agency provided revised corrective
actions for Recommendation 2, which are currently under review by the OIG.
Office of Land and Emergency Management; Region 6 Regional Administrator
Report No. 20-P-0062. EPA Needs to Improve Its Emergency Planning to Better Address Air Quality Concerns
During Future Disasters, issued December 16, 2019
Summary: Most air toxic emission incidents during Hurricane Harvey occurred within a five-day period of the storm's
landfall. The majority of these emissions were due to industrial facilities shutting down and restarting operations in
response to the storm and storage tank failures. However, state, local, and EPA mobile air monitoring activities were
not initiated in time to assess the impact of these emissions. The air monitoring data collected did not indicate that the
levels of individual air toxics after Hurricane Harvey exceeded the health-based thresholds established by the State of
Texas and the EPA. These thresholds, however, do not consider the cumulative impact of exposure to multiple air
pollutants at one time. Consequently, the thresholds may not be sufficiently protective of residents in communities
that neighbor industrial facilities and experience repeated or ongoing exposures to air toxics. In addition, although we
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did not identify instances of inaccurate communication from the EPA to the public regarding air quality after Hurricane
Harvey, public communication of air monitoring results was limited.
We recommended that the assistant administrator for Land and Emergency Management develop guidance for
emergency air monitoring in heavily industrialized areas, develop a plan to provide public access to air monitoring
data, and assess the availability and use of remote and portable monitoring methods. We also recommended that the
Region 6 regional administrator develop a plan to inform communities near industrial areas of adverse health risks
and to limit exposure to air toxics in these communities, as well as conduct environmental justice training. In addition,
we recommended that the associate administrator for Public Affairs establish a process to communicate the
resolution of public concerns. Four recommendations, which we revised after we issued our draft report, remain
unresolved:
• Three recommendations issued to the Office of Land and Emergency Management remain unresolved.
Resolution Status: The EPA provided a formal response on February 28, 2020. The response is currently
under review by the OIG. Resolution efforts are underway.
• The one recommendation issued to the Region 6 Administrator remains unresolved.
Resolution Status: The EPA provided a formal response on February 28, 2020. The response is currently
under review by the OIG. Resolution efforts are underway.
Office of Mission Support
Report No. 20-P-0065. EPA Needs to Improve Management and Monitoring of Time-Off Awards,
issued December 30, 2019
Summary. The EPA successfully implemented interim policies and procedures for reviewing and approving monetary
awards that total more than $5,000 in a fiscal year for any one employee. However, the Agency does not follow
U.S. Office of Personnel Management guidance for valuing time-off awards. Specifically, the EPA does not assess a
value for time-off awards as part of its awards program. The Agency, therefore, cannot determine whether its time-off
awards are consistently assessed, approved at the appropriate level when combined with monetary awards, and
commensurate with employee achievements. We also found that the Agency does not monitor time-off awards as a
resource. From calendar years 2015 through 2017, the Agency awarded 355,511 hours—a total of over 170 full-time
positions—in time-off awards. However, these awards are not managed or monitored in regard to Agency productivity
or workload management. A large number of time-off hours awarded results in lost productivity, which can adversely
impact the Agency's mission.
We recommended that the assistant administrator for Mission Support (1) revise EPA Manual 3130 A2, Recognition
Policy and Procedures Manual, to establish a methodology to determine the equivalent value of time-off awards;
(2) update its 2016 interim policy to include the combined value of all awards—both monetary and time-off—when
determining the appropriate level of review and approval, and incorporate this update into EPA Manual 3130 A2; and
(3) establish internal control procedures to monitor time-off awards as part of EPA resource management. At the time
of report issuance, all three recommendations were unresolved.
Resolution Status: The Agency provided a memorandum on August 7, 2020, which outlined the EPA's planned
corrective actions and estimated milestone dates for the three recommendations. The OIG reviewed the Agency's
response and concluded that the planned actions did not meet the intent of the recommendations. The OIG issued a
memorandum on August 27, 2020, that explained why the planned actions did not meet the intent of the
recommendations. The recommendations remain unresolved.
Office of the Chief Financial Officer
Report No. 20-P-0063. Outdated EPA Leave Manual and Control Weaknesses Caused Irregularities in the
Office of Air and Radiation's Timekeeping Practices, issued December 19, 2019
Summary. Entitlements under the Family and Medical Leave Act of 1993 are not formalized in the EPA's Leave
Manual. Without a policy that is updated to reflect current law, staff and supervisors may not be aware of or fully
understand leave entitlements under the Act, which may result in decisions about leave that are contrary to public
law. Furthermore, our analysis of time-and-attendance records identified untimely prior-pay-period adjustments,
which resulted in salary overpayments. We also identified the improper approval of Travel Compensatory Time Off,
which is time off earned for time spent in a travel status away from the employee's official duty station that is not
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April 1, 2020-September 30, 2020
otherwise compensable. Without additional internal controls, employees can make after-the-fact timekeeping
adjustments to create salary overpayments or improperly restore leave balances. Employees may also receive Travel
Compensatory Time Off that is not in compliance with the EPA's Pay Administration Manual.
We made various recommendations to the Agency to improve its timekeeping practices, including updating the leave
policy to reflect current law and regulations pertaining to the Family and Medical Leave Act of 1993, establishing time
frames and controls for prior pay period adjustments, and enforcing compliance with the required time frames for the
submittal and approval of Travel Compensatory Time Off. We also recommended that the EPA determine whether
employees should forfeit improperly credited Travel Compensatory Time Off hours, as required by the EPA's Pay
Administration Manual, and whether the Agency should recover the value of awarded and used time off as needed.
The report included five recommendations: three to the Office of Mission Support, one to the Office of Air and
Radiation, and one to the Office of the Chief Financial Officer. Of the report's five recommendations, the one
recommendation issued to the Office of the Chief Financial Officer—to implement a policy that defines time frames for
time and attendance adjustments and implement controls in PeoplePlus to prevent adjustments, without prior
approval, after the established time frames—is unresolved.
Resolution Status: The Office of the Chief Financial Officer provided a response on September 24, 2020, which
included a corrective action for the unresolved recommendation. The Agency's response is currently under review by
the OIG.
Office of the Chief Financial Officer; Office of Chief of Staff
Report No. 19-P-0155. Actions Needed to Strengthen Controls over the EPA Administrator's and Associated
Staff's Travel, issued May 16, 2019
Summary: The OIG identified 40 trips and $985,037 in costs associated with the former administrator's travel for the
ten-month period from March 1 to December 31, 2017. This covered 34 completed and six canceled trips and
included costs incurred not only by the then-administrator but also by Protective Service Detail and other staff. We
estimated excessive costs of $123,942 regarding use of first- and business-class travel by the then-administrator and
accompanying Protective Service Detail agents. The exception that allowed for the travel accommodation was
granted without sufficient justification and, initially, without appropriate approval authority. Although the EPA's travel
policy is sufficiently designed to prevent fraud, waste, and abuse and is consistent with the Federal Travel
Regulation, we found that the policy did not initially outline who had the authority to approve the administrator's travel
authorizations and vouchers. This report made recommendations that remain unresolved to two offices:
• Of the ten recommendations issued to the Office of Chief Financial Officer, eight were unresolved when we
issued our final report, and four remain unresolved.
