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OFFICE OF
INSPECTOR
GENERAL
U.S. ENVIRONMENTAL
PROTECTION AGENCY
Semiannual
Report to Congress
April 1, 2021-September 30, 2021
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Index of Reporting Requirements
Inspector General Act of 1978, as amended
Requirement
Subject
Addressed in
Section 4(a)(2)
Recommendations concerning impact of existing and proposed legislation and regulations
Section 1.6
Section 5(a)(1)
Significant problems, abuses, and deficiencies
Section 2.1
Section 5(a)(2)
Significant recommendations for corrective action
Section 2.1
Section 5(a)(3)
Reports with corrective action not completed
Appendix 3
Section 5(a)(4)
Matters referred to prosecutive authorities
Sections 2.1, 2.2, and 3.2;
Appendix 4
Section 5(a)(5)
Information or assistance refused
Section 2.3
Section 5(a)(6)
List of reports issued
Appendix 1
Section 5(a)(7)
Summaries of significant reports
Section 2.1
Section 5(a)(8)
Audit, inspection, and evaluation reports—questioned costs
Section 3.1
Section 5(a)(9)
Audit, inspection, and evaluation reports—funds to be put to better use
Section 3.1
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
Appendixes 2 and 3
Section 5(a) (11)
Significant revised management decisions
n/a
Section 5(a) (12)
Significant management decisions with which OIG disagreed
Appendix 2
Section 5(a) (14-16)
Peer reviews conducted
Appendix 5
Section 5(a)(17—18)
Statistics on investigative reports, referrals, prosecutions, and indictments
Section 3.2
Section 5(a) (19)
Substantiated investigations involving senior government employees
Appendix 4
Section 5(a) (20)
Instances of whistleblower retaliation
Section 2.3
Section 5(a) (21)
Any establishment attempts to interfere with independence
Section 2.3
Section 5(a) (22)
Closed audits, evaluations, and investigations not disclosed to public
Appendix 4
Abbreviations
CSB
EPA
FY
OIG
U.S.C
U.S. Chemical Safety and Hazard Investigation Board
U.S. Environmental Protection Agency
Fiscal Year
Office of Inspector General
United States Code
Are you aware of fraud, waste, or abuse in an
EPA or CSB program?
EPA Inspector General Hotline
1200 Pennsylvania Avenue, NW(2431T)
Washington, D.C. 20460
(888) 546-8740
(202) 566-2599 (fax)
OIG Hotline@epa.gov
Learn more about our OIG Hotline.
EPA Office of Inspector General
1200 Pennsylvania Avenue, NW (2410T)
Washington, D.C. 20460
(202) 566-2391
www.epa.gov/oiq
Subscribe to our Email Updates
Follow us on Twitter @EPAoig
Send us your Project Suggestions
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Message to Congress
The second half of fiscal year 2021 marked a period of remarkable accomplishment for the
U.S. Environmental Protection Agency's Office of Inspector General. As the inspector general
for both EPA and the U.S. Chemical Safety and Hazard Investigation Board, I am proud that
OIG has proven itself to be a force for positive change. While the significance of our body of
work over the last six months is evident throughout the pages of this semiannual report,
I highlight a few of our most distinctive achievements below.
Providing Value to the American Public. During this semiannual reporting period,
OIG reaped significant benefits, both monetary and environmental, on behalf of the
U.S. taxpayer. Of particular note:
• Chemical testing laboratory CH2MHUI Inc. reimbursed the United States nearly
$1.5 million for unreliable testing sen'ices and related fieldwork. After CH2MHill voluntarily disclosed that it
had provided unreliable water quality testing results to federal agencies, including EPA, because one of its
employees altered laboratory instrument settings, EPA OIG and the Department of Defense OIG coled a
federal investigation into the matter. We confirmed that 27 federally funded projects involving environmental
cleanup, water remediation, and water testing failed to provide reliable water quality testing results.
Environmental testing laboratories must be bound by and observant of the highest levels of ethical conduct,
and protecting data integrity at laboratories, especially those that provide water quality sampling, testing, and
data analysis services, is vital to keeping our communities safe.
• We recommended how EPA could address the adverse impact of the coronavirus pandemic on tribal drinking
water systems. Access to safe and clean water is critical at all times, but even more so during pandemics.
However, we found that the pandemic hindered the ability of EPA Regions 9 and 10 to provide oversight of
drinking water systems on tribal lands and to address previously identified program deficiencies. The
pandemic also underscored the limitations of EPA resources, as well as of tribal drinking water system
capacity and resiliency. As a result, tribal drinking water systems encountered challenges in operating safely
and complying with drinking water regulations. However, EPA did not fully address most of our
recommendations, and we outlined the actions the Agency should take so that we can reach resolution. We will
report developments on our website.
• We delved deeper to determine the root causes of a decade-long decline in EPA's federal enforcement actions,
which we identified last year in Report No. 20-P-0131. We found that resource constraints, leadership
decisions, and workforce culture resulted in a decline in federal compliance monitoring activities, enforcement
actions, and enforcement results from fiscal years 2006 through 2018, which may have exposed the public and
the environment to undetected harmful pollutants. While the Agency agreed to some of our recommendations,
we continue to work to reach agreement on actions regarding a workforce analysis to assess EPA's capacity to
maintain a strong enforcement field presence and regarding measurement of the Agency's compliance
assistance and informal enforcement activities.
Sean W. O'Donnell
During the semiannual reporting
period, OIG work resulted in:
OIG investigative work
resulted in:
2 indictments, informations,
and complaints
Based on OIG work,
EPA and CSB implemented:
2 for fiscal year
23 administrative actions,
including suspensions and
disbarment actions
35 for fiscal year
1 for fiscal year
* Measure includes single audits, which are audits of nonfederal entities performed by nonfederal auditors. See Section 2.4 of this report.
Note: These performance measures were previously reported in the "Scoreboard of Results" section.
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Semiannual Report to Congress April 1, 2021-September 30, 2021
Educating and Protecting Whistleblowers. From the start of my tenure as the EPA inspector general in 2020,1 have
expressed my unwavering commitment to support whistleblowers and protected whistleblower activities. Earlier this
year, I established an Administrative Investigations Directorate within our Office of Special Review and Evaluation to
conduct administrative investigations of, among other tilings, allegations of retaliation against EPA and CSB employees,
contractors, subcontractors, grantees, subgrantees, and personal services contractors who report misconduct,
mismanagement, or abuse of authority. In addition, OIG was pleased to commemorate the July 30, 2021 National
Whistleblower Appreciation Day with a panel discussion that highlighted the significant contributions made by
whistleblowers, shared compelling stories of working with whistleblowers, and identified available resources for
anyone considering making a protected disclosure.
Protecting EPA and CSB from Misconduct and Scientific Integrity Violations. EPA's Scientific Integrity Policy
recognizes OIG's responsibility to investigate allegations of scientific misconduct. Over the past two years, OIG has
placed a renewed focus on protecting the integrity of science at EPA. Our office has produced a significant body of work
related to scientific integrity issues. For example, in our report on the 2018 dicamba pesticide registration decision, we
found, among other tilings, that senior leaders in the Office of Chemical Safety and Pollution Prevention's immediate
office were more involved in the registration decision, resulting in senior-level changes to or omissions from scientific
documents. We continue to devote a section of this semiannual report to the oversight of scientific integrity at EPA.
OIG also has taken substantive action to protect EPA and CSB from misconduct and abuse of authority. In addition to
alleged whistleblower retaliation, our new Administrative Investigations Directorate investigates alleged misconduct by
senior employees. We are working with EPA management to ensure that all reported allegations of reprisal or
misconduct, including misconduct related to scientific integrity, are promptly shared with OIG, consistent with the
Inspector General Act of 1978, as amended; the Whistleblower Protection Act of 1989, as amended; and EPA policy.
Timely access to these allegations facilitates OIG's ability to conduct comprehensive, independent, and objective
oversight work in an area fraught with personnel and policy ramifications.
Continuing the Mission. My staff and I are deeply honored to serve the American public by contributing to improved
human health and environment, as well as by promoting economy, efficiency, and effectiveness in EPA and CSB
programs and operations. Although we are proud of the work we accomplished over the past year, we are not resting on
our laurels. Fiscal year 2022 promises to feature a similarly impressive tome of work. In addition, as we identify
EPA's and CSB's top management challenges, we are not exclusively looking to the past but anticipating future
challenges facing these two Agencies. The resulting management challenges reports will guide our audit, evaluation,
and investigative work in fiscal year 2022 and beyond.
Sean W. O'Donnell
Inspector General
During this semiannual
reporting period, OIG:
Identified $187,087*
| questioned costs and
| $407,533 potential monetary
benefits and cost efficiencies
$957,767* and $2,605,108 for fiscal year
Conducted investigations
)(both joint and EPA only) that
resulted in $2,864,424 in fines,
penalties, and restitutions
$3,559,811 for fiscal year
In this fiscal year, EPA and CSB:
Took or resolved $142,493,425
in monetary actions prior to
report issuance
Avoided $16,747 in costs after
implementing
recommendations based on
investigative results
In summary, based on our budget of $55,086,000, our potential return is $149,632,858.*
* Measure includes single audits, which are audits of nonfederal entities performed by nonfederal auditors. See SAR Section 2.4.
** Updated to reflect corrections of adjustments from May 2021.
Note: These performance measures were previously reported in the "Scoreboard of Results" section. SAR
stands for semiannual report.
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Table of C
Section 1: Overview
1.1 About EPA. CSB. and PIG 1
1.2 OIG Strategic Planning 2
1.3 Analysis of Unimplemented Recommendations 3
1.4 OIG Hotline 5
1.5 Scientific Integrity and Misconduct 7
1.6 Congressional and Legislative Activity 10
Section 2: Work Accomplished During Semiannual Period
2.1 Oversight Work 12
Congressional Reguests 12
Coronavirus Pandemic 13
Human Health and Environmental Issues 18
Business Practices and Accountability 27
Hotline Contacts 31
2.2 Investigative Work 33
2.3 Instances of Whistleblower Retaliation and Interference with Independence 36
2.4 Single Audit Work 37
Section 3: Statistical Data
3.1 Audit Report Resolution 39
3.2 Summary of Investigative Results 40
Appendixes
1—Reports Issued 43
2—Delayed EPA Management Decisions and Comments: Management Decisions
with Which OIG Disagrees 45
3—Reports with Corrective Action Not Completed 52
4—Closed Investigations Involving Senior Employees 63
5—Peer Reviews Conducted 64
6—OIG Mailing Addresses and Telephone Numbers 65
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SECTION 1:
OVERVIEW
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
1.1 About EPA, CSB, and PIG
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, 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.
U.S. Chemical Safety and Hazard Investigation Board
The U.S. Chemical Safety and Hazard Investigation Board was created by the Clean Air Act Amendments
of 1990. 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.
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 EPA that detects and prevents fraud, waste, and abuse to help the Agency
protect human health and the environment more efficiently and effectively. Since fiscal year 2004,
Congress has designated the EPA inspector general to also serve as the inspector general for CSB. As a
result, EPA OIG has the responsibility to audit, evaluate, inspect, and investigate EPA and CSB programs
and operations, as well as to review proposed laws and regulations to determine their potential impact on
these programs and operations. OIG staff are based at EPA headquarters in Washington, D.C.; EPA's
ten regional offices; Research Triangle Park, North Carolina; and Cincinnati, Ohio.
Vision
Be a premier oversight organization trusted to speak the truth, promote good governance, and contribute
to improved human health and environment.
Mission
Conduct independent audits, evaluations, and investigations; make evidence-based recommendations to
promote economy, efficiency, and effectiveness; and prevent and detect fraud, waste, abuse,
mismanagement, and misconduct for EPA and 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 EPA and 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, 2021-September 30, 2021
1.2 OIG Strategic Planning
When determining which audits and evaluations to undertake, we independently consider the top
management and performance challenges facing EPA and CSB, work previously conducted by OIG and
the U.S. Government Accountability Office, and input from Congress. In this semiannual report, we
identify which top management challenges our audits and evaluations address, as applicable, next to the
following symbol: {§}. We also consider how our oversight work supports EPA's mission-related efforts
to protect human health and the environment. We show which mission-related efforts our reports support
next to this symbol: d®. Some of the work we conduct is required by law or executive order; the reports
that satisfy such mandatory reporting requirements are labeled with the following symbol: Jpl:.
Agency Management Challenges
EPA FYs 2020-2021 management challenges report issued July 21, 2020
CSB FY 2020 management challenges report issued July 6, 2020
Each OIG is required by statute to prepare an annual report summarizing what the inspector general
considers to be the "most serious management and performance challenges facing the agency." To
identify the top management challenges facing EPA,
we conducted a formal survey of EPA leadership;
discussed management challenges in outreach
meetings with Agency offices, considered the
previous work of OIG and the U.S. Government
Accountability Office, and solicited comments and
suggestions through EPA's Office of the Chief
Financial Officer. Based on this feedback, we
identified eight significant management challenges
facing EPA in FYs 2020-2021. We also identified
three top management challenges facing CSB.
We began work in this semiannual reporting period on
the top management challenges facing EPA and CSB
in FY 2022. We will publish this report on our public
website during the next semiannual reporting period.
Oversight Plan
Issued March 2021
Our Oversight Plan reflects the priority work that OIG
believes is necessary to keep EPA, CSB, Congress, and the American people fully informed about
problems and deficiencies relating to the administration of Agency programs and operations. This
OIG document lists our planned and ongoing oversight projects and guides us in fulfilling our critically
important mission to detect and deter waste, fraud, and abuse in EPA and CSB programs and operations;
to improve the efficiency and effectiveness of EPA and CSB; and to help ensure ethical conduct
throughout EPA and CSB. It is also important to note that our plan is not static, and the projects included
therein may be modified throughout the year as new challenges and risks for EPA and CSB emerge.
EPA Management Challenges, FYs 2020-2021
1. Maintaining operations during pandemic and natural
disaster responses.
2. Complying with key internal control requirements.
3. Overseeing states, territories, and tribes responsible
for implementing EPA programs.
4. Improving workforce/workload analyses.
5. Enhancing information technology security to
combat cyberthreats.
6. Communicating risks to allow the public to make
informed decisions about health and environment.
7. Fulfilling mandated reporting requirements.
8. Integrating and leading environmental justice across
the Agency and government.
CSB Management Challenges, FY 2020
1. Accomplishment of CSB mission is impaired until
new board members are selected.
2. CSB has not developed policy on board member
responsibilities.
3. CSB must continue operations during the coronavirus
pandemic.
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
1.3 Analysis of Unimplemented Recommendations
OIG audits and evaluations provide recommendations to improve EPA or CSB programs and operations.
EPA, CSB, and the public benefit from the implementation of these recommendations, which address a
range of health, environmental, and business issues, including management and operations; water quality;
environmental contamination and cleanup; toxics, chemical safety, and pesticides; air quality; and
research. On August 4, 2021, we published OIG Report No. 21-N-0191. Compendium of Open and
Unresolved Recommendations: Data as of March 31, 2021, which provides an in-depth analysis of the
open and unresolved recommendations issued by OIG. This compendium will be updated annually.
Before issuing a final report, OIG distributes a draft report to EPA or CSB, identifying a lead official for
each recommendation included in the report. The lead officials then have the opportunity to respond to
the draft report and recommendations. For the final report, which is posted on OIG's website, OIG
analyzes the responses received and indicates whether each recommendation is:
• Unresolved. EPA or CSB disagrees with the recommendation or did not provide a formal,
complete, written response to the recommendation, or OIG disagrees 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.
• Resolved. EPA or CSB and OIG agree upon the recommendation and proposed corrective
actions, but the corrective actions have not yet been completed. These recommendations are also
called open recommendations and are considered unimplemented, regardless of whether their
expected due dates are in the past or the future. Unimplemented recommendations issued prior to
this semiannual reporting period are listed in Appendix 3.
• Completed. EPA or CSB and OIG agree upon the recommendation and proposed corrective
actions, and EPA or CSB has completed them.
Section 5(a)(3) of the Inspector General Act of 1978, as amended, requires that we identify each
significant recommendation described in previous semiannual reports for which corrective action has not
been completed. For this semiannual report, we analyzed actions taken by EPA and CSB regarding
recommendations described in past semiannual reports and identified those that remained unimplemented
as of September 30, 2021: 101 for EPA and three for CSB. The chart below shows when these
104 unimplemented recommendations were originally issued to EPA or CSB. The potential monetary
benefits of the
lri1 i , • , Number of unimplemented recommendations
101 recommendations issued 36
to EPA are approximately
$30.6 million. There are no
potential monetary benefits
associated with the
unimplemented CSB
recommendations. Note that
the recommendations issued
during this semiannual period
are included as part of the
report summaries in
Section 2.1.
FYs 2008-2017 FY 2018 FY 2019 FY 2020 FY 2021
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
The table below breaks down the 104 unimplemented recommendations issued to EPA and CSB
according to their potential health, environmental, and business benefits and identifies the potential
monetary benefits to be gained if these recommendations are implemented. Appendix 3 provides the full
text of the unimplemented recommendations.
Potential monetary benefits
associated with unimplemented
Number remaining
recommendations
Category
unimplemented
(in thousands)
EPA unimplemented recommendations
1. Management and Operations
43
$2,825
2. Water Quality
7
$0
3. Environmental Contamination and Cleanup
10
$27,800
4. Toxics, Chemical Safety, and Pesticides
14
$0
5. Air Quality
19
$0
6. Research and Laboratories
8
$0
EPA subtotal
101
$30,625
CSB unimplemented recommendations
1. Management and Operations
3
$0
CSB subtotal
3
$0
TOTAL
104
$30,625
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
1.4 OIG Hotline
Section 8M of the Inspector General Act of 1978, as amended, requires each OIG to maintain a direct link
on the homepage of its website for individuals to report fraud, waste, and abuse. Individuals may also
report complaints to EPA OIG via telephone, facsimile, email, and postal mail. We refer to these means
of receiving information collectively as the "OIG 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 laws, 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, OIG may conduct audits, evaluations, and investigations. In Section 2.1. we summarize the work
based on hotline contacts concluded during this semiannual reporting period.
Hotline Statistics
The figures below detail the number and type of contacts that the hotline received and referred for review
by OIG investigation, audit, and evaluation staff; EPA program offices; and other government agencies
during the fiscal year ending September 30, 2021. In this fiscal year, of 2,897 contacts received, OIG
made 456 referrals. A contact can be referred to more than one entity. While many complaints we receive
are outside of OIG purview, we refer those contacts related to our oversight goals and mission to
OIG offices to consider for action. We refer contacts unrelated to potential fraud, waste,
abuse, misconduct, or mismanagement but related to an Agency program or operation to
the appropriate EPA or CSB office. As applicable, we attempt to refer contacts unrelated to
EPA or CSB to another government agency. More information about our hotline
operations can be found on our website, including a podcast that discusses how the EPA OIG hotline
works, who uses it, and how to file a hotline complaint.
