0\ 7 I U.S. ENVIRONMENTAL PROTECTION AGENCY % VKdr * OFFICE OF INSPECTOR GENERAL V : J? Catalyst for Improving the Environment EPA Office of Inspector General Congressional and Media Protocols April 2014 ------- Office of Inspector General Approach The Office of Inspector General (OIG) is an independent office within the U.S. Environmental Protection Agency (EPA) that performs audits, program evaluations and investigations of the EPA and the U.S. Chemical Safety and Hazard Investigation Board (CSB) and their contractors, and prevents and detects fraud, waste and abuse. By helping the agencies operate more economically, effectively and efficiently, the OIG provides solutions to problems that ultimately result in making America a cleaner and healthier place. Developing and maintaining good working relationships with Congress and the media are critical to our success. Contact Information The OIG's Office of Congressional and Public Affairs serves as the primary point of contact for members of Congress and their staffs and the media, and manages the OIG's congressional and public affairs program. To contact our office: By phone: (202)566-2391 By fax: (202) 566-2549 By mail: U.S. Environmental Protection Agency Office of Inspector General Office of Congressional and Public Affairs 1200 Pennsylvania Avenue, NW (2491T) Washington, DC 20460 To find out more about the U.S. Environmental Protection Agency Office of Inspector General and its activities, visit our website at http://www.epa.gov/oig. Go to the "Contact" Web page, choose "Subscribe to EPA OIG" and enter your email address to receive notices by email when new items are added to the site. Follow us on Twitter @EPAoig. ------- ^tDsrx ? U.S. Environmental Protection Agency Office of Inspector General / ri Km) Protocols at a Glance OIG Executive Staff Catalyst for Improving the Environment Inspector General Arthur A. Elkins Jr. Deputy Inspector General Charles Sheehan Chief of Staff Aracely Nunez-Mattocks Assistant Inspector General for Audit Kevin Christensen Assistant Inspector General for Congressional and Public Affairs Alan Larsen Counsel to the Inspector General Alan Larsen Assistant Inspector General for Investigations Patrick Sullivan Assistant Inspector General for Mission Systems Patricia Hill Assistant Inspector General for Program Evaluation Carolyn Copper The OIG is an independent office of the EPA created by the Inspector General Act of 1978, as amended (Inspector General Act). The OIG's role is to detect and prevent fraud, waste and abuse in the EPA's programs and operations, and assist the EPA in protecting human health and the environment more efficiently and cost effectively. We also serve as the OIG for the U.S. Chemical Safety and Hazard Investigation Board. Any member of Congress, including the Chair or Ranking Member of a committee or subcommittee, may submit a written request for the OIG to conduct an audit, program evaluation or investigation. Given limited resources, the OIG may not be able to undertake all such requests and therefore must prioritize, weighing several factors. The OIG recommends that members of Congress consult with the OIG prior to submitting a request, so that the OIG can best understand any factors that would affect the priority the OIG will assign to that request. Sometimes the OIG will terminate an audit or evaluation project without issuing a report, but generally, at the conclusion of an audit or evaluation, the OIG issues a report. Such reports adhere to professional standards and guidance. All audit and program evaluation reports will be released upon issuance by the OIG. At that time, reports will be made publicly available on the OIG's website, and the EPA and any congressional requester(s) will be sent a final copy of the report via email. Requests for OIG testimony should be submitted in writing from the Chair of a congressional committee or subcommittee. We provide objective testimony based on OIG work. Due to our independent reporting relationship to Congress under the Inspector General Act, OIG testimony is not subject to prior review or approval by the Office of Management and Budget or EPA officials. Further, the OIG welcomes the opportunity to brief members of Congress and/or their staffs on our completed work upon request. The Inspector General Act specifies that the OIG is to review existing and proposed legislation and regulations relating to the programs and operations of the EPA, and OIG comments are not subject to prior review or approval by outside entities prior to submission. For further information, contact our Office of Congressional and Public Affairs at (202) 566-2391. For ongoing audit or evaluation work, the OIG limits comments to the scope or objectives of the review and anticipated time frame for completion. We will not discuss possible findings and recommendations until a final report is