Resolution Status: The Office of the Chief Financial Officer provided a response to our final report on
March 31, 2020. The OIG reviewed the Agency's proposed corrections and concluded that corrective actions
for four of the unresolved recommendations met the intent of the recommendations. Those four
recommendations are resolved. On June 29, 2020, the OIG issued a memorandum to the Agency advising it
that the planned corrective actions provided for the other four recommendations did not meet the intent of
those recommendations, which remain unresolved. The OIG met with the Office of the Chief Financial Officer
on July 29, 2020, and September 16, 2020, to discuss the unresolved recommendations. Resolution efforts
are ongoing.
• The two recommendations issued to the Office of Chief of Staff remain unresolved.
Resolution Status: The OIG's meeting with the Office of the Chief Financial Officer on June 29, 2020,
included staff from the Office of the Administrator and a discussion of the unresolved recommendations.
Resolution efforts are ongoing.
Office of Water
Report No. 19-P-0318. EPA Must Improve Oversight of Notice to the Public on Drinking Water Risks to Better
Protect Human Health, issued September 25, 2019
Summary: Primacy agencies have the responsibility to oversee whether public water systems meet federal
requirements, including notifying consumers of certain situations regarding their drinking water. We found that some
primacy agencies do not consistently fulfill their responsibility to enforce drinking water public notice requirements.
Specifically, some primacy agencies do not consistently record violations, nor do they track the need for and issuance
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April 1, 2020-September 30, 2020
of public notices. In addition, the EPA's protocol for assessing primacy Agency oversight does not fully cover all
public notice requirements. As a result, not all primacy agencies know whether public water systems under their
supervision appropriately notify consumers about drinking water problems, and the EPA and primacy agencies do not
hold all public water systems to the same compliance standards. Of the nine recommendations issued, three are
unresolved.
Resolution Status: On May 19, 2020, the associate deputy administrator informed the OIG that he agreed with the
recommendations and delegated implementation of the corrective actions to the assistant administrator for Water.
The OIG has not yet received proposed corrective actions for the unresolved recommendations from the Office
of Water.
Total reports issued before reporting period for which no management decision had been made as of
September 30, 2020 = 8
Reports for Which No Response Was Received Within 60 Days
Office of Mission Support
Report No. 20-P-0200. EPA Needs to Address Internal Control Deficiencies in the Agencywide Quality
System, issued June 22, 2020
Summary: The Office of Mission Support has not fully implemented internal controls for the mandatory agencywide
Quality System. We found that the Office of Mission Support has not:
• Reviewed policies, procedures, and guidance within required time frames. For example, reviews of two
quality policies were 15 years overdue.
• Conducted required annual reviews for five years or conducted regular assessments of program and regional
quality systems. More than half of the systems had not had a review in the past six years.
• Assessed staff and resource needs since 2008 or performed a programmatic risk assessment.
• Developed a strategic plan for the agencywide Quality System.
• Implemented a tracking system.
• Provided training for the agencywide Quality System.
We made 15 recommendations to the assistant administrator for Mission Support to improve internal controls for the
agencywide Quality System. The OMS agreed with 13 recommendations, which are either completed or resolved with
corrective actions pending. Two recommendations remain unresolved.
Status: While the Agency did not provide a formal written response within 60 days of the final report, it engaged our
office in resolution discussions and emailed proposed corrective actions to address the two unresolved
recommendations on August 20, 2020. The Agency provided a formal written response on September 22, 2020,
which is currently under review by the OIG.
Total reports issued during the reporting period for which the Agency did not provide a written response
within 60 days, as of September 30, 2020 = 1
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Appendix 3—Reports with Corrective Action Not Completed
In compliance with reporting requirements of Sections 5(a)(3) and 5(a)(10)(C) of the Inspector General Act of 1978,
as amended, we are to identify each significant recommendation described in previous semiannual reports on which
corrective action has not been completed, as well as a summary of each audit, inspection, and evaluation report for
which there are any outstanding unimplemented recommendations. We are also to identify the aggregate potential
monetary benefits of the unimplemented recommendations.
This appendix contains separate tables of unimplemented recommendations described in previous semiannual
reports for the EPA and the CSB from 2008 to September 30, 2020, which were issued in 51 OIG audit reports.
There is a total of 112 current and unimplemented recommendations for the EPA with total potential monetary
benefits of approximately $74 million, $37 million of which was sustained and redeemed by the Agency. Sustained
cost is the dollar value of questioned costs or monetary benefits identified by the OIG during an audit or evaluation
and agreed to in whole or in part by the Agency. There are three CSB recommendations with $0,349 million of
sustained monetary benefits.
Below is a list of the responsible EPA offices and regions responsible for the recommendations in the following
tables. While a recommendation may be listed as unimplemented, the Agency may be on track to complete
agreed-upon corrective actions by the planned due date.
Responsible EPA Offices:
AA Associate Administrator
ADA Associate Deputy Administrator (within the Office of the Administrator)
DA Deputy Administrator (within the Office of the Administrator)
OAR Office of Air and Radiation
OCFO Office of the Chief Financial Officer
OCSPP Office of Chemical Safety and Pollution Prevention
OECA Office of Enforcement and Compliance Assurance
OGC Office of General Counsel
OITA Office of International and Tribal Affairs
OLEM Office of Land and Emergency Management
OMS1 Office of Mission Support
ORD Office of Research and Development
OW Office of Water
Region 2
Region 5
Region 6
Region 8
Region 9
Region 10
1 Effective November 26, 2018, the former Office of Environmental Information and Office of Administration and
Resources Management were merged into the new Office of Mission Support. In this appendix, any
recommendations originally issued to the former offices will be listed as under the purview of the new office.
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EPA Reports with Unimplemented Recommendations
Report title, number, and date
Office
Unimplemented recommendation
Planned
completion
date*
Revised
completion
date
Potential
monetary
benefits
(in $000s)
Category 1—Management and
Operations
EPA Did Not Accurately Report Under the
Grants Oversight and New Efficiency Act
and Needs to Improve Timeliness of
Expired Grant Closeouts
20-P-0126. March 31.2020
OMS
1. Correct and resubmit the 2017 and 2018 Grants Oversight and
New Efficiency Act reporting to the Office of Management and
Budget.
12/31/20
2. Establish internal controls to verify that accurate information on
grant awards is submitted in future Annual Financial Reporting.
12/31/20
3. Implement controls as required by EPA Order 5700.6 A2
CHG 2, Policy on Compliance, Review and Monitoring, to obtain
closeout strategies when Grants Management Offices are not
meeting the closeout metrics for grant awards.
U
6/15/20
4. Develop and implement Office of Grants and Debarment policy
specific to grant closeouts that have been delayed one year or
longer to escalate such instances to the Office of Grants and
Debarment for action in support of closeout efforts (regardless of
future collection of funds, audits, or reviews, as well as of property
management and disposition processes).
