FY 2019 Annual Performance Report
Environmental Protection Agency

Additional FY 2019 Contributions to EPA's Portfolio of Evidence

Project in Brief

Purpose and Brief Description

List of Results and
Conclusions

Significance

Office of the Administrator

Annual Federal
Procurement Scorecard
Report Submission to the
U.S. Small Business
Administration (SBA)

Office of the Administrator
(OA)

Completed: May 2019

https://www.sba.gov/docu

ment/support-

environmental-protection-

agencv-contracting-

The Annual Federal
Procurement Scorecard is an
assessment tool that
measures the effectiveness of
each federal agency in: (1)
achieving its small business
prime and subcontracting
procurement goals; (2)
increasing the number of small
business prime contractors in
the top 100 industry
classification codes for the
Agency's acquisitions; and (3)
complying with the governing
provisions of the Small
Business Act. As part of the
Procurement Scorecard
process, EPA is required to
submit a series of reports,
conduct a self-assessment,
and provide supporting
documentation for SBA
evaluation and grading of
EPA's performance.

EPA's most recent Federal
Procurement Scorecard
report was based on FY 2018
data and documentation
regarding EPA's performance
in FY 2018. The most
significant finding was that
EPA received an "A" rating
from SBA for FY 2018. This
was EPA's 10th consecutive
"A" grade for each annual
report. EPA's prime
contracting goal for small
business accomplishments
for FY 2018 was 39%. EPA
exceeded that goal, with 43%
of its eligible contract spend
awarded to small businesses
for FY 2018. EPA also
exceeded its subcontracting
goal of 55% by reaching 61%
of its eligible subcontracting
spend going to small business
concerns.

This report assists the
Agency in assessing how
well it is complying with
federal law and
regulation. Additionally, it
assists in the future
Agency acquisition
planning, small business
outreach, and budgeting.
EPA also works with each
program office and region
to utilize the Procurement
Scorecard findings to
target procurement
improvement
opportunities in areas
where improvements can
be made. One example is
for the HUBZone small
business goal, which was
the only one of the five
goals that EPA did not
achieve in FY 2018. Based
on that shortfall, EPA's
Office of Small and
Disadvantaged Business
Utilization collaborated
with programs to identify
possible HUBZone
contracting opportunities,
such as an Office of the
Chief Financial Officer
requirement for
information technology
support services.

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FY 2019 Annual Performance Report
Environmental Protection Agency

Project in Brief

Purpose and Brief Description

List of Results and
Conclusions

Significance

Lean Project: Form 1900-37
Procurement Package
Reviews

Office of the Administrator
(OA)

Completed: Overall Process
Evaluated in FY 2019

In deploying EPA's Lean
Management System (ELMS)
Visual Management System,
EPA evaluated and developed
a 1900-37 Process Flow and
Performance Board to track
and determine the continuing
effectiveness of its EPA Form
1900-37 Procurement Package
reviews. As required by
Section 15(k) of the Small
Business Act, the Agency must
review proposed strategies for
the acquisition of goods and
services with an estimated
dollar value above $250,000,
to ensure that small
businesses are afforded the
maximum practicable
opportunities to participate in
the acquisition. EPA's review
of each 1900-37 Procurement
Package is how the Agency
complies with this mandate. In
developing the Flow and
Performance Boards, EPA
dissected the process and
developed a new 10 calendar
day review stretch goal.

Since deployment, EPA's
stretch goal of 10 calendar
days is two days under EPA's
historical 1900-37
Procurement Package review
processing time. EPA
succeeded in reducing the
review time by 85.71% by the
end of FY 2019. Additionally,
only 7.14% of reviews
exceeded the stretch goal
and 7.14% exceeded the
established customer review
goal of 15 days.

The results from this EPA
ELMS 1900-37 Process
Flow Board were useful in
reducing the lead times
for the review of each
1900-37 Procurement
Package. EPA also
identified the areas that
cause delays to the
reviews and worked
accordingly to make
improvements. This
allowed for EPA program
offices to work together
to assist each other in
providing quality 1900-37
Procurement Packages
more timely for the
Agency.

Computable General
Equilibrium (CGE) Model of
the United States Economy

Office of the Administrator
(OA)

Completed: August 2019

https://www.epa.gov/envir
onmental-economics/cge-

A 2017 Science Advisory Board
(SAB) report recommends that
EPA utilize CGE modeling to
provide a more
comprehensive evaluation of
regulatory impacts. CGE
models provide a
representation of the entire
economy in equilibrium and
are designed to evaluate the
medium to long-run impacts
of regulation on production,
consumption, and trade, along
with interactions with pre-
existing policies (e.g., taxes).
CGE models extend the typical
evaluation by providing
information on changes
outside of the directly-

EPA developed a new CGE
model called SAGE (a
recursive acronym: SAGE is
an Applied General
Equilibrium model). SAGE is
an intertemporal CGE model
of the United States economy
that captures differences
across census divisions,
income quintiles, and 23
production sectors, focused
on the manufacturing and
energy sectors. In FY 2019,
EPA researchers published a
peer-reviewed article
evaluating the benefits of
using SAGE in regulatory
analysis, finding that
traditional regulatory

The SAB report and peer
reviewed article's findings
indicate that CGE models
can play a role at EPA to
provide decision makers
with a more complete
evaluation of regulatory
impacts. Based on this
evidence, the SAB is
currently reviewing the
SAGE model, so that it
may be used in future
analyses. EPA is also
updating its Guidelines for
Conducting Economic
Analysis to reflect best
practices for estimating
the costs of regulatory

modelinR-reRulatorv-
analvsis

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FY 2019 Annual Performance Report
Environmental Protection Agency

Project in Brief

Purpose and Brief Description

List of Results and
Conclusions

Significance



regulated sector attributable
to a regulation.

evaluations fail to capture
important regulatory costs.
Specifically, the study finds
that social costs for single
sector environmental
regulations, including general
equilibrium feedbacks, can
be 6%-33% larger than
engineering-based estimates
of compliance expenditures,
based on the scenarios
considered.

actions, including the use
of CGE modeling.

Customer Satisfaction
Surveys of Technical
Assistance Recipients

Office of the Administrator
(OA)

Completed: Ongoing
through FY 2019

Communities receiving
assistance through EPA's Local
Foods, Local Places and
Healthy Places for Healthy
People programs complete an
online survey evaluating
project technical assistance
workshops. The surveys
provide EPA with information
about both the effectiveness
of the community workshops
as well as document the
outcomes that follow from the
technical assistance. Surveys
are sent out to all workshop
participants immediately
following the workshop. One-
year and two-year follow up
surveys are sent to the
members of the community
workshop steering committee.

EPA reached more than a
65% response rate on surveys
administered immediately
following workshops, and a
similar response rate for one-
year and two-year follow-up
surveys.

EPA used survey results to
both refine the technical
assistance process and
track outcomes from the
assistance. For example,
successful implementation
of community action plans
was more likely in
communities that used
the assistance to expand
partnerships with state
and federal agencies. This
finding from the survey
led EPA to place additional
emphasis on engaging
partners upfront in the
planning stages of each
community workshop.

Lean Project: Digital
Assessment Tools to
Support Community
Technical Assistance

Office of the Administrator
(OA)

Completed: September
2019

EPA conducted a Lean project
to improve the effectiveness
of community-based technical
assistance projects. EPA used
the initiative to improve
assessment of key community
assets and major challenges
using existing digital
assessment tools.

