U.S. ENVIRONMENTAL PROTECTION AGENCY OFFICE OF INSPECTOR GENERAL Mi. u . \ V* STRATEGIC PLAN msm§ « C i 2023 ------- Abbreviations CIGIE Council of the Inspectors General on Integrity and Efficiency CSB U.S. Chemical Safety and Hazard Investigation Board EPA U.S. Environmental Protection Agency FEVS Federal Employee Viewpoint Survey FY Fiscal Year OIG Office of Inspector General OMB Office of Management and Budget OPM Office of Personnel Management TSCA Toxic Substances and Control Act U.S.C. United States Code Are you aware of fraud, waste or abuse in an EPA Office of Inspector General EPA program? 1200 Pennsylvania Avenue, NW (2410T) Washington, DC 20460 EPA Inspector General Hotline (202) 566-2391 1200 Pennsylvania Avenue. NW (2431T) www.epa.QQv/oiQ Washington. DC 20460 (888) 546-8740 (202) 566-2599 (fax) OIG Hotline@epa.qov Subscribe to our Email Updates Follow us on Twitter @EPAoig Learn more about our Send us your ~ ~ ------- EPA Office of Inspector General Strategic Plan 2019-2023 Message from the Inspector General I am pleased to present the U.S. Environmental Protection Agency's (EPA's) Office of Inspector General (OIG) Strategic Plan for 2019-2023. Our approach to developing the new strategic plan aligns the EPA's mission and new strategic goals with (1) the OIG's unique duties, roles, authorities and responsibilities as defined by the Inspector General Act; and (2) my specific management values and vision for inspiring the greatest level of OIG success in performing our mission. These new goals and objectives reflect our responsibility to detect and prevent fraud, waste, abuse, mismanagement and misconduct in EPA and U.S. Chemical Safety and Hazard Investigation Board (CSB) programs and operations. Our strategic plan provides a unified direction with clear expectations. I am excited about our outlook as we promote good governance and contribute to improved human health and the environment. Arthur A. Elkins Jr. Arthur A. Elkins Jr. Inspector General ------- EPA Office of Inspector General Strategic Plan 2019-2023 Table of Contents Overview of the Office of Inspector General Strategic Plan, 2019-2023 1 Office of Inspector General Roles and Responsibilities 2 Overview of EPA and CSB 3 Planning Our Work to Achieve Our Goals 6 OIG Vision, Mission and Core Value 12 OIG Goals, Objectives and Strategic Measures 14 Goal 1: Contribute to improved EPA and CSB programs and operations protecting human health and the environment, and enhancing safety 14 Goal 2: Conduct audits, evaluations and investigations that enable the EPA and the CSB to improve business practices and accountability 18 Goal 3: Improve OIG processes, resource allocation and accountability to meet stakeholder needs 21 ------- EPA Office of Inspector General Strategic Plan 2019-2023 Overview of the Office of Inspector General Strategic Plan 2019-2023 1 \ VISION Be the premier oversight organization trusted to speak the truth, promote good governance, and contribute to improved human health and the environment. MISSION Conduct independent audits, evaluations and investigations; make evidence-based recommendations to promote economy, efficiency and effectiveness; and prevent and detect fraud, waste, abuse, mismanagement and misconduct for the U.S. Environmental Protection Agency and the U.S. Chemical Safety and Hazard Investigation Board. GOALS Conduct audits, evaluations and investigations that enable the EPA and the CSB to improve business practices and accountability. OBJECTIVES • Protect the integrity of programs and operations through criminal, civil and administrative investigations. • Influence actions and identify best practices to improve efficiency and accountability, and achieve monetary benefits. • Reduce risk of loss by detecting and achieving monetary benefits. • Reduce risk of loss by detecting and preventing fraud, waste, abuse, mismanagement and misconduct. Improve OIG processes, resource allocation and accountability to meet stakeholder needs. A r • Ensure that our products and ^ services are timely, responsive and relevant, and maximize protection of human health and the environment and return on investment. • Ensure that our processes and actions are efficient and effective through continuous improvement. • Recruit, develop and retain an innovative, high- performing and diverse workforce that is valued, appreciated and respected. • Enhance constructive relationships and foster , collaborative solutions. i Contribute to improved EPA and CSB programs and operations protecting human health and the environment, and enhancing safety. r ' • Influence actions and 1 change that contribute to improved human health, safety and environmental quality. • Produce results that contribute to the identification, reduction or elimination of environmental risks and challenges. L I r ^ Core Value: Be the best in public service Customer Service k- Integrity - 1 Accountability ^ -J 1 ------- EPA Office of Inspector General Strategic Plan 2019-2023 Office of Inspector General Roles and Responsibilities The Office of Inspector General (OIG) is an independent office of the U.S. Environmental Protection Agency (EPA). In support of that independence, Congress provides us with a separate line item within the agency's budget. The OIG was created and is governed by the Inspector General (IG) Act of 1978, as amended (5 U.S.C. App. 3). The IG Act established offices of inspectors general as independent and objective units to: 1. Conduct and supervise audits and investigations relating to the programs and operations of their agencies. 