Operating efficiently and effectively

Compendium of Open and
Unresolved Recommendations
Related to Infrastructure
Investment and Jobs Act-
Funded Programs

March 23, 2023


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Report Contributors:

Kelly Chavarria
Jason Elkins
Chad Garland
Eric Lewis
Adam Seefeldt
Matthew Shuman
Andre von Hoyer

Abbreviations:	ARRA	American Recovery and Reinvestment Act of 2009

C.F.R.	Code of Federal Regulations

EPA	U.S. Environmental Protection Agency

IIJA	Infrastructure Investment and Jobs Act

OIG	Office of Inspector General

Pub. L.	Public Law

U.S.C.	United States Code

Key Definitions:

Open

Unresolved

Internal Control

The term used to describe a recommendation with
which the EPA agrees—that is, it is considered
resolved—but for which the Agency has not yet
completed agreed-upon corrective actions.

The term used to describe a recommendation with
which the EPA disagrees; to which the EPA has not
provided a formal, complete, written response; or for
which the EPA has proposed corrective actions that the
OIG does not consider responsive to the
recommendation.

A process that an entity's oversight body, management,
and other personnel implement to provide reasonable
assurance that the entity's objectives will be achieved.

Cover Image:

An electric school bus on display in Washington, D.C. (EPA image)

Are you aware of fraud, waste, or abuse in an
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Washington, D.C. 20460
(888) 546-8740
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OIG Hotline@epa.gov

Learn more about our OIG Hotline.

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1200 Pennsylvania Avenue, NW (2410T)
Washington, D.C. 20460
(202) 566-2391
www.epa.gov/oiq

Subscribe to our Email Updates.
Follow us on Twitter @EPAoig.
Send us your Project Suggestions.


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Office of Inspector General

U.S. Environmental Protection Agency

At a Glance

March 23, 2023

Why We Published This
Compendium

The Infrastructure Investment and
Jobs Act, Pub. L. 117-58 (2021),
more than doubles the
U.S. Environmental Protection
Agency's annual budget each
year over the next five years to
fund water infrastructure,
environmental cleanups, and
electric school buses, largely
through existing programs.
Effective internal controls ensure
that funds are reasonably
protected from fraud, waste,
abuse, or mismanagement.

The purpose of this compendium
is to analyze open and
unresolved recommendations
concerning programs that
received funding under the Act.

Open recommendations are

those with which the EPA agrees
but for which it has not yet
completed corrective actions.

Unresolved recommendations

are those that the EPA disagrees
with; has not provided a formal,
complete, written response to; or
has proposed corrective actions
that have not been agreed upon.

This project supports an EPA
mission-related effort:

•	Operating efficiently and
effectively.

This project addresses a top EPA
management challenge:

•	Managing increased investment
in infrastructure.

Address inquiries to our public
affairs office at (202) 566-2391 or
OIG WEBCOMMENTS@epa.gov.

List of OIG reports.

Compendium of Open and Unresolved
Recommendations Related to
Infrastructure Investment and Jobs Act-
Funded Programs

What We Found

This compendium focuses on 25 recommendations
(19 open and six unresolved as of December 1,

2022). Most of these recommendations were
identified prior to the passage of the
Infrastructure Investment and Jobs Act, or IIJA,
which President Joseph R. Biden Jr. signed into
law on November 15, 2021. Although these
recommendations are not IIJA-specific, they
pertain to programs receiving IIJA appropriations and could highlight
areas in which the Agency has an opportunity to prevent potential fraud,
waste, abuse, or mismanagement. These recommendations represent
more than $73 million in potential monetary benefits.

The IIJA appropriates over $60 billion to the EPA for fiscal years 2022
through 2026. According to Congressional Budget Office data as of
December 16, 2022, less than 1 percent of the $60 billion in IIJA funds
had been obligated and expended. Existing open and unresolved
recommendations regarding programs that receive IIJA appropriations
represent areas in which the Agency already lacks internal controls
appropriate to administer these programs economically and efficiently at
their much lower historic funding levels.

The likelihood of fraud, waste, abuse, or mismanagement rises with
significant increases in appropriations over short periods of time. If our
existing recommendations are not timely addressed, the related
programs may face greater risks as they expand under the IIJA's
significant increases in funding and requirements.

The potential for heightened risks also increases the importance of
robust oversight. Under the IIJA, the OIG received funding to conduct
oversight, including audits, evaluations, and investigations, of EPA
programs and funding recipients receiving IIJA funds. In April 2022, the
OIG released our inaugural IIJA oversight plan. We will refine our IIJA
oversight plan as the EPA refines its plans to execute the Act.

In this compendium, we provide a summary of open and unresolved
recommendations in programs that received IIJA funding and a
synopsis of our reporting on "lessons learned" from our analyses of past
reports and recommendations, which have highlighted potential pitfalls
for the EPA to avoid as it implements its responsibilities under the IIJA.

Potential monetary
benefits to the EPA
from implementing
corrective actions
for unimplemented
recommendations
exceed $73 million.


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tf£D sr/fp	UNITED STATES ENVIRONMENTAL PROTECTION AGENCY

*.	WASHINGTON, D.C. 20460

5	5	THE INSPECTOR GENERAL

March 23, 2023

MEMORANDUM
SUBJECT:

FROM:

TO:

The U. S. Environmental Protection Agency Office of Inspector General presents the Compendium of Open
and Unresolved Related to Infrastructure Investment and Jobs Act-Funded Programs, which details the
statuses of 19 open and six unresolved recommendations that the OIG had issued to the EPA as of
December 1, 2022.

The EPA has stated that the Infrastructure Investment and Jobs Act, or IIJA, Pub. L. 117-58, which
President Joseph R. Biden Jr. signed into law on November 15, 2021, more than doubles the Agency's
annual budget each year over the next five years to fund, largely through existing programs, water
infrastructure, environmental cleanups, and electric school buses. Therefore, effective internal controls
over these programs are necessary to ensure that the IIJA funds will be reasonably protected from fraud,
waste, abuse, or mismanagement. This compendium tracks open and unresolved recommendations that
we have made to the EPA for improving internal controls over the programs expected to receive future
IIJA funding.

Section 1 of this report focuses on open and unresolved recommendations by program and regional office.
Section 2 reports on unresolved recommendations. Section 3 discusses the open and unresolved
recommendations by internal control type. Section 4 lists open recommendations that are at least one year
old, as well as those recommendations with proposed corrective actions not scheduled to be completed
within one year of the issuance of the associated report. Section 5 details our IIJA "lessons learned"
reports, which did not contain recommendations but highlighted historical pitfalls for the Agency to keep
in mind as it implements its IIJA responsibilities.