Over the course of FY 2019,
EPA was able to increase the
use of digital assessment
tools from less than 10% of
total projects using tools to
79% of total projects. In
smaller communities the
value added from digital
assessment tools was more
limited given the scale of the
neighborhoods.

By focusing on existing
tools that had already
been developed by EPA,
the Agency used the
initiative to use more data
and digitize community
asset maps to increase the
technical rigor of the
assistance projects at no
additional cost. For
example, EPA
GeoPlatform enabled the
Agency digitized
information from a
community-led walkability

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FY 2019 Annual Performance Report
Environmental Protection Agency

Project in Brief

Purpose and Brief Description

List of Results and
Conclusions

Significance







audit in Weldon, NC and
shared the information
with state transportation
officials to inform
sidewalk planning and
funding.

Office of Air and Radiation

Our Nation's Air: Status and
Trends Through 2018

Office of Air and Radiation
(OAR)

Completed: July 2019

https://gispub.epa.gOv/air/t
rendsreport/2G19/#homePr

ogram

EPA is committed to
protecting public health and
the environment by improving
air quality and reducing air
pollution. In this review and
annual report, EPA presents
the trends in the nation's air
quality and summarizes the
detailed information found at
EPA's Air Trends website.

Nationally, concentrations of
the criteria air pollutants
dropped significantly since
1970. Between 1970 and
2018, the combined
emissions of the six common
pollutants (PM2.5 and PM10,
S02, NOx, VOCs, CO and Pb)
dropped by 74%. This
progress occurred while the
U.S. economy continued to
grow, Americans drove more
miles, and population and
energy use increased.

Annual emissions
estimates are used as one
indicator of the
effectiveness of the Air
Program. EPA and states
track direct emissions of
air pollutants and
emissions that contribute
to the formation of key
pollutants, also known as
precursor emissions.
Emissions data are
compiled from many
different organizations,
including industry and
state, tribal, and local
agencies. Understanding
emission sources helps
EPA and states control air
pollution.

Diesel Emissions Reduction
Act (DERA) Fourth Report to
Congress: Highlights of the
Diesel Emissions Reduction
Program

Office of Air and Radiation
(OAR)

Completed: July 2019

https://www.epa.gov/sites/
production/files/2019-

07/documents/420rl9005.p
df

In the report, EPA evaluates
the implementation of the
Diesel Emissions Reduction
Program per statutory
requirement (42 (JSC 16134).

DERA grants fund projects
that provided immediate
health and environmental
benefits. From fiscal years
2008 to 2016, EPA awarded
$629 million to retrofit or
replace 67,300 engines in
vehicles, vessels, locomotives
or other pieces of
equipment. EPA estimates
that these projects will
reduce emissions by 472,700
tons of NOX and 15,490 tons
of PM2.5 over the lifetime of
the affected engines.

The report results help the
program prioritize
statutory and
programmatic goals, such
as targeting areas and
populations with
disproportionate levels of
exposure to diesel exhaust
while maximizing cost-
effectiveness.

OIG Report: EPA Effectively
Screens Air Emissions Data
from Continuous
Monitoring Systems but

OIG conducted this audit to
determine whether selected
continuous emissions
monitoring data meet
applicable quality assurance

EPA's automated process for
screening CEMS data
reported to EPA worked as
intended and was effective in
verifying the quality of

The Agency concurred
with OIG's two
recommendations. As a
result, EPA is

implementing a multistep

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FY 2019 Annual Performance Report
Environmental Protection Agency

Project in Brief

Purpose and Brief Description

List of Results and
Conclusions

Significance

Could Enhance Verification
of System Performance

Office of Inspector General
(OIG)

Office of Air and Radiation
(OAR)

Completed: June 2019

https://www.epa.gov/office

-inspector-eeneral/report-

epa-effectivelv-screens-air-

emissions-data-continuous-

monitoring

(OA) and quality control (QC)
criteria. Continuous emissions
monitoring involves operating
and maintaining equipment to
continuously sample and
analyze emissions at pollution
sources. A continuous
emissions monitoring system
(CEMS) includes all equipment
required to continuously
sample, analyze, and provide a
permanent record of stack
emissions. CEMSs are required
under some EPA regulations
and programs for either
compliance determinations or
determinations of
exceedances of the emissions
standards. Two EPA programs
that require continuous
emissions monitoring are the
Acid Rain Program (ARP) and
the Cross-State Air Pollution
Rule (CSAPR).

reported data. However, OIG
identified minor inaccuracies
in the display of some of the
reported data where
monitoring plan changes
occurred. While these
inaccuracies had no impact
on whether the data met OA
requirements, the inaccurate
data could be confusing to
data users.

process to identify
monitoring plan changes
that could affect
previously reported data.
As a longer-term
corrective action, EPA
plans to implement an
automated check
requiring facilities to
reevaluate and resubmit
affected data when
facilities make retroactive
changes.

OIG Report: EPA's 2017
Glider Vehicle Testing
Complied with Standard
Practices

Office of Inspector General
(OIG)

Office of Air and Radiation
(OAR)

Completed: July 2019

https://www.epa.gov/office

-inspector-general/report"
epas-2017-glider-vehicle-
testing-complied-standard-
practices

OIG conducted this audit in
response to two congressional
requests that raised concerns
about glider vehicle testing
conducted by EPA in 2017. A
glider vehicle is a truck that
uses a previously owned
powertrain (including the
engine, transmission and
usually the rear axle) but has
new body parts. In 2017, EPA
performed emissions testing
on two glider vehicles, which
it received by donation, at its
National Vehicle and Fuel
Emissions Laboratory in Ann
Arbor, Michigan.

The OIG found that EPA's
selection and testing of the
donated glider vehicles in
2017 was consistent with
relevant Clean Air Act (CAA)
and other authority.
However, EPA did not fully
adhere to its delegation of
authority related to the
acceptance of donated
property which led to OIG's
two recommendations.

The Agency concurred
with OIG's two
recommendations. As a
result, EPA is: (1) revising
the Delegation of
Authority 7-170 to enable
practical implementation
for the acceptance of
donated property; and (2)
evaluating/documenting
whether further guidance
to implement the
authority is needed.

OIG Report: More Effective
EPA Oversight Is Needed for
Particulate Matter
Emissions Compliance
Testing

OIG conducted this audit to
determine the effectiveness of
EPA's oversight in assuring
that emission stack tests are
conducted in accordance with
EPA regulation, policy and
guidance. EPA estimates that

OIG audited 30 stack test
reports from state and local
agencies in Washington state
and found numerous
examples of nonadherence
to EPA test methods and
inadequate supporting

EPA concurred with OIG's
six recommendations. As a
result, EPA is working with
delegated agencies to
review currently available
stack testing materials and
assess training needs with

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FY 2019 Annual Performance Report
Environmental Protection Agency

Project in Brief

Purpose and Brief Description

List of Results and
Conclusions

Significance

Office of Inspector General
(OIG)

Office of Air and Radiation
(OAR)

Completed: July 2019

https://www.epa.gov/office

-inspector-eeneral/report-

more-effective-epa-

there are approximately
14,700 major stationary
sources of air emissions in the
U.S., such as refineries and
power plants that typically
release emissions via tall
chimneys called smokestacks
or stacks. Most of these
facilities are subject to
emission limits set by state-
issued construction or
operating permits. If there are
no other means to
demonstrate compliance with
permit limits, as is typically
the case with particulate
matter emissions, stack
emissions must be determined
using EPA approved test
methods. If stack testers do
not follow applicable EPA
methods, test results are
subject to greater variability
and uncertainty. Accurate
stack tests and reports are
needed to verify that excess
emissions do not negatively
impact human health and the
environment.