2. Review existing and proposed legislation and regulations relating to the programs and operations of their agencies. 3. Provide leadership and coordination, and recommend policies for activities designed to promote economy, efficiency and effectiveness, and to prevent and detect fraud and abuse. 4. Provide a means for keeping the head of the agency and Congress fully and currently informed about problems and deficiencies, and the necessity for and progress of corrective actions. The IG Act requires each OIG to manage a hotline. The purpose of the hotline is to receive complaints of fraud, waste or abuse in EPA and CSB programs and operations, including mismanagement or violations of law, rules or regulations by agency employees or program participants. The hotline also encourages suggestions for assessing the efficiency and effectiveness of agency programs. Complaints and requests may be submitted by anyone, including EPA and CSB employees, participants in EPA and CSB programs, Congress, organizations and the public. As a result of these contacts, the OIG may conduct audit and investigations. OIG staff are physically located at EPA headquarters in Washington, D.C.; at all 10 EPA regional offices; in Research Triangle Park, North Carolina; and in Cincinnati, Ohio. In fiscal year (FY) 2004, Congress designated the EPA Inspector General to also serve as the Inspector General for the U.S. Chemical Safety and Hazard Investigation Board (CSB). 2 ------- EPA Office of Inspector General Strategic Plan 2019-2023 Overview of EPA and CSB U.S. Environmental Protection Agency ¦S Develops and enforces regulations S Gives grants S Studies environmental issues S Sponsors partnerships S Teaches people about the environment S Publishes information As America's steward for the environment since 1970, the EPA has endeavored to ensure that the public has air that is safe to breathe, water that is clean and safe to drink, food that is free from dangerous pesticide residues, and communities that are protected from toxic chemicals. The EPA develops and enforces regulations to implement environmental laws; provides grants to states, tribes, nonprofit organizations and educational institutions for environmental programs or research; operates laboratories throughout the United States; supports pollution prevention and energy conservation; and promotes environmental education. The OIG plans its work with a focus on identifying and influencing resolution of the agency's major management challenges, which are reported and made available on the Key Management Challenges for EPA and CSB webpage. The OIG also plans its work in support of the EPA's goals and objectives, as outlined in the agency's FY 2018-2022 EPA Strategic Plan. EPA Strategic Goals • Core Mission: Deliver real results to provide Americans with clean air, land, and water, and ensure chemical safety. • Cooperative Federalism: Rebalance the power between Washington and the states to create tangible environmental results for the American people. Rule of Law and Process: Administer the law, as Congress intended, to refocus the Agency on its statutory obligations under the law. 3 ------- EPA Office of Inspector General Strategic Plan 2019-2023 Agency Priority Goals 1. Improve air quality by implementing pollution control measures to reduce the number of nonattainment areas. 2. Empower communities to leverage EPA water infrastructure investments. 3. Accelerate the pace of cleanups and return sites to beneficial use in their communities. 4. Meet new statutory requirements to improve the safety of chemicals in commerce. 5. Increase environmental law compliance rate. 6. Accelerate permitting-related decisions. 4 ------- EPA Office of Inspector General Strategic Plan 2019-2023 U.S. Chemical Safety and Hazard Investigation Board The CSB was created by the Clean Air Act Amendments of 1990. The CSB's mission is to investigate accidental chemical releases at facilities, report to the public on the root causes, and recommend measures to prevent future occurrences. In FY 2004, Congress designated the EPA Inspector General to serve as the Inspector General for the The EPA OIG plans its work in support of the three goals outlined in the CSB 2017-2021 Strategic Plan. CSB Goals 1. Prevent recurrence of significant chemical incidents through independent investigations. 2. Advocate safety and achieve change through recommendations, outreach, and education. 3. Create and maintain an engaged, high-performing workforce. CSB strategies related to these goals are covered in its strategic plan. 5 ------- EPA Office of Inspector General Strategic Plan 2019-2023 Planning Our Work to Achieve Our Goals We plan our work with the goal of identifying and influencing resolution of the agency's major management challenges, reducing risk, improving practices and program operations, and saving taxpayer dollars, which can lead to positive human health and environmental impacts, and help the EPA attain its strategic goals. We carry out our mission by conducting many types of audits, evaluations and investigations for both the EPA and the CSB. Although our strategic plan focuses on work related to the EPA, similar work may be done for the CSB when appropriate. Office of Audit and Evaluation The OIG's Office of Audit and