Hotline contacts received
10/1/20-9/30/21
2,480
417
Hotline calls Hotline emails
Source: EPA OIG hotline data. (EPA
Podcast
O
Hotline contacts referred
10/1/20-9/30/21
354
To OIG offices
To EPA
program offices
To other federal, state,
arid local agencies
3 images)
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Categories of the 354 hotline contacts referred to OIG offices
Criminal activity
Employee issues
Environmental issues
Program- and operations-related issues
Qui-tam cases*
Scientific integrity issues
Whistleblower issues
Source: EPA OIG hotline data. (EPA OIG image)
* In a qui-tam case, a private person brings legal action against an alleged wrongdoer on behalf of the
federal government.
Hotline Confidentiality
Individuals who contact the hotline are not required to identify themselves and may request
confidentiality when submitting allegations. However, OIG encourages those who report allegations to
identify themselves so that they can be contacted if OIG has additional questions. Pursuant to section 7 of
the Inspector General Act of 1978, as amended, 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, OIG will provide comparable protection to employees of contractors, grantees, and others who
provide information to OIG and request confidentiality. Pursuant to section 8M of the Inspector General
Act of 1978, as amended, OIG will also not disclose the identity of an individual who provides
information via OIG's online complaint form—regardless of whether the individual is an EPA or
CSB employee—unless that individual consents or the inspector general determines that such disclosure
is unavoidable during the course of an investigation. Individuals concerned about confidentiality or
anonymity with regard to 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@eDa.aov
Mail:
EPA OIG Hotline
Phone:
(888) 546-8740 or (202) 566-2476
1200 Pennsylvania Avenue, NW
Fax:
(202) 566-0814
Mail Code 2431T
Online:
EPA OIG Hotline
Washington, DC 20460
EPA Whistleblower Protection Coordinator
The EPA whistleblower protection coordinator can be reached at:
Phone:
(202) 566-1513
Email:
whistleblower Drotection(®eDa.aov
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
1.5 Scientific Integrity and Misconduct
Scientific integrity at EPA helps ensure that the science conducted, communicated, and used across the
Agency is of the highest quality. Scientific integrity is crucial because it helps to safeguard the science to
ensure that it is objective and rigorous. EPA issued its Scientific Integrity Policy in February 2012. The
policy sets the expectation for EPA employees to represent the Agency's scientific activities clearly,
accurately, honestly, objectively, thoroughly, without political or other interference, and in a timely
manner, consistent with their official responsibilities. It also sets the expectation that all EPA employees
will report policy breaches. EPA's Scientific Integrity
Program consists of EPA's scientific integrity official,
deputy scientific integrity officials from each of the
EPA's program and regional offices, and program staff
that support implementing the Scientific Integrity Policy.
"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."
—Scientific Integrity Policy. Section II
As part of its mission to detect and deter waste, fraud,
abuse, and mismanagement, EPA OIG conducts
investigations related to "research misconduct" or
"scientific misconduct," including fabrication,
falsification, or plagiarism. EPA Order 3120.5 contains the Agency's policy and procedures for addressing
research misconduct, including the duty of EPA employees to immediately report to OIG any allegation of
research misconduct that involves:
1. Public health or safety being at risk.
2. Agency resources or interests being threatened.
3. Circumstances where research activities should be suspended.
4. Reasonable indication of possible violations of civil or criminal law.
5. Federal action being required to protect the interests of those involved in the investigation.
6. The research entity belief that an inquiry or investigation may be made public prematurely, so that
appropriate steps can be taken to safeguard evidence and protect the rights of those involved.
7. Circumstances where the research community or public should be informed.
After receiving consent from the complainant, OIG may refer scientific integrity allegations that it receives
to the scientific integrity official. The scientific integrity official and OIG staff meet once every two weeks
to discuss the status of cases, as appropriate, as well as other scientific integrity-related issues.
OIG has a critical role in protecting the Agency's scientific integrity. As an independent office, OIG can
receive complaints of mismanagement, misconduct, abuse of authority, or censorship, including those
related to scientific or research misconduct, without fear of improper influence. And, through its statutory
mandate, OIG can investigate these allegations. To facilitate transparency, we continue our practice,
started in our Fall 2020 Semiannual Report to Congress, of providing a summary of scientific integrity
oversight at the Agency. The following section reports the status of scientific integrity allegations received
by the scientific integrity official and any scientific misconduct allegations received by OIG.
Scientific Integrity Allegations and Advice Queries Received by Scientific Integrity
Official
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
provide early intervention to prevent lapses in scientific integrity. Someone with a scientific integrity
concern can receive advice from the Scientific Integrity Program to ascertain whether the issue concerns
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
scientific integrity and to address the issue before it rises to the level of an allegation. If an allegation is
reported, the Scientific Integrity Program conducts an initial screening to determine whether the allegation
is covered under the Scientific Integrity Policy. This initial screening may 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.
The table and figure below enumerate the scientific integrity allegations and advice queries received by the
scientific integrity official in the current fiscal year and since the program's inception in 2012. Allegations
are categorized by the topic areas below; one complaint may contain multiple allegations. For advice
queries, only the number of contacts and primary topic area are captured as summary statistics by the
scientific integrity official.
Scientific integrity allegations and advice queries by topic: percentage (number)
Not
Data
Delay/
scientific
Authorship
quality
suppression
Interference
Plagiarism
Other
integrity
Allegations
Oct-Mar2021
71% (5)
29% (2)
Apr-Sep 2021
100% (1)
Total: FY 2021
0
0
0
5
0
3
0
Total: program
inception through
September 30, 2021
15% (16)
7% (8)
15% (16)
38% (41)
2% (2)
16% (16)
9% (10)
Advice Queries
Oct-Mar2021
5% (2)
2% (1)
5% (2)
52% (23)
7% (3)
25% (11)
5% (2)
Apr-Sep 2021
8% (4)
6% (3)
31% (15)
4% (2)
39% (19)
12% (6)
Total: FY 2021
6
1
5
38
5
30
8
Total: program
inception through
September 30, 2021
9% (30)
6% (19)
15% (51)
43% (141)
2% (7)
17% (55)
8% (25)
Source: EPA Scientific Integrity Program. (EPA OIG table)
Note: Percentages in this table were rounded. These are preliminary data provided by the EPA's Scientific
Integrity Program and are subject to change.
Number of scientific integrity inquiries by fiscal year since policy inception
120
100
80
L _ 11 - > 1111
2012 2013 2014 2015 2016 2017 2018 2019 2020 2021
¦ Advice ¦ Allegation
Source: EPA Scientific Integrity Program. (EPA image)
Note: Based on preliminary data for fiscal year 2021 provided by the EPA's Scientific Integrity Program and
subject to change.
8
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
As shown in the table and figure on the previous page, for the semiannual reporting period ending
September 30, 2021, the scientific integrity official received one new allegation and 49 new advice
queries. Also during this semiannual reporting period, no allegations were closed or resolved. The table
below summarizes the status of the allegations as of September 30, 2021. There are currently 24 open
allegations: 23 from prior reporting periods and one from the current reporting period. Requests for advice
or allegations received by the scientific integrity official are not necessarily referred to OIG. The scientific
integrity official informs complainants that certain types of issues, such as those involving waste, fraud,
abuse, reprisal, and misconduct, should be reported to OIG. The scientific integrity official also refers
these types of allegations to OIG. See the next section for information about OIG's actions on scientific
misconduct allegations during this semiannual reporting period.
Status of allegations
Allegations
Status
Number as of
September 30, 2021
Open/Active*
24
Closed—substantiated
—
Closed—not substantiated
—
Withdrawn
—
Transferred to OIG
—
Not scientific integrity
—
Source: OIG summary of EPA Scientific Integrity Program data.
(EPA OIG table)
* This number includes the total open/active allegations
remaining from the current and previous reporting periods.
Note: Based on preliminary data for fiscal year 2021 provided by EPA's
Scientific Integrity Program and subject to change.
Scientific Misconduct Allegations Received and Investigated by OIG
EPA Order 3120.5 states that each employee is responsible for promptly reporting allegations of research
misconduct to supervisors or, in certain cases described above, immediately to OIG. Additionally,
EPA Manual 6500, Functions and Activities of the Office of the Inspector General: 1985 Edition, states,
"Each employee is responsible for promptly reporting indications of wrongdoing or irregularity to the OIG
and for cooperating and providing assistance during any audit or investigation." Coordination procedures
between the scientific integrity official and OIG state that upon receipt of a research misconduct allegation,
the scientific integrity official will refer the allegation to the OIG Hotline. Likewise, if OIG receives an
allegation of research misconduct, the allegation will be forwarded to the OIG Hotline, which will contact
the scientific integrity official to discuss the allegation, as appropriate. As noted above, the scientific
integrity official and OIG staff also meet every two weeks to discuss the status of cases, as appropriate, as
well as other scientific integrity-related issues.
For the semiannual reporting period ending September 30, 2021, OIG received 12 complaints with
allegations involving potential scientific misconduct from Agency employees, the scientific integrity official,
and other sources. OIG has nine open investigations involving potential scientific misconduct, six of which
were opened during this reporting period.
OIG had no results of investigations that it conducted or oversaw to report to the Agency for a determination
of appropriate action. OIG had two results of investigations that it conducted involving criminal misconduct
to refer to the U.S. Department of Justice, pursuant to the Inspector General Act of 1978, as amended.
9
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
1.6 Congressional and Legislative Activity
Briefings, Requests, and Inquiries
During this reporting period, OIG provided 29 briefings to congressional members and staff on
OIG's oversight work. These briefings involved the inspector general and/or OIG staff meeting with
congressional members and staff to better understand their perspectives, provide information about OIG,
and establish the foundation for an open dialogue. Other briefings included discussions with congressional
staff of recent, ongoing, and future OIG work. These meetings also served as an opportunity for OIG to
highlight the need for increased oversight of EPA and CSB. During this reporting period, OIG received
five congressional requests.
Legislation and Regulations Reviewed
Section 4(a) of the Inspector General Act of 1978, as amended, requires the inspector general to review
existing and proposed legislation and regulations relating to the program and operations of EPA and CSB,
as well as to make recommendations concerning their potential impact. We also review drafts of Office of
Management and Budget circulars, memorandums, executive orders, program operations manuals,
directives, and reorganizations. The primary bases for any recommendations and comments we make are
the audit, evaluation, investigation, and legislative experiences of OIG, as well as our participation on the
Council of the Inspectors General on Integrity and Efficiency. During the semiannual reporting period
ending September 30, 2021, we reviewed three proposed changes to legislation, regulations, policy,
procedures, or other documents that could affect EPA, CSB, or the inspector general. We did not provide
recommendations or comments on the proposed changes.
10
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SECTION 2:
Work Accomp
During Semiannual
-------
Semiannual Report to Congress
April 1, 2021-September 30, 2021
2.1 Oversight Work
Congressional Requests
Each time OIG receives a request from Congress to undertake discretionary work, we must consider
whether we have enough resources—people, time, and funds—to conduct our work in a timely fashion
and whether undertaking the requested work would preclude our doing other crucial work. We must also
consider the many OIG projects that are statutorily mandated. For every discretionary review OIG decides
to undertake, there will be others we cannot. We therefore must make difficult decisions about whether to
initiate work requested by Congress. This section details the discretionary work we have concluded
during this semiannual reporting period based on the congressional requests we previously received.
Report Associated with Congressional Requests
EPA Delayed Risk Communication and Issued Instructions Hindering Region 5's Ability
to Address Ethylene Oxide Emissions
Report No. 21-P-0123, issued April 15, 2021
Improving air quality
{o Communicating risks
Translation
Espafiol
Podcast
©
A 2014 National Air Toxics Assessment map
of part of Lake County, Illinois, that includes
Gurnee and Waukegan. The colors on the
map represent the different levels of cancer
OIG received four congressional requests
regarding actions by Regions 5 and 6 to
address ethylene oxide emissions. We found
that EPA delayed informing community members in Illinois
about preliminary findings of health risks from ethylene
oxide-emitting facilities. EPA has characterized ethylene
oxide as "carcinogenic to humans." Additionally, former
senior leaders in the Office of Air and Radiation instructed
Region 5 to not conduct inspections at ethylene
oxide-emitting facilities unless invited by the state and issued
additional instmctions that hindered Region 5 from
effectively addressing ethylene oxide emissions.
Recommendations for corrective action issued to the assistant administrator for Air and Radiation:
1 Develop standard operating procedures describing how the Office of Air and Radiation will work with EPA regional offices
to communicate preliminary air toxics risk information, including elevated risks found in the National Air Toxics
Assessment, to the public so that communities are promptly informed of potential health concerns.
2 Develop standard operating procedures describing the roles and responsibilities of the Office of Air and Radiation and
regional offices in assessing and addressing air toxics emissions contributing to health risks, as found in the National Air
Toxics Assessment, other studies, or public complaints.
Report Addresses: £ EPA mission-related effort. §3] Top management challenge for EPA. Mandatory reporting requirements.
12
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Coronavirus Pandemic
Reports Related to EPA's Pandemic Responses
Pandemic Highlights Need for Additional Tribal Drinking Water Assistance
and Oversight in EPA Regions 9 and 10
Report No. 21-E-0254, issued September 27, 2021
Ensuring clean and safe water; Partnering with states and other stakeholders
{o} Maintaining operations during pandemic response; Overseeing tribes implementing EPA programs;
Improving workforce/workload analyses; Integrating and leading environmental justice
The coronavirus pandemic negatively
impacted the oversight and assistance
that Regions 9 and 10 provide to the
tribal drinking water systems, as well
as the capacity of these systems to
provide safe drinking water. The
pandemic also underscored the
limitations of EPA resources and of
tribal drinking water system capacity
and resiliency. Tribal drinking water
systems may be unable to operate
safely and comply with drinking
water regulations. Access to safe and
clean water is critical at all times, but
Region 9 oversees
Region 10 oversees
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212 community drinking
water systems on tribal
lands 1
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which serve drinking
water to 339,207 people
within 100 federally
recognized tribes
*
82 community drinking
water systems on tribal
lands
«1I» which serve drinking
mam water to 57,258 people
\, within 42 federally
ftfflltllt recognized tribes
Source: OIG analysis of EPA data. (EPA OIG image)
even more so during pandemic situations.
Recommendations for corrective action issued to the regional administrator for EPA Region 9:
1
Implement a strategy to provide outreach, training, guidance, and technical and financial assistance to tribal drinking
water systems to improve their resilience using the tools developed and grants distributed by the EPA in accordance with
the America's Water Infrastructure Act of 2018.
2
Develop and implement a strategy to help the direct implementation of the tribal drinking water program, including
resumption of sanitary surveys and inspections in a manner that considers the coronavirus restrictions of each tribe.
3
Develop and implement a plan to prioritize and address the recommendations identified in the 2019 file review for
Region 9.
4
Incorporate lessons learned from the coronavirus pandemic to improve Region 9's existing plans for continuity of
operations, with an emphasis on data management and network connectivity.
5
Develop a workforce analysis to address staff workload and the skills needed for the direct implementation of the tribal
drinking water program.
Recommendations for corrective action issued to the regional administrator for EPA Region 10:
6
Implement a strategy to provide outreach, training, guidance, and technical and financial assistance to tribal drinking
water systems to improve their resilience using the tools developed and grants distributed by the EPA in accordance with
the America's Water Infrastructure Act of 2018.
7
Develop and implement a strategy to help the direct implementation of the tribal drinking water program, including
resumption of sanitary surveys and inspections in a manner that considers the coronavirus restrictions of each tribe.
8
Develop and implement a plan to prioritize and address the recommendations identified in the 2019 file review for
Region 10.
9
Incorporate lessons learned from the coronavirus pandemic to improve Region 10's existing plans for continuity of
operations, with an emphasis on data management and network connectivity.
10
Develop a workforce analysis to address staff workload and the skills needed for the direct implementation of the tribal
drinking water program.
Report Addresses: EPA mission-related effort, (o) Top management challenge for EPA. Mandatory reporting requirements.
13
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
EPA Did Not Conduct Agencywide Risk Assessment of CARES Act Appropriations,
Increasing Risk of Fraud, Waste, Abuse, and Mismanagement
Report No. 21-E-0128, issued May 4, 2021
Compliance with the law; Operating efficiently and effectively
; ) Maintaining operations during pandemic responses; Complying with key internal control
requirements (risk assessments); Fulfilling mandated reporting requirements
EPA did not fully comply with federal laws, Office of Management and Budget guidance, or the
U.S. Government Accountability Office Standards for Internal Control in the Federal Government
regarding the emergency supplemental appropriations provided to EPA in the Coronavirus Aid, Relief,
and Economic Security Act, known as the CARES Act. Specifically, the Office of the Chief Financial
Officer did not conduct an agencywide risk assessment of internal controls and did not have processes to
identify, communicate, and mitigate any entity-level risks through implementation of internal controls
related to the CARES Act supplemental appropriations.
Office of the Chief Financial Officer
Entity Level (agencywide)
Lack of oversight by not conducting a risk
assessment.
Office of Mission Support
Entity Level (cross-program)
Completed a risk assessment and established
internal controls.
Office of Research
and Development
Division Level
(program specific)
Completed a risk
assessment and
established internal
controls.
Office of Chemical
Safety and Pollution
Prevention
Division Level
(program specific)
Completed a risk
assessment and
established internal
controls.
By not having processes in place
to conduct agencywide risk
assessments on a high-risk
emergency supplemental
appropriation, and without
assessing risk for the use of
CARES Act funds across its
various program offices and
physical locations, the Agency is at
risk of fraud, waste, abuse, and
mismanagement, and cannot be
sure it is maximizing the use of
these funds. (EPA OIG image)
Recommendations for corrective action issued to the chief financial officer:
1 Perform a risk assessment for the Coronavirus Aid, Relief, and Economic Security Act supplemental appropriations at the
entity level. Based upon the results of the risk assessment, either (a) design, implement, and monitor mitigating
agencywide internal controls or (b) document that the existing controls at the cross-program entity and division levels are
sufficient to assure compliance with federal and Agency requirements.
2 Revise Resource Management Directives System Policy Manual 2520, Administrative Control of Appropriated and Other
Funds, to require the Office of the Chief Financial Officer to perform and document risk assessments of emergency
supplemental appropriations (a) when these funds are received and (b) if there is a subsequent change in the level of
risk(s) in order to design, implement, and monitor internal controls for these inherently high-risk funds. In cases where the
Agency determines that an entity-level risk assessment is not necessary, document how the other program offices'
internal controls will mitigate agencywide risks.
Report Addresses: EPA mission-related effort. (o) Top management challenge for EPA. Mandatory reporting requirements.
14
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
EPA's National Vehicle and Fuel Emissions Laboratory Has Taken Steps to Mitigate
Impact of Coronavirus Pandemic on Mobile Source Emission Compliance
Report No. 21-E-Q158, issued June 7, 2021
Operating efficiently and effectively
{o} Maintaining operations during pandemic response
The Office of Transportation and Air Quality's National Vehicle
and Fuel Emissions Laboratory compliance programs address
emissions from a range of mobile sources, which are major
contributors to air pollution in the United States. The laboratory
experienced significant impacts due to the pandemic, including
laboratory closure, reductions in testing volumes across all
compliance programs, delays in regulatory development, the
inability to conduct in-house laboratory testing, and the inability
of staff to travel. However, the laboratory mitigated these impacts
by using alternative strategies, such as virtual collaboration tools,
remote auditing, and testing and reporting flexibilities allowed
under mobile source regulations. EPA's efforts minimized the
potential for noncompliance, and we highlighted the importance
of returning to foil testing capacity to enable EPA to provide the
most effective oversight. The report did not make any recommendations.