We will post this report to our website at www.epa.gov/oig.

cc: Assistant Administrators
General Counsel
Chief Financial Officer
Associate Administrators
Regional Administrators

Compendium of Open and Unresolved Recommendations Related to Infrastructure
Investment and Jobs Act-Funded Programs

Sean W. O'Donnell

Michael S. Regan, Administrator

Janet McCabe, Deputy Administrator


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	Table of Contents	

Introduction	1

Purpose	1

Background	1

Recommendation Resolution Process	4

Report Structure	4

Compendium Data Sources	5

Section 1. Open and Unresolved Recommendations by Responsible Program Office or Region	6

Section 2. Unresolved Recommendations	7

Section 3. Open and Unresolved Recommendations by Internal Control Category	9

Section 4. Recommendations Taking One Year or More to Implement	10

Section 5. Lessons Learned Reports	11

Appendixes

A Open Recommendations by Responsible Program Office or Region	13

B Open and Unresolved Recommendations by Internal Control Objective Category	14

C Recommendations Taking One Year or More to Implement	18

D Distribution	22


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Introduction

Purpose

This compendium analyzes certain open and unresolved recommendations that the U.S. Environmental
Protection Agency Office of Inspector General has made to the EPA. The recommendations analyzed
relate to programs receiving appropriations under the Infrastructure Investment and Jobs Act, or lIJA,
Pub. L. 117-58 (2021).

The OIG is publishing this report to keep Agency management and Congress informed about the open or
unresolved status of relevant OIG recommendations to the EPA and the Agency's progress in completing
corrective actions that will help improve its programs and operations. These corrective actions will
improve the internal controls associated with the Agency's programs by offering increased protection
against fraud, waste, abuse, or mismanagement for those programs and operations that are receiving
IIJA appropriations. The U.S. Government Accountability Office's GAO-14-7Q4G. Standards for Internal
Control in the Federal Government, issued September 2014, also known as the "Green Book," provides
the overall framework for establishing and maintaining an effective internal control system.

Top Management Challenge Addressed

This report addresses the following top management challenge for the Agency, as identified in the OIG's
U.S. Environmental Protection Agency Fiscal Year 2023 Top Management Challenge report, issued October 28,

2022:

• Managing increased investment in infrastructure.

As of December 1, 2022, there were 19 open recommendations that, since as far back as 2008, the OIG
issued to the EPA concerning programs to which the IIJA appropriates funding. An additional
six recommendations remained unresolved.

Background

On November 15, 2021, President Joseph R. Biden Jr. signed the
IIJA into law, which appropriates about $60 billion to the EPA for
fiscal years 2022 through 2026, representing the largest
appropriation that the Agency has ever received. The EPA has
described the influx of funding as a "moment for the Agency to
expand from its historic role as a regulatory and scientific agency
to be a large-scale funder of critical infrastructure."1

Historic EPA funding

The IIJA appropriations more than double the Agency's annual
budget for each year of the five-year period and requires significant

wastewater, and stormwater infrastructure projects; environmental cleanups; clean school buses; and

1 U.S. Environmental Protection Agency, 190R22005, Year One Anniversary Report: Bipartisan Infrastructure Law
(November 2022), https://www.epa.gov/system/files/documents/2022-
11/BI L_Anniversary_Report_11142022.pdf.

Open or Unresolved
Recommendations

Open recommendations are those with
which the EPA agrees—that is, they are
considered resolved—but the Agency
has not yet completed agreed upon
corrective actions.

Unresolved recommendations are

those with which the EPA disagrees; to
which the EPA has not provided a
formal, complete, written response; or
for which the EPA has proposed
corrective actions that the OIG does
not consider responsive to the
recommendation.

investment in drinking water,

1


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increases in the EPA workforce.2 The Agency will implement most of that funding through existing
programs, including the Office of Water's state revolving funds and the Office of Land and Emergency
Management's Superfund program. For most programs, these funds are available until expended.
Figure 1 shows the EPA's expected IIJA appropriations by program.

Figure 1: IIJA funding by program

State and Tribal Grants

Clean Water State Revolving
Fund Traditional

S11.713B

Drinking Water State
Revolving Fund Traditional

S11.713B

Lead Service Lines Drinking
Water State Revolving Fund

$15B

PFAS Clean Water State
Revolving Fund

$1B

PFAS Drinking Water State
Revolving Fund

$4B

PFAS Small & Disadvantaged

$5B

Underground Injection
Control Grants

$50M

Brownfields

$1.5B

Save Our Seas 2.0

$275M

Pollution Prevention

$100M

RECYCLE Act

$75M

Clean School Buses

$5B

Environmental Programs
and Management

Geographic Programs

$1.717B

National Estuary
Program

$132M

Gulf of Mexico and
Mississippi and Ohio
Rivers Hypoxia

$60M

Class VI

Wells/Underground
Injection Control

$25M

Battery Recycling
Labeling

$15M

Battery Recycling Best
Practices

$10M

Total:

$1.959B

Superfund

Remedial
Cleanups

$3.5B

Total: $3.5B

Total: $55.426B

Note: B = billion; M = million; PFAS=per and polyfluoroalkyl substances.

Source: EPA, FACT SHEET: EPA & The Bipartisan Infrastructure Law, November 6, 2021. (EPA OIG figure)

2 Id. at 1.

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The IIJA's environmental project funds give the EPA an opportunity to advance its goal of protecting
human health and the environment. As with previous supplemental spending legislation—such as the
American Recovery and Reinvestment Act and the Coronavirus Aid, Relief, and Economic Security Act-
there is a risk that the influx of infrastructure funds may be mismanaged, that funding requirements will
not be complied with, or programmatic goals will not be met. History shows that such significant
increases in program funding within a short period of time can create corresponding rises in the
likelihood of fraud, waste, abuse, or mismanagement—thus raising the importance of robust oversight
of Agency programs and operations.3

Fraud in the American Recovery and Reinvestment Act of 2009. In February 2009, the American
Recovery and Reinvestment Act of 2009, or ARRA, was signed into law. The Act authorized $787 billion
in funding in the form of tax cuts, contracts, grants, and loans, among other things.4 According to a
media article from 2014, in the first five years after ARRA was enacted, investigators had proven 1,268
cases of fraud, resulting in $57 million in recovered funds.5

Fraud in the Coronavirus Aid, Relief, and Economic Security Act. In March 2020, the Coronavirus Aid,
Relief, and Economic Security Act was signed into law. This Act ultimately authorized over $800 billion
for the Paycheck Protection Program.6 As of May 2022, over $4.6 billion in potentially fraudulent
Paycheck Protection Program loans had been identified in what the Small Business Administration OIG
called "unprecedented fraud levels."7

As discussed in Section 5 of this compendium, we recently reviewed over two dozen American Recovery
and Reinvestment Act of 2009 reports and found examples from the EPA's administration of ARRA funds
highlighting three areas in which the EPA could mitigate risks and reduce the likelihood of fraud, waste,
abuse, or mismanagement under the IIJA.