U
6/30/20
$8,282
EPA Needs to Improve Its Risk
Management and Incident Response
Information Security Functions
20-P-0120, March 24. 2020
OMS
1. Develop and maintain an up-to-date inventory of the software
and associated licenses used within the Agency.
2/5/20
2. Establish a control to validate that Agency personnel are
creating the required plans of action and milestones for
weaknesses that are identified from vulnerability testing but not
remediated within the Agency's established time frames per the
EPA's information security procedures.
12/31/21
EPA Can Improve Incident Readiness with
Better Management of Homeland Security
and Emergency Response Equipment
20-P-0066, January 3.2020
ADA and
OLEM
5. Require special team to verify implementation of internal
controls for their teams that justify maintaining unused or broken
equipment in accordance with requirements in the EPA Personal
Property Manual.
1/31/21
835
Outdated EPA Leave Manual and Control
Weaknesses Caused Irregularities in the
Office of Air and Radiation's Timekeeping
Practices
20-P-0063, December 19.2020
OMS
5. Evaluate and determine whether the improperly credited Travel
Compensatory Time Off should have been forfeited as required
by the EPA's Pay Administration Manual and, if so, whether the
time off or value of any time off used should be recovered.
1/31/21
EPA's Fiscal Years 2019 and 2018
(Restated) Consolidated Financial
Statements
20-F-0033. November 19. 2019
OCFO
1. Evaluate and improve the EPA's process for preparing financial
statements.
7/31/20
12/31/20
3. Update the accounting models to properly record collections
and not reduce an account receivable account.
9/30/21
4. Establish accounting models to properly record e-Manifest
account receivables and recognize earned revenue at the
transaction level.
9/30/21
5. Establish accounting models to properly classify and record
interest, fines, penalties and fees.
9/30/21
6. Establish accounting models to properly record receivables,
collections and earned revenue from federal versus nonfederal
vendors.
9/30/21
Management Alert: EPA Still Unable to
Validate that Contractors Received Role-
Based Training for Information Security
Protection
20-P-0007. October 21. 2019
OMS
3. Implement a plan to analyze the EPA's information technology
services contractual agreements initiated prior to EPA Acquisition
Guide 39.1.2 to (a) determine how many of these agreements
require modification to include role-based training requirements
and (b) include the training requirements in the respective
agreements.
4/10/20
2/28/20
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Report title, number, and date
Office
Unimplemented recommendation
Planned
completion
date*
Revised
completion
date
Potential
monetary
benefits
(in $000s)
Follow-Up Audit: EPA Took Steps to
Improve Records Management.
19-P-0283.Auaust27.2019
OGC
1. Issue an updated agency Freedom of Information Act policy
and procedure.
12/5/19
3/31/20
EPA Needs to Improve Oversight of the
Senior Environmental
Employment Program
19-P-0198, June 24. 2019
OMS
5. Revise the SEE Guidance and Procedures Manual to include
internal controls related to reviewing and setting wage rates, the
timing for pay scale reviews, and responsibilities.
4/30/20
8/30/20
EPA Overpaid Invoices Due to Insufficient
Contract Management Controls
19-P-0157. Mav 20. 2019
OMS
2. Establish internal controls to verify that all required Contractor
Performance Assessment Reporting System reports are finalized.
Complete fiscal years 2016 and 2017 reports for the contract
audited.
6/28/19
1/1/20
6. Revoke the certification of the contract-level Contracting
Officer's Representative responsible for paying invoices without
adequate review.
6/28/19
5
7. Investigate the circumstances surrounding the then-Office of
Environmental Information manager involved with these contract
transactions and determine whether the manager's actions were
appropriate. If not, implement appropriate actions.
6/28/19
Self-Insurance for Companies with
Multiple Cleanup Liabilities Presents
Financial and Environmental Risks for
OLEM
3. Update standard operating procedures and data systems to
accommodate the changes implemented for risk management
actions.
9/30/21
EPA and the Public
18-P-0059. December 22.2017
OLEM
4. Train staff on the implemented risk management actions.
12/31/21
OECA
5. Develop or update existing standard operating procedures to
outline the Office of Land and Emergency Management and
Office of Enforcement and Compliance Assurance roles and
responsibilities for overseeing the validity of Resource
Conservation and Recovery Act and Superfund financial
assurance instruments, where needed.
6/30/20
9/30/21
6. Develop and include procedures for checking with other
regions for facilities/sites with multiple self-insured liabilities in the
standard operating procedures created for Recommendation 5.
6/30/20
9/30/21
7. Develop and include instructions on the steps to take when an
invalid financial assurance instrument (expired, insufficient in
dollar amount, or not provided) is identified in the standard
operating procedures created for Recommendation 5 and collect
information on the causes of invalid financial assurance.
6/30/20
9/30/21
8. Train staff on the procedures and instructions developed for
Recommendations 5 through 7.
9/30/20
Conditions in the U.S. Virgin Islands
Warrant EPA Withdrawing Approval and
Taking Over Management of Some
Environmental Programs and Improving
Oversight of Others
15-P-0137. April 17. 2015
Region 2
18. Develop a plan to address currently uncompleted tasks and
activities, and develop a schedule for reprogramming grant funds
to accomplish these tasks if the U.S. Virgin Islands does not or
cannot complete them. Upon completion of the financial
management corrective actions, follow the Office of the Chief
Financial Officer's Resource Management Directive System 2520-
03 to determine whether any of the current unspent funds of
approximately $37 million under the U.S. Virgin Islands'
assistance agreements could be put to better use.
9/30/18
9/30/19
3/31/20
3/31/21
37,000
Internal Controls Needed to Control Costs
of Emergency and Rapid Response
Services Contracts, as Exemplified in
Region 6
14-P-0109, February 4.2014
Region 6
3. Direct contracting officers to require that the contractor adjust
all its billings to reflect the application of the correct rate to team
subcontract other direct costs.
9/30/24
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Report title, number, and date
Office
Unimplemented recommendation
Planned
completion
date*
Revised
completion
date
Potential
monetary
benefits
(in $000s)
EPA Oversight over Enterprise Customer
Service Solution Needs Improvement
19-P-0278.Auaust19.2019
OMS
6. Update the Capital Planning and Investment Control policy and
procedure to incorporate the existing requirement for the Agency
to document its formal evaluations of Capital Planning and
Investment Control "medium" and "lite" investments.
U
9/30/20
Pesticide Registration Fee, Vulnerability
Mitigation and Database Security Controls
for EPA's FIFRA and PRIA Systems Need
Improvement
19-P-0195. June 21.2019
OCSPP
2. Complete the actions and milestones identified in the Office of
Pesticide Programs' PRIA Maintenance Fee Risk Assessment
document and associated plan regarding the fee payment and
refund posting processes.
12/31/20
Insufficient Practices for Managing Known
Security Weaknesses and System
Settings Weaken EPA's Ability to Combat
Cyber Threats
19-P-0158, Mav21. 2019
OMS
1. Establish a control to validate that agency personnel are
creating the required plans of action and milestones for those
weaknesses identified from the vulnerability testing but not
remediated within the agency's established timeframes per the
EPA's information security procedures.