documentation to assess
data quality. These problems
were not identified by state
and local regulatory agencies
responsible for implementing
CAA permitting programs in
Washington state. OIG also
found that some state and
local agencies rarely observe
stack tests to verify that EPA
methods are properly
followed.

respect to approving stack
test plans, reviewing stack
test reports and
conducting EPA test
methods. OAR then will
work with EPA regions and
delegated agencies to
identify training shortfalls
and develop a plan to
address the shortfalls.
Further, OAR will work
with EPA regions and
delegated agencies to
develop checklists for
reviewing stack test
reports for seven EPA
methods, policies and
guidance.

oversieht-needed-

particulate-matter-

emissions

OIG Report: EPA
Demonstrates Effective
Controls for Its On-Road
Heavy-Duty Vehicle
Compliance Program;
Further Improvements
Could Be Made

Office of Inspector General
(OIG)

Office of Air and Radiation
(OAR)

Completed: June 2019

https://www.epa.gov/office

-inspector-general/report-

epa-demonstrates-effective-

OIG conducted this audit to
determine whether EPA
existing internal controls
effectively detect and prevent
on-road heavy-duty (HD)
vehicle emissions fraud.
Effective internal controls
provide reasonable—though
not absolute—assurance that
the potential for fraud is
minimized.

The OIG found that EPA
demonstrated that its current
internal controls are effective
at detecting and preventing
noncompliance in the on-
road HD vehicle sector.
Although OIG found that EPA
demonstrated that its
existing internal controls are
effective, OIG identified
specific risks to EPA's goal of
achieving public health and
environmental benefits
through its HD vehicle
compliance program. OIG
also identified areas where
existing controls could be
strengthened.

EPA concurred with OIG's
eight recommendations.
As a result, EPA is refining
measures to assess
program performance;
conducting a formal risk
assessment that addresses
specific risks; evaluating
whether specific
programmatic or
regulatory changes are
necessary; assessing
whether the development
of data analysis tools is
feasible; evaluating
opportunities for targeted
testing; tracking
compliance issues in a
standardized manner; and

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FY 2019 Annual Performance Report
Environmental Protection Agency

Project in Brief

Purpose and Brief Description

List of Results and
Conclusions

Significance

ntrolsHts-road-heaw-
duty-vehicle





developing procedures
and criteria for referring
compliance issues to the
Office of Enforcement and
Compliance Assurance.

Office of Chemical Safety and Pollution Prevention

OIG Report: Pesticide
Registration Fee,
Vulnerability Mitigation
and Database Security
Controls for EPA's FIFRA
and PRIA Systems Need
Improvement

Office of Inspector General
(OIG)

Office of Chemical Safety
and Pollution Prevention
(OCSPP)

Completed: June 2019

https://www.epa.gov/office

-inspector-general/report-

pesticide-registration-fee-

vulnerabilitv-mitigation-and-

database

OIG conducted this audit of
the information technology
security controls for EPA
systems and
servers hosting Federal
Insecticide, Fungicide, and
Rodenticide Act (FIFRA) and
Pesticide Registration
Improvement Act (PRIA) data.

OIG's objectives specifically
addressed controls relating to
registration fees, the testing
and correction of system
vulnerabilities, and database
security.

Under FIFRA, as amended by
PRIA, EPA regulates the
distribution, sale and use of all
pesticides in the United States
and establishes maximum
allowable levels of pesticide
residues in food, thereby
safeguarding the nation's food
supply.

OIG recommended that the
Assistant Administrator for
OCSPP implement the
following:

1.	Internal controls for the
fee posting and refund
processes

2.	Corrective actions
identified in the Agency's risk
assessment of those
processes

3.	A formal process for
creating plans of action and
milestones, and tracking
vulnerability management

4.	Controls related database
security.

5.	EPA's patch management
process

6.	Periodic review of roles

7.	Procedures for the
independent review of
administrative access logs.

EPA agreed with all seven
of OIG's

recommendations and
completed or provided
acceptable corrective
actions and milestones for
all recommendations.

OIG Report: EPA Needs to
Determine Strategies and
Level of Support for
Overseeing State Managed
Pollinator Protection Plans

Office of Inspector General
(OIG)

Office of Chemical Safety
and Pollution Prevention
(OCSPP)

Completed: August 2019

https://www.epa.gov/office

-inspector-general/report"

OIG conducted this audit to
determine how EPA oversees
states' Managed Pollinator
Protection Plans (MP3s),
which are designed to reduce
pesticide exposure to
pollinators through timely
communication and
coordination among key
stakeholders. Managed
pollinators are generally
honey bees that beekeepers
contract out to growers for
their pollination services. In
June 2014, a presidential
memorandum, creating a

EPA assisted in developing
guidance, encouraged state
development of
MP3s, and consulted with
AAPCO and SFIREG as they
developed the
nationwide survey. Further,
OIG made five
recommendations to the
Assistant Administrator for
OCSPP, including determining
whether the outcomes of
states' MP3s are meeting
EPA's goals for the program
and what support EPA will

The Agency agreed with
OIG's recommendations
and provided acceptable
corrective actions. By
clarifying its future role in
MP3 implementation,
developing a strategy to
use state-gathered data
and considering additional
risks to pollinators, EPA's
oversight of MP3s will be
improved.

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FY 2019 Annual Performance Report
Environmental Protection Agency

Project in Brief

Purpose and Brief Description

List of Results and
Conclusions

Significance

strategies-and-level-
support-overseeing-state

Federal Strategy to Promote
the Health of Honey Bees and
Other Pollinators, charged
numerous federal agencies to
address the factors
contributing to pollinator
decline. As part of this effort,
EPA worked to encourage
state pesticide agencies to
develop state-specific MP3s
with clearly defined scopes,
including the species of
managed pollinators
addressed.

provide to assist MP3
implementation efforts.



OIG Report: EPA Not
Effectively Implementing
the Lead-Based Paint
Renovation, Repair and
Painting (RRP) Rule

Office of Inspector General
(OIG)

Office of Chemical Safety
and Pollution Prevention
(OCSPP)

Completed: September
2019

https://www.epa.gov/office

-inspector-eeneral/report-
epa-not-effectivelv-
implementine-lead-based-
paint-renovation-repair

OIG conducted this audit to
determine whether EPA has
an effective strategy to
implement and enforce the
Lead-Based Paint RRP Rule.
EPA's Lead-Based Paint RRP
Rule is intended to protect the
public by addressing hazards
associated with renovation,
repair, and painting activities
that disturb lead-based paint
in specific housing and child-
occupied facilities. Lead-based
paint was used in an
estimated 38 million homes
prior to its ban for residential
use in 1978. Renovation,
repair, and painting activities
that disturb lead-based paint
can create hazardous
exposures to lead. In children,
exposure to lead can cause
health problems, including the
potential for slower growth,
lower IQ, and behavioral
problems.

OIG recommend that the
Assistant Administrator for
OCSPP:

1.	Establish specific
guidelines for resources and
funding allocated to the
Lead-Based Paint RRP Rule
Program that will further the
goals of the Federal Action
Plan to Reduce Childhood
Lead Exposures and
Associated Health Impacts.

2.	Establish the Lead-Based
Paint RRP Program's
objectives, goals and
measurable outcomes, such
as measures to demonstrate
the effectiveness of program
contributions toward
decreasing elevated blood
lead levels.