IIJA Oversight Funding

Under the IIJA, the OIG is receiving supplemental appropriations to conduct independent and objective
oversight. Most of these funds are available until expended, supporting audits, evaluations, and
investigations of EPA programs and funding recipients receiving or affected by IIJA funds. The OIG
expects that the need for effective oversight of IIJA funds will extend beyond FY 2026. In April 2022, the
OIG released the inaugural edition of our Infrastructure Investment and Jobs Act Oversight Plan
describing the OIG's planned and ongoing projects related to IIJA oversight. As the EPA refines its plans
to execute the IIJA, we will refine our IIJA oversight plan.

3	Small Business Administration Office of Inspector General, 22-13, SBA's Handling of Potentially Fraudulent Paycheck
Protection Program Loans, (May 2022), https://www.oversight.gov/sites/default/files/oig-reports/SBA/SBA-OIG-
Report-22-13.pdf.

4	U.S. Environmental Protection Agency Office of Inspector General, 23-N-0004, American Recovery and Reinvestment
Act Findings for Consideration in the Implementation of the Infrastructure and Investment and Jobs Act, (December
2022), https://www.epa.gov/office-inspector-general/report-american-recovery-and-reinvestment-act-findings-
consideration-1.

5	Gregory Korte, Five years since stimulus: Many fraud cases, few losses, USA Today, February 16, 2014,
https://www.usatoday.com/story/news/politics/2014/02/16/recovery-act-stimulus-fraud-convictions/5400705/.

6	Small Business Administration Office of Inspector General, supra note 3.

7	Id. at 6.

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The OIG is issuing this compendium to highlight open and unresolved recommendations related to
programs that are receiving IIJA appropriations. In Section 3 of this compendium, we discuss the three
main categories of objectives—operations, reporting, and compliance—for the internal controls
associated with the EPA's open and unresolved recommendations.8 If the Agency does not timely
address these outstanding recommendations, the related programs could be more susceptible to fraud,
waste, abuse, or mismanagement as they expand under the IIJA's significant increases in funding and
requirements.

Recommendation Resolution Process

As discussed above, this report concerns open recommendations for which the EPA has not yet
completed agreed-upon corrective actions and unresolved recommendations that do not yet have
agreed-upon corrective actions. Office of Management and Budget Circular A-50. Audit Followup, dated
September 29, 1982, provides guidance to executive agencies regarding inspector general and
Government Accountability Office audits and the recommendation resolution process. Specifically, the
circular:

•	Affirms that management's corrective actions on resolved findings and recommendations are
essential for improving the effectiveness and efficiency of government operations.

•	States that audit follow-up is a shared responsibility of agency management officials and
auditors.

•	Requires each agency to ensure that systems are in place for the prompt and proper resolution
and implementation of audit recommendations.

Further, Office of Management and Budget Circular A-50 requires that agencies provide a means to
resolve major disagreements between the OIG and agency management within six months.

Report Structure

Open and unresolved recommendations affecting program or regional offices that received IIJA funding
are detailed in Section 1 of this compendium, and unresolved recommendations that affect those offices
are detailed in Section 2. Open and unresolved recommendations are analyzed in Section 3 according to
the objective category of the internal controls affected. In Section 4, we examine open
recommendations that are at least one year old, as well as those recommendations with proposed
corrective actions not scheduled to be completed within one year of the issuance of the associated
report. Finally, Section 5 discusses recent OIG "lessons learned" reports that analyzed trends or patterns
in past oversight reports to identify potential areas for EPA improvement to address potential
weaknesses that could affect IIJA programming.

8 An internal control is a process that an entity's oversight body, management, and other personnel implements to
provide reasonable assurance that the entity's objectives will be achieved. See U.S. Government Accountability
Office, GAO-14-704G, Standards for Internal Control in the Federal Government, (September 2014),
https://www.gao.gov/greenbook.

4


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Compendium Data Sources

Many of the recommendations collated in this report, but not all, are identified in OIG Report
No. EPA-350-R-22-002, Semiannual Report to Congress: April 1, 2022-September 30, 2022, issued
November 2022. Four of the open recommendations in this report were identified among the 15 for
which the OIG previously certified completion of corrective actions, despite not having completed the
agreed-upon corrective actions, as detailed in OIG Report No. 22-N-0061, The EPA Failed to Complete
Corrective Actions as Certified to Address OIG Recommendations, issued September 30, 2022. The six
unresolved recommendations in this report are identified in OIG Report No. 23-P-0003, The EPA Met
2018 Water Security Requirements but Needs to Improve Oversight to Support Water System
Compliance, issued November 21, 2022, and in OIG Report No. 22-E-0049. The Coronavirus Pandemic
Caused Schedule Delays, Human Health Impacts, and Limited Oversight at Superfund National Priorities
List Sites, issued June 23, 2022. We have also included information from four OIG "lessons learned"
reports related to the IIJA that were issued from August through November 2022.

5


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Section 1. Open and Unresolved Recommendations by Responsible
Program Office or Region

We analyzed the 19 open and six unresolved recommendations as of December 1, 2022, by the region
and program office responsible for completing the associated corrective actions. We made the
recommendations across eight reports to three offices and one region, as illustrated in Figure 2.
Appendix A details the reports and associated open recommendations for each program office or region
in descending order. Section 2 discusses the unresolved recommendations, which were issued in
one report.