Evaluation performs the following functions: • Plans and conducts complex audits, evaluations and follow-ups on EPA programs, systems and operations. • Serves as the OIG's national technical expert for assigned areas of responsibility, advising OIG personnel and others concerning program operations and audit/evaluation approaches. • Works with senior officials from the EPA; the Office of Management and Budget (OMB); other federal, state and local government offices; and professional organizations and environmental organizations to further coordination, customer service and results. • Prepares reports and delivers presentations on audit and evaluation methods, findings and recommendations. • Conducts research on and stays attuned to methods and best practices within the IG community for use in our audits and evaluations. Ten directorates within the Office of Audit and Evaluation are responsible for independent oversight of EPA and CSB programs, and they recommend improvements to programs and operations. The directorates are as follows: • Air. Conducts audits and evaluations to assess the EPA's programs and activities to protect human health and the environment through progress toward air quality and climate change goals. 6 ------- EPA Office of Inspector General Strategic Plan 2019-2023 • Contract and Assistance Agreements. Conducts performance audits of the EPA's management of contracts, grants, cooperative agreements and interagency agreements. • Efficiency. Identifies ways for EPA and CSB programs and operations to improve processes and realize cost savings, thus freeing resources for high-priority environmental projects. • Environmental Research Programs. Conducts independent audits and evaluations of the EPA's research and development programs, with particular focus on areas that support human health and environmental protection. • Financial. Renders opinions on financial statements produced by the EPA and the CSB, and conducts performance audits of EPA financial matters for efficiency and effectiveness. • Forensic. Conducts financial audits of EPA assistance agreements and contracts to identify potentially fraudulent actions, and determines the acceptability of costs claimed under specific financial instruments. • Information Resources Management. Reviews the economy, efficiency and effectiveness of the agency's investments in information technology for achieving environmental goals and ensuring the integrity of data used for decision-making. • Land Cleanup and Waste Management. Conducts audits and evaluations to assess EPA programs, activities and initiatives to protect human health and the environment through cleanup and waste management, accident prevention and emergency response. 7 ------- EPA Office of Inspector General Strategic Plan 2019-2023 • Toxics, Chemical Management and Pollution Prevention. Conducts audits and evaluations to assess the EPA's management of chemical risks and programs to prevent pollution. • Water. Conducts audits and evaluations to assess the EPA's protection and restoration of healthy aquatic communities and waters that sustain human health. Office of Investigations The OIG's Office of Investigations conducts independent investigations to detect and prevent fraud, waste and abuse, while protecting the integrity of EPA and CSB programs, operations and resources. Investigations focus on alleged fraud, waste and abuse relating to the EPA and the CSB, and misconduct by EPA and CSB employees. Investigations are often done in collaboration with OIG auditors, evaluators and/or other law enforcement authorities; and may result in referrals for criminal prosecution and civil actions, indictments, suspensions, debarments and administrative actions. Investigations also may result in improvements in program operations, savings, recoveries and penalties, and identify high-risk vulnerabilities. Special Agents within the Office of Investigations are duly appointed federal criminal investigators and are authorized to carry firearms, make arrests, execute search and seizure warrants, and perform other law enforcement duties. Special Agents have been trained as armed law enforcement first responders and are designated first responders in the event of an active shooter or terrorist attack impacting EPA and CSB facilities. The Office of Investigations conducts the following major investigative activities: • Financial Fraud (contracts and assistance agreements). Focuses on criminal activities related to agency grants and contracts dealing with state revolving funds and interagency and cooperative agreements that help state, local and tribal governments, universities and nonprofit recipients; as well as fraud related to mischarging, defective pricing, defective products and collusion on contracts. • Employee Integrity and Alleged Criminal Conduct or Serious Administrative Misconduct. Focuses on activities that could undermine the integrity of agency programs involving safety and public health, and 8 ------- EPA Office of Inspector General Strategic Plan 2019-2023 erode confidence in the agency pursuing its mission. Cases are initiated in response to allegations or referrals from audits, evaluations or hotline complaints. Additionally, cases are developed based upon ongoing investigations or may be self-initiated in high-risk areas where there is reasonable suspicion of fraud, violation of law or risk to the public. • Threats Directed