EPA Effectively Planned for Future Remote Access Needs but Should Disconnect
Unneeded Services in Timely Manner
Report No. 21-P-0241. issued September 20, 2021
£ Operating efficiently and effectively
{q} Maintaining operations during pandemic and natural disaster responses; Complying with key internal control
requirements (risk assessments); Enhancing information technology security
In its solicitation for network and telecommunications services under the U.S. General Services
Administration's Enterprise Infrastructure Solutions contract, EPA included a requirement that the
selected vendor be able to support 12,500-20,000 concurrent remote users. This requirement should
meet EPA's future remote access and workforce needs, allowing the Agency to continue operations under
the duress of natural disasters and adapt its network to support a virtual workforce. EPA did not, however,
disconnect unneeded network and telecommunications services, such as analog phone and digital
subscriber lines, in a timely manner. As a result, the Agency spent at least $7,850 for services it was not
using. Because EPA has taken steps to disconnect unneeded services as part of its Enterprise
Infrastructure Solutions transition activities, we made no recommendations regarding this finding.
Disconnection of unneeded services in Office of Mission Support
Time from when service
was no longer needed
to disconnection date
Number of services
Cost incurred after service was no longer
needed until it was disconnected
Unknown
31
Unknown
Two months
25
$2,074.81
10-12 months
6
1,143.53
14-19 months
4
1,551.14
47-48 months
3
1.459.35
61 months
3
1,621.62
Total |
I 72 |
| $7,850.45 at a minimum \
Source: OIG analysis of EPA data. (EPA. OIG table)
Report Addresses: £ EPA mission-related effort. §3] Top management challenge for EPA. Mandatory reporting requirements.
15
Heavy-duty engine test cell at
EPA's National Vehicle and Fuel
Emissions Laboratory. (EPA OIG photo)
-------
Semiannual Report to Congress
April 1, 2021-September 30, 2021
EPA Needs to Improve Processes for Updating Guidance, Monitoring Corrective
Actions, and Managing Remote Access for External Users
Report No. 21-E-0124, issued April 16, 2021 jfr
Compliance with the law; Operating efficiently and effectively
{o} Enhancing information security technology; Complying with key internal control requirements (data quality)
EPA consistently implemented its information security policies and procedures in compliance with
the FY 2020 Inspector General Federal Information Security Modernization Act of 2014 (FISMA)
Reporting Metrics, but quantitative and qualitative effectiveness measures are lacking. EPA needs to
review its outdated information security procedures, verify corrective actions are completed, and enforce
established information system control requirements. Part of our assessment addressed the Agency's
ability to respond to information technology threats and vulnerabilities and maintain information
technology operations during the coronavirus pandemic. We identified deficiencies in the "Identity and
Access Management" domain that could compromise the confidentiality of important EPA information
and expose Agency data to unauthorized change, loss, or destruction.
Recommendations for corrective action issued to the assistant administrator for Mission Support:
1
Update information security procedures to make them consistent with current federal directives, including the National
Institute of Standards and Technology Special Publication 800-53, Revision 5, Security and Privacy Controls for Information
Systems and Organizations.
2
Establish a process in which the audit follow-up official verifies that corrective actions were completed before the action
official certifies that the audit report should be closed in the EPA audit tracking system.
3
Implement procedures for approving and maintaining external users' authorizations to access the web application
directory system.
4
Implement procedures to monitor web application directory system privileged users' activities for unusual or suspicious
activity.
5
Designate an integrated Agencywide identity, credential, and access management office, team, or other governance
structure as required by Office of Management and Budget Memorandum M-19-17, Enabling Mission Delivery through
Improved Identity, Credential, and Access Management.
Investigations Related to Pandemic
The Office of Investigations opened a number of cases to
investigate allegations of fraud related to the coronavirus
pandemic. 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 it coordinated with and referred
matters to EPA, as appropriate. The pie chart to the right reflects
the conclusions of the five pandemic-related cases closed during
this semiannual reporting period.
Results of closed cases involving
the coronavirus pandemic. (EPA
OIG image)
1
Not supported
1
Inconclusive
1
Supported
in
2
Supported
Report Addresses: EPA mission-related effort. (o) Top management challenge for EPA. Mandatory reporting requirements.
16
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
OIG Transparency Efforts Related to Pandemic
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 March 2021
Updated July 2021
This summary report captures OIG's work to meet the challenges posed by the coronavirus pandemic.
OIG continues to initiate audits, evaluations, and investigations related to the impact of the coronavirus
pandemic on EPA and 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 EPA's responses to emergency incidents, such as hurricanes and
wildfires; releases of hazardous substances; air quality enforcement; and potential misconduct and
criminal activity. 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. (o) Top management challenge for EPA. Mandatory reporting requirements.
17
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Human Health and Environmental Issues
Resource Constraints, Leadership Decisions, and Workforce Culture Led to a Decline in
Federal Enforcement
Report No. 21-P-0132, issued May 13, 2021
Podcast
©
Compliance with the law
{§} Overseeing states implementing EPA programs; Improving workforce/workload analyses; Integrating and
leading environmental justice
EPA-led compliance monitoring activities, enforcement actions, monetary enforcement results, and
environmental benefits generally declined from FYs 2007 through 2018 nationwide. This downward trend
also occurred at the regional level and on a statute-by-statute basis. A decline in enforcement resources
was a primary driver behind these downward trends. EPA leadership also made strategic decisions that
affected enforcement trends, such as focusing limited resources on the most serious cases and, in 2017,
emphasizing deference to state enforcement programs and compliance assistance. A decline in EPA's
enforcement activities may expose the public and the environment to excessive levels of pollution.
Primary purpose of the enforcement process is to ensure compliance with environmental laws
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Environmental
benefit outcomes
Enforcement results
Recommendations for corrective action issued to the assistant administrator for Enforcement and Compliance Assurance:
1 Assess the needs of the Agency's enforcement program by completing a workforce analysis to determine the level of
staffing necessary to achieve and maintain a strong enforcement presence in the field that protects human health and
the environment.
2 Integrate the results of the workforce analysis into the Office of Enforcement and Compliance Assurance's annual and
strategic planning processes.
3 Use the results of the Office of Inspector General's 2019 Enforcement Survey and other resources to identify and address
areas of concern for the enforcement program, including through issuing new or revised policies, as appropriate.
4 Incorporate additional enforcement information and data into future annual enforcement results reports to provide
context for (a) compliance monitoring activities conducted by the Agency and (b) the estimated environmental benefits
achieved through Agency enforcement actions.
5 Establish additional measures for Agency led compliance assistance activities and informal enforcement actions and
include these new measures in future annual enforcement results reports with the appropriate context.
6 Evaluate the annual enforcement performance measures to assess whether additional context should be provided for
other reported measures or whether additional measures should be included in future reports to fully capture the scope
of the Agency's enforcement program.
7 Develop and track noncompliance rates within environmental programs or use other innovative approaches that would
indicate the success of enforcement activities at returning entities to compliance.
8 Develop and publish a dashboard on the Enforcement Compliance History Online website that shows trends in Agency
led enforcement activities and actions and is similar to the dashboards that the Agency has already prepared for state
enforcement programs.
Report Addresses: EPA mission-related effort. (o) Top management challenge for EPA. Mandatory reporting requirements.
18
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
EPA Should Conduct New Residual Risk and Technology Reviews for Chloroprene- and
Ethylene Oxide-Emitting Source Categories to Protect Human Health
Report No. 21-P-0129, issued May 6, 2021
£* Improving air quality
[ '? Integrating and leading environmental justice
Results from EPA's modeling and monitoring efforts indicate that people in some areas of the country
may be exposed to unacceptable health risks from chloroprene and ethylene oxide emissions. Despite
EPA classifying chloroprene as a likely human carcinogen in 2010 and ethylene oxide a carcinogen in
2016, the EPA has not conducted new residual risk and technology reviews for most types of industrial
sources, or source categories, that emit chloroprene or ethylene oxide. Among other steps, EPA should
conduct new residual risk and technology reviews under the Clean Air Act to address elevated individual
lifetime cancer risks impacting over 464,000 people, as found in a modeling tool, and to advance
environmental justice.
Recommendations for corrective action issued to the assistant administrator for Air and Radiation:
1
Develop and implement an internal control process with specific criteria to determine whether and when new residual risk
reviews of existing National Emission Standards for Hazardous Air Pollutants and uncontrolled emission sources are needed
to incorporate new risk information that demonstrates that an air pollutant is more toxic than previously determined.
2
Conduct new residual risk reviews for Group 1 polymers and resins that cover neoprene production, synthetic organic
chemical manufacturing industry, polyether polyols production, commercial sterilizers, and hospital sterilizers using the
new risk values for chloroprene and ethylene oxide and revise the corresponding National Emission Standards for
Hazardous Air Pollutants, as needed.
3
Revise National Emission Standards for Hazardous Air Pollutants for chemical manufacturing area sources to regulate
ethylene oxide and conduct a residual risk review to ensure that the public is not exposed to unacceptable risks.
4
Conduct overdue technology reviews for Group 1 polymers and resins that cover neoprene production, synthetic organic
chemical manufacturing industry, commercial sterilizers, hospital sterilizers, and chemical manufacturing area sources,
which are required to be completed at least every eight years by the Clean Air Act.
EPA Deviated from Typical Procedures in Its 2018 Dicamba Pesticide Registration
Decision
Report No. 21-E-0146, issued May 24, 2021
Ensuring the safety of chemicals
{o} Communicating risks
EPA's decision in 2018 to extend registrations for three dicamba pesticide products was made without
conducting the required internal peer reviews and included an unusually high amount of senior-level
involvement, which led to changes or omissions to scientific documents. The Ninth Circuit Court of
Appeals vacated the 2018 registrations for violating the Federal Insecticide, Fungicide, and Rodenticide
Act.
Recommendations for corrective action issued to the assistant administrator for Chemical Safety and Pollution Prevention:
1 Implement a procedure requiring senior managers or policy makers to document changes or alterations to scientific
opinions, analyses, and conclusions in interim and final pesticide registration decisions and their basis for such changes or
alterations.
2 Require an assistant administrator-level verification statement that Scientific Integrity Policy requirements were reviewed
and adhered to for pesticide registration decisions that involve the immediate office.
3 Annually conduct and document training for all staff and senior managers and policy makers to affirm the office's
commitment to the Scientific Integrity Policy and principles and to promote a culture of scientific integrity.
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Espanol
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Report Addresses: EPA mission-related effort. (o) Top management challenge for EPA. Mandatory reporting requirements.
19
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
EPA's Endocrine Disruptor Screening Program Has Made Limited Progress in
Assessing Pesticides
Report No. 21-E-0186. issued July 28, 2021
Ensuring the safety of chemicals
{o} Communicating risks; Complying with key internal control requirements (risk assessments)
EPA has not implemented section 408(p)(3)(A) of the Federal Food,
Drug, and Cosmetic Act to test all pesticide chemicals for human
endocrine-disruption activity, nor has it conducted additional testing
for 17 chemicals to assess endocrine disruption in wildlife, as
recommended by its Office of Pesticide Programs. EPA also does not
have controls in place, such as strategic guidance documents or
performance measures, to effectively implement its Endocrine
Disruptor Screening Program. Without the required testing and an
effective system of internal controls, EPA cannot make measurable
progress toward complying with statutory requirements or
safeguarding human health and the environment against risks from
endocrine-disrupting chemicals.
Recommendations for corrective action issued to the assistant administrator for Chemical Safety and Pollution Prevention:
1
Issue Tier 1 test orders for each List 2 chemical or publish an explanation for public comment on why Tier 1 data are no
longer needed to characterize a List 2 chemical's endocrine-disruption activity.
2
Determine whether the EPA should incorporate the Endocrine Disruptor Screening Program Tier 1 tests (or approved
new approach methodologies) into the pesticide registration process as mandatory data requirements under 40 C.F.R.
§ 158 for all pesticide use patterns.
3
Issue List 1-Tier 2 test orders for the 18 pesticides in which additional Tier 2 testing was recommended or publish an
explanation for public comment on why Tier 2 data are no longer needed to characterize the endocrine-disruption
activity for each of these 18 pesticides.
4
Issue for public review and comment both the Environmental Fate and Effects Division's approach for the reevaluation
of List 1-Tier 1 data and the revised List 1-Tier 2 wildlife recommendations.
5
Develop and implement an updated formal strategic planning document, such as the Comprehensive Management Plan.
6
Develop performance measures, with reasonable time frames, to document progress toward and achievement of
milestones or targets. Specifically, the Endocrine Disruptor Screening Program should consider at least one performance
measure that tracks progress in testing pesticides for human endocrine disruptor activity.
7
Conduct annual internal program reviews of the Endocrine Disruptor Screening Program.
8
Complete and publish the Endocrine Disruptor Screening Program's response(s) to 2015 Federal Register notice
comments and its related white paper.
9
Establish a procedure for Endocrine Disruptor Screening Program communications and coordination with relevant
Agency program offices with testing responsibilities.
10
To increase external communication and transparency, update the Endocrine Disruptor Screening Program website,
including the program timeline, and publish any relevant program documents.
Note: C.F.R. stands for Code of Federal Regulations.
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Report Addresses: EPA mission-related effort. (o) Top management challenge for EPA. Mandatory reporting requirements.
20
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
EPA's Office of Land and Emergency Management Lacked a Nationally Consistent
Strategy for Communicating Health Risks at Contaminated Sites
Report No. 21-P-0223, issued September 9, 2021
£ Cleaning up and revitalizing land
Communicating risks; Integrating and leading environmental justice
EPA did not consistently communicate human health risks at eight contaminated sites
being addressed by Office of Land and Emergency Management programs in a manner
that allowed impacted communities to decide how to manage their risks of exposure to
harmful contaminants. The office lacked specific guidance regarding best practices for
addressing environmental justice concerns, timeliness, coordination, and clear
communication. The office's nsk communication was not consistently integrated and
applied across programs and regional offices, including for sites within the same program,
in similar locations, or with the same contaminants. Inefficiencies in EPA's risk communication resulted
in communities not being able to consistently rely on EPA as a credible source to manage their risks.
Superfund -
Anaconda Smelter
Anaconda, MT
Underground
Storage Tanks -
Timber Lake
Timber Lake, SD
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WV
©
Underground
Storage Tanks -
Davis Chevrolet
Tuba City, AZ
HI \y
iGuaml
Trust Territories
American Samoa
Nc
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Northern Mariana
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VH
VT
Superfund -
Coakley Landfill
North Hampton, NH
Emergency
Response &
Superfund —
USS Lead
East Chicago, IN
PA
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Resource
Conservation and
Recovery Act —
Amphenol
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Franklin, IN
Emergency
Response -
CSX Train
Derailment
ML Carbon, WV
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Resource Conservation
and Recovery Act -
Bristol-Myers Facility
Humacao. PR
Source: OIG depiction of selected sites. (EPA OIG image)
Recommendations for corrective action issued to the assistant administrator for Land and Emergency Management:
1 Establish and implement internal controls to achieve nationally consistent risk communication to improve the impacted
public's awareness and understanding of risks at contaminated sites. Consistent across all Office of Land and Emergency
Management programs and regional offices, such internal controls should:
a. Define relevant timelines for communications.
b. Identify who should be notified of sampling results.
c. Use and promote existing best risk communication practices, such as community advisory groups, community
involvement coordinators, cumulative risk assessments, and assessments of environmental justice concerns.
d. Determine how to communicate risks for emerging contaminants, such as per- and polyfluoroalkyl substances.
e. Be consistent with the EPA's Seven Cardinal Rules of Risk Communication.
2 Establish and implement internal controls for the Office of Land and Emergency Management to conduct periodic
evaluations of the risk communication efforts and outreach at Office of Land and Emergency Management-led sites.
Periodically summarize Office of Land and Emergency Management programwide risk communication evaluation results
to share across the Office of Land and Emergency Management programs and with EPA regions. Use these risk
communication evaluation results when warranted to modify the Office of Land and Emergency Management
programwide risk communication strategy, as appropriate.
3 Establish and implement internal controls for the Office of Land and Emergency Management to provide community
members, when sampling results or other indicators show that they are or may be exposed to environmental health
hazards, with:
a. Information that allows them to manage their risks.
b. Resources to contact to address the health impacts of the exposure.
Report Addresses: £ EPA mission-related effort. §3] Top management challenge for EPA. Mandatory reporting requirements.
21
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
EPA Needs an Agencywide Strategic Action Plan to Address Harmful Algal Blooms
Report No. 21-E-0264, issued September 29, 2021
Partnering with states and other stakeholders; Operating efficiently and effectively
{o} Overseeing states implementing EPA programs; Communicating risks; Complying with key internal control
requirements (data quality)
EPA does not have an agencywide strategy for reducing, mitigating, and controlling harmful algal blooms
in the nation's fresh waters, despite Congress appointing the EPA administrator as the federal lead. EPA
also has yet to develop additional drinking water health advisories for the cyanotoxins associated with
some blooms, failing to fulfill its 2015 commitment to Congress. The formation of harmful algal blooms
is expected to increase as excess nutrients flow into bodies of water and, due to climate change,
temperatures warm, and extreme weather events occur. These blooms impact the safety of our nation's
recreational and drinking waters.
Picture on left: Bloom on Potomac River. (EPA photo).
Two pictures on right: EPA scientists and their collaborators used a mobile application to
monitor the development of a bloom in Utah Lake, a 148-square-mile freshwater lake near
Provo, Utah. The images show satellite-derived estimates of cyanobacteria concentrations
on June 18, 2017 (left), and 16 days later on July 3, 2017 (right). (Cyanobacteria
Assessment Network)
Recommendations for corrective action issued to the assistant administrator for Water:
1
Develop an agencywide strategic action plan, including milestones, to direct the EPA's efforts to maintain and enhance a
national program to forecast, monitor, and respond to freshwater harmful alga! blooms. This plan should incorporate
strategies for:
a. Identifying knowledge gaps.
b. Closing identified knowledge gaps, particularly related to health risks from exposure to cyanotoxins in drinking
water and during recreational activities.
c. Monitoring and tracking harmful algal blooms.
d. Enhancing the EPA's national leadership role in addressing freshwater algal blooms.
e. Coordinating EPA activities internally and with states.
f. Assessing the health risks from exposure to cyanotoxins in drinking water and during recreational activities and
establishing additional criteria, standards, and advisories, as the scientific information allows.
2
Publish final numeric water quality criteria recommendations for nitrogen and phosphorus under the Clean Water Act for
lakes and reservoirs and publish implementation materials to help states in adopting these criteria recommendations.
3
Mindful that the EPA has substantial work to complete before publishing final numeric water quality criteria
recommendations for nitrogen and phosphorus under the Clean Water Act for rivers and streams, establish a plan,
including milestones and identification of resource needs, for developing and publishing those criteria
recommendations.