Figure 2: Open and Unresolved recommendations by responsible program office or region

Unresolved Recommendations
¦ Open Recommendations

Office of Water	Office of Enforcement and Office of Land and	Region 9

Compliance Assurance Emergency Management

Source: OIG analysis of open and unresolved recommendations in OIG Report No. EPA-350-R-22-002. Semiannual
Report to Congress: April 1, 2022-September 30, 2022. (EPA OIG image)

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Section 2. Unresolved Recommendations

We identified six recommendations affecting an IIJA-funded program office that remained unresolved as
of December 1, 2022, meaning the Agency disagreed with the OIG; had not provided a formal, complete,
written response; or had proposed corrective actions that the OIG did not consider responsive to the
recommendation. Because of when they were issued, none of these unresolved recommendations were
reported as such in OIG Report No. EPA-350-R-22-002, Semiannual Report to Congress: April 1, 2022-
September 30, 2022. The status of the two unresolved recommendations issued to the Office of Land and
Emergency Management in OIG Report No. 22-E-0049, The Coronavirus Pandemic Caused Schedule
Delays, Human Health Impacts, and Limited Oversight at Superfund National Priorities List Sites, should
be included in the next iteration of the semiannual report and are therefore not detailed below. The
status of the other four unresolved recommendations, which were issued to the Office of Water, are
detailed below.

The EPA Met 2018 Water Security Requirements but Needs to Improve Oversight
to Support Water System Compliance

Report No. 23-P-0003. issued November 21, 2022

IIJA-Funded Program: Community water and wastewater infrastructure

The EPA did not provide adequate oversight to ensure the compliance of water systems—particularly
small water systems—with requirements of the America's Water Infrastructure Act, a comprehensive
revision to the Safe Drinking Water Act. These systems may, therefore, fail to meet the Act's
requirements and may be vulnerable to malevolent acts that could result in loss of service or unsafe
drinking water. About 19 percent of water systems, which serve some 40 million people, were not
certified as completing, by the statutory deadlines, the required assessment of risks to the water system
from malevolent acts and natural hazards. Additionally, in response to an increase in the frequency of
cyberattacks, the EPA updated its malevolent acts baseline information in February 2021 after first
issuing it in August 2019, which was deadline imposed by the America's Water Infrastructure Act.
However, the statutory deadlines for medium and large water systems to complete their risk and
resilience assessments had passed and the systems were not required to update their assessments.

Unresolved recommendations

1.

In consultation with the assistant administrator for Enforcement and Compliance Assurance, as appropriate,
update and implement a plan for supporting community water systems so that all water systems comply with
all certification requirements included in section 2013 of the America's Water Infrastructure Act for past and
future deadlines related to risk and resilience assessments and emergency response plans.

Responsible office: Office of Water

Management challenge: Protecting information technology and systems against cyberthreats and
Managing infrastructure funding and business operations.

~

In consultation with the assistant administrator for Enforcement and Compliance Assurance, as appropriate,
update the processes related to the EPA's implementation of section 2013 of the America's Water
Infrastructure Act, including processes to monitor community water system compliance with section 2013
and record noncompliance and contact information in the EPA's Safe Drinking Water Information System
database. These processes should be documented in the EPA's Water Supply Guidance Manual.

Responsible office: Office of Water

Management challenge: Protecting information technology and systems against cyberthreats and
Managing infrastructure funding and business operations.

~3~

In consultation with the assistant administrator for Enforcement and Compliance Assurance, as appropriate,
review a sample of risk and resilience assessments and emergency response plans completed by
community water systems under section 2013 of the America's Water Infrastructure Act to determine

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Unresolved recommendations

improvements, particularly in cybersecurity, that can be made as the water systems complete the Act's
ongoing certification requirements.

Responsible office: Office of Water

Management challenge: Protecting information technology and systems against cyberthreats and
Managing infrastructure funding and business operations.

4. In consultation with the assistant administrator for Enforcement and Compliance Assurance, as appropriate,
develop formal guidance for community water systems that clearly describes the America's Water
Infrastructure Act section 2013 requirements, including certification deadlines, enforcement steps, and the
improvements identified as a result of Recommendation 3. Incorporate this guidance into the EPA's Water
Supply Guidance Manual.

Responsible office: Office of Water

Management challenge: Protecting information technology and systems against cyberthreats and
Managing infrastructure funding and business operations.

Resolution progress

The Office of Water provided a response on September 22, 2022, that communicated its disagreement with the
findings and recommendations. Actions the Agency outlined in its response meet the intent of
Recommendations 1 and 2 and partially meet the intent of our Recommendations 3 and 4. We asked the Agency
to review our final report, provide anticipated completion dates for corrective actions related to
Recommendations 1 and 2, and develop fully responsive corrective action plans with anticipated completion
dates for Recommendations 3 and 4. The Agency did not provide a formal response by January 20, 2023, which
was the 60-day deadline for a response in accordance with EPA Manual 2750, Audit Management Procedures.
In a memo that the OIG received on February 16, 2023, the EPA proposed corrective actions and completion
dates for Recommendations 1 and 4 and proposed that its actions were already addressing Recommendations 2
and 3, but those proposals were not yet resolved with the OIG.

Potential impact

If water systems do not complete risk and resilience assessments or emergency response plans, they are more
vulnerable to cyberattacks and other malevolent acts. The 19 percent of water systems that did not certify
completion of these assessments and plans serve 40 million people.

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Section 3. Open and Unresolved Recommendations by Internal
Control Category

The Federal Managers' Financial Integrity Act, 31 U.S.C. § 3512(d), requires agencies to establish internal
controls that are consistent with standards issued by the comptroller general. The Government
Accountability Office's Green Book provides the overall framework for establishing and maintaining an
effective internal control system. Internal controls cover all aspects of an entity's objectives. We
analyzed the 25 open and unresolved recommendations covered in this report, categorizing them
according to which of the following main categories of objectives they addressed:

•	Operations. These relate to program operations that achieve an entity's mission and their ability
to produce the intended results in a manner that minimizes the waste of resources.

•	Reporting. These relate to the gathering and communication of information for use by the
Agency, its stakeholders, or other external parties.

•	Compliance. These relate to adherence to laws and regulations that prescribe the Agency's
objectives, structure, methods to achieve objectives, and reporting of performance toward
achieving objectives.

We categorized each open and unresolved recommendation by internal control objective category, as
detailed in Appendix B. along with the reports in which the recommendations were issued. Figure 3
shows how the 25 open and unresolved recommendations, issued across eight reports, were broken
down by objective category.

Figure 3: Open and unresolved recommendations by internal control objective

2

¦ Open Recommendations
Unresolved Recommendations

Operations	Reporting	Compliance

Source: OIG analysis of open and unresolved recommendations. (EPA OIG image)

9


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Section 4. Recommendations Taking One Year or More to Implement

Of the 19 open recommendations covered in this report, 14 remained open after one year or corrective
actions were not scheduled to be implemented within one year after issuance of the associated report.
Corrective actions for at least one recommendation were not expected to be completed until more than
18 years after the associated report was issued, and several were not planned to be implemented until
several years into the five-year period during which IIJA funds are to be obligated.