12/31/21
2. Establish a process to periodically review the agency's
information security weakness tracking system's settings to
validate that each setting is appropriately implemented and
compliant with the agency's standards.
10/31/19
EPA's Fiscal Years 2018 and 2017
Consolidated Financial Statements
19-F-0003. November 14. 2018
OMS
15. Perform a review of system requirements and evaluate the
suitability of existing technology to replace or implement updates
to the computer room's surveillance system and generators.
Update or replace, if warranted, the equipment based on the
results of the evaluation. (OARM)
1/15/22
Category 2—Water Quality
EPA Must Improve Oversight of Notice to
the Public on Drinking Water Risks to
Better Protect Human Health
19-P-0318, September 25.2019
OW
3. Define for primacy agencies and public water systems
acceptable methods and conditions under which the electronic
delivery of Tiers 2 and 3 notices meet the Safe Drinking Water
Act's direct delivery requirement.
9/30/20
4. Update the EPA's drinking water program review protocols to
include steps for reviewing Tier 3 notices and for citing primacy
agencies that do not retain complete public notice documentation.
12/31/20
5. Update and revise the 2010 Revised State Implementation
Guidance for the Public Notification Rule to include:
a. Public notice delivery methods that are consistent with
regulations.
b. Information on modern methods for delivery of public notice.
9/30/20
6. Update and revise the 2010 Public Notification Handbooks to
include:
a. Public notice delivery methods that are consistent with
regulations.
b. Information on modern methods for delivery of public notice.
c. Public notice requirements for the latest drinking water
regulations.
d. Procedures for public water systems to achieve compliance
after violating a public notice regulation.
e. Up-to-date references to compliance assistance tools.
f. Additional resources for providing public notice in languages
other than English.
9/30/20
OW and
OECA
7. Conduct a national review of the adequacy of primacy agency
implementation, compliance monitoring, reporting and
enforcement of the Safe Drinking Water Act's public notice
requirements.
12/31/20
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Report title, number, and date
Office
Unimplemented recommendation
Planned
completion
date*
Revised
completion
date
Potential
monetary
benefits
(in $000s)
OW and
OECA
9. Implement a strategy and internal controls to improve the
consistency of public notice violation data available in the EPA's
new national drinking water database, including the review and
update of open public notice violations prior to migrating the data
to the new database.
9/30/20
EPA Region 6 Quickly Assessed Water
Infrastructure after Hurricane Harvey but
Can Improve Emergency Outreach to
Disadvantaged Communities
19-P-0236, Julv 16, 2019
Region 6
2. Revise the Region 6 pre-landfall hurricane plan to incorporate
steps based on the results of outreach conducted during the
planning and pre-landfall preparation exercises.
3/31/21
EPA Region 5 Needs to Act on Transfer
Request and Petition Regarding Ohio's
Concentrated Animal Feeding Operation
Permit Program
19-N-0154, Mav 15, 2019
Region 5
2. Issue a decision regarding the citizen petition to withdraw
Ohio's National Pollutant Discharge Elimination System program
with respect to Concentrated Animal Feeding Operations and
related permitting authority.
3/31/20
12/31/20
Management Weaknesses Delayed
Response to Flint Water Crisis
18-P-0221. Julv 19. 2018
OW
1. Establish controls to annually verify that states are monitoring
compliance with all Lead and Copper Rule requirements,
including accurately identifying tier 1 sampling sites and
maintaining continuous corrosion control treatment.
U
9/20/19
3/31/20
2. Include in the revised Lead and Copper Rule the most
protective protocols for monitoring and corrosion control.
2/28/19
3/31/20
EPA Needs to Provide Leadership and
Better Guidance to Improve Fish Advisory
Risk Communications
17-P-0174.ADril12.2017
OW
1. Provide updated guidance to states and tribes on clear and
effective risk communication methods for fish advisories,
especially for high-risk groups. This guidance could recommend
posting fish advisory information at locations where fish are
caught and using up-to-date communication methods that include
social media, webinars, emails, newsletters, etc.
3/31/20
12/16/20
2. Working with states and tribes, develop and disseminate best
practices they can use to evaluate the effectiveness of fish
advisories in providing risk information to subpopulations, such as
subsistence fishers, tribes and other high fish-consuming groups.
3/30/20
12/16/20
EPA Needs to Further Improve How It
Manages Its Oil Pollution Prevention
Program
12-P-0253, February 6.2012
OLEM
1. Improve oversight of facilities regulated by the EPA's oil
pollution prevention program by: d. Producing a biennial public
assessment of the quality and consistency of Spill Prevention,
Control, Countermeasure Plans and Facility Response Plans
based on inspected facilities.
U
6/30/20
10/2/20
EPA Should Revise Outdated or
Inconsistent EPA-State Clean Water
Memoranda of Agreement
10-P-0224, September 14,2010
OW
2-2. Develop a systematic approach to identify which states have
outdated or inconsistent memorandums of agreements;
renegotiate and update those Memorandums of Agreements
using the Memorandum of Agreements template; and secure the
active involvement and final, documented concurrence of
headquarters to ensure national consistency.
9/28/18
9/30/20
62
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Report title, number, and date
Office
Unimplemented recommendation
Planned
completion
date*
Revised
completion
date
Potential
monetary
benefits
(in $000s)
Category 3—Environmental Contamination and Cleanup
Management Alert: Unapproved Use of
Slag at Anaconda Co. Smelter Superfund
Site
20-N-0030. November 18.2019
Region 8
1. Notify any individuals or businesses known to be involved in
the collection or sale of the slag that those are not approved uses
of slag. The OIG recommends that Region 8 identify any other
federal, state or local agencies with oversight on this matter and
notify those entities accordingly.
3/31/20
2. Determine how long and approximately how many souvenirs
bags of slag have been sold and determine what should be done
to inform purchasers of the health risks that the slag souvenirs
may pose to them.
3/31/20
3. Create and distribute, both in hard copy and via the EPA's
website, a fact sheet for the public that describes the potential
hazards associated with souvenir bags of slag, noting any
precautions that are needed, especially for children; how to
properly dispose of the bags, and any use, handling or storage of
the bags of slag.
3/31/20
While EPA Regions Enforce at Six
Superfund Sites Reviewed, Four of Those
Sites Remain in Significant
Noncompliance, and Nationwide
Reporting and Tracking Can Be Improved
20-P-001 I.October 24. 2019
OECA
1. Revise the August 2009 Guidance on Determining and
Tracking Substantial Noncompliance with CERCLA Enforcement
Instruments in CERCLIS to (a) better define "In Substantial
Noncompliance" and "Not in Substantial Noncompliance" and (b)
require correction of the Substantial Noncompliance status when
headquarters is consulted by the regions for an issue that meets
the Substantial Noncompliance definition.
6/30/20
2. Communicate to EPA regions clarified guidance on proper
designations of Substantial Noncompliance and how to report
them in the Superfund Enterprise Management System so that all
regions consistently identify instances of Substantial
Noncompliance.