4
Assess and evaluate the available information on human health risks from exposure to cyanotoxins in drinking water and
recreational waters to determine whether actions under the Safe Drinking Water Act are warranted.
Report Addresses: £ EPA mission-related effort. §3] Top management challenge for EPA. Mandatory reporting requirements.
22
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Concerns About the Process Used for the SAFE Vehicles Rule Demonstrate the Need for
a Policy on EPA's Role in Joint Rulemakings
Report No. 21-E-01.25, issued April 20, 2021
Operating efficiently and effectively
{o} Complying with key internal control requirements (data quality; policies and procedures); Integrating and
leading environmental justice
Former EPA Administrator Scott Pruitt directed that the Safer Affordable Fuel-Efficient Vehicles Rule
for Model Years 2021-2026 Passenger Cars and Light Trucks would be based solely on the modeling and
analysis of the National Highway Traffic Safety Administration and that the National Highway Traffic
Safety Administration would draft the majority of
the preamble text. This instruction resulted in the
technical staff of EPA and the National Highway
Traffic Safety Administration not collaborating
during development of the final rule. EPA also did
not follow its process for developing regulatory
actions, complete major milestones in its Action
Development Process, or document who decided to
skip the milestones and why. EPA also did not
conduct a separate analysis related to executive
orders on the impacts of modified standards on
vulnerable populations. As a result, congressional
and tribal stakeholders raised transparency concerns
after the final rule was published.
Recommendations for corrective action issued assistant administrator for Air and Radiation:
1 In coordination with the Office of General Counsel, docket for the final Safer Affordable Fuel-Efficient Vehicles Rule and
commit to docketing for future joint rulemaking actions covered by Clean Air Act § 307(d), 42 U.S.C. § 7607(d), whether
the EPA docket for the joint rulemaking action reflects an interpretation that the partner agency is an "other agency" for
purposes of the docketing requirements of Clean Air Act § 307(d)(4)(B)(ii), 42 U.S.C. § 7607(d)(4)(B)(ii). This docketed
information should include whether written comments on the action by either partner agency during interagency review
and responses to such comments are part of the docket, if applicable.
2 In coordination with the Office of General Counsel, docket any written comments received from the National Highway
Traffic Safety Administration regarding the draft final Safer Affordable Fuel-Efficient Vehicles Rule during interagency
review from January 14, 2020, to March 30, 2020, and docket the EPA's written responses to such comments.
3 In coordination with the Office of Policy, formally document decisions to not complete Action Development Process
milestones, including early guidance, analytic blueprint, options selection, and final agency review.
Recommendations for corrective action issued associate administrator for Policy:
4 In coordination with program offices, develop a policy for the Agency's role in a joint rulemaking. The policy could build
upon earlier recommendations from the U.S. Government Accountability Office and include:
• Expectations for addressing executive orders.
• Expectations for completing Action Development Process milestones or documenting decisions to skip milestones.
• A description of the rulemaking major process steps and deliverables, including timing.
• A description of interagency roles, responsibilities, and interactions, including resolving conflict.
• Identification of other stakeholders.
• Best practices that may have more general applicability and should be updated as appropriate to reflect process
improvements.
Some vehicles are subject to the Safer Affordable Fuel-
Efficient Vehicles Rule for Model Years 2021-2026
Passenger Cars and Light Trucks. (EPA photo)
Report Addresses: £ EPA mission-related effort. §3] Top management challenge for EPA. Mandatory reporting requirements.
23
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
EPA Should Conduct More Oversight of Synthetic-Minor-Source Permitting to Assure
Permits Adhere to EPA Guidance
Report No. 21-P-0175, issued July 8, 2021
Improving air quality
{o} Overseeing states implementing EPA programs
EPA conducts only limited oversight of synthetic-minor-source permits and does not review permits to
assure that state and local agencies develop enforceable permit limitations. Synthetic-minor sources are
facilities that agree to restrictions in their permits issued under the Clean Air Act to reduce their actual
emissions to avoid being major sources of air pollution. Without clear and enforceable permit
limitations, facilities may emit excess pollution that would subject them to more stringent requirements of
the Clean Air Act major-source permitting programs.
Potential major source Synthetic-minor source
EPA OIG analysis of enforceable permit restrictions.
Note: TPY stands for tons per year. (EPA OIG image)
Recommendations for corrective action issued to the assistant administrator for Chemical Safety and Pollution Prevention:
1
Update Agency guidance on practical enforceability to more clearly describe how the technical accuracy of a permit limit
should be supported and documented. In updating such guidance, the Office of Air and Radiation should consult and
collaborate with the Office of Enforcement and Compliance Assurance, the Office of General Counsel, and the
EPA regions.
2
In consultation with the EPA regions, develop and implement an oversight plan to include:
a. An initial review of a sample of synthetic-minor-source permits in different industries that are issued by state,
local, and tribal agencies to assess whether the permits adhere to EPA guidance on practical enforceability,
including limits that are technically accurate; have appropriate time periods; and include sufficient monitoring,
record-keeping, and reporting requirements.
b. A periodic review of a sample of synthetic-minor-source permits to occur, at a minimum, once every five years.
c. Procedures to resolve any permitting deficiencies identified during the initial and periodic reviews.
3
Assess recent EPA studies of enclosed combustion device performance and compliance monitoring and other relevant
information during the next statutorily required review of 40 C.F.R Part 60 Subparts OOOO and OOOOa to determine
whether revisions are needed to monitoring, record-keeping, and reporting requirements for enclosed combustion
devices to assure continuous compliance with associated limits, and revise the regulatory requirements as appropriate.
4
Revise the Agency's guidance to communicate its key expectations for synthetic-minor-source permitting to state and
local agencies.
5
Identify all state, local, and tribal agencies in which Clean Air Act permit program implementation fails to adhere to the
public participation requirements for synthetic-minor-source permit issuance and take appropriate steps to assure the
identified states adhere to the public participation requirements.
Report Addresses: EPA mission-related effort. (o) Top management challenge for EPA. Mandatory reporting requirements.
24
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
EPA Helps States Reduce Trash, Including Plastic, in U.S. Waterways but Needs to
Identify Obstacles and Develop Strategies for Further Progress
Report No. 21-P-0130. issued May 11, 2021
Ensuring clean and safe water
Overseeing states implementing EPA programs
EPA, states, and municipalities implement nonregulatory initiatives to prevent and remove trash from
U.S. waterways, and thousands of municipalities control stormwater discharges of trash through the Clean
Water Act's National Pollutant Discharge Elimination System program. However, these entities have not
otherwise widely applied all the tools established by
the Clean Water Act to reduce trash in waterways.
For example, only ten states and the District of
Columbia have listed water bodies under the Clean
Water Act as impaired or threatened due to trash.
Of these, only three states and the District of
Columbia have developed a total maximum daily
load for trash, in part because there is a lack of
information on how to develop such a total
maximum daily load. EPA and states also face
other regulatory and nonregulatory obstacles to
reducing trash in waterways, such as a lack of
guidance on how to develop water quality criteria
and consistent measurement methodologies.
Recommendations for corrective action issued to the assistant administrator for Water:
1 Evaluate the obstacles to implementing the Clean Water Act to control trash in U.S. waterways and provide a public
report describing those obstacles.
2 Develop and disseminate strategies to states and municipalities for addressing the obstacles identified in the evaluation
from Recommendation 1. These strategies may include guidance regarding how to develop narrative water quality
criteria, consistent assessment and measurement methodologies, and total maximum daily loads for trash pollution.
3 Support state and local municipalities' efforts to control trash through National Pollutant Discharge Elimination System
permits for municipal separate sewer systems by publishing guidance documents, such as the Trash Stormwater Permit
Compendium and the U.S. EPA Escaped Trash Assessment Protocol.
Improperly disposed of trash can end up in waterways
and flow downstream into the oceans, where it becomes
marine debris. (EPA photo)
Report Addresses: £ EPA mission-related effort. §3] Top management challenge for EPA. Mandatory reporting requirements.
25
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
EPA Has Reduced Its Backlog of State Implementation Plans Submitted Prior to 2013
but Continues to Face Challenges in Taking Timely Final Actions on Submitted Plans
Report No. 21-E-0163, issued June 14, 2021
Improving air quality
{o} Overseeing states implementing EPA programs
Since 2015, EPA has reduced the number of backlogged State
Implementation Plan submittals awaiting EPA action. Despite this
progress, EPA has still not taken timely action on a significant
number of State Implementation Plan submittals. As of January 1,
2021, approximately 39 percent of the 903 active State
Implementation Plan submittals awaiting EPA action were
considered backlogged. Delayed EPA actions increase the risk that
The Clean Air Act requires each state
to submit State Implementation Plans
that demonstrate that it has an air
quality management program in place
to implement National Ambient Air
Quality Standards and to identify
emission-control requirements to
attain or maintain the standards.
state or local air agencies are not implementing plans sufficient to
achieve or maintain the National Ambient Air Quality Standards. Delayed action can also result in a lack
of regulatory certainty and different enforceable requirements for regulated entities.
2014
2015
2016 2017
Year
2018
Category
¦ Backlogged in or After 2013
¦ Backlogged Prior to 2013
¦ Total Backlogged
2019
OIG analysis of element level data in the State Planning Electronic
Collaboration System. (EPA OIG image)
Recommendations for corrective action issued to the assistant administrator for Air and Radiation:
1
Improve oversight of State Implementation Plan submittals by developing and implementing a process to search and
summarize State Implementation Plan elements that have not been submitted by the statutory deadlines and to ensure
that these data are available to the public.
2
Develop and implement a plan to address regional workload disparities to ensure that State Implementation Plan
submittals can be acted upon in a timely manner.
3
Reassess the Clean Data Determination status for the Yuma, Arizona, 1987 National Ambient Air Quality Standards for
particulate matter up to ten micrometers in size and the Mariposa, California, 2008 ozone National Ambient Air Quality
Standards to determine whether corresponding State Implementation Plan requirements should remain suspended.
4
Issue findings of failure to submit or take disapproval actions for required State Implementation Plan submittals in areas
that have failed to meet required attainment dates and have not submitted required State Implementation Plan
elements by the statutory deadline or that have submitted unapprovable State Implementation Plan elements.
Report Addresses: EPA mission-related effort. (o) Top management challenge for EPA. Mandatory reporting requirements.
26
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Business Practices and Accountability
EPA's Emergency Response Systems at Risk of Having Inadequate Security Controls
Report No. 21-E-0226, issued September 13, 2021
Operating efficiently and effectively
{o} Complying with key internal control requirements (data quality); Enhancing information
technology security
EPA did not follow guidance from the National
Institute of Standards and Technology when
determining the security categorization for
five emergency response systems. It also did not
include key participants in the process. EPA systems
become more vulnerable to security threats and
compromise of data if the Agency does not
follow National Institute of Standards and
Technology guidance when categorizing security
levels for systems or documenting system
security. Compromise of emergency response
system data could impact EPA's ability to coordinate
response efforts in environmental disasters.
Recommendations for corrective action issued to the assistant administrator for Land and Emergency Management:
1
Implement controls to follow National Institute of Standards and Technology guidance when conducting systems
categorizations by:
a. Involving the appropriate key stakeholders, including mission owners and the chief information security officer,
during the system security categorization process as prescribed in the National Institute for Standards and
Technology Special Publication 800-60 Volume !, Table 3, Process Roadmap.
b. Having responsible parties adhere to all activity steps as outlined in the National Institute for Standards and
Technology Process Roadmap, including selecting all application information types applicable to information
systems.
c. Having responsible parties document the security categorization determinations and decisions within system
security plans as provided in the National Institute for Standards and Technology Process Roadmap, including
documenting all downward adjustments to provisional security levels.
2
Reevaluate the system security categorizations for the EPA On-Scene Coordinator, Scribe.NET, Web Emergency Operations
Center, VIPER, Contaminated Site Cleanup Information Contractor Local Area Network, and Emergency Management
Portal systems in accordance with National Institute of Standards and Technology guidelines. Adjust security
categorizations as appropriate based on those evaluations.
Recommendations for corrective action issued to the assistant administrator for Mission Support:
3
Follow Agency guidance and implement controls to update the EPA's security categorization guidance to include the chief
information security officer when adjusting the provisional security categorization and determining the final security
categorization, as prescribed in the National Institute for Standards and Technology Process Roadmap.
4
Update the EPA's security categorization guidance to define and include the role of the mission owner.
5
Develop and provide role-based training to individuals who have security responsibilities for National Institute of
Standards and Technology system security categorization
6
Develop and implement a process to list and describe all minor applications in the appropriate system security plan.
7
Implement a process to document that tools and models are secure.
Report Addresses: £ EPA mission-related effort. §3] Top management challenge for EPA. Mandatory reporting requirements.
27
Podcast
v /
CONTROLS
&
EPA's information systems did not have proper security
controls because the Agency did not adhere to federal
guidance when determining security categorizations.
(EPA OIG image)
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
EPA Needs to Measure and Track Performance of Programs Eliminated in President's
Budget but Later Funded by Congress
Report No. 21-E-0219, issued September 2, 2021
Podcast
£* Operating efficiently and effectively
{o} Complying with key internal control requirements (policies and procedures)
From FY 2018 through FY 2020, EPA was appropriated nearly $2.4 billion for programs that were
eliminated in the President's Budget but then later funded by congressional appropriation. During that
time frame, EPA did not have internal controls in place to ensure that program activities for these
eliminated-then-funded programs were measured and tracked, in accordance with the Government
Performance and Results Act Modernization Act of 2010.
EPA is not tracking required performance
measures for all programs that were
eliminated in the President's Budget but
later funded by Congress.
(EPA OIG image)
Recommendations for corrective action issued to the chief financial officer:
1 Develop written guidance that explicitly states that eliminated-then-funded programs must measure and track
performance.
2 Develop an annual process to verify that eliminated-then-funded programs have performance measures in place and to
identify where those measures are tracked.
EPA Should Improve Compliance with Blanket Purchase Agreement Requirements
Report No. 21-P-0192, issued August 9, 2021
Operating efficiently and effectively
{§} Complying with key internal control requirements (policies and procedures)
For the six blanket purchase agreements that we reviewed, EPA did not always, as required by federal
regulations and EPA requirements, maintain electronic records, perform adequate acquisition planning,
document approvals for decisions to use noncommon contract solutions, or perform required annual
reviews. EPA also did not maximize competition, ensure price reasonableness, or negotiate lower prices,
as recommended by the Office of Management and Budget. Noncompliance with federal regulations and
recommendations, as well as with EPA requirements, hinders effective EPA contract management of
blanket purchase agreements and may decrease potential cost savings.
Recommendations for corrective action issued to the assistant administrator for Mission Support:
1 Implement procedures to verify that contracting officers perform and document annual reviews of active blanket purchase
agreements.
2 Implement procedures to verify that contracting officers request vendor price discounts on blanket purchase
agreement orders, as appropriate, before issuing an order or in conjunction with the annual review of active blanket
purchase agreements.
3 Implement procedures to verify that contracting officers determine whether a single-award blanket purchase agreement
is appropriate when establishing a new blanket purchase agreement. Document these determinations in the official
blanket purchase agreement files.
Report Addresses: EPA mission-related effort. (o) Top management challenge for EPA. Mandatory reporting requirements.
28
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
EPA Needs to Strengthen Oversight of Its Travel Program Authorization and Voucher
Approval Processes
Report No. 21-P-0265, issued September 30, 2021 Jfr
Compliance with the law; Operating efficiently and effectively
{o} Complying with key internal control requirements (policies and procedures)
EPA policy and procedures were not always effective in ensuring sufficient oversight of travel card use.
We found that EPA staff did not consistently comply with travel policy requirements. Out of our sample
of 31 travel transactions, 29 deviated from policy in travel card use. EPA staff approved authorizations
without sufficient justification of travel policy deviations, processed late vouchers, and reimbursed
vouchers for costs that lacked required documentation. These issues occurred because of personnel's
unfamiliarity with travel policies; the responsible EPA team's monitoring weaknesses in overseeing travel
approvals; and vague travel procedures, such as the Resource Management Directive System 2550B,
which contains procedures for extended temporary travel but lacks specific guidance to assist in
determining whether the cost of extended travel is most advantageous to EPA. As a result, the Agency
continues to be at risk from travel payments that could result in the mismanagement or waste of taxpayer
funds.
Recommendations for corrective action issued to the chief financial officer:
1
Ensure that individuals do not bypass justifications for travel policy deviations and documentation requirements by:
a. Assessing the feasibility of modifying Concur to restrict individuals from bypassing authorization justifications or
required voucher receipts.
b. Reemphasizing, through training or other methods, the requirement for justifications and documentation.
2
Require annual training for all approvers and travelers to certify that they are knowledgeable about the Federal Travel
Regulation and Resource Management Directive System 2550B travel policy.
3
Increase the rate of capturing deviations found in this audit by identifying monitoring reports in the travel system that can
assist with targeted-deviation monitoring efforts and use the system-monitoring reports for oversight.
4
Issue addendums to the Resource Management Directive System 2550B travel policy or equivalent to:
a. Require approvers to estimate and compare the total cost of temporary change of station versus extended
temporary duty travel and authorize the one that is most advantageous for the Agency, cost and other factors
considered.
b. Require the travel card cancellation and closeout process to occur within a predetermined number of days.
EPA Complies with Payment Integrity Information Act but Needs to Determine Cost
Allowability When Testing for Improper Grant Payments
Report No. 21-P-0135, issued May 14, 2021
Compliance with the law
(o'? Complying with key internal control requirements (data quality)
EPA's FY 2020 improper payment reporting complied with the Payment Integrity Information Act
of 2019, but the Agency did not determine the allowability of costs when testing grant payments, which
caused the Agency to inaccurately report its estimated improper payments for its grants program. We
identified an additional $38,038.96 in improper payments due to insufficient documentation.
Recommendations for corrective action issued to the chief financial officer:
1 Revise the Office of the Chief Financial Officer's Standard Operating Procedure Grants Improper Payment Review to
include the cost allowance principles as set forth in 2 C.F.R. Part 200, Subpart E, in its improper payments estimates for the
grants payment stream program and provide training to staff on the updated procedure.
Note: C.F.R. stands for Code of Federal Regulations.
Report Addresses: EPA mission-related effort. ( ) Top management challenge for EPA. Mandatory reporting requirements.
29
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
EPA Needs to Strengthen Its Purchase Card Approval Process
Report No. 21-P-0242, issued September 22, 2021
£ Operating efficiently and effectively
{o] Complying with key internal control requirements (data quality)
The Agency's internal controls are not adequate to
prevent and detect illegal, erroneous, or improper
purchases. Of the 25 purchase card and convenience
check transactions we reviewed, 23 transactions had at
least one instance of noncompliance. We determined
that $5,493.97 (5 percent) of the $119,618.66 purchase
card and convenience check expenses we reviewed were
unallowable. Improper purchases were made primarily
because cardholders and approving officials lacked
knowledge of relevant purchase card policies and
because the purchase card team, cardholders, and
approvers underutilized Citibank's internal control
tools, which are designed to prevent unallowable
purchases and to block unauthorized merchant category
codes, among other useful functions. The Agency
continues to be at risk of making improper or erroneous purchases, which may result in the misuse or
waste of taxpayer funds.