Prompt implementation of corrective actions is necessary to ensure that associated monetary and
environmental benefits are realized. Delayed implementation leaves the Agency's programs receiving
IIJA funds more vulnerable to fraud, waste, abuse, or mismanagement. The Agency also risks not
meeting its goals in the most effective and efficient manner when implementation is delayed.

Office of Management and Budget Circular A-50 requires each executive agency to establish an audit
follow-up system. It states that "agencies shall assign a high priority to resolving and implementing
corrective actions for audit recommendations." It also states that "corrective actions should proceed as
rapidly as possible." It does not, however, establish a time frame. EPA Manual 2750, Audit Management
Procedures, implements the audit follow-up requirements of Office of Management and Budget Circular
A-50, requiring the EPA to resolve OIG findings and recommendations timely, efficiently, and effectively,
so as to implement corrective actions with the greatest possible impact and potency.

It is the Agency's responsibility to implement agreed-upon recommendations. EPA Manual 2750 states
that recommendations are considered overdue if the Agency has not completed corrective actions
agreed upon with the OIG within one year of their estimated completion dates. The OIG prefers that
responsible offices complete corrective actions within one year; however, we recognize the Agency's
assertion that more complex corrective actions may take longer.

In that vein, funds, including supplemental appropriations, available to the EPA are at a greater risk of
fraud, waste, abuse, or mismanagement because corrective actions are not in place, and the Agency
estimates some will not be in place for four years or more. For example, we recommended in 2008 that
the EPA reclassify or transfer more than $27 million of the Stringfellow Superfund special accounts to
the Superfund Trust Fund, which would make those funds available for use in Region 9 or elsewhere. In
FYs 2022 through 2026, the EPA is expected to receive an added $3.5 billion for Superfund remedial
cleanups. But corrective actions responsive to our 2008 recommendation are not expected to be
implemented until the end of FY 2026, the final year of IIJA appropriations and 18 years after we made
the recommendation.

In another example, in a 2017 report, we recommended that the Office of Land and Emergency
Management develop a policy to reduce the balances of available program income of Brownfields
Revolving Loan Funds being held by recipients, and that this policy include a time frame for the
recipients to reloan or use the funds for additional remediation or to return the money to the Agency
for use elsewhere. The EPA will receive $1.5 billion for Brownfields activities under the IIJA, but the
Agency does not plan to have a policy in place to address our 2017 recommendation until 12 months
after the final fiscal year of IIJA appropriations—ten years after the recommendation was made.

Appendix C details the 13 recommendations issued across five reports that remain open after one year
or are not scheduled to be implemented within one year after issuance of the associated report.

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Section 5. Lessons Learned Reports

In FY 2022, in keeping with our Infrastructure Investment and Jobs Act Oversight Plan, we focused on
helping the EPA plan for the significant increase in IIJA funding by issuing three "lessons learned"
reports. These reports sought to aid the Agency in avoiding historical pitfalls while it implements its
responsibilities under the IIJA. We issued a fourth such report in the first quarter of FY 2023. These four
reports are detailed below.

Lessons Identified from Prior Oversight of the EPA's Geographic and National
Estuary Programs

Report No. 22-E-0054. issued August 8, 2022

IIJA-Funded Program: Environmental Programs and Management

We identified the following seven programmatic themes across 49 prior oversight reports related to the
EPA's programs designed to protect regional waters: measurement of progress, communication, grant
management, strategic planning, leadership, program execution, and resources. We detailed specific
lessons under each theme for the EPA to consider as it expands its efforts to protect regional waters
using IIJA funding. We did not issue any recommendations in this report.

Considerations for the EPA's Implementation of Grants Awarded Pursuant to the
Infrastructure Investment and Jobs Act

Report No. 22-N-0055. issued August 11, 2022
IIJA-Funded Program: State and Tribal Assistance Grants

We identified three broad areas for improvement in the EPA's administration and oversight of grants:
enhancing the grants oversight workforce and strengthening monitoring and reporting; establishing and
implementing comprehensive guidance and detailed work plans, as well as improving communications;
and requiring adequate documentation to support grant payments. The Agency should consider
addressing weaknesses in these areas to mitigate risks and reduce the likelihood of fraud, waste, and
abuse as it administers and oversees more than $55 billion of IIJA funds slated for state and tribal grants.
We did not issue any recommendations in this report.

Considerations from Single Audit Reports for the EPA's Administration of
Infrastructure Investment and Jobs Act Funds

Report No. 22-N-0057. issued September 14, 2022

IIJA-Funded Programs: Clean Water State Revolving Funds and Drinking Water State Revolving Funds

Our review of single audits conducted from FYs 2019 through 2021 analyzed findings of noncompliance
with federal grant award requirements within nine EPA programs that the IIJA appropriates funding to.
Instances of noncompliance occurred most frequently in these seven areas: procurement and
suspension and debarment, reporting, allowable costs/cost principles, cash management, activities
allowable or unallowable, special tests and provisions, and subrecipient monitoring. Most instances of
noncompliance were associated with the Clean Water State Revolving Fund program and the Drinking
Water State Revolving Fund program. As the EPA prepares to award IIJA funds to its external, nonfederal
partners, the Agency should consider how it can address or prevent future instances of noncompliance
in light of these findings. We did not issue any recommendations in this report.

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American Recovery and Reinvestment Act Findings for Consideration in the
Implementation of the Infrastructure Investment and Jobs Act

Report No. 23-N-0004. issued December 7, 2022

IIJA-Funded Programs: Clean Water State Revolving Funds and Drinking Water State Revolving Funds

Through our analysis of 28 ARRA reports, we developed three lessons that the EPA should consider. The
EPA should aim to avoid similar challenges as it fulfills its responsibilities under the IIJA to help mitigate
risks and reduce the likelihood of fraud, waste, and abuse of IIJA funds. The three lessons are to:

•	Ensure that federal requirements are met.

•	Provide clear and comprehensive guidance.

•	Improve project management, monitoring, and data verification.

We did not issue any recommendations in this report.

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Appendix A

Open Recommendations by Responsible
Program Office or Region



Reports with open recommendation

Number of open
recommendations

Responsible office

Report No.