8/31/20
3. Remind regions to correct and update the Superfund Enterprise
Management System compliance data as appropriate for all
active enforcement instruments.
8/31/20
4. Develop, document, and assign the roles and responsibilities of
headquarters staff for oversight of monitoring noncompliance with
Superfund enforcement instruments.
11/30/20
EPA Unable to Assess the Impact of
Hundreds of Unregulated Pollutants in
Land-Applied Biosolids on Human Health
and the Environment
19-P-0002. November 15.2018
OW
3. Complete development of the probabilistic risk assessment tool
and screening tool for biosolids land application scenarios.
12/31/21
4. Develop and implement a plan to obtain the additional data
needed to complete risk assessments and finalize safety
determinations on the 352 identified pollutants in biosolids and
promulgate regulations as needed.
12/31/22
6. Publish guidance on the methods for the biosolids pathogen
alternatives 3 and 4.
12/31/20
8. Issue updated and consistent guidance on biosolids fecal
coliform sampling practices.
12/31/20
EPA Needs to Finish Prioritization and
Resource Allocation Methodologies for
Abandoned Uranium Mine Sites on or
Near Navajo Lands
18-P-0233.Auaust22.2018
Regions 6
and 9
1. Complete the necessary removal site evaluations and
engineering evaluations/cost analyses.
12/31/20
2. Fully develop and implement prioritization and resource
allocation methodologies for the Tronox abandoned uranium mine
sites on or near Navajo Nation lands.
12/31/21
63
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Report title, number, and date
Office
Unimplemented recommendation
Planned
completion
date*
Revised
completion
date
Potential
monetary
benefits
(in $000s)
Improvements Needed in EPA Training
and Oversight for Risk Management
Program Inspections
13-P-0178. March 21. 2013
OLEM
7. Coordinate with the assistant administrator for Enforcement
and Compliance Assurance to revise inspection guidance to
recommend minimum inspection scope for the various types of
facilities covered under the program and provide detailed
examples of minimum reporting.
7/31/14
2/25/19
6/30/22
8. Coordinate with the assistant administrator for Enforcement
and Compliance Assurance to develop and implement an
inspection monitoring and oversight program to better manage
and assess the quality of program inspections, reports,
supervisory oversight, and compliance with inspection guidance.
9/30/14
2/28/20
6/30/23
Making Better Use of Stringfellow
Superfund Special Accounts
08-P-0196. Julv 9. 2008
Region 9
2. Reclassify or transfer to the Trust Fund, as appropriate,
$27.8 million (plus any earned interest less oversight costs) of the
Stringfellow special accounts in annual reviews, and at other
milestones including the end of Fiscal Year 2010, when the record
of decision is signed and the final settlement is achieved.
12/31/12
9/30/23
27,800
Category 4—Toxics, Chemical Safety, and Pesticides
EPA Toxic Substance Control Act
Consent Orders Need Better Coordination
20-E-0177, Mav 28, 2020
OCSPP
2. Implement a process to provide final Toxic Substances Control
Act Section 5(e) Consent Orders to regions with facilities subject
to the terms and conditions of the Consent Orders in an
appropriate time frame, and verify that EPA regions acknowledge
receipt of the final Toxic Substances Control Act Section 5(e)
Consent Orders. Corrective Action 2: The Agency has identified a
corrective action that will provide a searchable database of TSCA
Section 5(e) Consent Orders that will enable regions to focus on
compliance monitoring and enforcement activities they should
perform per OECA's National Program Guidance for fiscal years
2020-2021. The search tool is expected to be completed by
December 31,2020.
12/31/20
Management Controls Needed to Verify
and Report Border 2020 Program
Accomplishments
20-P-0083, February 18.2020
OITA
1. Establish and implement management controls to increase
reliability of the Border 2020: U.S.-Mexico Environmental Program
action plans by standardizing the action plan format to include key
data, such as the relevant goal, objective, subobjective, requests
for proposal, grant amount, and project status.
12/31/20
2. Establish and implement management controls to determine
how and when Policy Forums action plans will be developed.
12/31/20
3. Develop performance measures to track progress toward
Border 2020: U.S.-Mexico Environmental Program goals and
objectives.
10/1/20
4. Establish and implement management controls to increase
transparency of the Border 2020: U.S.-Mexico Environmental
Program by sharing the North American Development Bank
subgrantee fact sheets on the EPA's Border 2020 Program
website.
12/31/20
5. Establish and implement management controls to increase
transparency of the Border 2020: U.S.-Mexico Environmental
Program by providing stakeholder and public access, as
appropriate, to the program's funded products such as studies,
reports, and videos on the EPA's Border 2020 Program website.
12/31/20
64
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Report title, number, and date
Office
Unimplemented recommendation
Planned
completion
date*
Revised
completion
date
Potential
monetary
benefits
(in $000s)
Tribal Pesticide Enforcement Comes
Close to Achieving EPA Goals, but Circuit
Rider Inspector Guidance Needed
20-P-0012. October 29.2019
OECA
1. Require circuit riders to include the pesticide needs and risks of
each tribe on their circuit in the development of their priority-
setting plans, which are a required component of tribal pesticide
enforcement cooperative agreements.
12/31/22
2. Develop and implement tribal circuit rider guidance for pesticide
inspectors that includes expectation-setting and communication
with tribes that are being served under a tribal pesticide
enforcement cooperative agreement.
12/31/22
3. Develop and implement regional processes to receive feedback
directly from tribes using pesticide circuit riders.
12/31/22
EPA Not Effectively Implementing the
Lead-Based Paint Renovation, Repair and
Painting Rule
19-P-0302, September 9,2019
OECA
1. Identify the regulated universe of Lead-Based Paint
Renovation, Repair and Painting Rule firms in support of regional
targeting strategies, in coordination with the Office of Chemical
Safety and Pollution Prevention.
U
12/31/21
2. Establish Lead-Based Paint Renovation, Repair and Painting
Rule enforcement objectives, goals, and measurable outcomes.
U
7/1/21
3. Establish management oversight controls to verify that Lead-
Based Paint Renovation, Repair and Painting Rule Program
guidance and expectations are being met; this may also involve
specific reporting requirements for regions and authorized states
and tribes.
U
10/1/20
4. Establish or identify an effective forum to document and share
best practices and innovations related to the Lead-Based Paint
Renovation, Repair and Painting Rule Program.
U
10/1/20
OCSPP
5. Establish specific guidelines for resources and funding
allocated to the Lead-Based Paint Renovation, Repair and
Painting Rule Program that will further the goals of the Federal
Action Plan to Reduce Childhood Lead Exposures and
Associated Health Impacts.
12/31/20
6. Establish the Lead-Based Paint Renovation, Repair and
Painting Rule Program's objectives, goals and measurable
outcomes, such as measures to demonstrate the effectiveness of
program contributions toward decreasing elevated blood lead
levels.
12/31/20
EPA Needs to Determine Strategies and
Level of Support for Overseeing State
Managed Pollinator Protection Plans
19-P-0275, Auaust 15,2019
OCSPP
5. Determine how the EPA can use the Managed Pollinator
Protection Plan survey results to advance its National Program
Manager Guidance goals and its regulatory mission.