Against EPA and CSB Employees, Facilities and Assets. Involves threats to the physical safety of EPA and CSB employees and agency contractors, or a physical assault upon such employees and contractors. The Office of Investigations also investigates the theft of EPA and CSB property and data, including the investigation of attacks against the agency computers and network systems. Investigations are coordinated with the Federal Bureau of Investigation; Offices of the United States Attorneys; the U.S. Department of Homeland Security; and other federal, state and local law enforcement agencies as appropriate. • Program Integrity. Focuses on activities that could undermine the integrity of agency programs involving safety and public health, and erode confidence in the agency pursuing its mission. This includes cases that involve laboratory fraud or scientific misconduct, the results of which could adversely affect agency actions or decisions. Cases are initiated in response to allegations or referrals from audits, evaluations or hotline referrals, or may be self-initiated in high-risk areas where there is reasonable suspicion of fraud, violation of law or risk to the public. • Other Investigative Activity. Focuses on providing support to OIG program offices and participating in multiagency coordination on urgent matters facing the EPA and the nation. The Office of Investigations interacts with the U.S. Department of Justice and other law enforcement organizations on incidents that have a major impact on a community or agency programs. The Office of Investigations is an active participant in task forces that investigate fraud, waste and abuse in programs supported by the EPA and the CSB. Leadership and Support Several offices provide leadership and support functions that help the OIG achieve its strategic goals. These support offices and their respective duties include the following: • Immediate Office. Provides organization-wide leadership and direction, and represents the OIG to the agency and external stakeholders. 9 ------- EPA Office of Inspector General Strategic Plan 2019-2023 • Office of Management. Serves as the corporate focal point under the Immediate Office of the Inspector General. The Office of Management is responsible for promoting the most efficient use and accountability of OIG resources, and helps the OIG effectively achieve its mission and goals. The Office of Management has three directorates that form the cornerstone of the OIG's management services: o Business Analysis and Results Directorate. Supports budget formulation and execution, OIG strategic and operational planning, policy and procedure management, internal review, Government Accountability Office liaison activities, enterprise risk management and facilities management. o Human Resources Directorate. Provides operational support for activities such as recruiting and staffing, while the human capital component addresses employee development and employee relations. o Information Technology Directorate. Provides software development, infrastructure and technical support services, along with information security, and records and property management. • Office of Counsel and Congressional and Public Affairs Office of Counsel. Provides independent legal and policy advice to all components of the OIG on a variety of substantive and procedural matters relating to audits, evaluations, investigations and other activities. This office represents the OIG in administrative litigation before the U.S. Merit Systems Protection Board, the U.S. Equal Employment Opportunity Commission, and the U.S. Department of Labor. The Office of Counsel manages the OIG ethics program, providing ethics training, advice and financial disclosure reviews. The office also coordinates OIG responses to Freedom of Information Act and other document requests. Office of Counsel activities include legal reviews as deemed necessary by the Inspector General in response to requests from members of Congress, the agency or the public. 10 ------- EPA Office of Inspector General Strategic Plan 2019-2023 Office of Congressional and Public Affairs. Communicates with Congress, the news media and the public about the OIG's work, which includes responding to inquiries and requests. The office edits, publishes online and disseminates OIG reports and correspondence. This office also manages the OIG's website and social media platforms, creates multimedia products, operates the OIG's main telephone line and email box, and handles internal communications. 11 ------- EPA Office of Inspector General Strategic Plan 2019-2023 OIG Vision, Mission and Core Value Vision Be the premier oversight organization trusted to speak the truth, promote good governance, and contribute to improved human health and the environment. Mission Conduct independent audits, evaluations and investigations; make evidence- based recommendations to promote economy, efficiency and effectiveness; and prevent and detect fraud, waste, abuse, mismanagement and misconduct for the U.S. Environmental Protection Agency and the U.S. Chemical Safety and Hazard Investigation Board. Core Value: Be the best in public service Customer Service—Everyone deserves to be treated with fairness, respect and dignity. > We are committed to treating our customers and stakeholders—the EPA, the CSB, Congress, the public and each other—with fairness, respect and dignity. > We are committed to individual and organizational excellence. > We are committed to building and sustaining a competent, innovative, diverse and dedicated workforce. Integrity—Our people and products are trustworthy. > We are committed to producing independent, objective, quality and timely work products that are accurate, factual, thorough and relevant. > Our people are committed to teamwork, professionalism and the highest ethical standards. > Our processes are transparent. 