EPA obtains purchase card services through
the U.S. General Services Administration. (General
Services Administration image)
Recommendations for corrective action issued to the assistant administrator for Mission Support:
1
Require annual training for all cardholders and approving officials on targeted purchase card and convenience check
requirements, based on findings in audits and reviews, including those regarding closer scrutiny, restricted transactions,
required resources, and prohibited transactions.
2
Provide CitiManager training and support to cardholders, approving officials, and the purchase card team that will
establish the expectation that they use and enable them to effectively use CitiManager for the documentation,
justification, and approval of purchases.
3
Require cardholders and approving officials who have completed the training in Recommendation 2 to maintain approvals
and purchase documentation in CitiManager. Update all relevant policies and procedures to reflect this requirement.
4
Require the purchase card team to identify and use CitiManager management reports that will help provide oversight of
the program. Update all relevant policies and procedures to reflect this requirement.
Report Addresses: £ EPA mission-related effort. §3] Top management challenge for EPA. Mandatory reporting requirements.
30
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Hotline Contacts
Reports Initiated via OIG Hotline
Improved Review Processes Could Advance EPA Regions 3 and 5 Oversight of
State-Issued National Pollutant Discharge Elimination System Permits
Report No. 21-P-0122. issued April 21, 2021
Ensuring clean and safe water
£o) Overseeing states implementing EPA programs; Integrating and leading environmental justice
In Regions 3 and 5, EPA did not follow all relevant Clean Water Act and National Pollutant Discharge
Elimination System regulations and guidelines while reviewing permits. Region 3 did not adequately
ensure that National Pollutant Discharge Elimination
System permits issued by the State of West Virginia met
regulatory requirements. Region 5 did not address all
Clean Water Act and National Pollutant Discharge
Elimination System regulations during its review of a
draft permit for a mine and processing facilities to be
built by PolyMet Mining Inc. along the St. Louis River in
northeastern Minnesota. Region 5 also repeatedly declined to make a formal determination under Clean
Water Act § 401(a)(2) regarding whether discharges from the PolyMet NorthMet project may impact the
quality of waters within the jurisdiction of the Fond du Lac Band of Lake Superior Chippewa, whose
tribal lands are 125 miles downstream from the site of the PolyMet NorthMet project. Improved
EPA oversight could ensure that state National Pollutant Discharge Elimination System programs are
protecting human health and the environment.
Recommendations for corrective action issued to the regional administrator for Region 3:
1
Review the modified National Pollutant Discharge Elimination System mining permits issued by West Virginia based on the
2019 revisions to its National Pollutant Discharge Elimination System program to ensure that no backsliding has occurred,
including for discharges of ionic pollution, in accordance with EPA Region 3's approval letter dated March 27, 2019. If a
permit does not contain record documentation for the reasonable potential analysis or otherwise allows backsliding, alert
West Virginia of the permit inadequacies.
2
Review the modified National Pollutant Discharge Elimination System mining permits issued by West Virginia based on the
2019 revisions to its National Pollutant Discharge Elimination System program to determine whether the permits contain
effluent limits for ionic pollution and other pollutants that are or may be discharged at a level that causes, has the
reasonable potential to cause, or contributes to an excursion above any applicable water quality standard, as required by
Clean Water Act regulations. If a permit lacks required effluent limits, take appropriate action to address such
deficiencies.
3
Develop a formal internal operating procedure to facilitate timely permit reviews and transmission of EPA comments to
states.
Recommendations for corrective action issued to the regional administrator for Region 5:
4
Review and provide written input on any National Pollutant Discharge Elimination System permit prepared for reissuance
by the Minnesota Pollution Control Agency for the PolyMet Mining Inc. NorthMet project, if applicable, as appropriate
pursuant to the requirements of the Clean Water Act, National Pollutant Discharge Elimination System regulations, the
Region 5 National Pollutant Discharge Elimination System permit review standard operating procedure, and the
memorandum of agreement between EPA Region 5 and the Minnesota Pollution Control Agency.
5
Pursuant to Clean Water Act § 401(a)(2), commit to making a determination regarding the downstream water quality
impacts of pertinent discharges whenever available information, including information provided by downstream states or
tribes, indicates reasonable grounds to conclude that the discharges may impact downstream water quality.
Water pollution degrades water quality. As
authorized by the Clean Water Act, EPA implements
the National Pollutant Discharge Elimination System
permit program to control water pollution by
regulating point sources that discharge pollutants
into waters of the United States.
Report Addresses: EPA mission-related effort. (o) Top management challenge for EPA. Mandatory reporting requirements.
31
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Staffing Constraints, Safety and Health Concerns at EPA's National Enforcement
Investigations Center May Compromise Ability to Achieve Mission
Report No. 21-P-Q131, issued May 12, 2021
Operating efficiently and effectively
{6} Improving workforce/workload analyses
Despite addressing some concerns from prior audits and inspections,
EPA's National Enforcement Investigations Center continues to have
issues, such as unconducted internal safety and health audits and
management reviews, hazardous waste mismanagement,
noncompliance with safety procedures, and staff concerns about
safety and health. In 2020, as a result of an inspection by the State
of Colorado, the National Enforcement Investigations Center was
cited for several hazardous waste violations. Additionally, its Federal
Employee Viewpoint Survey results are 22 percent lower than
EPA's averages for questions related to management and work
environment, and the center has high attrition rates. As a result,
National Enforcement Investigation Center's ability to achieve its
mission of supporting EPA's civil and criminal enforcement efforts
may be compromised.
Recommendations for corrective action issued to the assistant administrator for Enforcement and Compliance Assurance:
1
Direct the National Enforcement Investigations Center to develop and implement a formal procedure and tracking
mechanism (such as a consolidated spreadsheet) for National Enforcement Investigations Center decisions related to
observations, comments, concerns, and opportunities for improvement identified from audits; management review
action items that are not tracked anywhere else; and customer complaints.
2
Direct the Office of Criminal Enforcement, Forensics, and Training to develop and implement a follow-up process for
inspection findings, including determining and documenting whether corrective actions effectively address findings.
3
Conduct a follow-up review of hazardous waste management at the National Enforcement Investigations Center to
determine whether it is complying with relevant statutes and regulations and verify internal controls are in place to
ensure future compliance.
4
Provide annual training on safety incident reporting procedures to all National Enforcement Investigations Center
employees and managers, including training on preventive or corrective actions and related root-cause analysis.
5
Develop and incorporate metrics that address safety and health issues and staff concerns into National Enforcement
Investigations Center senior management performance standards, such as collecting anonymous feedback from all staff
annually.
6
In coordination with the assistant administrator for Mission Support, verify that all laboratory hoods at the National
Enforcement Investigations Center are operational and certified for use.
7
Develop and implement a staffing plan for the Office of Criminal Enforcement, Forensics, and Training incorporating
projections of National Enforcement Investigations Center workload based upon the number of Criminal Investigation
Division agents, the needs of other EPA enforcement programs, and other factors.
8
In coordination with the assistant administrator for Mission Support, develop a joint action plan for hiring new staff at the
National Enforcement Investigations Center and promptly address delays in hiring.
9
Develop and incorporate metrics on the National Enforcement Investigations Center work environment and culture into
Office of Criminal Enforcement, Forensics, and Training senior management performance standards, such as results from
the annual Federal Employee Viewpoint Survey, periodic culture audits, or other methods to measure progress.
10
Develop and incorporate metrics that address work environment and culture into National Enforcement Investigations
Center senior management performance standards.
Inside the National Enforcement
Investigations Center. (EPA photo)
Report Addresses: £ EPA mission-related effort. §3] Top management challenge for EPA. Mandatory reporting requirements.
32
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
2.2 Investigative Work
Significant Investigations
Former Treatment Plant Superintendent Sentenced for Violating Clean Water Act
On April 1, 2021, a former superintendent of the Sioux City Wastewater Treatment Plant in Iowa was
sentenced in the U.S. District Court for the Northern District of Iowa to three months" imprisonment with
two years of supervised release and fined $6,000 for violating the Clean Water Act. The Sioux City
Wastewater Treatment Plant, which receives funding through EPA state revolving fund grants, is a large
regional sewage treatment plant for wastewater from industrial, commercial, and residential sources
throughout the region. Under its Clean Water Act permit, the plant is required to treat wastewater before
discharging it into the Missouri River and to test the wastewater to verify proper treatment. However, the
former superintendent conspired to employ a fraudulent water testing procedure. On October 6, 2020, the
former superintendent pleaded guilty to one count of conspiracy and one count of knowingly falsifying,
tampering with, and rendering inaccurate a monitoring device or method required to be maintained under
the Clean Water Act.
This investigation was conducted jointly with EPA's Criminal Investigation Division and the Federal
Bureau of Investigation.
Former Commission Director Sentenced for Federal Government Program Theft
On May 27, 2021, a former interim executive director for the Hancock County Planning Commission was
sentenced to two years in prison and three years of supervised release, as well as ordered to pay
approximately $325,000 in restitution, after pleading guilty in federal court on December 10, 2020, to
wire fraud and federal government program theft. From June 2015 through April 2019, this individual
embezzled more than $325,000 from the Hancock County Planning Commission and another nonprofit
organization where the individual worked. The individual perpetrated the scheme by fraudulently
transferring funds from one organization to another and converting the funds for personal use. During the
relevant period, the Hancock County Planning Commission received federal grant monies from both EPA
and the U.S. Department of Agriculture, including $400,000 in EPA grant funds to conduct inventory of,
characterize, and assess Brownfields sites in Hancock County, Maine.
This investigation was conducted jointly with the Ellsworth Police Department, the Federal Bureau of
Investigation, and the Department of Agriculture OIG.
Company Ordered to Pay Restitution to EPA for Grant Proposal Misrepresentations
On June 7, 2021, a North Carolina-based research company, Bio-Adhesive, was sentenced in the
U.S. District Court for the Middle District of North Carolina to serve five years of a probationary term, as
well as ordered to pay restitution in the amount of $319,199.69 to EPA and $562,500.00 to the National
Science Foundation. On March 23, 2021, the company pleaded guilty to two counts of providing false
statements to EPA and the National Science Foundation. From 2013 through 2017, the company applied
for and received Small Business Innovation Research and Small Business Technology Transfer grant
awards from EPA and the National Science Foundation totaling $1,375,000. The company submitted
multiple proposals that contained misrepresentations regarding its eligibility to seek Small Business
Innovation Research and Small Business Technology Transfer grant awards from the National Science
Foundation and EPA.
This investigation was conducted jointly with the National Science Foundation OIG.
33
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Company Reimbursed U.S. Government $1.5 Million for Improper Lab Practices
In July 2021, an engineering firm reimbursed the United States $1,453,263 as part of a settlement
agreement regarding improper laboratory practices at a previously owned subsidiary. These improper
laboratory practices impacted 27 projects funded by federal agencies, including EPA. According to a
voluntary disclosure by the engineering firm, a former employee altered laboratory instrument settings
between 2007 and 2013 to bring certain test results within acceptable water quality levels. These
unreliable water quality testing results were then provided to federal agencies, including EPA, the
U.S. Department of Defense, the U.S. Department of State, and the U.S. Department of Energy. A
subsequent federal investigation coled by EPA OIG and the Department of Defense OIG confirmed which
projects were potentially impacted. These projects involved environmental cleanup, water remediation,
and water treatment issues. The investigation also verified the amount of money owed to agencies for the
costs of testing services and related field sampling.
The settlement agreement was the result of a coordinated effort by the U.S. Attorney's Office for the
District of Colorado, EPA OIG, the Department of Defense OIG, the Department of State, and the
Department of Energy. The agreement resolved claims alleged by the federal government only, as there
had not been a determination of liability. Moreover, the agreement was neither an admission of liability
by the engineering firm nor a concession by the United States that its claims were not well founded.
Cleanup Contractor Charged with Theft of Public Money
On September 23, 2021, a former Tennessee methamphetamine cleanup contractor was charged in the
U.S. District Court, Eastern District of Tennessee, Greenville Division, with one count of 18 U.S.C.
§ 641, theft of public money less than $1,000. The cleanup contractor was working under the oversight of
the Tennessee Department of Environment and Conservation, which uses an EPA Brownfields grant for
methamphetamine decontamination program oversight and training. It was alleged that the cleanup
contractor fraudulently issued certificates of fitness to release properties that had been quarantined for
methamphetamine contamination and to declare these properties as safe for human use. As a result, the
property owners believed the homes were certifiably "clean" of any methamphetamine use or damage. On
September 30, 2021, the contractor was sentenced to one year of probation and ordered to repay $2,000 in
restitution to the affected homeowner for this specific charge.
This investigation was conducted jointly with the Tennessee Department of Environment and Conservation.
Management Implication Reports
Failure to Follow Agency Procedure to Report Cyberincident
Issued September 7, 2021
The EPA Office of Homeland Security did not follow procedures outlined in EPA Classification
No. CIO 2150-P-08.2, EPA Information Procedure, Information Security - Incident Response Procedures
because it did not immediately report a potential EPA data breach related to the EPA Facility Registry
Service to OIG and because it contacted law enforcement agencies external to EPA without OIG coordination.
The reported data breach did not contain sensitive or personally identifiable information. However, early
OIG notification of cyberevents is critical to ensure the integrity of EPA's cyberinfrastructure, to allow our
specially trained criminal investigators to collect and analyze electronic evidence and cyberevidence
before it is lost, to optimize our relationships with a broad array of external law enforcement, and to
prevent sensitive law enforcement or erroneous information from being disseminated to the media. OIG
issued this report to the associate administrator for Homeland Security to take the steps deemed
appropriate to ensure that cyberincident response procedures, including prompt reporting to OIG, are
followed by all EPA employees.
34
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Agency Response: As a result of this management implication report, EPA's Office of Homeland
Security, Office of Mission Support, and OIG collaborated to develop a better understanding of the roles
and responsibilities of each office during a reported data breach incident.
Lack of Information Security Protection of Off-Network EPA Device
Issued July 9, 2021
Inadequate access controls likely enabled external access to an environmental air sensor device operated
by the Office of Research and Development's Center for Environmental Measurement and Modeling's Air
Methods and Characterization Division. On April 21, 2021, EPA personnel attempted to remotely log into
the device but were denied access. After eventually gaining access and discovering that the contents were
encrypted, the employees contacted the device manufacturer, who helped EPA wipe the device clean.
OIG believes that, based on the details of the event, the device was attacked by ransom ware. However,
EPA incident responders were not able to examine the device or investigate the incident before the
manufacturer wiped the device clean, deleting all its data. In addition, OIG discovered that a password
was not set on the device and that the device was connected to the open internet, which suggests that there
is a lack of safeguards on remote devices procured, implemented, and operated by the Office of Research
and Development. EPA cannot guarantee the scientific integrity of data received from devices that lack
safeguards. Also, malicious software could be inadvertently downloaded or be pushed to devices lacking
safeguards. OIG issued this report to the acting assistant administrator for Research and Development and
EPA science advisor to take steps deemed appropriate to ensure the integrity of vital scientific research
conducted by the Office of Research and Development.
Agency Response: As a result of this management implication report, the Office of Research and
Development has taken steps to reeducate the staff involved in this incident. Additionally, the office
adopted internal security processes, which include requirements to report security incidents. The Office of
Research and Development also worked with EPA information security personnel to better improve
network capabilities and security processes.
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 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 EPA, CSB, or OIG—provide a notification to 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 EPA, CSB, or
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, 2021, the Office of Investigations issued no
Reports of Investigation and received no responses outside the 60-day window.
Agency and OIG Reports of Investigation
Reports of Investigation
with findings issued
4/1/21-9/30/21
Responses received or pendina after 60-day response period
To EPA
To OIG
Received
from EPA*
Pending from
EPA, as of
9/30/21
Received from
OIG*
Pending from
OIG, as of 9/30/21
0
0
0
0
0
0
* The EPA or OIG will or will not take an action or will conduct a supplemental investigation.
35
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
2.3 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 EPA OIG. This requirement includes reporting
information about any officials found to have engaged in retaliation and the consequences the Agency
Fimposed to hold such officials accountable. There were no whistleblower retaliation cases closed within
the semiannual period ending September 30, 2021. No officials were found to have engaged in retaliation.
Interference with Independence
Section 5(a)(21) of the Inspector General Act of 1978, as amended, requires a detailed description of any
attempt by the Agency to interfere with the independence of EPA OIG. This includes "budget constraints
designed to limit the capabilities of the [OIG]" and incidents in which the Agency "has resisted or
objected to oversight activities of the [OIG] or restricted or significantly delayed access to information/'
Generally, we will report incidents of restricted or delayed access to information experienced in a review
or investigation in the semiannual report covering the period during which the review was completed or
the investigation was closed. There were no reviews completed or investigations closed involving
attempts by EPA or CSB to interfere with OIG's independence within the semiannual period ending
September 30, 2021.
36
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
2.4 Single Audit Work
In accordance with the Single Audit Act of 1984, as amended, 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 to 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 independent, nonfederal auditors. Federal agencies rely upon the
results of single audit reporting when performing their grants-management oversight of these entities.
OIG provides an important service to EPA by performing technical reviews of single audit reports on the
basis of which OIG issues memorandums for audit resolution and corrective action. These memorandums
recommend that EPA action officials confirm corrective actions have been taken. If the corrective actions
have not been implemented, EPA needs to obtain a corrective action plan, with milestone dates, for
addressing the findings in a single audit report. In addition, OIG conducts desk reviews to assess the
quality of nonfederal audits and issues letters of deficiency notifying the external auditors of issues
identified. The chart below reflects single audit reporting actions during the semiannual reporting period
ending September 30, 2021, the previous semiannual period, and the fiscal year in total.
10/1/21-3/31/21
semiannual period
4/1/21-9/30/21
semiannual period
FY 2021 total
Number of single audit memorandums
issued to EPA
101
149
250
Number of recommendations for
improvement
19
33
52
Number of single audit findings reported
to EPA
227
352
579
Questioned costs reported to EPA
$0
$187,087
$187,087
Number of quality reviews of single audit
reports done by OIG
4
3
7
Deficiency letters issued to single auditors
by OIG
4
4
Source: EPA OIG analysis. (EPA OIG table)
37
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SECTION 3:
STATISTICAL DATA
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
3.1 Audit Report Resolution
For semiannual period ending September 30, 2021:
OIG-issued reports with questioned costs
Report category
Number of
reports
Questioned
costs*
(in thousands)
Unsupported
costs
(in thousands)
A. For which no management decision was made by
April 1, 2021**
9
$124
$0
B. New reports issued during period
24
$0
$0
Subtotals (A + B)
33
$124
$0
C. For which a management decision was made during
the reporting period:
16
(i) Dollar value of disallowed costs
17
$0
$0
(ii) Dollar value of costs not disallowed
$0
$0
D. For which no management decision was made by
September 30, 2021**
$124
$0
* Due to rounding, the costs may not appear in exact sum.