Report title

Office of Land and
Emergency Management

22-P-0033

Brownfields Program-Income Monitoring Deficiencies Persist Because the
EPA Did Not Complete All Certified Corrective Actions

5



21-P-0114

EPA Does Not Consistently Monitor Hazardous Waste Units Closed with
Waste in Place or Track and Report on Facilities That Fall Under the Two
Responsible Programs

3



17-P-0368

Improved Management of the Brownfields Revolving Loan Fund Program
Is Required to Maximize Cleanups

4

Subtotal

12

Office of Water

21-E-0264

EPA Needs an Agencywide Strategic Action Plan to Address Harmful
Algal Blooms

3



21-P-0130

EPA Helps States Reduce Trash, Including Plastic, in U.S. Waterways but
Needs to Identify Obstacles and Develop Strategies for Further Progress

2

Subtotal

5

Office of Enforcement and
Compliance Assurance

21-P-0114

EPA Does Not Consistently Monitor Hazardous Waste Units Closed with
Waste in Place or Track and Report on Facilities That Fall Under the Two
Responsible Programs

1

Subtotal

1

Region 9

08-P-0196

Making Better Use of Stringfellow Superfund Special Accounts

1

Subtotal

1

Total

19

Source: OIG Report No. EPA-350-R-22-002, Semiannual Report to Congress: April 1, 2022-September 30, 2022.
(EPA OIG table)

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Appendix B

Open and Unresolved Recommendations
by Internal Control Objective Category

Report details	Number of

Internal control	open or unresolved

objective Report No. Report title Action office recommendations*	Potential impact

Operations:
Improving
effectiveness and
efficiency

08-P-0196

Making Better Use of
Stringfellow
Superfund Special
Accounts

Region 9

1

The EPA stated that when the record of
decision is made and the final settlement
is signed for the Stringfellow Superfund
site near Glen Avon, California, at the
time expected in FY 2010, the Agency
could reclassify or transfer to the
Superfund Trust Fund some
$27.8 million excess funds, plus interest,
from the special account. Completion of
corrective actions on this open
recommendation could make excess
Stringfellow funds available for better
use in Region 9 or elsewhere.



17-P-0368

Improved

Management of the
Brownfields
Revolving Loan Fund
Program Is Required
to Maximize
Cleanups

Office of
Land and
Emergency
Management

2

For ten of the 20 closed Brownfields
Revolving Loan Fund cooperative
agreements reviewed, $10.9 million
available to clean up Brownfields was
not being used as intended. Completion
of corrective actions for these two
recommendations would help ensure
that, after cooperative agreement
closeout, program income is reloaned,
spent, or returned to the EPA.



21-P-0114

EPA Does Not
Consistently Monitor
Hazardous Waste
Units Closed with
Waste in Place or
Track and Report on
Facilities That Fall
Under the Two
Responsible
Programs

Office of
Land and
Emergency
Management

3

EPA oversight of hazardous waste
treatment, storage, or disposal facilities
that are referred to the Superfund
program then deferred back to the
Resource Conservation and Recovery
Act program is incomplete, and EPA
oversight of facilities managed by both
programs was ineffective. This resulted
in inaccurate data about accomplishment
milestones used to communicate site
status to the public and potentially misled
or confused communities near these
sites. Completion of corrective actions
for these three recommendations would
help improve oversight of these facilities
and the Agency's communication to the
public about their status.

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21-P-0130

EPA Helps States
Reduce Trash,
Including Plastic, in
U.S. Waterways but
Needs to Identify
Obstacles and
Develop Strategies
for Further Progress

Office of
Water

1

The EPA and states can reduce the
volume of trash, including plastics, in
U.S. waterways by evaluating barriers to
implementing the Clean Water Act and
developing strategies to overcome them.
Completion of corrective actions for this
recommendation would help ensure
states receive strategic guidance for
activities such as developing narrative
water quality criteria, consistent
assessment and measurement
methodologies, and total maximum daily
loads for trash pollution.



21-E-0264

EPA Needs an
Agencywide
Strategic Action Plan
to Address Harmful
Algal Blooms

Office of
Water

3

The EPA does not have an agencywide
strategy for addressing harmful algal
blooms, despite Congress appointing the
EPA administrator as the leader for
federal actions focused on reducing,
mitigating, and controlling freshwater
harmful algal blooms. Completion of
corrective actions for these three
recommendations would help ensure the
Agency develops an agencywide
strategic action plan and a plan for
developing related water-quality criteria
recommendations under the Clean
Water Act and determines whether
actions are warranted under the Safe
Drinking Water Act.



22-E-0049

The Coronavirus
Pandemic Caused
Schedule Delays,
Human Health
Impacts, and Limited
Oversight at
Superfund National
Priorities List Sites

Office of
Land and
Emergency
Management

2 (U)

Restrictions related to the Coronavirus
pandemic—that is, the SARS-CoV-2
virus and resultant COVID-19 disease-
resulted in work delays and limited
on-site oversight of Superfund National
Priorities List Sites, disproportionately
affecting some communities. Completion
of corrective actions for these two
recommendations would help ensure the
Agency conducts outreach meetings in
communities where meetings did not
occur during the pandemic and
establishes guidance for conducting
oversight of Superfund sites when travel
or site access is limited.

Subtotal

12



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Internal control
objective

Report details
Report No. I Report title Action office

Number of
open or unresolved
recommendations*

Potential impact

Reporting: Gathering
and communicating
useful information

17-P-0368

Improved

Management of the
Brownfields
Revolving Loan Fund
Program Is Required
to Maximize
Cleanups

Office of
Land and
Emergency
Management

2

For ten of the 20 closed Brownfields
Revolving Loan Fund cooperative
agreements reviewed, $10.9 million
available to clean up Brownfields was
not being used as intended. Completion
of corrective actions for these two
recommendations would help ensure the
responsible office has vital information
about Brownfields activities by better
monitoring closed cooperative
agreements and program income, as
well as compliance with reporting
requirements.



21-P-0130

EPA Helps States
Reduce Trash,
Including Plastic, in
U.S. Waterways but
Needs to Identify
Obstacles and
Develop Strategies
for Further Progress

Office of
Water

1

The EPA and states can reduce the
volume of trash, including plastics, in
U.S. waterways by evaluating barriers to
implementing the Clean Water Act and
developing strategies to overcome them.
Completion of corrective actions for this
open recommendation would provide the
states and the public with information
about these obstacles and contribute to
development of strategies to surmount
them.



22-P-0033

Brownfields
Program-Income
Monitoring
Deficiencies Persist
Because the EPA
Did Not Complete All
Certified Corrective
Actions

Office of
Land and
Emergency
Management

3

The Office of Brownfields and Land
Revitalization did not complete corrective
actions for all six recommendations in
OIG Report No. 17-P-0368, and thus it
lacks current and accurate information
needed to determine whether some
$46.6 million in program income under
closed Brownfields Revolving Loan Fund
cooperative agreements was used timely
and for the purposes authorized.
Completion of corrective actions for
these three recommendations would
help ensure the availability of timely and
accurate information about program
income and activities.