12 ------- EPA Office of Inspector General Strategic Plan 2019-2023 Accountability—We are individually and collectively responsible for all we do. > We lead by example and are responsible and accountable to one another. > Our work returns value to our stakeholders. > We hold ourselves and others accountable for compliance with laws, regulations, policies and sound business practices. > We are an independent voice without preference or prejudice. 13 ------- EPA Office of Inspector General Strategic Plan 2019-2023 OIG Goals, Objectives and Strategic Measures Each OIG strategic goal has specific objectives and performance measures to assess progress and goal accomplishments. OIG annual plans establish projects and assignments that are linked to OIG strategic goals and objectives. Projects are assessed for results that support OIG strategic goals. OIG senior managers will use this strategic plan routinely as a management tool to guide the organization's path forward, track progress, and assess and address the risks and challenges that could potentially interfere with the OIG's ability to accomplish its goals. Our three strategic goals are supported by objectives and measures that focus on advancing human health and environmental results over the next 5 years. These long-term strategic measures are supported by annual measures included in the annual performance plans and budgets that the OIG submits to Congress. Strategies and strategic measures in this plan highlight key areas in which the OIG will make the most dramatic changes over the next 5 years and are not intended to address all ongoing programs. Annual performance plans and budgets, and supporting annual and operational measures, address a broader range of the OIG's work. In addition, the OIG will hold quarterly meetings to assess progress toward annual and long-term strategic measures. GOAL l ^ontri':)ute to improved EPA and CSB programs and a J operations protecting human health and the ^ J environment, and enhancing safety. Over the next 5 years, the agency plans to improve its processes and reinvigorate the rule of law as it administers environmental regulations as Congress intended, and refocus the agency on its core statutory obligations. This goal relates to the EPA's three strategic goals and six agency priority goals for FY 2018-2022, and the CSB's three goals for FY 2017-2021. As stated in the EPA Strategic Plarr. The EPA will ensure compliance with the law by providing consistency and certainty for the regulated community and clarify the impact of proposed actions on human health, the environment and the economy to provide a clear path and timeline for entities to achieve compliance. 14 ------- EPA Office of Inspector General Strategic Plan 2019-2023 OIG responsibilities will include performing audits and evaluations that target the EPA's processes and procedures that undergird and provide a structure in which programs promoting human health, the environment and enhancing safety may thrive. The EPA also asserts that over the next 5 years the agency will look for cost- effective ways to enhance its compliance assurance toolbox in collaboration with state, tribal, local, federal and industry partners. For example, the E-Enterprise Web Portal offers the EPA a gateway for making shared services available to states, tribes and the agency to transact business (e.g., e-permitting and reporting). An important aspect of this tool's capability is compliance monitoring, which will use data to assist in the detection of noncompliance in various sectors. While the EPA's compliance assurance toolbox continues to mature, the OIG will monitor whether the toolbox is indeed cost-effective, and whether the program is yielding the results intended. Over time, the EPA's ability to assess compliance should result in protecting human health and the environment and enhance safety. Over the next 5 years, the OIG will significantly increase its agility to assess emerging environmental threats. The EPA and the CSB have made air, water, land and chemicals their priority programs for the same period. As such, the OIG will focus its audits and evaluations to ensure positive progress in the following areas: Air > Over the next 5 years, the EPA will prioritize key activities to support attainment of the national ambient air quality standards and implementation of stationary source regulations. > The EPA will work with state and tribal partners to rapidly approve their implementation plans for attaining air quality standards to reduce contaminants that cause or exacerbate health issues. Water > The EPA will modernize and update aging drinking water, wastewater and stormwater infrastructure on which the American public depends. > The agency will continue to leverage the state revolving funds and the Water Infrastructure Finance and Innovation Act to help states, tribes, municipalities and private entities finance high-priority infrastructure investments that protect human health and the environment. 