** Questioned costs include unsupported costs.
OIG-issued reports with recommendations that funds be put to better use
Report category
Number of
reports
Funds to put
to better use*
(in thousands)
A. For which no management decision was made by April 1, 2021**
9
$124
B. New reports issued during the reporting period
24
$408
Subtotals (A + B)
33
$532
C. For which a management decision was made during the reporting period:
16
(i) Dollar value of recommendations from reports that were
agreed to by management
$408
(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, 2021**
$124
*Due to rounding, the costs may not appear in exact sum.
** Funds put to better use includes questioned costs.
39
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
3.2 Summary of Investigative Results
For semiannual period ending September 30, 2021:
Summary of investigative activity
Cases open as of April 1, 2021
139
Cases opened during period
69
Cases closed during period
55
Cases open as of September 30, 2021
153
Complaints open as of April 1, 2021*
7
Complaints opened during period
51
Complaints closed during period
33
Complaints open as of September 30, 2021
25
* Adjusted from prior period.
Results of prosecutive actions
EPA OIG only
Joint*
Total
Criminal indictments/informations/complaints**
0
2
2
Convictions
0
5
5
Civil judgments/settlements/filings
0
2
2
Criminal fines and recoveries
$0
$1,411,161
$1,411,161
Civil recoveries
$0
$1,453,263
$1,453,263
Prison time
0 months
27 months
27 months
Prison time suspended
0 months
0 months
0 months
Home detention
0 months
12 months
12 months
Probation
0 months
192 months
192 months
Community service
0 hours
50 hours
50 hours
* With one or more federal agencies.
** Sealed indictments are not included in this category.
Administrative actions
EPA OIG only
Joint*
Total
Suspensions
1
0
1
Debarments
6
10
16
Other administrative actions
5
1
6
Total
12
11
23
Administrative recoveries
$0
$0
$0
Cost savings
$0
$0
$0
* With one or more federal agencies.
40
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Semiannual Report to Congress April 1, 2021-September 30, 2021
Summary of investigative reports issued and referrals for prosecution*
Number of investigative reports/referrals issued**
0
Number of persons referred to Department of Justice for criminal prosecution
13
Number of persons referred to state and local authorities for criminal prosecution
0
Number of criminal indictments and informations resulting from any prior referrals to
prosecutive authorities
1
* Investigative reports comprise final, interim, and supplemental Reports of Investigation, as well as Final Summary
Reports.
** This number may differ from the numbers reported in the Reports of Investigation section. In calculating the number
of referrals, corporate entities were counted as "persons."
Subjects of employee integrity investigations*
Political
appointees
Senior
Executive
Service
GS-15
GS-14
and
below
Misc.*
Total
Pending as of April 1, 2021
10
3
2
12
10
37
Opened**
2
1
8
2
3
16
Closed**
2
0
1
4
2
9
Pending as of September 30, 2021***
10
4
9
9
16
48
Note: GS stands for General Schedule,
* Refers to investigations for cases related to individuals who fall outside the categories outlined in this table, such as
former employees and federal contractors.
** 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).
*** Pending numbers as of September 30, 2021, 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.
Subjects of employee integrity investigations: breakdown by grade and number of employees
(EPA OIG image)
41
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APPENDIXES
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
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 OIG during the reporting period. For each report, where applicable, the 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
Report
number
Report title
Date
Potential
monetary
Ineligible Unsupported Unreasonable benefits
EVALUATIONS IN ACCORDANCE WITH
QUALITY STANDARDS FOR INSPECTION AND EVALUATION
21-E-0124 EPA Needs to Improve Processes for Updating 4/16/21
Guidance, Monitoring Corrective Actions, and
Managing Remote Access for External Users
21-E-0125 Concerns About the Process Used for the SAFE 4/20/21
Vehicles Rule Demonstrate the Need for a Policy on
EPA's Role in Joint Rulemakings
21-E-0128 EPA Did Not Conduct Agencywide Risk Assessment 5/4/21
of the CARES Act Appropriations, Increasing Risk of
Fraud, Waste, Abuse, and Mismanagement
21-E-0146 EPA Deviated from Typical Procedures in Its 2018 5/24/21
Dicamba Pesticide Registration Decision
21-E-0158 EPA's National Vehicle and Fuel Emissions Laboratory 6/7/21
Has Taken Steps to Mitigate the Impact of Coronavirus
Pandemic on Mobile Source Emission Compliance
21-E-0163 EPA Has Reduced Its Backlog of State 6/14/21
Implementation Plans Submitted Prior to 2013 but
Continues to Face Challenges in Taking Timely Final
Actions on Submitted Plans
21-E-0186 EPA's Endocrine Disruptor Screening Program Has 7/28/21
Made Limited Progress in Assessing Pesticides
21-E-0219 EPA Needs to Measure and Track Performance of 9/2/21
Programs Eliminated in President's Budget but Later
Funded by Congress
21-E-0226 EPA's Emergency Response Systems at Risk of 9/13/21
Having Inadequate Security Controls
21-E-0254 Pandemic Highlights Need for Additional Tribal 9/27/21
Drinking Water Assistance and Oversight in EPA
Regions 9 and 10
21-E-0264 EPA Needs an Agencywide Strategic Action Plan to 9/28/21
Address Harmful Algal Blooms
SUBTOTAL = 11
$0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
$0.00
$0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
$0.00
$0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
$0.00
$0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
$0.00
PERFORMANCE AUDITS IN ACCORDANCE WITH
GENERALLY ACCEPTED GOVERNMENT AUDITING STANDARDS
21-P-0122 Improved Review Processes Could Advance 4/21/21
EPA Regions 3 and 5 Oversight of State-Issued
National Pollutant Discharge Elimination System
Permits
21-P-0123 EPA Delayed Risk Communication and Issued 4/15/21
Instructions Hindering Region 5's Ability to Address
Ethylene Oxide Emissions
21-P-0129 EPA Should Conduct New Residual Risk and 5/6/21
Technology Reviews for Chloroprene- and Ethylene
Oxide-Emittinq Source Categories to Protect Human
Health
21-P-0130 EPA Helps States Reduce Trash, Including Plastic, 5/11/21
in U.S. Waterways but Needs to Identify Obstacles
and Develop Strategies for Further Progress
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
$0.00
0.00
0.00
0.00
43
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Report
number
Report title
Date
Questioned costs Potential
monetary
Ineligible Unsupported Unreasonable benefits
21-P-0131 Staffing Constraints, Safety and Health Concerns at 5/12/21
EPA's National Enforcement Investigations Center May
Compromise Ability to Achieve Mission
21-P-0132 Resource Constraints, Leadership Decisions, and 5/13/21
Workforce Culture Led to a Decline in Federal Enforcement
21-P-0135 EPA Complies with Payment Integrity Information Act but 5/14/21
Needs to Determine Cost Allowability When Testing for
Improper Grant Payments
21-P-0175 EPA Should Conduct More Oversight of Synthetic- 7/8/21
Minor-Source Permitting to Assure Permits Adhere
to EPA Guidance
21-P-0192 EPA Should Improve Compliance with Blanket Purchase 8/9/21
Agreement Requirements
21-P-0223 EPA's Office of Land and Emergency Management Lacked 9/9/21
a Nationally Consistent Strategy for Communicating Health
Risks at Contaminated Sites
21-P-0241 EPA Effectively Planned for Future Remote Access Needs 9/20/21
but Should Disconnect Unneeded Services in Timely
Manner
21-P-0242 EPA Needs to Strengthen Its Purchase Card Program 9/22/21
Approval Process
21-P-0265 EPA Needs to Strengthen Oversight of Its Travel Program 9/30/21
Authorization and Voucher Approval Processes
SUBTOTAL=13
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00
0.00 0.00
0.00 38,039.00
0.00
0.00
0.00
$0.00
0.00
0.00 364,000.00
0.00 0.00
0.00
5,494.00
0.00
$0.00
$0.00
$0.00 $407,533.00
TOTAL REPORTS ISSUED = 24
$0.00 $407,533.00
44
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Appendix 2—Delayed EPA Management Decisions and Comments;
Management Decisions with Which OIG Disagrees
For Reporting Period Ending September 30, 2021
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. For the purposes of the
semiannual report, the Act defines "management decision" to mean "the evaluation by the management of an establishment of
the findings and recommendations included in an audit report and the issuance of a final decision by management concerning
its response to such findings and recommendations, including actions concluded to be necessary." The Federal Acquisition
Streamlining Act of 1994, as amended, requires the head of each agency to make management decisions on all findings and
recommendations set forth in an OIG audit report within six months of the final report being issued. In the "Reports Without
Management Decision Within Six Months" section in this appendix, we report on the six audits and evaluations containing
recommendations for which no management decision was made within six months of final report issuance and that are still
pending a management decision as of September 30, 2021.
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 before the commencement of the reporting period for which no establishment comment was returned
within 60 days of providing the report to the establishment. OIG interprets this provision to apply to reports for which the end
date of the 60-day agency comment period occurs during the semiannual period. There were five reports for which we did not
receive a response within a 60-day period that ended during this semiannual period. We summarize these reports in the
"Reports for Which No Comment Was Received Within 60 Days" section in this appendix.
Section 5(a)(12) of the Inspector General Act of 1978, as amended, requires that the semiannual report contain information
concerning any significant management decision with which the inspector general disagrees. In this semiannual reporting
period, there was one EPA management decision regarding one recommendation with which the inspector general continued
to disagree. We summarize this recommendation and decision in the "Significant Management Decisions with Which OIG
Disagrees" section in this appendix.
Reports Without Management Decision Within Six Months
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: EPA did not comply with requirements of Executive Orders 12866 and 13045 when developing and issuing the
proposed Glider Repeal Rule. Additionally, 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. According to EPA
managers and officials, the then-EPA administrator directed the Glider Repeal Rule to be promulgated as quickly as possible.
The proposed repeal rule would relieve industry of compliance requirements of the Phase 2 rule, which set emissions standards
and production limits for gliders beginning January 1, 2018. EPA officials were aware that available information indicated the
proposed Glider Repeal Rule was "economically significant;" however, 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. 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. While the proposed Glider Repeal Rule was listed on EPA's Fall 2019 Regulatory
Agenda as "economically significant," the rule was withdrawn from the Spring 2020 Regulatory Agenda.
We recommended that the Agency identify for the public the substantive change to the proposed rule made at the suggestion
or recommendation of the White House'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.
45
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Office of Land and Emergency Management
Report No. 21-P-0114. EPA Does Not Consistently Monitor Hazardous Waste Units Closed with Waste in Place or
Track and Report on Facilities That Fall Under the Two Responsible Programs, March 29, 2021
Summary: EPA did not consistently verify the continued protection of human health and the environment at hazardous waste
treatment, storage, or disposal facilities. Specifically, 49.3 percent of these facilities with management units—for example,
landfills—that have been closed with hazardous waste in place were not inspected as often as required by federal statute or
set forth in EPA policy, and the Agency's regional oversight of such inspections was inconsistent. A lack of inspections could
cause a hazardous waste leak from a compromised unit to go undetected for years. In addition, EPA did not effectively track
the hazardous waste treatment, storage, or disposal facilities that were either managed by both the Superfund program and
the Resource Conservation and Recovery Act program or transferred between the two programs.
We recommended that the assistant administrator for Land and Emergency Management develop controls to improve
oversight of units with waste in place. The Agency agreed with three of our recommendations, while it did not agree with the
other three, which are considered unresolved.
Resolution Status: Resolution efforts are in progress for the three unresolved recommendations.
Report No. 20-P-0062. EPA Needs to Improve Its Emergency Planning to Better Address Air Quality Concerns During
Future Disasters, 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 EPA. However, these
thresholds 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. We did not identify instances of inaccurate communication from EPA to the public
regarding air quality after Hurricane Harvey. However, 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, limit exposure to air toxics in
these communities, and conduct environmental justice training. We recommended that the associate administrator for Public
Affairs establish a process to communicate the resolution of public concerns. The recommendations issued to the Region 6
regional administrator and the associate administrator for Public Affairs are resolved. The three recommendations issued to
the assistant administrator for Land and Emergency Management remain unresolved.
Resolution Status: EPA provided a formal response on February 28, 2020. Resolution efforts are underway.
Office of Mission Support
Report No. 20-P-0065. EPA Needs to Improve Management and Monitoring of Time-Off Awards,
December 30, 2019
Summary. 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, 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, or 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
46
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
EPA Reports with Unimplemented Recommendations
This table provides the full text of recommendations issued to EPA prior to this semiannual period that remain
unimplemented, along with the planned completion dates provided by EPA when the associated final reports were
issued and any subsequent revisions made by EPA to those planned completion dates.
This table reflects the status of recommendations as of September 30, 2021.
Report title, number, and date
Office
Unimplemented recommendation
EPA's initial
planned
completion date
(at time of report
issuance)
EPA's
revised
planned
completion
date(s)*
Potential
monetary
benefits**
(in thousands)
Category 1—Management and Operations
EPA Does Not Always Adhere to Its
Established Action Development
Process for Rulemaking
21-P-0115. March 31. 2021
OA/
Office of
Policy
3. Define for program offices the key regulatory decisions and
information that offices are expected to include in the Action
Development Process tracking database. Note: The Office of
Policy completed this recommendation on 9/20/21 and certified the
completion of the corrective action on 10/5/21, alter the
semiannual reporting period ended.
9/30/21
3/31/22
EPA Improperly Awarded and
Managed Information Technology
Contracts
21-P-0094, March 10. 2021
OMS
6. Review all active contracts for acquisitions of information
technology hardware, software, and services in fiscal year 2016
and later to determine whether the required Federal Information
Technology Acquisition Reform Act approvals were obtained and,
if not, to obtain the appropriate reviews and approvals. Identify
cost findings in the process from hardware and software
purchases that were either duplicates or unnecessary.
3/15/21
12/31/21
10. Create a software license inventory policy, which will include
identifying the number of licenses, license-counts authorized, overall
costs of licenses, maintenance fees, and contracts used for each
licensed software. Track and report savings produced by software
licensing inventory and report the savings as part of the Office of
Management and Budget's annual Spend Under Management data.
12/31/22
$1,180
EPA's Fiscal Years 2019 and 2018
Hazardous Waste Electronic Manifest
System Fund Financial Statements
21-F-0045. January 5.2021
OCFO
1. Strengthen and improve the preparation and management
review of the financial statements so that errors and
misstatements are detected and corrected.
9/30/21
3/31/22
$293
2. Analyze adjustments and corrections to the financial statements
so that such adjustments are appropriate, accurate, and properly
supported by documentation.
9/30/21
3/31/22
3. Record accounts receivable and earned revenue in the
appropriate fiscal year.
9/30/21
3/31/22
4. In coordination with the assistant administrator for Land and
Emergency Management, analyze e-Manifest billings so that
accounts receivable and earned revenue are recorded accurately.
9/30/21
3/31/22
$151
EPA Needs to Substantially Improve
Oversight of Its Military Leave
Processes to Prevent Improper
Payments
21-P-0042. December 28.2020
OMS
and
OCFO
1. Adopt and implement policies and procedures on military leave
and pay requirements that comply with 5 U.S.C. §§ 5538,6323,
and 5519.
4/29/22
2. Provide resources for supervisors, timekeepers, and reservists
on their roles and responsibilities related to military leave under
the law and Agency policies.
4/30/22
3. Establish and implement internal controls that will allow the
Agency to monitor compliance with applicable laws, federal
guidance, and Agency policies, including periodic internal audits of
all military leave, to verify that (a) charges by reservists are correct
and supported and (b) appropriate reservist differential and military
offset payroll audit calculations are being requested and performed.
6/30/22
4. Require reservists to correct and supervisors to approve military
leave time charging errors in PeoplePlus that have been identified
during the audit or as part of the Agency's actions related to
Recommendations 5 and 6.
9/30/21
3/31/22
* Blank cells indicate that there have been no revisions to the initial planned completion dates.
** Blank cells indicate that no potential monetary benefits were identified.
*** U—Unresolved when the report was issued but resolved at a later date.
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
evaluates efforts to implement the BEACH Act. The Agency disagreed with our recommendations and did not provide
acceptable corrective actions and planned completion dates.
Resolution Status: The Office of Water provided a response on October 8, 2020, that communicated its disagreement with the
findings and recommendations. The Agency provided a second response on July 23, 2021, that communicated that it planned
to work with staff in the Office of Congressional and Intergovernmental Relations to reach out to Congress for input on EPA's
BEACH Act program. On August 12, 2021, OIG issued a memorandum to the Agency explaining that the Agency did not
provide corrective actions that meet the intent of the report's recommendations and advised the Agency to follow the dispute
resolution process.
Total reports issued before reporting period for which no management decision had been made as of
September 30, 2021 = 6
Reports for Which No Comment Was Received Within 60 Days
Office of Air and Radiation
Report No. 21-P-0129. EPA Should Conduct New Residual Risk and Technology Reviews for Chloroprene- and
Ethylene Oxide-Emitting Source Categories to Protect Human Health, May 6, 2021
Summary: Results from EPA's modeling and monitoring efforts indicate that people in some areas of the country may be
exposed to unacceptable health risks from chloroprene and ethylene oxide emissions. Despite EPA classifying chloroprene as
a likely human carcinogen in 2010 and ethylene oxide a carcinogen in 2016, EPA has not conducted new residual risk and
technology reviews for most types of industrial sources that emit chloroprene or ethylene oxide. New risk and technology
reviews should be conducted because EPA issued new risk values for chloroprene and ethylene oxide in 2010 and 2016,
respectively, to reflect their potent carcinogenicity, as found in newer scientific evidence. EPA should exercise its discretionary
authority to conduct new residual risk reviews under the Clean Air Act whenever new data or information indicates an air
pollutant is more toxic than previously determined. Use of such discretionary authority is consistent with the Agency's position
stated in its April 2006 commercial sterilizer residual risk and technology review rule.
We recommended that the assistant administrator for Air and Radiation (1) develop and implement an internal control process
with specific criteria to determine whether and when new residual risk reviews of existing National Emission Standards for
Hazardous Air Pollutants and uncontrolled emission sources are needed to incorporate new risk information; (2) conduct new
residual risk reviews for Group I polymers and resins, synthetic organic chemical manufacturing industry, polyether polyols,
commercial sterilizers, and hospital sterilizers; (3) revise the National Emission Standards for Hazardous Air Pollutants for
chemical manufacturing area sources to regulate ethylene oxide and conduct a residual risk review; and (4) conduct overdue
technology reviews for the source categories listed in Recommendations 2 and 3. At report issuance, three of the
recommendations were unresolved, and one was resolved with corrective actions pending.
Status: The Agency provided a formal written response dated July 7, 2021. Based on the information and supporting
documentation provided, OIG did not agree with the Agency's planned corrective actions. OIG issued a memorandum on
August 5, 2021, advising the Agency that the three recommendations remain unresolved.