Subtotal

6



Compliance:
Adherence to laws
and regulations

21 -P-0114

EPA Does Not
Consistently Monitor
Hazardous Waste
Units Closed with
Waste in Place or
Track and Report on
Facilities That Fall
Under the Two
Responsible
Programs

Office of

Enforcement

and

Compliance
Assurance

1

Completion of corrective actions for this
open recommendation would help
ensure inspection frequency meets the
applicable statutory requirements or
policy for treatment, storage, or disposal
facilities with Resource Conservation
and Recovery Act-permitted land-
disposal units closed with waste in place.
This, in turn, would help timely identify
potential contamination and contribute to
protection of human health and the
environment.

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Internal control
objective

Report details

Action office

Number of

Potential impact

Report No.

Report title

open or unresolved
recommendations*



22-P-0033

Brownfields
Program-Income
Monitoring
Deficiencies Persist
Because the EPA
Did Not Complete All
Certified Corrective
Actions

Office of
Land and
Emergency
Management

2

The Office of Brownfields and Land
Revitalization did not complete corrective
actions for all six recommendations in
OIG Report No. 17-P-0368, and thus, it
lacks current and accurate information
needed to determine whether some
$46.6 million in program income under
closed Brownfields Revolving Loan Fund
cooperative agreements was used timely
and for the purposes authorized.
Completion of corrective actions for
these two recommendations would help
to ensure program income balances are
used or returned to the EPA.



23-P-0003

The EPA Met 2018
Water Security
Requirements but
Needs to Improve
Oversight to Support
Water System
Compliance

Office of
Water

4 (U)

The EPA did not provide adequate
oversight to ensure the compliance of
water systems—particularly small water
systems—with America's Water
Infrastructure Act requirements. Water
systems may, therefore, fail to meet
America's Water Infrastructure Act
requirements and may not understand
their vulnerability to malevolent acts.
Completion of corrective actions for
these four unresolved recommendations
would help ensure water systems comply
with America's Water Infrastructure Act
requirements and would improve risk
and resilience assessments and
emergency response plans as part of the
Act's ongoing certification process.

Subtotal

7



Total

25

Note: "U" denotes an unresolved recommendation.

Source: OIG Report No. EPA-350-R-22-002. Semiannual Report to Congress: April 1, 2022-September 30, 2022.
(EPA OIG table)

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Appendix C

Recommendations Taking One Year
or More to Implement

Making Better Use of Stringfellow Superfund Special Accounts

Report No. 08-P-0196. issued July 9, 2008
IIJA-Funded Program: Superfund

EPA Region 9 anticipated that by FY 2010 it could reclassify or transfer to the Superfund Trust Fund up to
$47.8 million in special account funds for the Stringfellow Superfund site located near Glen Avon,
California. In response to our draft report, the region agreed to reclassify $20 million of that amount by
the end of FY 2008 and stated that it would review the remaining $27.8 million annually and when it
achieved a record of decision and settlement for the remaining site work in FY 2010. The Agency does
not plan to implement Recommendation 2 until the end of FY 2026.

Recommendations open one year or more after report issuance

2. Reclassify or transfer to the Trust Fund, as appropriate, $27.8 million (plus any earned interest less oversight
costs) of the Stringfellow special accounts in annual reviews, and at other milestones including the end of
Fiscal Year 2010, when the record of decision is signed and the final settlement is achieved.

Responsible office: Region 9

Initial planned completion: December 31, 2012, estimated at report issuance

Revised planned completion dates: September 30, 2023, and September 30, 2026 (more than 18 years after
issuance)

Potential impact

An 18-year delay in reclassifying funds indicates Region 9 has encountered serious issues in managing the Trust
Fund, which could indicate additional concerns in managing increased funds under the IIJA.

improved Management of the Brownfieids Revolving Loan Fund Program is
Required to Maximize Cleanups

Report No. 17-P-0368. issued August 23, 2017
IIJA-Funded Program: Brownfieids activities

About $10.9 million available to clean up Brownfieids is not being used as intended. Contaminated
brownfield properties are not being cleaned up and redeveloped for ten of the 20 closed Brownfieids
Revolving Loan Fund cooperative agreements reviewed. The recipients of the cooperative agreements
have not reloaned or spent program income collected after the closeout agreement was signed.
Confusion across EPA regions and Brownfieids Revolving Loan Fund recipients resulted in various
inconsistencies that could potentially affect the long-term sustainability of the Brownfieids Revolving
Loan Fund program. The estimated completion dates for Recommendations 1 and 16 will provide no
controls until the end of FY 2027.

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Recommendations open for one year or more after report issuance

8. Develop and implement required training for all regional Brownfields Revolving Loan Fund staff. Have the
training include all program policy and guidance relating to maintaining a Brownfields Revolving Loan Fund
after the cooperative agreement is closed if program income exists.

Responsible office: Office of Land and Emergency Management

Initial planned completion: September 30, 2018, estimated at report issuance

Revised planned completion date: March 31, 2023

14. Develop and implement a method for the Office of Brownfields and Land Revitalization to track closed
cooperative agreements with pre- and post-program income.

Responsible office: Office of Land and Emergency Management

Initial planned completion: September 30, 2018, estimated at report issuance

Revised planned completion date: December 31, 2023

16. Create a method for the Office of Brownfields and Land Revitalization, and EPA regional managers, to track
compliance with reporting requirements for closed cooperative agreements.

Responsible office: Office of Land and Emergency Management
Initial planned completion: June 30, 2018, estimated at report issuance
Revised planned completion date: September 30, 2027

Potential impact

The inability to establish policies and methods, that is, internal controls, over the Brownfields program increases
program risk.

EPA Does Not Consistently Monitor Hazardous Waste Units Closed with Waste in
Place or Track and Report on Facilities That Fall Under the Two
Responsible Programs

Report No. 21-P-0114. issued March 29, 2021
IIJA-Funded Program: Superfund

Almost half (339 of 687, or 49.3 percent) of treatment, storage, or disposal facilities with Resource
Conservation and Recovery Act, or RCRA, units closed with waste in place were not inspected at the
frequency set by EPA policy. EPA regional oversight of treatment, storage, or disposal facility inspections
by authorized states is also inconsistent. EPA oversight of RCRA units referred to the Superfund program
and those deferred back to the RCRA program is incomplete, and lacking procedures made it uncertain
whether either program is appropriately managing RCRA units. Recommendation 2 controls will not be
available in the next 12 months.