15 ------- EPA Office of Inspector General Strategic Plan 2019-2023 Land > The EPA will place particular emphasis on a top-priority list of Superfund sites and will implement Superfund Task Force recommendations to accelerate the pace of cleanups and promote site reuse, while addressing risks to human health and the environment. > The EPA will accelerate cleanup by re-prioritizing resources to focus on remedial actions, construction completions, ready-for-reuse determinations and National Priorities List site deletions. Chemicals > The EPA will prioritize the safety of chemicals in the marketplace by implementing the new Frank R. Lautenberg Chemical Safety for the 21st Century Act, which modernizes the Toxic Substances and Control Act (TSCA). > The EPA will focus on meeting statutory requirements and mandatory deadlines of the TSCA, and the OIG will ensure that our reviews are efficient, effective and transparent to stakeholders. Objective 1.1: Influence actions and change that contribute to improved human health, safety and environmental quality. Strategic Measure 1.1.1—By September 30, 2023, the OIG will have increased its impact by 10 percent on laws and regulations regarding human health, the environment and safety affecting the EPA through strategic and targeted audits and evaluations. Strategies for Achieving Objective The OIG will work with appropriate stakeholders within the EPA to methodically audit, evaluate and follow up on areas that appear vulnerable, and report results within established timeframes for decision-making geared toward closing gaps, reducing vulnerabilities and increasing compliance. Additionally, the OIG will monitor external reports from various sources, especially Congress and the Government Accountability Office, regarding their assessment of the EPA's success or challenges in its mission. The OIG will use external and internal sources to further refine its assessment of the agency's progress. 16 ------- EPA Office of Inspector General Strategic Plan 2019-2023 Specifically, the OIG will conduct audits that assess the EPA's progress toward its goals to implement the following by September 30, 2019: • Pollution control measures to reduce the number of nonattainment areas from 166 to 138. • Increase by $16 billion the non-federal dollars leveraged by EPA water infrastructure finance programs (e.g., the Clean Water State Revolving Fund, the Drinking Water State Revolving Fund, and the Water Infrastructure Finance and Innovation Act). • Make an additional 102 Superfund sites and 1,368 brownfields sites ready for anticipated use. • Complete in accordance with statutory timelines (excluding statutorily allowable extensions): 100 percent of required EPA-initiated TSCA risk evaluations for existing chemicals; 100 percent of required TSCA risk management actions for existing chemicals; and 80 percent of TSCA pre-manufacture notice final determinations. • Increase compliance with environmental laws by reducing the percentage of Clean Water Act National Pollutant Discharge Elimination System permittees in significant noncompliance with their permit limits to 21 percent from a baseline of 24 percent. • Reduce by 50 percent the number of permitting-related decisions that exceed 6 months. Objective 1.2: Produce results that contribute to the identification, reduction or elimination of environmental risks and challenges. Strategic Measure 1.2.1—By September 30, 2023, the OIG will have assisted in the reduction or elimination of environmental risks and challenges by a minimum of 15 percent. Strategies for Achieving Objective The OIG will use enterprise risk management principles to assess, monitor and provide recommendations to mitigate environmental risks and challenges. When reducing negative influences against achieving this goal, consistently 17 ------- EPA Office of Inspector General Strategic Plan 2019-2023 monitoring and adjusting recommendations based on targeted assessments is essential. To increase effectiveness in this area, the OIG will require the agency to provide a quarterly report on the progress being made with identified risks and challenges. ( l Conduct audits, evaluations and investigations that I enable the EPA and the CSB to improve business practices and accountability. K Goal 2 represents how the OIG will promote economy and efficiency, and detect and prevent fraud, waste, abuse, mismanagement and misconduct as specified by the Inspector General Act, in relation to EPA and CSB use and control of operational resources. The EPA and the CSB deliver their programs through many interrelated organizational systems. It is essential for the EPA and the CSB to have the right people, processes, systems, controls and information in place to efficiently and effectively carry out their missions. By having the right resources in place, both agencies provide a strong deterrent to fraud, waste, abuse, mismanagement and misconduct. Goal 2 deals with assisting the agency with improving business practices and accountability. OMB Circular A-123 (revised) encourages the use of enterprise risk management and internal control assessments to strengthen business practices and therefore overall organizational accountability. Over the next 5 years, the OIG will strengthen its data and business analytics, as well as business intelligence capabilities to support success for this goal. > Data Analytics.