issued. The OIG's policy is neither to confirm nor deny whether it engaged in ongoing criminal investigations, a standard protocol for most federal law enforcement agencies. ------- EPA Office of Inspector General Congressional and Media Protocols Table of Contents Congressional Requests 1 Factors When Considering Requests 1 Communication with Requesters 2 OIG Work Products and Process 2 Release of OIG Reports 4 Congressional Testimony 5 Congressional Briefings 6 Legislative Review 6 Media 7 Freedom of Information Act and Privacy Act 8 Disclaimer 8 ------- EPA Office of Inspector General Congressional and Media Protocols April 2014 Congressional Requests As Congress is one of the OIG's primary customers, we carefully consider requests submitted in writing to audit, evaluate or investigate issues within our authority or jurisdiction from any committee or member of Congress. The OIG will not begin such work without a written request. Given our limited resources, the OIG may not be able to undertake all requests received from Congress as we must give priority to our mandated work. Congressional mandates include requirements for reviews directed by statutes or committee reports. Therefore, the OIG recommends that members of Congress and committees consult with the OIG prior to submitting a request so that the OIG can best understand any factors that would affect the priority the OIG will assign to that request. Factors When Considering Requests The OIG will take into account several factors when considering a request, including: Whether it is within the OIG's authority or jurisdiction. Whether it is from a Chair or Ranking Member of an oversight or appropriations committee with jurisdiction over the OIG or the EPA. Whether it duplicates any prior or ongoing work by the OIG, the Government Accountability Office, or another oversight entity. The scope of the request. The availability of OIG staff and resources. The OIG prioritizes requests from members of Congress as follows: Chair of a committee or subcommittee with jurisdiction over the OIG or the EPA. Ranking Member of a committee or subcommittee with jurisdiction over the OIG or the EPA. Maj ority member of a committee or subcommittee with jurisdiction over the OIG or the EPA. • Minority member of a committee or subcommittee with jurisdiction over the OIG or the EPA. Other member of Congress. 1 ------- EPA Office of Inspector General Congressional and Media Protocols April 2014 Communication with Requesters The OIG will provide an acknowledgement letter to (the) requester(s) within 10 business days of receiving a written request. OIG will send an update letter once a decision is made stating whether the OIG has accepted or declined the request. If the request has been accepted, the letter may also include details on the scope or obj ectives of the review and expected time frame for completion. OIG will send a transmittal letter to the requesting member of Congress when we issue our final report. It is OIG policy to provide separate written correspondences to any members of Congress who co-sign or are listed as receiving courtesy copies on the request letter. Oral communications between the OIG and requester(s) may supplement any written correspondence. Once the OIG commences work, the office will, as appropriate, provide status updates upon request. OIG Work Products and Process The OIG generally issues its audit and evaluation results in the form of a report when it undertakes a project in response to a congressional request, but may instead issue correspondence or another written product as appropriate. OIG reports must communicate results in a meaningful, useful and balanced manner for the agency, Congress and the public.. OIG audits and evaluations are normally conducted in accordance with the Generally Accepted Government Auditing Standards, commonly known as GAGAS or the Yellow Book, which is issued by the Comptroller General of the United States. These standards provide a framework for conducting high quality government audits and attestation engagements with competence, integrity, objectivity and independence. The current Yellow Book is available at http://www.gao.gov/vellowbook. The OIG may use GAGAS in conjunction with other sets of professional standards and will cite their use as appropriate. For some projects, adherence to all of the GAGAS may not be feasible or necessary, which will be noted in the report. We generally do not provide information about ongoing OIG investigations to protect the integrity of the investigation. 