6/30/21
Measures and Management Controls
Needed to Improve EPA's Pesticide
Emergency Exemption Process
18-P-0281, September 25,2018
OCSPP
5. Develop concise emergency exemption application guidance
that specifies the minimum requirements of an application
submission and is available on the Office of Pesticide Programs
Section 18 website.
9/30/20
6. Provide clear guidance to state lead agencies on how and
when they can use efficacy data from other state lead agencies to
satisfy the emergency exemption application criteria.
9/30/20
EPA Needs to Evaluate the Impact of the
Revised Agricultural Worker Protection
Standard on Pesticide Exposure Incidents
18-P-0080. February 15.2018
OCSPP
1. In coordination with the Office of Enforcement and Compliance
Assurance, develop and implement a methodology to evaluate
the impact of the revised Agricultural Worker Protection Standard
on pesticide exposure incidents among target populations.
U
12/31/22
EPA Needs to Manage Pesticide Funds
More Efficiently
17-P-0395. September 18.2017
OCSPP
2. Develop and implement a plan to reduce excess Pesticides
Reregistration and Expedited Processing Fund and Pesticide
Registration Fund balances within the established target range.
12/31/21
65
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Report title, number, and date
Office
Unimplemented recommendation
Planned
completion
date*
Revised
completion
date
Potential
monetary
benefits
(in $000s)
Additional Measures Can Be Taken to
Prevent Deaths and Serious Injuries from
Residential Fumigations,
17-P-0053. December 12.2016
OCSPP
3. Conduct an assessment of clearance devices to validate their
effectiveness in detecting required clearance levels, as part of the
Office of Pesticide Programs ongoing reevaluation of structural
fumigants.
11/30/17
8/31/21
Category 5—Air Quality
Management Alert: Prompt Action Needed
to Inform Residents Living Near Ethylene
Oxide-Emitting Facilities About Health
Concerns and Actions to Address Those
Concerns
20-N-0128, March 31, 2020
ADA
1. Improve and continue to implement ongoing risk
communication efforts by promptly providing residents in all
communities near the 25 ethylene oxide-emitting facilities
identified as high-priority by the EPA with a forum for an
interactive exchange of information with the EPA or the states
regarding health concerns related to exposure to ethylene oxide.
U
9/30/20
EPA Needs to Improve Its Emergency
Planning to Better Address Air Quality
Concerns During Future Disasters
20-P-0062, December 16,2019
AAof
Public
Affairs
5. Revise the EPA's Crisis Communication Plan to include a
communication process to inform affected communities about the
resolution of community concerns raised during an emergency.
12/30/20
More Effective EPA Oversight Is Needed
for Particulate Matter Emissions
Compliance Testing
19-P-0251, Julv 30. 2019
OECA
1. Develop and implement a plan for improving the consistency of
stack test reviews across EPA regions and delegated agencies.
3/31/22
OAR
2. Assess the training needs of EPA regions and state, local, and
tribal agencies concerning stack test plans and report reviews and
EPA test methods and develop and publish a plan to address any
training shortfalls.
3/31/22
3. Develop stack test report checklists for EPA Method 5 and
other frequently used EPA methods to assist state, local, and
tribal agencies in their review of stack test plans and reports.
6/30/21
Region 10
5. Develop a communication plan to make all state and local
agencies within Region 10 aware of EPA requirements and
guidance for conducting stack testing oversight.
5/31/22
6. Develop and implement controls to assess delegated agencies'
stack testing oversight activities.
3/31/22
12/21/22
EPA Failed to Develop Required Cost and
Benefit Analyses and to Assess Air
Quality Impacts on Children's Health for
Proposed Glider Repeal Rule Allowing
Used Engines in Heavy-Duty Trucks
20-P-0047, December 5,2019
OAR
1. In consultation with the Associate Administrator for Policy, for
the proposed Glider Repeal Rule, per identify for the public (e.g.,
via the public substantive change of economic significance
submitted to the Office of Information and review and the action
subsequently whether that change was made at the
recommendation of the Office of Affairs.
12/31/19
3/31/21
EPA Effectively Screens Air Emissions
Data from Continuous Monitoring Systems
but Could Enhance Verification of System
Performance
19-P-0207. June 27.2019
OAR
1. Develop and implement electronic checks in the EPA's
Emissions Collection and Monitoring Plan System or through an
alternative mechanism to retroactively evaluate emissions and
quality assurance data in instances where monitoring plan
changes are submitted after the emissions and quality assurance
data have already been accepted by the EPA.
3/31/25
66
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Report title, number, and date
Office
Unimplemented recommendation
Planned
completion
date*
Revised
completion
date
Potential
monetary
benefits
(in $000s)
EPA Demonstrates Effective Controls for
Its On-Road Heavy-Duty Vehicle
Compliance Program; Further
Improvements Could Be Made
19-P-0168. June 3. 2019
OAR
1. Define performance measures to assess the performance of
the EPA's on-road heavy-duty vehicle and engine compliance
program.
9/30/22
2. Conduct and document a risk assessment for the on-road
heavy-duty vehicle and engine compliance program that
prioritizes risk and links specific control activities to specific risks.
Update the risk assessment on a scheduled and periodic basis.
6/30/21
3. Address the following risks as part of the on-road heavy-duty
vehicle and engine compliance program risk assessment, in
addition to other risks that the EPA identifies:
a. Non-criteria pollutants not being measured.
b. Level of heavy-duty sector testing throughout the compliance
life cycle.
c. Marketplace ambiguity over regulatory treatment of rebuilt
versus remanufactured engines.
d. Different compliance challenges for heavy-duty compression-
ignition and spark-ignition engines.
e. Lack of laboratory test cell and in-house testing capacity for
heavy-duty spark-ignition engines.
9/30/21
4. Evaluate the following issues, which may require regulatory or
programmatic action, as part of (1) the on-road heavy-duty vehicle
and engine emission control program risk assessment and (2) the
EPA's annual regulatory agenda development process:
a. Regulatory definition of on-road heavy-duty engine useful life
may not reflect actual useful life.
b. Not-to-Exceed standard may not reflect real-world operating
conditions, especially for certain applications.
c. In-use testing requirements for heavy-duty spark-ignition
engines may be needed.
d. A particle number standard may more accurately control
particulate matter emissions that impact human health.
9/30/22
6. Conduct and document an evaluation of opportunities to
reassess the manufacturer in-use testing program, including the
use of targeted, nonstandard testing in areas of concern.
9/30/20
3/31/21
EPA Did Not Identify Volkswagen
Emissions Cheating; Enhanced Controls
Now Provide Reasonable Assurance of
Fraud Detection
18-P-0181.Mav15.2018
OAR
1. Define performance measures to assess the performance of
the EPA's light-duty vehicle compliance program.