—Process that involves inspecting, cleansing, transforming and modeling data with the goal of discovering useful information, informing conclusions and supporting decision-making. We will use the methodologies and predictive analysis of data analytics to assist in defining ways forward in audits, evaluations and investigations, as well as in core mission-support elements from management to legal resources. > Business Analytics.—Technologies and practices for continuous iterative exploration and investigation of past business performance to gain insight and drive business planning. Business analytics involves developing new insights and understanding of business performance based on data and statistical methods. 18 ------- EPA Office of Inspector General Strategic Plan 2019-2023 > Business Intelligence.—Uses a consistent set of metrics to measure past performance and guide business planning, which is also based on data and statistical methods. Over the next 5 years, the OIG will increase our ability to use these forms of business practices and accountability with the assistance of automated tools, and increase our human resource assets with expertise in those areas. Objective 2.1: Protect the integrity of programs and operations through criminal, civil and administrative investigations. Strategic Measure 2.1.1—By September 30, 2023, the OIG will increase its return on investment to a minimum ratio of 20 to 1. Strategies for Achieving Objective Over the next 5 years, we will use data analytics and enhanced automated tools to target investigations geared toward weeding out fraud, waste and abuse at all levels of the organization. We will seek to strategically position agents in areas of high visibility and known and/or potential "hot spots" where the potential for environmental crimes exists. We will encourage the use of the hotline and will seek creative ways to increase its effectiveness and impact. Objective 2.2: Influence actions and identify best practices to improve efficiency and accountability, and achieve monetary benefits. Strategic Measure 2.2.1—By September 30, 2023, the OIG will implement at least 10 best practices that will increase efficiency by at least 30 percent. Strategies for Achieving Objective The OIG will endeavor to achieve this objective and its strategic measure through increased collaboration with the Council of the Inspectors General on Integrity and Efficiency (CIGIE). The OIG will seek out and employ best practices that show immediate, tangible and reportable results. OIG Assistant Inspectors General (AIGs) will be accountable for achieving measures that show their respective AIGships to be results-driven entities. Results will be reviewed on a quarterly basis to monitor progress. 19 ------- EPA Office of Inspector General Strategic Plan 2019-2023 Objective 2.3: Reduce risk of los . k tecting and achieving monetary benefits. Strategic Measure 2.3.1—By September 30, 2023, the OIG will have implemented an enterprise risk management system whose governance and cycle of accountability will ensure the reduction of loss. Strategies for Achieving Objective Over the next 5 years, the OIG will establish governance over its enterprise risks and targeted risks, including those risks where the possibility of loss is high. The OIG will employ tactics that will mitigate loss and accurately assign monetary benefits gained by that mitigation. Objective 2.4: Reduce risk of loss by detecting and preventing fraud, waste, abuse, mismanagement and misconduct. Strategic Measure 2.4.1—By September 30, 2023, the OIG will have increased its capacity for case management of investigations involving mismanagement and misconduct that result in fraud, waste and abuse by 20 percent. Strategic Measure 2.4.2—By September 30, 2023, the OIG will have increased the effectiveness of internal reviews and external audits by at least 20 percent using quantifiable impact as our measure. Strategies for Achieving Objectives The OIG's Office of Investigations will be positioned with increased assets (both human and automation). Over the next 5 years, there will be a 5-percent increase in Office of Investigations' human assets, and the tools the office uses for case management will be the best the IG community can offer. This will allow the Office of Investigations to use more efficient and effective best practices in the identification, management and successful prosecution of mismanagement and misconduct cases. Additionally, the Office of Audit and Evaluation, along with the Office of Management, will use data analytics and other evaluation tools to significantly impact the efficiency and effectiveness of policies and procedures within the OIG and the EPA. Stronger controls and increased accountability will be key over the next 5 years as we try to continue reducing the risk of loss due to mismanagement and misconduct. 