2 ------- EPA Office of Inspector General Congressional and Media Protocols April 2014 OIG audits and evaluations are generally conducted in phases, including, as applicable: • Preliminary Research: During preliminary research, teams may perform limited data gathering, including assessment of internal controls; collect information to identify potential conditions and effects; and determine whether a full review is justified. Field Work: During field work, teams gather and analyze sufficient, competent and relevant data to fully answer their audit or evaluation objectives. Reporting: During the reporting phase, teams summarize information collected, meet with the agency to discuss tentative project results, and develop a final report/product so that the findings and recommendations can be communicated to the EPA/auditee or appropriate customers. The team issues a draft report to the agency to verify information and obtain the views of officials responsible for the subject area. After receiving the agency's response to the draft report, a final report is issued. Reports undergo independent referencing, which is a quality control mechanism intended to check the accuracy of information contained in reports. The OIG endeavors to complete its work in a timely manner. However, the time frame for completing audits, evaluations or investigations varies depending on their scope and complexity. In addition, factors beyond the OIG's control may impact how quickly a review is completed. The OIG will notify the requester(s) if a review will be delayed beyond any previously indicated deadline. 3 ------- EPA Office of Inspector General Congressional and Media Protocols April 2014 Release of OIG Reports Upon issuance, reports or other work products will be posted on the OIG's public website at http://www.epa.gov/oig unless prohibited by law. Simultaneously, the EPA and any congressional requester(s) will be sent copies via email and, if requested, by regular mail or delivery. It is important to note that EPA officials have the opportunity to review OIG draft reports, and to provide written comments to be incorporated into final chapter and memorandum reports. Early warning and quick reaction reports include, at a minimum, summaries of oral comments from agency officials. 4 ------- EPA Office of Inspector General Congressional and Media Protocols April 2014 Congressional Testimony Testifying before Congress provides the OIG a significant opportunity to inform members of Congress about the work that we do. We provide objective testimony based on OIG work products that adhere to professional standards and guidance. Due to our independent authority provided under the Inspector General Act, OIG testimony is not subject to prior review and approval by the Office of Management and Budget or EPA officials. Requests for OIG testimony should be submitted in writing by the Chair of a committee or subcommittee and addressed to the Inspector General. We strongly encourage committees to consult with the OIG prior to submitting a request to ensure that our work is properly aligned with the hearing subject matter and the appropriate OIG witness is available. The OIG will consider a committee's request for a specific OIG witness, but the Inspector General reserves the right to determine who will testify on behalf of the OIG. Generally, OIG witnesses are limited to the Inspector General, Deputy Inspector General or appropriate Assistant Inspector General, depending on the subject matter and availability. The OIG limits testimony to work we have completed. While focused on the most updated information, OIG testimony may include older reports or investigations that still have relevance to the subject. Regarding ongoing audits and evaluations, we limit our testimony to the scope or objectives of our reviews and expected time frames for completion. To ensure the integrity of an ongoing investigation, the OIG will not testify about it. OIG testimony will adhere to specific committee guidelines on format and will be submitted within required deadlines. OIG testimony is posted on our website at http://www.epa.gov/oig within one business day of a hearing. 5 ------- EPA Office of Inspector General Congressional and Media Protocols April 2014 Congressional Briefings The OIG welcomes the opportunity to brief members of Congress and committees or their staffs on our completed work. Requests should be specific as to the subject matter to ensure that discussions are focused on the intended topics. This information also will help us determine which OIG subj ect matter experts should participate in the briefing. While the OIG seeks to limit the number of OIG participants, we also want to ensure that the appropriate people are present to answer questions. The OIG will not discuss possible findings or recommendations from ongoing audits or evaluations until a final report has been issued. Similarly, the OIG will not discuss ongoing investigations. Legislative Review Section 4(a) of the Inspector General Act specifies that the OIG shall review existing and proposed legislation and regulations relating to the programs and operations of the EPA, and make recommendations concerning their impact. The OIG can receive requests to review legislative items from the Office of Management and Budget through the EPA or the Council of the Inspectors General on Integrity and Efficiency, the statutorily created entity comprising the federal Inspectors General. However, the OIG also will review and comment on specific legislation if requested by a member of Congress or congressional committee. Due to our independent authority under the Inspector General Act, OIG comments are not subject to prior review and approval by outside entities prior to submission. 