The Agency provided
acceptable corrective
actions and completion
dates for OCSPP's
recommendations. EPA's
response to issue
guidance for resources
and funding that will
further the goals of the
Federal Lead Action Plan,
met the intent, but not
the wording, of the
recommendation.
Therefore, OIG slightly
revised the
recommendation to
enable flexibility in EPA's
delivery of guidance.

Office of the Chief Financial Officer

Lean Project: Superfund
Billing

Office of Chief Financial
Officer (OCFO)

Completed: Ongoing

Across the Agency, regions
establish different processes
to accomplish the singular
goal of recovering Agency
resources spent on Superfund
sites. Multiple processes lead
to inefficiencies in how the

OCFO hosted a Lean event
including representatives
from all 10 regions during the
week of June 10, 2019. At
this event, EPA investigated
the current processes and
identified inefficiencies, pain

To date, the following
improvements were
achieved:

Process lirmrovements:

i. The process by which
Superfund Bills are
developed, reviewed, and

8


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FY 2019 Annual Performance Report
Environmental Protection Agency

Project in Brief

Purpose and Brief Description

List of Results and
Conclusions

Significance



Agency does redistributions
and billings, resulting in longer
timeframes to process the
bills, different levels of
workload, and the need for
increased government
resources in both the regional
offices and in EPA's OCFO.

The goal of this Lean project
was to develop and
implement an agencywide
standardized process for
Superfund redistributions and
billing, based on best practices
throughout the regional
offices and OCFO to achieve
25% reduction in process time
by the end of FY 2019 and
$2.75M in total cost savings
by the end of FY 2022 ($310K
in cost savings for FY 2020 and
$982K in annual costs savings
for FY 2021 and FY 2022).

points, and best
practices. The group
developed a standard 100-
day process to guide a
Superfund bill from cradle to
grave.

In FY 2019, all regions and
headquarters offices fully
deployed ELMS visual flow
boards to track Superfund
bills in this new process.

distributed was reduced
from 120 days to 100 days
(17% reduction)

ii.	The process by which
missing contract
documentation are
remedied was reduced
from 30 days to 5 days
(83% savings)

iii.	The process by which
OCFO's Research Triangle
Park Finance Center
(RTPFC)scans and indexed
superfund billing
documentation was
reduced from 20 days to
10 days (67% reduction).

Bulk Funding Reduction:

Upfront site charging
increased throughout the
regions and savings will
begin to be realized in Q2
FY 2020 Regions already
reported up to a 37%
reduction in bulk funding,
drawing down the number
of transactions needing to
be processed by RTPFC.

OIG Report: EPA Complied
with Improper Payments
Legislation but Stronger
Internal Controls Are
Needed

Report No. 19-P-0163

Office of Inspector General
(OIG)

Office of Chief Financial
Officer (OCFO)

Completed: May 2019

https://www.epa.gov/office
-inspector-general/report-
epa-complied-improper-
pavments-legislation-

The Improper Payments
Elimination and Recovery Act
of 2010 (IPERA) and the
Improper Payments
Elimination and Recovery
Improvement Act of 2012
require that each fiscal year
the Inspector General of each
agency determine whether
the agency is in compliance
with the law. IPERA requires
agencies to annually estimate
and report improper
payments for programs and
activities that are deemed
susceptible to significant
improper payments. In
addition, OMB Circular A-123,
Appendix C, states that OIG

OIG recommended that EPA:

•	Revise OCFO's grant
improper payments
review process to include
internal controls for
training reviewers and
annually verifying that
reviewers are
knowledgeable and
proficient in the
identification and
reporting of improper
payments.

•	Comply with EPA's
sampling and estimation
plan annually submitted
to Office of Management
and Budget (OMB).

The Agency concurred
with OIG's two
recommendations and
stated that corrective
action was completed in
April 2019. The Agency
agreed with OIG's overall
conclusion that EPA must
comply with EPA's
sampling and estimation
plan annually submitted
to OMB. In addition, the
Agency indicated that,
moving forward, if a
selected sample is
deemed exempt from
IPERA, it will replace that
sample with a statistically
valid sample and revise

stronger-intemal

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should evaluate the accuracy
and completeness of agency
reporting. This audit focused
on EPA's compliance with
these requirements.



the population criteria for
future tests.

OIG Report: Risk
Assessment Determines
that Travel Card Program
Merits an Audit Next Year
Because Internal Controls
Not Adequate

Office of Inspector General
(OIG)

Office of Chief Financial
Officer (OCFO)

Completed: September
2019

https://www.epa.gov/office
-inspector-general/report-
risk-assessment-determines-
travel-card-program-merits-

The Government Charge Card
Abuse Prevention Act of 2012
requires the Inspector General
of each executive agency with
more than $10 million in
travel card spending to
conduct periodic audits or
reviews of travel card
programs to analyze risks of
illegal, improper or erroneous
purchases and payments. The
risk assessment objective was
to analyze risks of illegal,
improper or erroneous
purchases and payments
within EPA's travel card
program.

OIG observed the following
anomalies in the transaction
data, internal EPA reports
and quarterly reports to
OMB:

•	No refunds were reported
for the last quarter of FY
2018. On an EPA quarterly
report to the OMB, the
number of active accounts
was blank for the first two
quarters of FY 2019.

•	Zero net new accounts
were reported in the
second quarter of FY 2019.

•	The total Credit Remaining
Report was not available.

•	Two of the 10 employees
on the separated
employee list were
included on the EPA travel
cardholder list.

•	Transaction expenses for
two of the 10 employees
did not match the Citibank
records.

•	For one out of the 10
sample transactions, the
credit limit per Citibank
records did not match the
credit limit per the EPA
travel cardholder list.

•	As of July 16, 2019, 20
percent of travel
cardholders had not
activated their travel card
received in November
2018.

EPA stated that it
corrected several of these
issues in the third quarter
FY 2019. In addition, EPA
stated that some
travelers' credit limits
were temporarily
increased during the
government shutdown
when the Agency was
unable to process payroll
or travel vouchers.
Overall, EPA has
addressed these items by
correcting the quarterly
report to OMB. Some of
these issues resulted from
the transition from
Smartpay2 to Smartpay3.
In addition, EPA has
established controls to
confirm separated
employees on a bi-weekly
basis. The agency will
address any
recommendations from
the OIG travel card audit
that began on Jan. 28,
2020.

audit-next

OIG Report: EPA's Fiscal
Years 2018 and 2017

OIG conducted this audit in
accordance with the
Government Management

EPA noted the following
material weakness:

EPA has a corrective
action plan in place to
address each of the

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Consolidated Financial
Statements

Office of Inspector General
(OIG)

Office of Chief Financial
Officer (OCFO)

Completed: November 2018

https://www.epa.gov/office

-inspector-eeneral/report-
epas-fiscal-vears-2018-and-

Reform Act of 1994, which
requires EPA's OIG to audit
the financial statements
prepared by the agency each
year.

•	EPA's accounting for
unearned revenue for
Superfund special accounts
continues to be a material
weakness.

EPA noted the following
significant deficiencies:

•	Additional efforts are
needed to resolve cash
differences with the U.S.
Department of the Treasury.

•	EPA misstated uncollectible
debt.

•	EPA improperly increased
accounts receivable and
related revenue.

•	EPA materially overstated
earned revenue.