3/31/21
67
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Report title, number, and date
Office
Unimplemented recommendation
Planned
completion
date*
Revised
completion
date
Potential
monetary
benefits
(in $000s)
Improved Data and EPA Oversight Are
Needed to Assure Compliance With the
Standards for Benzene Content in
Gasoline
17-P-0249. June 8. 2017
OAR
1. Improve controls over the reporting system to assure facility-
submitted data are of the quality needed to assess compliance
with the regulations. These controls should provide reasonable
assurance that the following occurs:
a. Volumes and average benzene concentrations in facilities'
annual benzene reports match those calculated based on their
batch reports.
b. Benzene concentrations in facility batch reports and annual
benzene reports contain two decimal places.
c. Production dates match the compliance year in facility
reports.
d. Facilities use only valid product codes in their reports.
e. Only valid company and facility identification numbers are
used.
f. Maximum average benzene concentrations for the second
compliance period and beyond match the corresponding annual
average benzene concentrations.
g. Import companies aggregate their facilities and submit just
one annual benzene report.
h. All required reports are submitted.
U
6/30/20
12/31/20
3. Revise the benzene regulations to require that attest
engagements verify annual average benzene concentrations and
volumes with batch reports, to ensure that credits needed or
generated are correct.
U
9/30/20
6. Ensure the integrity of benzene credit trading by developing
and implementing a process to verify that annual average
benzene concentration and total volume values that facilities input
into the trading database are supported by batch reports.
6/30/20
12/31/20
9. Revise the annual benzene report so that facilities must report
the number of benzene deficits or credits at the end of the current
reporting year.
9/30/20
EPA Has Not Met Certain Statutory
Requirements to Identify Environmental
Impacts of Renewable Fuel Standard
16-P-0275, Auaust 18.2016
OAR
2. Complete the anti-backsliding study on the air quality impacts
of the Renewable Fuel Standard as required by the Energy
Independence and Security Act.
9/30/24
3. Determine whether additional action is needed to mitigate any
adverse air quality impacts of the Renewable Fuel Standard as
required by the Energy Independence and Security Act.
9/30/24
Category 6—Research and Lai
b oratories
Regional Research Programs Address
Agency Needs but Could Benefit from
Enhanced Project Tracking
19-P-0123. Aoril 18. 2019
ORD
1. Complete data entry of all Regional Sustainability and
Environmental Sciences projects into the Regional Science
Program Tracker.
10/1/20
2. Verify and update information for Regional Applied Research
Effort projects in the Regional Science Program Tracker.
10/1/20
3. Update the Regional Science Program Tracker to improve
Regional Applied Research Effort/Regional Sustainability and
Environmental Sciences project tracking by including:
a. A timeline with significant dates/milestones and events.
b. Significant products/outputs that stem from a project,
including interim products/outputs to show project progress prior
to completion/final report.
c. A feature to prompt staff to add impacts and/or evidence of
use of project results in decision-making.
10/1/20
68
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Report title, number, and date
Office
Unimplemented recommendation
Planned
completion
date*
Revised
completion
date
Potential
monetary
benefits
(in $000s)
4. Update the Regional Applied Research Effort Program Annual
Process Guidelines to require that Regional Science Liaisons use
the Regional Science Program Tracker and increase awareness
of the system among regional staff as a one-stop source of
information on regional research projects.
10/1/20
EPA Needs a Comprehensive Vision and
Strategy for Citizen Science that Aligns
with Its Strategic Objectives on Public
Participation
18-P-0240, September 5,2018
DA
1. Establish a strategic vision and objectives for managing the use
of citizen science that identifies:
a. Linkage to the agency's strategic goals,
b. Roles and responsibilities for implementation, and
c. Resources to maintain and build upon existing agency
expertise.
12/31/20
2. Through appropriate EPA offices, direct completion of an
assessment to identify the data management requirements for
using citizen science data and an action plan for addressing those
requirements, including those on sharing and using data, data
format/standards, and data testing/validation.
12/31/20
ORD
3. Finalize, in coordination with the Office of Environmental
Information and Region 1, the Draft Quality Assurance Handbook
for Citizen Science, and communicate to Agency staff and citizen
science groups the availability and content of this handbook.
12/31/20
4. Build capacity for managing the use of citizen science, and
expand awareness of citizen science resources, by:
a. Finalizing the checklist on administrative and legal factors for
Agency staff to consider when developing citizen science
projects, as well as identifying and developing any procedures
needed to ensure compliance with steps in the checklist.
b. Conducting training and/or marketing on the EPA's citizen
science intranet site for program and regional staff in
developing projects.
c. Finalizing and distributing materials highlighting project
successes and how the EPA has used results of its investment
in citizen science.
12/31/20
Total
$73,922
U—Unresolved when the report was issued and resolved at a later date.
69
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Semiannual Report to Congress April 1, 2020-September 30, 2020
CSB Reports with Unimplemented Recommendations
Report title, number, and date
Office
Unimplemented recommendation
Planned
completion
date
Revised
completion
date
Potential
monetary
benefits
(in $000s)
Category 1—Management and
Operations
CSB Needs to Continue to
Improve Agency Governance
and Operations
16-P-0179. Mav23. 2016
CSB
6. Include the General Services Administration in any future office leasing
plans and revisit office needs for a potential adjustment or supplement to
the Washington, D.C., and Denver office leases to reduce space within the
General Services Administration benchmarks.
10/20/22
$349
CSB Still Needs to Improve Its
'Incident Response' and 'Identity
and Access Management
Information Security Functions
19-P-0147.Mav9.2019
CSB
1. Implement use of Homeland Security Presidential Directive-12, regarding
Personal Identity Verification card technology for physical and logical
access, as required. If unable to implement this card technology, obtain a
waiver from the Office of Management and Budget not to operate as
required by the National Institute of Standards and Technology.
10/28/19
3/31/20
12/30/20
CSB's Information Security
Program Is Defined, but
Improvements Needed in Risk
Management, Identity and
Access Management, and
Incident Response
20-P-0077, February 12.2020
CSB
1. Define and document risk management procedures for identifying,
assessing and managing information technology supply chain risk.
4/30/20
6/30/21
Total
$349
70
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Appendix 4—Closed Investigations Involving Senior Employees
For Reporting Period Ending September 30,2020
Section 5(a)(19) of the Inspector General Act of 1978, as amended, requires a report on each investigation involving a
senior government employee where allegations of misconduct were substantiated. Section 5(a)(22) of the Inspector
General Act requires a detailed description of the particular circumstances of any investigation conducted by the OIG
involving a senior government employee that is closed and was not disclosed to the public. Details on each investigation
conducted by the OIG involving senior employees closed during the semiannual reporting period ending September 30,
2020, are provided below.
CASE NUMBER: OI-HQ-2020-ADM-0Q17
An EPA GS-15 employee allegedly violated ethics requirements by working as a real estate agent during
nonworking hours. The investigation determined that the employee obtained an off-duty employment
authorization to work as a realtor from the employee's designated ethics official. The allegation was not
supported.
CASE NUMBER: OI-AT-2020-ADM-0Q18
An EPA SES employee allegedly had, or gave the appearance of having, an inappropriate relationship with an
EPA Region 4 contractor. The employee also allegedly directed EPA contracts to this contractor because of
their relationship. The investigation found that the employee's actions led to an appearance of bias toward the
EPA contractor and an appearance that the employee caused contract awards to be directed to the contractor.