20 ------- EPA Office of Inspector General Strategic Plan 2019-2023 GOAL J Improve OIG processes, resource allocation and 3 J accountability to meet stakeholder needs. Goal 3 addresses how the OIG plans to improve the way it works, its processes, and its methods of allocating resources and systems of accountability to meet the needs of stakeholders and provide the greatest return on investment. We will develop specific action plans based on an analysis of our strengths, weaknesses, opportunities and threats, as well as use input from our stakeholders. The OIG will use thought leadership, strategic innovation and intelligence systems to provide greater accountability and targeted resource allocation. The OIG will employ business process improvement and re-engineering strategies such as "Lean" to increase the efficiency and effectiveness within the organization. A 2009 eS/'z article dealing with lean strategies for business process improvement stated the following: Successful teams have zeroed in on lean strategies that eliminate unnecessary waste typically encountered during process discovery—the first phase of a BPM (Business Process Management) project that scopes requirements for the process solution. Lean moves an organization from discovery to solution in an efficient manner. Over the next 5 years, the OIG will implement this industry standard to meet its process and business solution needs. Objective 3.1: Ensure that our products and services are timely, responsive and relevant, and maximize protection of human health and the environment and return on investment. Strategic Measure 3.1.1—By September 30, 2023, the OIG will maintain 100- percent timeliness on all products and services provided to our stakeholders and to the agency. 21 ------- EPA Office of Inspector General Strategic Plan 2019-2023 Strategies for Achieving Objective Timely products and services are basic tenets of our organization. We have cyclical products required by Congress, the OMB and the Office of Personnel Management (OPM). Deadlines set forth by these entities are non-negotiable and must be adhered to by providing products that are timely, accurate and substantive. Services that we provide to our customers must be responsive, relevant, uncompromised, and maximize the protection of the American public. The OIG understands that return on investment means more than just currency. It means the preservation of our environment to be enjoyed by generations to come. The OIG strives to ensure that our services allow this important organization to accomplish that mission. Objective 3.2: Ensure that our processes and actions are efficient and effective through continuous improvement. Strategic Measure 3.2.1—By September 30, 2023, the OIG's processes and actions will have no more than 25 percent high risk, high-vulnerability items on its risk register, allowing for a more efficient and effective organization. Strategies for Achieving Objective Over the next 5 years, the OIG will use enterprise risk management principles to minimize and eliminate high risk in the organization. We will also use lean principles in performance management, along with increased data analysis, to produce a more impactful, efficient and effective organization. Objective 3.3: Recruit, develop and retain an innovative, high- performing and diverse workforce that is valued, appreciated and respected. Strategic Measure 3.3.1—By September 30, 2023, the OIG will have at least 85 percent of its workforce well-integrated, trained and retained through a culture of respect, professionalism, communication and appreciation. Strategic Measure 3.3.2—By September 30, 2023, the Federal Employee Viewpoint Survey (FEVS) for the EPA OIG will be at least 90 percent or above satisfactory. Strategic Measure 3.3.3—By September 30, 2023, due to various programs that we put into place, the EPA OIG will increase its "Best Places to Work" score for an 22 ------- EPA Office of Inspector General Strategic Plan 2019-2023 agency subcomponent (as administered by the Partnership for Public Service) to a median quartile, which would indicate the majority of employees are satisfied with working at the EPA OIG. Strategies for Achieving Objectives The OIG has been and will continue to be intentional in its approach to creating a high-performing workforce. The OIG achieves its mission through its workforce. To identify, understand and address the challenges facing the OIG, we will continue to invest in our workforce by recruiting and retaining talented employees, and by maintaining workforce excellence and the highest standards of professional conduct. We will manage attrition by implementing strategic workforce planning with succession plans at every level of the organization. We will foster a work environment that enhances productivity, innovation, excellence and employee satisfaction, and we will cultivate a culture of continuous improvement. The majority of the data used to develop "Best Places to Work" rankings were collected by the OPM through its FEVS. As the OIG increases its scores on the FEVS, we will gradually see our "Best Places to Work" score increase as well. This will reflect a healthy and engaged workforce, boost retention, and attract high performers. Objective 3.4: Enhance constructive relationships and foster collaborative solutions. Strategic Measure 3.4.1—By September 30, 2023, the OIG will be a recognized and active participant in leader forums with sister agencies and with stakeholders as appropriate (e.g., interactions with OMB, OPM, the EPA's Criminal Investigative Division, CIGIE, etc.). Strategies for Achieving Objective It is imperative that the OIG is intimately involved with developing relationships and building collaborative solutions to garner best practices from various organizations. Our relationships and collaborations will help the OIG maintain its position as a respected organization whose voice provides the needed influence with stakeholders. 23 ------- |