•	EPA improperly processed
General Services
Administration rent
payments.

weaknesses and
deficiencies identified in
the report. EPA has
updated accounting
models in the Agency's
accounting system and
prepared quarterly
reconciliation of
Superfund special
accounts general ledger
balances to the special
accounts database. The
agency also researched
and resolved the old cash
differences cited in the
audit report and has
completed the remaining
corrective actions
associated with this audit.

2017-consolidated-financial-
statements

Office of Enforcement and

Compliance Assurance

Effectiveness of Discharge
Monitoring Report (DMR)
Submission Reminders

Office of Enforcement and
Compliance Assurance
(OECA)

Completion Date:
Preliminary results in FY
2019, will be continuing
based on these results

In 2017, EPA began sending
reminders when National
Pollutant Discharge
Elimination System (NPDES)
DMR submissions were seven,
14, or 21 days late. This
analysis sought to determine
whether these reminders
reduce the number of DMRs
that are more than 30 days
late.

Initial results indicate that
the reminder program
reduced the proportion of
DMR values more than 30
days late by 1.3 percentage
points for majors and by 3.6
percentage points for minors

Results inform work under
the National Compliance
Initiative effort to reduce
the rate of significant
noncompliance in the
NPDES program.

Office of Land and Emergency Management

Lean Project: Sitewide
Ready for Anticipated
Use (SWRAU)

Office of Land and
Emergency
Management (OLEM)

Completed: October
2018

The purpose of this Lean
project was to document the
current-state process, identify
and compare pain points on
the process map (referencing
the Superfund Task Force
report), and establish
Superfund tracking points and
measurement points.

The initial Lean project
helped EPA to focus on
working to review
information collected during
the FY 2017 national SWRAU
audit to set appropriate
targets and regional
commitments and identify

The Superfund program
worked to update the
Regional Best
Management Practices
document developed at
the end of FY 2017. This
will advance practices for
frequently used remedies,
various field stages and

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sites that could achieve
SWRAU in FY 2018-2019.

other aspects posing
significant opportunities
to achieve SWRAU.

LEAN Project: National
Priorities List (NPL) Full
and Partial Deletions

Office of Land and
Emergency
Management (OLEM)

Completed: May 2019

The purpose of this Lean
project was to document the
current-state process and
identify and compare pain
points on the process map for
the Superfund Deletions
Process.

EPA improved the clarity and
efficiency of moving sites
through the deletion process;
including clarifying the roles
and responsibilities of key
actors in EPA headquarters
and regional offices,
eliminating redundant steps,
and setting timeframes for
milestones in the process.

The Lean project resulted
in the development of
new visual management
tools to improve the
clarity and efficiency of
moving sites through the
deletion process. This
process led to a 25%
increase in the number of
full and partial site
deletions in FY 2019 (27)
over FY 2018 (22).

Redevelopment
Economics at Federal
Facilities

Office of Land and
Emergency
Management (OLEM)

Completed: December
2018

https://www.epa.gOv/f
edfac/redevelopment-
economics-federal-
facilities

The purpose of this project
was to provide current,
reliable business-related
information for a subset
of federal facility Superfund
sites in reuse and continued
use.

The effort identified a total
of 1,422 businesses that
generate $9.4 billion in
annual sales and
provide 115,097 jobs
and nearly $7 billion
in estimated annual
employment income at 22
Federal Facility Superfund
Sites.

The results increased
EPA's understanding on
the impact of restoration
and revitalization of
Superfund sites. Results
show that the
revitalization of
contaminated sites brings
real and substantial
benefits to communities.

GAO Report: EPA
Should Improve the
Reliability of Data on
National Priorities List
(NPL) Sites Affecting
Indian Tribes

U.S. Government
Accountability Office
(GAO)

Office of Land and
Emergency
Management (OLEM)

Completed: January
2019

https://www.ga0.g0v/p
roducts/GAO-19-123

GAO was asked to analyze NPL
sites that are on tribal
property or that affect tribes
and EPA's consultation with
tribes at these sites. This
report: (1) examines the
extent to which EPA has
reliable data identifying NPL
sites that

are located on tribal property
or that affect tribes, (2)
examines the extent to which
EPA has reliable data on the
Agency's consultation with
tribes regarding NPL sites, and
(3) describes the actions EPA
has taken to address the
unique needs of tribes when

GAO's main recommendation
to EPA was that the Agency
take actions to improve the
data it collects and to clearly
define circumstances under
which consultation with
tribes should be considered.

EPA concurred with GAO's
recommendations in this
report. EPA planned
actions include developing
plans to: (1) issue a
memorandum from EPA's
Office of International and
Tribal Affairs to EPA
Regional Administrators
on the importance of
following EPA's Tribal
Consultation and
Coordination Policy and
documenting consultation
actions into the Tribal
Consultation
Opportunities Tracking
System (TCOTS),

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making decisions about
cleanup

actions at Superfund sites.



estimated to occur in; (2)
issue a monthly TCOTS
report to Deputy Assistant
Administrators and
Regional Assistant
Administrators on the
status of consultations
recorded in TCOTS; (3)
initiate trainings
specifically targeted to
EPA's Regional Superfund
staff on when and how to
document consultation
actions in TCOTS; and (4)
conduct training on tribal
consultation.

Office of Mission Support

Strategic Sourcing

Office of Mission Support
(OMS)

Completed: FY 2019 and
ongoing internal annual
assessments

This is an annual internal
assessment of EPA's buying
patterns. The purpose of the
assessment is to provide
information that will help EPA
determine services and
products most conducive to
strategic sourcing, thereby
improving the Agency's buying
power.

In FY 2019, EPA identified
$4.7 million avoided costs
using data analysis tools to
monitor specific, measurable
data related to print services,
cellular services, shipping,
Microsoft software, voice
services, office supplies, lab
supplies, PCs, and furniture.
Since the beginning of the
Strategic Sourcing Program in
FY 2013, EPA achieved cost
avoidance of $19.4 million.
Building on the Strategic
Sourcing's previous success
and as a result of the annual
assessment, in FY 2019, EPA
added two new categories,
PCs and Furniture.

As a result of the annual
assessment, in FY 2020,
EPA plans to add strategic
sourcing initiatives for
VMWare, Salesforce, Lab
Equipment &

Maintenance, and SPLUNK
(software).

Space Reduction - Annual
Review

Office of Mission Support
(OMS)

Completed: FY 2019 and
ongoing annual reviews

This annual assessment is a
continuation of the Real
Property Efficiency Plan
completed in FY 2016.
The purpose of this
assessment is to
measure the square footage
of unused EPA space released
each fiscal year. As space is
released, EPA tracks the
square footage of the space

In FY 2019, EPA released
128,150 square feet of
unused office and warehouse
space. EPA is on track to
meet the Long-Term
Performance Goal of
releasing over 850,000 sq ft
of space by the end of FY
2022.

EPA leveraged this
assessment to continue
Headquarters
consolidation work that
will lead to the closure of
Potomac Yards in FY 2021.

Additionally, findings from
this assessment allowed
EPA to recognize the
progress made toward

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released in OMS's Office of
Administrative Services
Information System (OASIS).

In FY 2019, EPA missed its
space reduction target by
35,476 sq ft. Findings from
the assessment highlighted
that a major factor for this
was the release of the Gross
lie research facility (35K sq ft)
being pushed from FY 2019
to FY 2020.

achieving this long-term
performance goal, identify
logistical challenges
associated with the Gross
lie facility and other
consolidation efforts, and
to focus on opportunities
to close the gap needed to
reach the annual
performance goal.