The investigation also determined that the employee's actions were within the employee's authority and
established contracting procedures. The investigation identified no evidence of criminal wrongdoing by the
employee, who retired from federal service before the investigation was completed.
CASE NUMBER: QI-CH-2019-ADM-0026
An EPA GS-15 employee allegedly directed employees to expedite the installation of an electric vehicle
charging station, which resulted in the misuse of a government purchase card. The investigation determined that
the GS-15 employee did not want to solicit bids from contractors to install an electric vehicle charging station
and instead opted to use a government purchase card to pay for the installation to expedite the process. The
purchase violated the card's authorizations. The allegation was supported. EPA management took corrective
action. The employees directed by the GS-15 each received a two-day suspension and a written warning.
CASE NUMBER: OI-AT-2020-ADM-0Q45
An EPA GS-15 employee allegedly instructed managers to falsify an EPA GS-13 employee's timesheet while
the employee was incarcerated. The GS-13 employee was authorized to telework from a substance abuse
rehabilitation center from October 2019 to May 2020, which is allowed under the collective bargaining
agreement and applicable regulations. The investigation determined that the GS-13 employee improperly
received one week of regular pay while incarcerated at a detention center and that the timesheet was certified
using an administrative EPA headquarters code associated with the 2018-2019 government shutdown. The
allegation of false statements was not supported. There was also an allegation that the GS-13 employee
received regular pay while on leave without pay. That allegation was supported. Based on the investigation, the
GS-13 employee was issued a debt letter to recover the funds.
CASE NUMBER: QI-HQ-2019-ADM-0088
An EPA SES employee allegedly authorized a GS-15 employee to maintain an off-the-books compensatory time
record log. The investigation determined that the allegation was over 12 years old. The allegation was not
supported. It was also alleged that the EPA SES employee misused an EPA government vehicle by transporting
a family member and pet in the government vehicle on several occasions, as well as transported a boat using a
government vehicle. The investigation determined the actions by the employee were not willful; therefore, the
allegations regarding the misuse of a government vehicle were not supported.
71
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Appendix 5—Peer Reviews Conducted
For Reporting Period Ending September 30,2020
Section 5(a)(14) of the Inspector General Act of 1978, as amended, requires an appendix containing the results of any peer
review conducted of the EPA OIG by another OIG during the reporting period or, if no such peer review was conducted, a
statement identifying the date of the last peer review conducted of the EPA OIG by another OIG. Section 5(a)(15) of the
Inspector General Act requires a list of any outstanding recommendations from any peer review conducted of the EPA OIG
by another OIG that have not been fully implemented. Section 5(a)(16) of the Inspector General Act requires a list of all peer
reviews conducted by the EPA OIG of another OIG during the reporting period, including a list of any recommendations from
any previous peer review that remain outstanding.
The EPA OIG did not conduct any peer reviews of other OIGs during the semiannual reporting period. The following are the
most recent peer reviews conducted by another OIG of the EPA OIG. There are no outstanding recommendations from
these peer reviews.
Audits
The most recent peer review report on the EPA OIG was issued on June 18, 2018, by the
U.S. Department of Defense OIG. That review, covering the three-year period ending September 30,
2017, found that the EPA OIG's system of quality control was suitably designed and complied with to
provide the EPA OIG with reasonable assurance of performing and reporting in conformity with
applicable professional standards in all material respects. The EPA OIG received an external peer
review rating of pass.
Investigations
The General Services Administration OIG completed the most recently mandated Council of the
Inspectors General on Integrity and Efficiency quality assurance review of the EPA OIG Office of
Investigations and issued its report on June 11, 2018. The General Services Administration identified no
deficiencies and found internal safeguards and management procedures compliant with quality
standards.
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Semiannual Report to Congress
April 1, 2020-September 30, 2020
Appendix 6—OIG Mailing Addresses and Telephone Numbers
Headquarters
U.S. Environmental Protection Agency
Office of Inspector General
1200 Pennsylvania Ave., NW (2410T)
Washington, D.C. 20460
(202) 566-0847
Atlanta
U.S. Environmental Protection Agency
Office of Inspector General
61 Forsyth Street, SW
Atlanta, GA 30303
Audit/Evaluation: (404) 562-9830
Investigations: (404) 562-9857
Boston
U.S. Environmental Protection Agency
Office of Inspector General
5 Post Office Square (Mail Code: 15-1)
Boston, MA 02109-3912
Audit/Evaluation: (617) 918-1475
Investigations: (617) 918-1466
Chicago
U.S. Environmental Protection Agency
Office of Inspector General
77 West Jackson Boulevard
13th Floor (IA-13J)
Chicago, IL 60604
Audit/Evaluation: (312) 353-2486
Investigations: (312) 886-7167
Cincinnati
U.S. Environmental Protection Agency
Office of Inspector General
26 West Martin Luther King Drive
Cincinnati, OH 45268-7001
Audit/Evaluation: (513) 487-2363
Investigations: (212) 637-3040
Offices
Dallas
U.S. Environmental Protection Agency
Office of Inspector General - 4th Floor
1201 Elm Street
Dallas, TX 75270
Audit/Evaluation: (214) 665-6621
Investigations: (214) 665-2249
Denver
U.S. Environmental Protection Agency
Office of Inspector General
1595 Wynkoop Street, 4th Floor
Denver, CO 80202
Audit/Evaluation: (303) 312-6969
Investigations: (303) 312-6868
Kansas City
U.S. Environmental Protection Agency
Office of Inspector General
11201 Renner Boulevard
Lenexa, KS 66219
Audit/Evaluation: (913) 551-7878
Investigations: (913) 551-7420
New York
U.S. Environmental Protection Agency
Office of Inspector General
290 Broadway, Suite 1520
New York, NY 10007
Audit/Evaluation: (212) 637-3049
Investigations: (212) 637-3040
Philadelphia
U.S. Environmental Protection Agency
Office of Inspector General
1650 Arch Street, 3rd Floor
Philadelphia, PA 19103-2029
Audit/Evaluation: (215) 814-2326
Investigations: (215) 814-2470
Research Triangle Park
U.S. Environmental Protection Agency
Office of Inspector General
Mail Drop N283-01
Research Triangle Park, NC 27711
Audit/Evaluation: (919) 541 -1030
Investigations: (919) 541-3668
San Francisco
U.S. Environmental Protection Agency
Office of Inspector General
75 Hawthorne Street (IGA-1-2)
8th Floor
San Francisco, CA 94105
Audit/Evaluation: (415) 947-4527
Investigations: (415) 947-4506
Seattle
U.S. Environmental Protection Agency
Office of Inspector General
Mail Code 17-H13
1200 Sixth Avenue, Suite 155
Seattle, WA 98101-3140
Audit/Evaluation: (206) 553-2999
Investigations: (206) 553-1273
The EPA OIG is unable to receive regular mail or faxes because of mandatory telework during the coronavirus pandemic. We are still able to
receive and respond to phone calls.
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