Report No. 21-P-0123. EPA Delayed Risk Communication and Issued Instructions Hindering Region 5's Ability to
Address Ethylene Oxide Emissions, April 15, 2021
Summary: EPA delayed communicating health risks to community residents in Illinois, which is part of EPA Region 5, who
lived near ethylene oxide-emitting facilities. Specifically, Office of Air and Radiation leadership delayed informing the
Willowbrook, Illinois, community about the results of EPA's May 2018 short-term monitoring around the Sterigenics facility and
did not conduct public meetings with residents either near the Medline facility in Waukegan, Illinois, or the Vantage facility in
Gurnee, Illinois. Outside of the residual risk review process, OIG did not identify any statutory, regulatory, or specific policy
requirements or protocols to disclose public health information about ethylene oxide emissions. EPA's mission statement and
risk communication guidance state, however, that communities should have accurate information to participate in
decision-making processes.
According to two Region 5 managers, a then-senior leader in the Office of Air and Radiation, who was a political appointee,
instructed Region 5 to not conduct inspections at ethylene oxide-emitting facilities unless invited by the state to conduct a joint
inspection. Region 6 managers and inspectors stated that they did not receive such policy instructions. Office of Air and
Radiation senior leaders also issued additional instructions that hindered Region 5's ability to effectively address ethylene
oxide emissions, according to Region 5 personnel. EPA delegates authority to state, local, and tribal agencies to implement
48
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Report title, number, and date
Office
Unimplemented recommendation
EPA's initial
planned
completion date
(at time of report
issuance)
EPA's
revised
planned
completion
date(s)*
Potential
monetary
benefits**
(in thousands)
EPA Needs to Address Internal
Control Deficiencies in the
Agencywide Quality System
20-P-0200. June 22. 2020
OMS
1. Develop and implement a strategic plan and objectives for the
agencywide Quality System.
12/31/21
2. Develop and implement a standard operating procedure to
conduct annual reviews of program and regional quality systems.
6/30/22
4. Work with the Office of the Chief Financial Officer to conduct a
workload analysis for the agencywide Quality System.
12/31/21
5. Conduct and document an internal control risk assessment on
the agencywide Quality System based on the Office of Mission
Support's strategic plan for the Quality System.
12/31/21
11. Address the three unimplemented recommendations from the
2014 program evaluation by the outside contractor to work with
program partners to define the role of the Office of Mission
Support and clarify Quality System guidance, develop a
comprehensive staffing plan to address vacancies and skill gaps in
the Quality System, and rebrand the EPA's Quality System to
increase support from project personnel and senior managers.
12/31/21
12. Develop and implement a means to track Quality System
Assessments.
12/31/21
13. Complete Quality System Assessments for organizations that
are outside of the required three-year assessment time frame.
6/30/25
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.
10/15/21
9/20/22
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
9/30/21
3. Update the accounting models to properly record collections
and not reduce an account receivable account.
9/30/21
3/31/22
4. Establish accounting models to properly record e-Manifest
account receivables and recognize earned revenue at the
transaction level.
9/30/21
3/31/22
5. Establish accounting models to properly classify and record
interest, fines, penalties and fees.
9/30/21
3/31/22
6. Establish accounting models to properly record receivables,
collections and earned revenue from federal versus nonfederal
vendors.
9/30/21
3/31/22
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
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
12/31/22
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
1. Issue a decision regarding Ohio's request to transfer from the
Ohio Environmental Protection Agency to the Ohio Department of
Agriculture its National Pollutant Discharge Elimination System
program with respect to Concentrated Animal Feeding Operations
and other elements of the program.
3/8/21
* Blank cells indicate that there have been no revisions to the initial planned completion dates.
** Blank cells indicate that no potential monetary benefits were identified.
*** U—Unresolved when the report was issued but resolved at a later date.
49
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
The National Enforcement Investigations Center had unresolved action items from the Office of Criminal Enforcement,
Forensics, and Training's Professional Integrity and Quality Assurance unit's 2017 inspection report related to staffing
shortages, trust in management, and hazardous waste management. The office did not conduct a follow-up review to examine
the effectiveness of the implemented corrective actions. In 2020, as a result of an inspection by the State of Colorado, the
center was cited for several hazardous waste violations. Further, the center's 2019 Federal Employee Viewpoint Survey
results are 22 percent lower than EPA's averages for questions related to management and work environment. The center has
been challenged by high attrition rates among staff and the inability to backfill vacant positions since 2016. If staffing levels
continue to fall, the center risks a reduction in analytical capabilities and the ability to accomplish its mission.
We made ten recommendations to the assistant administrator for Enforcement and Compliance Assurance, including
developing a process for the Office of Criminal Enforcement, Forensics, and Training to follow up on inspection findings and
confirm whether corrective actions effectively address findings, as well as developing metrics on safety, health, and work
environment to incorporate into National Enforcement Investigations Center management performance evaluations. The
Agency agreed with seven recommendations and disagreed with three recommendations. As of September 10, 2021, seven of
the ten recommendations were resolved.
Status: After a period of negotiations following the issuance of OIG's final report, OIG permitted the Agency an additional
seven days beyond the 60-day due date of July 12, 2021, to respond officially to the report. The Agency provided its official
response on July 16, 2021, with proposed corrective actions for the five unresolved recommendations. OIG issued a
memorandum on September 10, 2021, that stated our agreement with the corrective actions for two recommendations but that
the three recommendations related to senior leadership performance metrics remained unresolved. OIG and the Office of
Enforcement and Compliance Assurance continue to work toward resolution and have met several times to discuss corrective
actions that meet the intent of the unresolved recommendations.
Region 3
Report No. 21-P-0122. Improved Review Processes Could Advance EPA Regions 3 and 5 Oversight of State-Issued
National Pollutant Discharge Elimination System Permits, April 21, 2021
Summary: In Regions 3 and 5, EPA did not follow all relevant Clean Water Act and National Pollutant Discharge Elimination
System regulations and guidelines while reviewing permits. Region 3 did not adequately perform its oversight responsibilities
to ensure that National Pollutant Discharge Elimination System permits issued by the State of West Virginia meet regulatory
requirements. Specifically, West Virginia reissued 286 National Pollutant Discharge Elimination System mining permits to
reflect revisions made to its water quality regulations in 2015, but it is unclear whether Region 3 took steps to verify that the
Clean Water Act's anti-backsliding provisions were met. In addition, Region 3 experienced permit review delays, and states
within the region issued permits without addressing EPA's comments. Region 5 did not address all regulations during its
review of a draft National Pollutant Discharge Elimination System permit for a mine and processing facilities to be built by
PolyMet Mining Inc. along the St. Louis River in northeastern Minnesota. Despite its concerns about the permit, Region 5 did
not provide written comments to Minnesota, contrary to the region's standard operating procedures and per common EPA
practice. In addition, Region 5 repeatedly declined to make a formal determination under Clean Water Act § 401 (a)(2)
regarding whether discharges from the PolyMet NorthMet project may impact the quality of waters within the jurisdiction of the
Fond du Lac Band of Lake Superior Chippewa, whose tribal lands are 125 miles downstream from the site of the PolyMet
NorthMet project. The tribe was therefore unable to avail itself of the National Pollutant Discharge Elimination System permit
objection process set forth in Clean Water Act § 401 (a)(2).
We make a total of five recommendations to the regional administrators for Regions 3 and 5, including that Region 3 review
West Virginia's reissued National Pollutant Discharge Elimination System mining permits to ensure that no backsliding has
occurred and that they contain appropriate limits for pollutant discharges; that Region 3 develop a formal internal operating
procedure for its National Pollutant Discharge Elimination System review process; that Region 5 provide written input
regarding any resubmitted National Pollutant Discharge Elimination System permit for the PolyMet NorthMet project; and that
Region 5 commit to making formal determinations regarding downstream water quality impacts, pursuant to the Clean Water
Act. Region 5 agreed with our two recommendations specific to that region; those recommendations are resolved with
corrective action pending. Region 3 did not agree with our three recommendations specific to that region. At report issuance,
those recommendations were unresolved.
Status: The Agency provided a formal written response on July 21, 2021. OIG issued a memorandum on September 1, 2021,
which explained that, based on the information and supporting documentation provided, one of the three recommendations
was considered resolved. OIG advised the Agency to provide a response concerning specific actions in process or alternative
corrective actions proposed for the remaining two unresolved recommendations.
Total reports issued during the reporting period for which the Agency did not provide a written response
within 60 days, as of September 30, 2021 = 5
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Significant Management Decisions with Which OIG Disagrees
Associate Deputy Administrator
Report No. 20-N-0128. Management Alert: Prompt Action Needed to Inform Residents Living Near Ethylene Oxide-
Emitting Facilities About Health Concerns and Actions to Address Those Concerns, March 31, 2020
Summary: EPA has prioritized activities to more fully assess ethylene oxide emissions and the associated health risks to the
public for 25 ethylene oxide-emitting facilities that contribute to elevated estimated cancer risks. Ethylene oxide, which the
Agency characterizes as "carcinogenic to humans," is a gas used to manufacture a variety of products and to sterilize medical
equipment. EPA or state personnel, or both, have met with residents living near only nine of the 25 high-priority facilities about
the health risks and actions being taken to address those risks.
We issued one recommendation in this report: that the associate deputy administrator "[i]mprove 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."
Status: EPA and OIG were unable to reach agreement on the corrective actions for Recommendation 1. On January 4, 2021,
as part of the audit resolution process, the EPA administrator concurred with the Office of Air and Radiation's position that the
recommendation should be closed. We consider the administrator's January 4, 2021 decision a significant management
decision with which we disagree. EPA has not, as of September 30, 2021, conducted OIG's recommended outreach to all of
the communities identified in the report. We continue to work with the EPA to address our recommendation.
51
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
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 for EPA and CSB, which were issued in
42 OIG audit reports from 2008 through the end of March 31, 2021.
There is a total of 101 unimplemented recommendations for EPA with total potential monetary benefits of
approximately $30.6 million, $0 of which was sustained and redeemed by the Agency. Use of "sustained" in this case
indicates agreement, in whole or in part, by the Agency to an OIG-identified monetary benefit. There is a total of three
unimplemented recommendations for CSB, with total potential monetary benefits of $0.
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:
DA Deputy Administrator
ADA Associate Deputy Administrator (within the Office of the Administrator)
OA 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
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 9
Region 10
Science Advisor
1 Effective November 26, 2018, the former Office of Environmental Information and Office of Administration and
Resources Management were merged into the Office of Mission Support. In this appendix, any recommendations
originally issued to the former offices will be listed as under the purview of OMS.
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
EPA Reports with Unimplemented Recommendations
This table provides the full text of recommendations issued to EPA prior to this semiannual period that remain
unimplemented, along with the planned completion dates provided by EPA when the associated final reports were
issued and any subsequent revisions made by EPA to those planned completion dates.
This table reflects the status of recommendations as of September 30, 2021.
Report title, number, and date
Office
Unimplemented recommendation
EPA's initial
planned
completion date
(at time of report
issuance)
EPA's
revised
planned
completion
date(s)*
Potential
monetary
benefits**
(in thousands)
Category 1—Management and Operations
EPA Does Not Always Adhere to Its
Established Action Development
Process for Rulemaking
21 -P-0115. March 31.2021
OA/
Office of
Policy
3. Define for program offices the key regulatory decisions and
information that offices are expected to include in the Action
Development Process tracking database.
9/30/21
3/31/22
EPA Improperly Awarded and
Managed Information Technology
Contracts
21-P-0094. March 10. 2021
OMS
6. Review all active contracts for acquisitions of information
technology hardware, software, and services in fiscal year 2016
and later to determine whether the required Federal Information
Technology Acquisition Reform Act approvals were obtained and,
if not, to obtain the appropriate reviews and approvals. Identify
cost findings in the process from hardware and software
purchases that were either duplicates or unnecessary.
3/15/21
12/31/21
10. Create a software license inventory policy, which will include
identifying the number of licenses, license-counts authorized, overall
costs of licenses, maintenance fees, and contracts used for each
licensed software. Track and report savings produced by software
licensing inventory and report the savings as part of the Office of
Management and Budgets annual Spend Under Management data.
12/31/22
$1,180
EPA's Fiscal Years 2019 and 2018
Hazardous Waste Electronic Manifest
System Fund Financial Statements
21-F-0045. January 5.2021
OCFO
1. Strengthen and improve the preparation and management
review of the financial statements so that errors and
misstatements are detected and corrected.
9/30/21
3/31/22
$293
2. Analyze adjustments and corrections to the financial statements
so that such adjustments are appropriate, accurate, and properly
supported by documentation.
9/30/21
3/31/22
3. Record accounts receivable and earned revenue in the
appropriate fiscal year.
9/30/21
3/31/22
4. In coordination with the assistant administrator for Land and
Emergency Management, analyze e-Manifest billings so that
accounts receivable and earned revenue are recorded accurately.
9/30/21
3/31/22
$151
EPA Needs to Substantially Improve
Oversight of Its Military Leave
Processes to Prevent Improper
Payments
21-P-0042. December 28.2020
OMS
and
OCFO
1. Adopt and implement policies and procedures on military leave
and pay requirements that comply with 5 U.S.C. §§ 5538, 6323,
and 5519.
4/29/22
2. Provide resources for supervisors, timekeepers, and reservists
on their roles and responsibilities related to military leave under
the law and Agency policies.
4/30/22
3. Establish and implement internal controls that will allow the
Agency to monitor compliance with applicable laws, federal
guidance, and Agency policies, including periodic internal audits of
all military leave, to verify that (a) charges by reservists are correct
and supported and (b) appropriate reservist differential and military
offset payroll audit calculations are being requested and performed.
6/30/22
4. Require reservists to correct and supervisors to approve military
leave time charging errors in PeoplePlus that have been identified
during the audit or as part of the Agency's actions related to
Recommendations 5 and 6.
9/30/21
3/31/22
* Blank cells indicate that there have been no revisions to the initial planned completion dates.
** Blank cells indicate that no potential monetary benefits were identified.
*** U—Unresolved when the report was issued but resolved at a later date.
53
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
EPA's initial
EPA's
Report title, number, and date
Office
Unimplemented recommendation
planned
completion date
(at time of report
issuance)
revised
planned
completion
date(s)*
Potential
monetary
benefits**
(in thousands)
5. Recover the approximately $11,000 in military pay related to
unsupported 5 U.S.C. § 6323(a) military leave charges, unless the
Agency can obtain documentation to substantiate the validity of
the reservists' military leave.
8/31/21
12/15/21
$11
6. Submit documentation for the reservists' military leave related to
the approximately $118,000 charged under 5 U.S.C. § 6323(b) to
the EPA's payroll provider to perform payroll audit calculations and
recover any military offsets that may be due.
8/31/21
12/15/21
$118
7. Identify the population of reservists who took unpaid military leave
pursuant to 5 U.S.C. § 5538, and determine whether those
reservists are entitled to receive a reservist differential. Based on the
2/28/22
results of this determination, take appropriate steps to request that
the EPA's payroll provider perform payroll audit calculations to
identify and pay the amounts that may be due to reservists.
8. For the time periods outside of the scope of our audit (pre-
January 2017 and post-June 2019), identify the population of
reservists who charged military leave under 5 U.S.C. § 6323(b)
or 6323(c) and determine whether military offset was paid by the
reservists. If not, review reservists' military documentation to
determine whether payroll audit calculations are required. If
required, request that the EPA's payroll provider perform payroll
audit calculations to identify and recover military offsets that may
be due from the reservists under 5 U.S.C. §§ 6323 and 5519.
2/28/22
OCFO
9. Report all amounts of improper payments resulting from paid
military leave for inclusion in the annual Agency Financial Report, as
required by the Payment Integrity Information Act of 2019.
12/1/21
EPA Needs to Improve Its Planning
and Management of Laboratory
Consolidation Efforts
21-E-0033. December 7.2020
OMS
1. Develop and implement procedures that include detailed
requirements for planning and managing laboratory consolidation
efforts. Requirements should address developing master plans
and programs of requirements, tracking and updating cost and
12/31/20
12/31/21
schedule estimates, and maintaining decisional documentation.
EPA's Fiscal Years 2020 and 2019
(Restated) Consolidated Financial
Statements
21-F-0014. November 16.2020
OCFO
1. Develop a plan to strengthen and improve the preparation and
management review of the financial statements and adjustments
entered into the accounting system so that errors and
misstatements are detected and corrected in a timely manner.
7/31/21
3/31/22
$1,072
EPA Has Sufficiently Managed
Emergency Responses During the
Pandemic but Needs to Procure
More Supplies and Clarify Guidance
20-E-0332, September 28.2020
OLEM
3. In coordination with all EPA regions, ensure that guidance and
planning address deployment of on-scene coordinators in the
event of large incidents during pandemics, including overcoming
travel restrictions to respond to large incidents.
y***
6/30/22
EPA Needs to Strengthen Controls
Over Required Documentation and
Tracking of Intergovernmental
Personnel Act Assignments
20-P-0245.Auaust10.2020
OMS
1. Evaluate the EPA's Intergovernmental Personnel Act Policy and
Procedures Manual (IPA), including the checklist, to determine
whether the required documents, the consequences for
noncompliance, the responsible offices, and the individual roles
and responsibilities remain relevant and appropriate, and update
10/15/21
the Manual accordingly.
2. Strengthen controls throughout the EPA's Intergovernmental
Personnel Act assignment process to verify that required
documents are properly submitted and maintained as required by
the EPA's Intergovernmental Personnel Act Policy and Procedures
Manual (IPA) and that the consequence for nonsubmittal of
required documents is enforced.
10/15/21
3. Strengthen controls over the tracking of EPA employees on
Intergovernmental Personnel Act assignments.
1/15/22
* Blank cells indicate that there have been no revisions to the initial planned completion dates.
** Blank cells indicate that no potential monetary benefits were identified.
*** U—Unresolved when the report was issued but resolved at a later date.
54
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Report title, number, and date
Office
Unimplemented recommendation
EPA's initial
planned
completion date
(at time of report
issuance)
EPA's
revised
planned
completion
date(s)*
Potential
monetary
benefits**
(in thousands)
EPA Needs to Address Internal
Control Deficiencies in the
Agencywide Quality System
20-P-0200. June 22.2020
OMS
1. Develop and implement a strategic plan and objectives for the
agencywide Quality System.
12/31/21
2. Develop and implement a standard operating procedure to
conduct annual reviews of program and regional quality systems.
6/30/22
4. Work with the Office of the Chief Financial Officer to conduct a
workload analysis for the agencywide Quality System.
12/31/21
5. Conduct and document an internal control risk assessment on
the agencywide Quality System based on the Office of Mission
Support's strategic plan for the Quality System.
12/31/21
11. Address the three unimplemented recommendations from the
2014 program evaluation by the outside contractor to work with
program partners to define the role of the Office of Mission
Support and clarify Quality System guidance, develop a
comprehensive staffing plan to address vacancies and skill gaps in
the Quality System, and rebrand the EPA's Quality System to
increase support from project personnel and senior managers.
12/31/21
12. Develop and implement a means to track Quality System
Assessments.
12/31/21
13. Complete Quality System Assessments for organizations that
are outside of the required three-year assessment time frame.
6/30/25
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.
10/15/21
9/20/22
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
9/30/21
3. Update the accounting models to properly record collections
and not reduce an account receivable account.