OIG Report: EPA Oversight
over Enterprise Customer
Service Solution Needs
Improvement

Office of the Inspector

General (OIG)

Office of Mission Support

(OMS)

Completed: August 2019

https://www.epa.gov/office

-inspector-general/report-

epa-oversight-over-

enterprise-customer-

service-solution-needs

OIG conducted this audit to
determine whether EPA
followed documented policies
and procedures for providing
information technology (IT)
software under the Working
Capital Fund (WCF).

OIG's report highlighted
there were areas for
improvement in the Agency's
oversight over Enterprise
Customer Service Solution
(ECSS) system. Areas for
improvement in oversight of
the ECSS system included
documenting the agency's
business justification, having
the required plans, and doing
a user satisfaction review.

EPA agreed with OIG's
recommendations and
provided planned
corrective actions and
completion dates that are
acceptable and meet the
intent of the
recommendations.

OIG Report: EPA Needs to
Improve Oversight of the
Senior Environmental
Employment Program

Office of the Inspector

General (OIG)

Office of Mission Support

(OMS)

Completed: June 2019

https://www.epa.gov/office

-inspector-eeneral/report-
epa-needs-improve-

OIG conducted this audit to
determine whether internal
controls for the Senior
Environmental Employment
(SEE) program cooperative
agreements provide
reasonable assurance that the
Agency is complying with the
Environmental Programs
Assistance Act (P.L. 98-313)
and EPA guidance and
policies.

OIG's report highlighted
areas for improvement in the
Agency's SEE program and
provided five

recommendations including:
1. implementing internal
controls to verify timely
reporting; 2. developing a
mechanism for the SEE
program manager to verify
effective oversight; 3.
implement additional
communication and guidance
for monitors regarding SEE
policies and procedures; 4.
issuing memorandum to
senior leadership in program
and regional offices
emphasizing compliance with
SEE program guidance; 5.
revising SEE program's

EPA agreed with all five
recommendations in the
report. The Office of
Mission Support has
already implemented
corrective actions for
recommendations 2 and
3, and provided high-level
corrective actions and
estimated completion
dates for the remaining
recommendations.

oversight-senior-

environmental-
emplovment-program

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guidance to include internal
controls related to reviewing
and setting wage rates,
timing for pay scale reviews,
and responsibilities.



OIG Report: Insufficient
Practices for Managing
Known Security
Weaknesses and System
Settings Weaken EPA's
Ability to Combat Cyber
Threats

Office of the Inspector

General (OIG)

Office of Mission Support

(OMS)

Completed: May 2019

https://www.epa.gov/office

OIG conducted an audit to
determine whether EPA
completed, and documented
actions taken to remediate
weaknesses in the Agency's
information security program.

OIG's report highlighted
improvement opportunities
in managing Plan of Actions
& Milestones (POA&Ms) for
remediating security
weaknesses within the
Agency's information security
weakness tracking system.
The improvement
opportunities included a
process for planning,
developing, implementing,
evaluating, and documenting
remedial actions to address
deficiencies in information
security controls.

EPA agrees with OIG's
overall report, that
identifying and mitigating
known weaknesses is an
important aspect of
ensuring the security of
the Agency's information
assets. EPA further agrees
with OIG's report that EPA
is improving capabilities in
this area over the past
several years but there is
room for improvement.

-inspector-general/report-

insufficient-practices-

managing-known-security-

Office of Research and Development

Long-Term Performance
Goal Survey

Office of Research and
Development (ORD)

Completed: August 2019

The purpose of this survey
was to measure EPA's
progress toward its long-term
performance goal on the
percentage of research
products that met customer
needs. EPA's ORD distributed
over 200 surveys to research
product users in EPA program
offices, regions, and other
federal partners to solicit
feedback on the products.

ORD found that 79%
(154/196) of ORD's research
products delivered in FY 2018
had met customer needs.

The survey data collected
provided important
insights into ORD's
contributions to its
partners and customers'
missions and the data was
used to support research
planning and engagement
activities including:
briefings and coordination
with management and
senior leadership,
responding to questions
and specific inquiries from
ORD partners that
responded to the survey,
and information provided
to researchers on user
experiences with
products.

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The data collected will
inform staff-level and
management discussions
with ORD's partners
ranging from technical
improvements to the
quality, usability, and
timeliness of ORD's
research products to
broader improvements to
ORD's relationship with its
product user base.

Nutrients Solutions-Driven
Research Pilot Problem
Formulation Workshop

Office of Research and
Development (ORD)

Completed:

October/November 2018

https://www.re8earchgate.il
et/profile/Wavne Munns Jr

/publication/335949800 Sol
utions-

Driven Research Pilot Prob
lem Formulation Workshop
Report and Evaluation/lin
ks/5d851376299bfl996f82f

37a/Solutions-Driven-
Research-Pilot-Problem-
Formulation-Workshop-
Report-and-Evaluation.pdf

EPA's ORD, together with The
Barnstable Clean Water
Coalition (a Massachusetts-
based environmental non-
profit organization) co-hosted
a workshop to engage key
stakeholders in coordinating a
research effort focused on
nutrient reduction in Three
Bays, Cape Cod,
Massachusetts. By deploying a
dedicated evaluation team to
host and evaluate the
workshop, ORD applied and
documented best practices of
program evaluation for
solutions-driven research. The
Cape Cod regional
stakeholders included
individuals in other federal
agencies, state and local
governments, private
industry, and academia.

ORD found that clearly
defined targeted outputs,
structured workshop
activities, detailed facilitator
guidance, and facilitator
observed trainings all
contributed to successful
process implementation and
information processing which
catalyzed successful
stakeholder engagement.

This workshop serves as a
documented example of
how to implement
solutions-driven research
efforts and manage
effective stakeholder
engagement processes.
The methods, findings,
and key lessons learned
were published in a report
now available for EPA staff
and external parties to
reference to inform future
research program
development and
management.

OIG Report: EPA Office of
Research and Development
Needs to Address Barrier to
Gathering External
Customer Feedback

Office of the Inspector
General (OIG)

Office of Research and
Development (ORD)

Completed: August 2019

OIG conducted this audit of
ORD's long-term performance
goal (formerly called strategic
measure) on the customer
satisfaction survey process.
The project had two
objectives: (1) to determine
whether the data collected
and used by ORD's long-term
performance goal (SM-21)
survey provides a reasonable
and accurate measure of
customer satisfaction and (2)

The project found that there
was insufficient data beyond
the FY 2018 baseline to
completely answer its first
objective. The project also
found that ORD faces a key
barrier of being significantly
limited in its ability to collect
sufficient data on the
satisfaction of non-federal
customers. Currently for its
survey, ORD is limited to
surveying a maximum of nine

ORD concurred with OIG's
recommendation, and
published a notice in the
Federal Register on
September 13th, 2019
announcing ORD's intent
to submit an ICR to OMB
to seek approval to survey
non-federal product users
in future rounds of data
collection. ORD is on track
to finalize the ICR in FY
2020.

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-inspector-general/report-
epa-office-research-and-
development-needs-
address-barriers-gathering

to determine whether ORD
faces any barriers when
collecting this data.

non-federal employees under
the Paperwork Reduction
Act. OIG recommended that
ORD submit to OMB an
Information Collection
Request (ICR) which, if
approved, would allow ORD
to survey more than nine
non-federal external
customers in future rounds
of data collection.