6 ------- EPA Office of Inspector General Congressional and Media Protocols April 2014 Media The OIG's Office of Congressional and Public Affairs is the primary point of contact for all media inquiries on matters related to the OIG, which ensures that they are handled expeditiously. We understand and appreciate that reporters often work under short deadlines, so our goal is to respond to any inquiry within one business day. We will respond only to media inquiries that pertain to the OIG; inquiries that are program- or policy-oriented will be referred to the EPA's Office of External Affairs and Environmental Education. For ongoing audit or evaluation work, the OIG limits comments to the scope or objectives of the review and anticipated time frame for completion. We will not discuss findings and recommendations until a final report is issued. The OIG does not release to the media congressional request letters unless they are already publicly available. If a letter is not publicly available, we will refer the media representative asking for it to the member of Congress or congressional committee that submitted the relevant request to the OIG. The OIG does not routinely issue news releases or statements on final reports. However, the OIG maintains and utilizes a subscription-based listserv that notifies subscribers whenever a new item is posted on our website. Visit the OIG Contact page at http://www.epa.g0v/0ig/c0ntact.html#Subscribe to subscribe. Media and the general public also are encouraged to follow the OIG on Twitter @EPAoig. The OIG's policy is neither to confirm nor deny the existence of an ongoing criminal investigation, which is standard protocol for most federal law enforcement agencies. When appropriate, OIG may refer inquiries regarding criminal investigations to the U.S. Department of Justice. The OIG may issue news releases on the outcomes of investigations when warranted or in conjunction with the Department of Justice. The OIG will consider interview requests from all types of news media. In lieu of the spokesperson requested, we may suggest someone else, depending on topic and availability. 7 ------- EPA Office of Inspector General Congressional and Media Protocols April 2014 Freedom of Information Act and Privacy Act The OIG is committed to open government and transparency. The Freedom of Information Act (FOIA) provides that any person has a right to obtain access to federal agency records, except to the extent that such records are protected from public disclosure by any of nine exemptions and three special law enforcement exclusions. The Privacy Act protects from disclosure all personally identifiable information in a government system of records, with certain exceptions established by statute. We will release to Congress upon request OIG documents and records that are not publicly available, except to the extent that those records are protected from disclosure by law. Requests from individual members of Congress, however, are processed in accordance with FOIA. As per EPA FOIA regulations, the OIG will consult with the EPA, or refer to the EPA for direct response, any EPA documents originating outside the OIG. In turn, the EPA does not release OIG documents, but will refer such requests to the OIG in order for the OIG to maintain control over our information and independence. Requests for EPA documents should be directed to the EPA FOIA office. Members of the media and the public must submit a written request for OIG documents not publicly available. They are encouraged to submit FOIA requests for OIG documents using the FOIAonline system at http://foiaonline.regulations.gov. However, FOIA requests can also be sent directly to the OIG FOIA officer by mail to: FOIA Officer EPA Office of Inspector General Mail Code 241 IT Washington, DC 20460-0001 Or, requests can be submitted directly to the OIG via email to OIG FOIA@epa.gov. Provide a detailed description of the records you are seeking in a way that will permit the OIG to identify and locate them. For more information about the OIG FOIA process, please contact (202) 566-1512 or visit our website at http://www.epa. gov/oig/contact,html#FOIA. Disclaimer This document is a description of EPA OIG practices. Nothing in it shall be construed as legally binding on the EPA OIG or any of its employees. 8 ------- |