9/30/21
3/31/22
4. Establish accounting models to properly record e-Manifest
account receivables and recognize earned revenue at the
transaction level.
9/30/21
3/31/22
5. Establish accounting models to properly classify and record
interest, fines, penalties and fees.
9/30/21
3/31/22
6. Establish accounting models to properly record receivables,
collections and earned revenue from federal versus nonfederal
vendors.
9/30/21
3/31/22
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
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
1231/22
EPA Region 5 Needs to Act on
Transfer Request and Petition
Regarding Ohio's Concentrated
Animal Feeding Operation Permit
Program
19-N-0154, May 15.2019
Region
5
1. Issue a decision regarding Ohio's request to transfer from the
Ohio Environmental Protection Agency to the Ohio Department of
Agriculture its National Pollutant Discharge Elimination System
program with respect to Concentrated Animal Feeding Operations
and other elements of the program.
3/8/21
* Blank cells indicate that there have been no revisions to the initial planned completion dates.
** Blank cells indicate that no potential monetary benefits were identified.
*** U—Unresolved when the report was issued but resolved at a later date.
55
-------
Semiannual Report to Congress
April 1, 2021-September 30, 2021
Report title, number, and date
Office
Unimplemented recommendation
EPA's initial
planned
completion date
(at time of report
issuance)
EPA's
revised
planned
completion
date(s)*
Potential
monetary
benefits**
(in thousands)
Self-Insurance for Companies with
Multiple Cleanup Liabilities Presents
Financial and Environmental Risks
for EPA and the Public
18-P-0059. December 22.2017
OLEM
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
6/30/22
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
6/30/22
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
6/30/22
8. Train staff on the procedures and instructions developed for
Recommendations 5 through 7.
9/30/20
9/30/21
9/30/22
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
Category 2—Water Quality
Region 2's Hurricanes Irma and
Maria Response Efforts in Puerto
Rico and U.S. Virgin Islands Show
the Need for Improved Planning,
Communications, and Assistance for
Small Drinking Water Systems
21-P-0032. December 3.2020
Region
2
1. Develop and implement a written regional procedure for the timely
approval and dissemination of predrafted public health messages in
the aftermath of a disaster so that impacted communities receive
critical information in a timely manner, in accordance with EPA Order
2010, Crisis Communication Plan. After this procedure is developed,
also:
a. Train regional emergency response personnel on the procedure.
b. Include the procedure in disaster planning and response
documents and exercises.
9/30/21
3/31/22
2. Develop and implement a supplement to Region 2's emergency
response plan to describe and address the specific geographic,
logistical, and cultural norms applicable to disaster response in
Puerto Rico and the U.S. Virgin Islands. This supplement should
include local EPA staff roles and responsibilities, as well as address
the likely limitations to transportation, communications, and power in
the aftermath of disasters.
6/30/23
3. In coordination with the Office of Water, implement America's
Water Infrastructure Act in Puerto Rico and the U.S. Virgin Islands
by: a. Developing and implementing a strategy to provide training,
guidance, and assistance to small drinking water systems as they
improve their resilience, b. Establishing a process for small drinking
water systems to apply for America's Water Infrastructure Act grants.
This process should include (1) implementing the EPA's May 2020
guidance provided to small drinking water systems regarding
resilience assessments and (2) establishing a public information
campaign to inform small drinking water systems of the America's
Water Infrastructure Act grant opportunity, qualifying requirements,
and application deadlines.
12/31/22
* Blank cells indicate that there have been no revisions to the initial planned completion dates.
** Blank cells indicate that no potential monetary benefits were identified.
*** U—Unresolved when the report was issued but resolved at a later date.
56
-------
Semiannual Report to Congress
April 1, 2021-September 30, 2021
EPA's initial
EPA's I
Report title, number, and date
Office
Unimplemented recommendation
planned
completion date
(at time of report
issuance)
revised
planned
completion
date(s)*
Potential
monetary
benefits**
(in thousands)
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
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
9/30/22
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
9/30/22
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
12/31/21
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
9/28/18
9/30/20
9/30/22
involvement and final, documented concurrence of headquarters
to ensure national consistency.
Category 3—Environmental Contamination and Cleanup
EPA Does Not Consistently Monitor
Hazardous Waste Units Closed with
Waste in Place or Track and Report
on Facilities That Fall Under the Two
Responsible Programs
21-P-0114. March 29.2021
OLEM
and
OECA
1. In collaboration with the Office of Enforcement and Compliance
Assurance, develop RCRAInfo reports for regular distribution to EPA
regions that identify the inspection frequency status of nonoperating
treatment, storage, or disposal facilities with respect to the time
frames stated in the Office of Enforcement and Compliance
Assurance's Compliance Monitoring Strategy.
12/31/21
OLEM
3. Develop and implement controls to verify that the Resource
Conservation and Recovery Act referrals to the Superfund
program are added to Superfund Enterprise Management System
for further Superfund program attention, as necessary.
3/31/22
4. Develop and implement controls to verify that the Superfund
program deferrals to the Resource Conservation and Recovery
Act are added to RCRAInfo for further Resource Conservation and
9/30/23
Recovery Act attention, as necessary.
EPA Unable to Assess the Impact of
Hundreds of Unregulated Pollutants
OW
3. Complete development of the probabilistic risk assessment tool
and screening tool for biosolids land application scenarios.
12/31/21
in Land-Applied Biosolids on Human
Health and the Environment
19-P-0002. November 15.2018
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
5/31/21
12/31/21
8. Issue updated and consistent guidance on biosolids fecal
coliform sampling practices.
12/31/20
5/31/21
12/31/21
EPA Needs to Finish Prioritization and
Resource Allocation Methodologies for
Region
9
1. Complete the necessary removal site evaluations and
engineering evaluations/cost analyses.
12/31/20
12/31/21
Abandoned Uranium Mine Sites on or
Near Navajo Lands
18-P-0233.Auaust22.2018
Regions
6 and 9
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
5/31/22
* Blank cells indicate that there have been no revisions to the initial planned completion dates.
** Blank cells indicate that no potential monetary benefits were identified.
*** U—Unresolved when the report was issued but resolved at a later date.
-------
Semiannual Report to Congress
April 1, 2021-September 30, 2021
Report title, number, and date
Office
Unimplemented recommendation
EPA's initial
planned
completion date
(at time of report
issuance)
EPA's
revised
planned
completion
date(s)*
Potential
monetary
benefits**
(in thousands)
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 Is at Risk of Not Achieving
Special Local Needs Program Goals
for Pesticides
21-E-0072. February 10.2021
OCSPP
1. Develop program objectives and measures and implement data-
collection processes to determine the risk-reduction and pollution-
prevention outcomes of the Special Local Needs program.
7/1/22
2. Develop and implement standard operating procedures that allow
Special Local Needs applications to be reviewed consistently.
12/31/21
3. Determine whether the Office of Pesticide Programs will adopt the
draft American Association of Pesticide Control Officials guidance or
develop detailed guidance for states that specifies what information
should be submitted in each Special Local Needs application.
12/31/21
4. Develop and make available a public Special Local Needs database
including registration date, duration, and individual state Special Local
Needs labels for each Special Local Needs registration.
12/31/21
EPA Mostly Adheres to Regulations
When Assessing Risks of New
Pesticides but Should Improve
Internal Controls
21-P-0070. February 8.2021
OCSPP
1. Develop and incorporate an ecological data requirement
summary table or similar internal control into the Office of
Pesticide Programs' ecological risk assessments as verification
that all ecological data requirements have been met.
1/31/22
2. Develop and implement a standard operating procedure for the
initial pesticide registration of new active ingredients.
1/31/22
Lack of Planning Risks EPA's Ability
to Meet Toxic Substances Control
Act Deadlines
20-P-0247.Auaust17.2020
OCSPP
1. Complete and publish the 2021 Annual Existing Chemical Risk
Evaluation Plan by the beginning of calendar year 2021 and
include the anticipated implementation efforts and financial and
staff resources to implement the actions detailed in the plan.
1/31/21
10/31/21
EPA's Safer Choice Program Would
Benefit from Formal Goals and
Additional Oversight
20-P-0203, June 30. 2020
OCSPP
1. Minimize the effect any late reporting may have on the Toxics
Release Inventory National Analysis.
y***
1/31/22
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.SeDtember9.2019
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.
y***
12/31/21
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.
y***
12/31/22
* Blank cells indicate that there have been no revisions to the initial planned completion dates.
** Blank cells indicate that no potential monetary benefits were identified.
*** U—Unresolved when the report was issued but resolved at a later date.
58
-------
Semiannual Report to Congress
April 1, 2021-September 30, 2021
Report title, number, and date
Office
Unimplemented recommendation
EPA's initial
planned
completion date
(at time of report
issuance)
EPA's
revised
planned
completion
date(s)*
Potential
monetary
benefits**
(in thousands)
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
12/31/22
Category 5—Air Quality
EPA Needs to Improve Oversight of
How States Implement Air Emissions
Regulations for Municipal Solid
Waste Landfills
20-P-0236, Julv 30.2020
Region
6
2. Require the Texas Commission on Environmental Quality to
determine whether the 11 municipal solid waste landfills identified
by the OIG as having design capacities exceeding the Title V
permit regulatory capacity threshold should apply for a Title V
permit and install emissions controls. If permits are required, verify
with the Texas Commission on Environmental Quality whether the
municipal solid waste landfills applied for a permit.
12/31/20
12/31/21
3. Assist the State of Arkansas in developing and submitting a
state plan to implement the 2016 municipal solid waste landfill
Emission Guidelines. If Arkansas does not submit a state plan,
implement the federal plan for the 2016 municipal solid waste
landfill Emission Guidelines once the federal plan is effective.
6/30/22
EPA's Processing Times for New
Source Air Permits in Indian Country
Have Improved, but Many Still
Exceed Regulatory Time Frames
20-P-0146, April 22,2020
OAR
2. Establish and implement an oversight process to verify that the
regions update the tribal-New-Source-Review permit tracking system
on a periodic basis with the correct and required information.
3/31/22
3. Develop and implement a strategy to improve the application
process and permitting timeliness for tribal-New-Source-Review
permits, taking into consideration the findings and
recommendations from the Lean event. The strategy should
include procedures to measure results.
6/30/22
4. Provide guidance to the regions on how to accurately determine
and document the application completion date that should be used
for tracking the tribal-New-Source-Review permitting process and
assessing timeliness.
9/30/21
3/31/22
5. Develop and implement a plan, in consultation with the Office of
Enforcement and Compliance Assurance and the EPA regions, to
periodically coordinate with tribes to identify facilities that are
operating in Indian Country without the required tribal-New-
Source-Review permit.
9/30/22
6. Develop and implement a plan, in consultation with the Office of
Enforcement and Compliance Assurance and the EPA regions, to
periodically conduct outreach to industry groups to educate them on
the tribal-New-Source-Review permit requirements for facilities that
are constructed or modified in Indian Country.
9/30/22
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***
3/31/211
f EPA and OIG were unable to reach
agreement on the corrective actions
for this recommendation.
On January4, 2021, aspartofthe
audit resolution process, the EPA
administrator concurred with OAR's
position that the recommendation
should be closed. We consider the
administrators January 4, 2021
decision a significant management
decision with which we disagree. We
continue to work with the EPA to
address our recommendation.
* Blank cells indicate that there have been no revisions to the initial planned completion dates.
** Blank cells indicate that no potential monetary benefits were identified.
*** U—Unresolved when the report was issued but resolved at a later date.
59
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Report title, number, and date
Office
Unimplemented recommendation
EPA's initial
planned
completion date
(at time of report
issuance)
EPA's
revised
planned
completion
date(s)*
Potential
monetary
benefits**
(in thousands)
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, 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
6/30/21
More Effective EPA Oversight Is
Needed for Particulate Matter
Emissions Compliance Testing
19-P-0251. July 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
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 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
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
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
12/31/22
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
3/31/22
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
3/31/22
* Blank cells indicate that there have been no revisions to the initial planned completion dates.
** Blank cells indicate that no potential monetary benefits were identified.
*** U—Unresolved when the report was issued but resolved at a later date.
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Report title, number, and date
Office
Unimplemented recommendation
EPA's initial
planned
completion date
(at time of report
issuance)
EPA's
revised
planned
completion
date(s)*
Potential
monetary
benefits**
(in thousands)
EPA Has Not Met Certain Statutory
Requirements to Identify
Environmental Impacts of Renewable
Fuel Standard
16-P-0275.Auaust18.2016
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 ana
Laboratories
Further Efforts Needed to Uphold
Scientific Integrity Policy at EPA
20-P-0173, May 20, 2020
DA
1. Determine the extent and cause of the concerns related to
culture and "tone at the top," based on the indicators from the
OIG's scientific integrity survey. Issue the results to all EPA staff
and make available to the public, including planned actions to
address the causes
9/30/20
12/31/21
ORD /
Science
Advisor
2. With the assistance of the Scientific Integrity Committee,
develop and identify which performance measures will be used
to define Scientific Integrity Program success and effective
Scientific Integrity Policy implementation.
12/30/21
6. In coordination with the assistant administrator for Mission
Support, complete the development and implementation of the
electronic clearance system for scientific products across the
Agency.
6/30/22
7. With the assistance of the Scientific Integrity Committee, finalize
and release the procedures for addressing and resolving
allegations of a violation of the Scientific Integrity Policy, and
incorporate the procedures into scientific integrity outreach and
training materials.
4/30/20
6/30/22
8. With the assistance of the Scientific Integrity Committee,
develop and implement a process specifically to address and
resolve allegations of Scientific Integrity Policy violations involving
high profile issues or senior officials, and specify when this
process should be used.
6/30/21
6/30/22
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.
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
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
12/31/21
Total
$30,625
* Blank cells indicate that there have been no revisions to the initial planned completion dates.
** Blank cells indicate that no potential monetary benefits were identified.
*** U—Unresolved when the report was issued but resolved at a later date.
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
CSB Reports with Unimplemented Recommendations
This table provides the full text of recommendations issued to CSB prior to this semiannual period that remain
unimplemented, along with the planned completion dates provided by CSB when the associated final reports
were issued and any subsequent revisions made by CSB to those planned completion dates.
This table reflects the status of recommendations as of September 30, 2021.
CSB's initial
CSB's
planned
revised
Potential
completion date
planned
monetary
at time of report
completion
benefits
Report title, number, and date
Office
Unimplemented recommendation
issuance
date(s)*
(in thousands)**
Category 1—Management and Operations
CSB's Information Security Program Is
Not Consistently Implemented;
Improvements Are Needed to Address
Four Weaknesses
21-E-0071. February 9.2021
CSB
1. Complete the Risk Assessment process as required by
NIST 800-37, re-evaluate the Risk Management Framework
to make in more fluent to leverage day-to-day processes in
place for completing the risk assessment, and determine
how to best implement an organization-wide governance
process for monitoring and reporting on risks.
4/30/21
2. Document the process in place to monitor required flaw
remediation to resolution and enhance the flaw remediation
process to require approvals if risks cannot be mitigated to
an acceptable level in a timely manner. In addition, develop
timeframes and monitoring on the timeliness of applying
patch updates
1/31/21
3. Implement a process to ensure that privacy awareness
training is provided to all individuals, including role-based
training where needed.
11/30/20
Total
$0
* Blank cells indicate that there have been no revisions to the initial planned completion dates.
** Blank cells indicate that no potential monetary benefits were identified.
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Appendix 4—Closed Investigations Involving Senior Employees
For Reporting Period Ending September 30,2021
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 Act requires a
detailed description of the particular circumstances of any investigation conducted by OIG involving a senior government
employee that is closed and was not disclosed to the public. Details on each investigation conducted by OIG involving
senior employees closed during the semiannual reporting period ending September 30, 2021, are provided below.
CASE NUMBER: QI-HQ-2021-ADM-0037
The OIG Hotline received a complaint alleging that a former EPA Senior Executive Service employee changed duty stations
but remained on the EPA payroll at the previous duty station's higher locality pay. The complaint also alleged that the
employee received reimbursement for relocation expenses and did not perform official work from the new location. The
investigation determined that locality pay adjustments do not apply to executive-level pay and that EPA did not pay for the
employee's relocation. The investigation also identified consistent daily patterns of emails sent and received, except for days
the employee was on leave or official government travel, and determined that the employee performed official work at the
new location. The allegations were not supported.
CASE NUMBER: QI-HQ-2019-ADM-0023
On April 6, 2021, EPA issued a notice of debarment that banned a former EPA Senior Executive Service employee who
served as the Region 4 regional administrator from participating in federal procurement and nonprocurement programs for a
period of four years. The debarment will expire on April 9, 2023. EPA OIG previously assisted state authorities in an
investigation that revealed the appointee attempted to influence a state investigation while serving as a federal employee.
The former employee was subsequently indicted for criminal violations of the Alabama Ethics Act and on October 26, 2020,
pleaded guilty to three counts of receiving a thing of value for purpose of influencing official action, in violation of
section 3625-7(d) of the Alabama Criminal Code, 1975. The former employee was sentenced to one year in prison, which
was suspended, and to two years of unsupervised probation, as well as ordered to pay $6,500 in fines. On April 6, 2021,
EPA issued a notice of debarment that banned the former employee from participating in federal procurement and
nonprocurement programs for a period of four years. The debarment will expire on April 9, 2023.
CASE NUMBER: QI-NE-2021-ADM-0043
An EPA General Schedule-15 employee allegedly committed time-and-attendance fraud by working at a restaurant that the
employee owned during EPA duty hours. This allegation was referred to EPA's Labor and Employee Relations Division.
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Semiannual Report to Congress
April 1, 2021-September 30, 2021
Appendix 5—Peer Reviews Conducted
For Reporting Period Ending September 30,2021
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 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 EPA OIG by another OIG. Section 5(a)(15) of the Act
requires a list of any outstanding recommendations from any peer review conducted of EPA OIG by another OIG that have
not been fully implemented. Section 5(a)(16) of the Act requires a list of all peer reviews conducted by EPA OIG of another
OIG during the reporting period, including a list of any recommendations from any previous peer review that remain
outstanding.
EPA OIG has initiated an external peer review of the audit organization of the Department of Agriculture OIG. Our review
covers the period from April 1, 2020, through March 31, 2021. This review is being conducted in accordance with generally
accepted government auditing standards and guidelines established by the Council of the Inspectors General on Integrity
and Efficiency.
The following are the most recent peer reviews conducted by another OIG of EPA OIG. There are no outstanding
recommendations from these peer reviews.
Audits
The most recent peer review report on EPA OIG was issued on April 15, 2021, by the Treasury Inspector General for Tax
Administration OIG. That review, covering the three-year period ending September 30, 2020, found that EPA OIG's system
of quality control was suitably designed and complied with to provide EPA OIG with reasonable assurance of performing and
reporting in conformity with applicable professional standards in all material respects. EPA OIG receive 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 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, 2021-September 30, 2021
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: (984) 309-2669
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: (917) 717-1923
Offices
Dallas
U.S. Environmental Protection Agency
Office of Inspector General Suite 500
1201 Elm Street
Dallas, TX 75270
Audit/Evaluation: (214) 665-6735
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) 553-6116
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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