OIG Report: Regional
Research Programs Address
Agency Needs but Could
Benefit from Enhanced
Project Tracking

Office of the Inspector
General (OIG)

Office of Research and
Development (ORD)

Completed: April 2019

https://www.epa.gov/office

-inspector-general/report"
regional-research-programs-

OIG conducted this audit to
determine whether or not two
of ORD's regional research
programs (Regional Applied
Research Effort RARE and
Regional Sustainability and
Environmental Sciences
RESES) are helping EPA
accomplish its Agency mission,
and whether or not the results
of these initiatives are
impacting Agency decision
making.

This project sampled eight
RARE and two RESES projects
and interviewed regional
staff to learn about project
impacts. Key findings were
that staff believed RARE and
RESES projects were
succeeding in helping the
Agency address regions' high-
priority, near-term research
needs, and that staff were
generally satisfied with the
positive impacts these
projects had on Agency
decision making and
engagement. The project also
found that ORD could better
document project progress,
impacts and outputs. At the
time of review, ORD's
Regional Science Program
(RSP) Tracker had not been
updated to include RESES
projects and contained
incomplete data for other
projects. It was
recommended that ORD
complete data entry of all
RESES projects into the RSP
Tracker and improve
documentation visibility and
protocols.

ORD concurred with OIG's
recommendations and
committed to working
with the RSP Tracker
support contractor to
make technical changes to
the systems infrastructure
to accommodate RESES
projects. ORD also
committed to complete
data entry of project
records in the RSP tracker
and take corrective
actions to enhance the
systems usability and user
friendliness. These
improvements are
ongoing and are planned
to be completed in FY
2020.

address-agencv-needs-

could-benefit

GAO Report: Chemical
Assessments: Status of
EPA's Efforts to
Produce Assessments
and Implement the

GAO conducted this study to
evaluate the extent to which
ORD's IRIS (Integrated Risk
Information System) Program
identified and overcome

This project found that ORD
made efforts to improve IRIS
assessment timeliness and
transparency challenges by
employing project

EPA improved its IRIS
assessment processes by
reshaping its project
management plans and
applying transparent,

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Toxic Substances
Control Act

U.S. Government
Accountability Office
(GAO)

Office of Research and
Development (ORD)

Completed: March 2019

https://www.gao.gov/produ

cts/GAO-19-270

challenges with timeliness and
transparency related to
chemical assessments which
previously bore external
criticism. Secondly, the study
aimed to describe the extent
to which EPA successfully
demonstrated progress
implementing TSCA (Toxic
Substances Control Act).

management principles and
specialized software to plan
assessments and efficiently
utilize staff. A systematic
review process now provides
a structured and transparent
process for identifying
scientific studies informing
IRIS assessments and
evaluating their
methodological strengths
and weaknesses.

uniform criteria to
assessments. GAO did not
make any

recommendations in this
report. However, ORD
continues to address
previous GAO report
recommendations related
to IRIS.

Office of Water

Safe Drinking Water Act
State Oversight - Program
Reviews

Office of Water (OW)
Completed: FY 2019

Under the Safe Drinking Water
Program regulations under 40
CFR Part 142, states which
meet the primacy
requirements are the primary
regulators of drinking water
systems in the state. Primacy
refers to a state acquiring and
maintaining primary
responsibility for
administration and
enforcement of drinking water
regulations. As outlined in 40
CFR § 142.17, EPA regions are
required to conduct an annual
assessment of each state's
core program elements and
verify that states continue to
meet primacy requirements.

This year's assessment found
that many states are
challenged by the heavy
workload associated with
addressing unregulated
contaminants (e.g. Per- and
polyfluoroalkyl substances
[PFAS], Legionella). While
core program functions
continue, staff cannot offer
the same level of technical
assistance required to bring
systems back into compliance
as in previous years. In many
cases, systems with repeat
health-based violations are
also on the EPA Enforcement
Targeting Tool (ETT) list and
are being addressed by the
state. All states have some
difficulties keeping track of
the numerous reporting
requirements.

The results indicate that
all the states are placing a
high priority on addressing
health-based violations.

Many states have trouble
with reporting violations
at the beginning of new
rule implementation. In
addition, when new rules
are rolled out the
noncompliance rate is
generally higher, or states
cannot report the
violations for some period
of time.

The annual reviews are
specific to each primacy
agency and, where
appropriate, identify areas
where drinking water
programs need to
improve. The regions
follow up on any areas
requiring improvement.
For example:

• Region 5 uses the data
to document progress
in annual reviews and
works with the state
to address the
problems and to track
state commitments.

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• Following the annual
review, Region 1
continues working
with the states to
assist with

noncompliance and in
the case of Revised
Total Coliform Rule
(RTCR) violations,
enforcement staff
have contacted
systems in Vermont
and Connecticut.

Safe Drinking Water Act
State Program Oversight -
File Reviews and In-Depth
Analyses

Office of Water (OW)
Completed: FY 2019

Two targeted analyses of state
data are conducted to
supplement the annual
program evaluations.

File Reviews are conducted
every three to six years for
each state. The goal of a
program (file) review is to
document whether the state
makes appropriate
compliance determinations
for the drinking water
regulations and accurately
reports associated data to the
national database, Safe
Drinking Water Information
System (SDWIS) Fed Data
Warehouse.

In-depth analyses are rule-
specific and are designed to
evaluate the challenges,
lessons learned, and
recommendations on a
specific aspect of the Safe
Drinking Water Act.

From File Reviews, EPA
identified areas where a state
is not implementing a rule
fully or reporting correctly to
the national database. The
region documents and tracks
those deficiencies in many
cases against commitments
from the state for when the
problem will be fixed. In the
past three years, EPA
conducted seven to ten file
reviews each year. For
example:

• Region 1 conducts one
File Review per year in
one state. The majority
of deficiencies are
related to monitoring
and reporting violations.
States do not have the
resources to cross check
every monitoring sample
against approved
monitoring plans and
were relying on SDWIS
Prime for improved data
processing. States are
concerned by their future
ability to track data
without updated data
management systems

File reviews allow EPA to
identify specific
discrepancies within the
state program, allowing
the region to develop
corrective actions and
make recommendations
for program
improvements.

In July 2019, EPA
published the report

Stage 2 Disinfectants and

Consecutive System In-
Depth Analysis, which
describes the challenges
and best practices
identified in the Stage 2
DBPR and Consecutive
System In-Depth Analysis.

EPA initiated a second
national in-depth analysis,
which will focus on the
Ground Water Rule. This
will be conducted in FY
2020 with a final report
anticipated in early FY
2021.

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and the indefinite delay
of SDWIS Prime. Some
deficiencies are linked to
database errors and
others are due to lab
capacity issues.

•	In 2018, EPA conducted a
national deep dive for
the Disinfection
Byproducts Rule, which
included Indiana,
Kentucky, New Jersey,
North Dakota and
Pennsylvania.

•	In 2018, Region 5 began a
deep dive of all six states'
Lead and Copper Rule
(LCR) implementation.
The findings identified
gaps or deficiencies in
fully implementing the
LCR, which Region 5 is
now working with the
states to resolve.



Chesapeake Bay Program's
Strategy Review System
(SRS) Process
Improvements

Office of Water (OW)

Completed: First biennial
cycle ended in December
2018. Second cycle began
March 2019

https://www.chesapeakeba
v.net/decisions

The Chesapeake Bay
Program's Strategy Review
System (SRS) is an adaptive
management-based review
process developed by the
Chesapeake Bay Partnership
to consistently assess and
track progress across all 31
outcomes of the Chesapeake
Bay Watershed Agreement.

Beginning August 2018 and
continuing through Spring of
2019, multiple rounds of user
research and a two-day Lean
process mapping event were
conducted to evaluate the
SRS, simplify the process and
materials for the second cycle,
and improve the quarterly
progress outcome reviews.

Results from the user
research and the Lean event
indicate the need to simplify
the process, clarify and build
in additional time for some
steps, and provide
centralized support and
information for those
participating in the SRS.

Results from the quarterly
reviews include improved
collaboration, accountability,
and better alignment of our
science and communications;
more effective leveraging of
partnership expertise and
over $1.5 billion federal and
state funds.

Discussions and action
items resulting from the
quarterly progress reviews
informed the
Management Board on
progress toward
outcomes, identified
opportunities to engage
new partners, and
informed the next two
years of work.

The SRS process and
support materials were
streamlined.

ChesapeakeDecisions, a
web product, was
developed which
centralizes materials and
provides clear and
consistent instructions for



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The second cycle kick-off
meeting was held in March
2019 and quarterly reviews
were conducted in August and
November 2019 to review
progress toward outcomes
and identify opportunities to
collaborate and improve.



guiding the partnership
through the SRS.

ChesapeakeDecisions also
transparently documents
management decisions
and follow-up actions, and
tracks dates, deadlines,
and status of documents.

Chesapeake Bay 2018
Progress Watershed Model
Assessment

Office of Water (OW)

Completed: April 2019

http://www.chesapeakepro

eress.com/clean-

water/water-

qualitv/watershed-

implementation-plans

The annual model progress
assessment is one measure of
the status of meeting
pollutant load reduction goals
associated with the
Chesapeake Bay Total
Maximum Daily Load (TMDL).
The model uses reported
wastewater discharge and air
deposition data along with
other information about
conditions in the watershed -
including implementation of
best management practices -
in a simulation of pollutant
loads to local water bodies
and tidal waters of the
Chesapeake Bay. The results
of the model progress
scenario include estimates of
the percentages of the goals
achieved for each jurisdiction
and each source of nitrogen,
phosphorus, and sediment.

As of 2018, nutrient
pollution-reducing practices
are in place to achieve 39%
of the nitrogen reductions
and 77% of the phosphorus
reductions necessary to
attain applicable water
quality standards, as
compared to the 2009
baseline established by EPA
as part of the Chesapeake
Bay TMDL.

The Chesapeake Bay TMDL
and the 2014 Chesapeake
Bay Watershed Agreement
call for practices to be put in
place by 2017 to reduce
nutrient, phosphorus, and
sediment loads by 60%. The
TMDL is designed to ensure
that all pollution control
measures needed to fully
restore the Bay and its tidal
rivers are in place by 2025.
Following this trajectory
toward the 2025 targets, the
2018 objective was not
achieved for nitrogen but
was met for phosphorus.
Sediment targets are
currently going through the
approval process among Bay
Program partners.

Under the accountability
framework, EPA
committed to conduct
oversight of Bay
jurisdictions' programs to
ensure they are on track
to meet the goals of their
Watershed

Implementation Plan and
two-year milestones. For
EPA's evaluation of
progress, visit:

https://www.epa.gov/che
sapeake-bav-tmdl/epa-
oversight-watershed-
implementation-plans-

wips-and-milestones-
chesapeake-bav.

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OIG Report: EPA's Water
Infrastructure Finance and
Innovation Act Program
Needs Additional Internal
Controls

Office of the Inspector
General (OIG)

Office of Water (OW)

Completed: December 2018

https://www.epa.gov/office

-inspector-eeneral/report-
epas-water-infrastructure-
finance-and-innovation-act-
program-needs

OIG conducted this evaluation
to determine whether EPA
established effective internal
controls for the Water
Infrastructure Finance and
Innovation Act (WIFIA)
program.

OIG recommended that EPA
should prepare a
comprehensive program risk
assessment, and that EPA
should develop program
performance metrics to fully
identify and capture financial
data and public health
benefits to affected
communities. OIG also found
that EPA needs to strengthen
its SharePoint access controls
for the WIFIA program.

EPA's WIFIA program
agreed with OIG on all
recommendations. The
WIFIA program completed
a risk assessment in
accordance with OMB
Circular A-123 and
implemented detailed
internal controls for the
program.

The WIFIA program
developed controls to
ensure the WIFIA
SharePoint site's access
controls function as
intended and comply with
federal requirements and
EPA's information
technology security
program. The WIFIA
program also identified
what types of data are
needed to manage the
program and what types
of information technology
controls are needed to
safeguard such data.

Finally, the WIFIA program
developed a program
performance metric to
further assess the
program's effectiveness,
"WIFIA financing provided
to assist utilities that are
out of compliance." Based
on the first 13 loans, the
WIFIA program provided
$1,389,330 in loans to
assist utilities that are out
of compliance. This loan
money will help utilities to
comply with consent
decrees by reducing
sanitary sewer overflows
and combined sewer
overflows. This result is a

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cumulative total through
FY 2019.

OIG Report: EPA Must
Improve Oversight of
Notice to the Public on
Drinking Water Risks to
Better Protect Human
Health

Office of the Inspector
General (OIG)

Office of Water (OW)

Completed: September
2019

https://www.epa.gov/office
-inspector-general/report-
epa-must-improve-
oversight-notice-public-

drinkine-water-risks-better

OIG examined whether EPA
adequately ensures that
public drinking water systems
notify their consumers as
required by public notice
regulations authorized under
the Safe Drinking Water Act,
such as when the drinking
water poses a risk to public
health (e.g., when there are
unsafe levels of
contamination).

OIG made nine
recommendations, including
that EPA require primacy
agencies to comply with
oversight requirements
related to public notice and
to follow data reporting
requirements. OIG also
recommended that the
Agency update public notice
guidance, define the
acceptable methods and
conditions under which
notices can be delivered
electronically, and improve
public notice violation
information in the national
drinking water database.

EPA developed corrective
actions to OIG's
recommendations, along
with estimated
completion dates (in FY
2020 and the first quarter
of FY 2021). The corrective
actions include providing
additional guidance,
training and oversight on
public notification.

OIG Report: EPA Unable to
Assess the Impact of
Hundreds of Unregulated
Pollutants in Land-Applied
Biosolids on Human Health
and the Environment

Office of the Inspector
General (OIG)

Office of Water (OW)

Completed: November 2018

https://www.epa.gov/office

-inspector-general/report-

epa-unable-assess-impact-

hundreds-unregulated-

pollutants-land

OIG conducted this audit to
determine whether EPA has
controls over the land
application of sewage sludge
and if yes, whether they are
being implemented so that
they are protective of human
health and the environment.

OIG recommended that EPA's
Office of Water address
control weaknesses in
biosolids research,
information sharing with the
public, pathogen control and
training. Further, OIG
recommended that Office of
Water and Office of
Enforcement and Compliance
Assurance improve the
consistency of compliance
monitoring and better record
inspection data.

EPA's Office of Water
worked in recent years to
develop the capacity to
screen pollutants found in
biosolids by developing
risk assessment tools and
gathering pertinent data.
The biosolids website
overhaul, which provides
clear and transparent
information, began prior
to the OIG report and was
completed. The new
website is currently under
review. The biosolids
webinar series and
planning for the national
meeting are underway, as
are updates to the
pathogen and vector
attraction reduction
guidance.



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