Recommendations open one year or more after report issuance

2. In collaboration with the Office of Land and Emergency Management, establish mechanisms to ensure that all
inspections are completed within the required time frame of two years for operating treatment, storage, or
disposal facilities or the policy time frame of three years for nonoperating treatment, storage, or disposal
facilities.

Responsible office: Office of Enforcement and Compliance Assurance
Initial planned completion: Not applicable
Revised planned completion date: March 29, 2024

4. Develop and implement controls to verify that the Superfund program deferrals to the Resource Conservation
and Recovery Act are added to RCRAInfo for further Resource Conservation and Recovery Act attention, as
necessary.

Responsible office: Office of Land and Emergency Management

Initial planned completion date: September 30, 2023, estimated at report issuance

Revised planned completion date: Not applicable

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Recommendations open one year or more after report issuance

5.	Develop and maintain a crosswalk of Superfund Enterprise Management System and corresponding RCRAInfo
identification numbers.

Responsible office: Office of Land and Emergency Management
Initial planned completion date: Not applicable
Revised planned completion date: December 31, 2022

6.	Develop and implement controls to identify and eliminate overlap of environmental indicators between
Resource Conservation and Recovery Act Corrective Action and Superfund Programs and include this
information in public queries, such as Cleanups in My Community.

Responsible office: Office of Land and Emergency Management
Initial planned completion date: June 30, 2022
Revised planned completion date: March 31, 2023

Potential impact

Not completing inspections at treatment, storage, or disposal facilities at a frequency compliant with applicable
statutory requirements, as well as other shortcomings with Agency oversight and communication with the public,
indicates a lack of adequate internal control to effectively administer Superfund and RCRA programs to meet
requirements under historic appropriation levels, suggesting increased funding and added requirements could put
Agency programs at further risk.

EPA Helps States Reduce Trash, Including Plastic, in U.S. Waterways but Needs
to Identify Obstacles and Develop Strategies for Further Progress

Report No. 21-P-0130. issued May 11, 2021
IIJA-Funded Program: Clean Water State Revolving Funds

The EPA and states have not widely applied all the tools established by the Clean Water Act to reduce
the trash, including plastic, in U.S. waterways. Trash pollution in water bodies is challenging to control
because it is made up of many substances and is both a point- and nonpoint source pollutant and the
EPA has not established consistent methods for measuring it. The EPA can further improve its efforts by
evaluating the regulatory and nonregulatory obstacles facing states and municipalities implementing the
Clean Water Act and by continuing its support of trash-reduction initiatives.

Recommendations open one year or more after report issuance

1.	Evaluate the obstacles to implementing the Clean Water Act to control trash in U.S. waterways and provide a
public report describing those obstacles.

Responsible office: Office of Water

Initial planned completion: December 31, 2021, estimated at report issuance
Revised planned completion date: February 28, 2023

2.	Develop and disseminate strategies to states and municipalities for addressing the obstacles identified in the
evaluation from Recommendation 1. These strategies may include guidance regarding how to develop
narrative water quality criteria, consistent assessment and measurement methodologies, and total maximum
daily loads for trash pollution.

Responsible office: Office of Water

Initial planned completion: April 30, 2023, estimated at report issuance
Revised planned completion date: Not applicable

Potential impact

By not evaluating the obstacles that states and municipalities face and providing them with strategies to overcome
those obstacles, the EPA risks progress toward improving implementation of the Clean Water Act being hampered.
The IIJA is providing the EPA some $375 million in added funding for activities related to solid waste management,
recycling infrastructure, battery recycling guidance, and other recycling-related outreach to states and
municipalities. These activities may also be hampered if the Agency does not similarly identify and address the
barriers that state and local governments face.

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EPA Needs an Agencywide Strategic Action Plan to Address Harmful
Algal Blooms

Report No. 21-E-0264. issued September 29, 2021
IIJA-Funded Program: Drinking Water State Revolving Funds

The EPA does not have an agencywide strategy for addressing harmful algal blooms, despite Congress
appointing the EPA administrator as the leader for federal actions focused on reducing, mitigating, and
controlling freshwater harmful algal blooms. By creating an agencywide harmful algal bloom strategy,
the EPA can reduce harmful algal blooms and their impacts on human health and the environment using
the authorities and tools provided by the Clean Water and Safe Drinking Water Acts. Additionally, the
EPA has not fulfilled its 2015 commitment to Congress to develop additional drinking water health
advisories for cyanotoxins associated with some blooms as information becomes available. The EPA also
needs to take further action to develop revised nitrogen and phosphorus numeric water-quality criteria
recommendations for states to adopt to better control levels of these nutrients in water bodies.

Recommendations open one year or more after report issuance

1. Develop an agencywide strategic action plan, including milestones, to direct the EPA's efforts to maintain and
enhance a national program to forecast, monitor, and respond to freshwater harmful algal blooms. This plan
should incorporate strategies for: (a) identifying knowledge gaps; (b) closing identified knowledge gaps,
particularly related to health risks from exposure to cyanotoxins in drinking water and during recreational
activities; (c) monitoring and tracking harmful algal blooms; (d) enhancing the EPA's national leadership role in
addressing freshwater algal blooms; (e) coordinating EPA activities internally and with states; and (f) assessing
the health risks from exposure to cyanotoxins in drinking water and during recreational activities and
establishing additional criteria, standards, and advisories, as the scientific information allows.

Responsible office: Office of Water

Initial planned completion: January 31, 2023, estimated at report issuance
Revised planned completion date: Not applicable

3.	Mindful that the EPA has substantial work to complete before publishing final numeric water quality criteria
recommendations for nitrogen and phosphorus under the Clean Water Act for rivers and streams, establish a
plan, including milestones and identification of resource needs, for developing and publishing those criteria
recommendations.

Responsible office: Office of Water

Initial planned completion: April 30, 2023, estimated at report issuance
Revised planned completion date: Not applicable

4.	Assess and evaluate the available information on human health risks from exposure to cyanotoxins in drinking
water and recreational waters to determine whether actions under the Safe Drinking Water Act are warranted.
Responsible office: Office of Water

Initial planned completion: December 31, 2022, estimated at report issuance
Revised planned completion date: Not applicable

Potential impact

Without a strategic action plan that is useful for aiding resource and policy decisions and ensuring accountability,
the Agency's programs to reduce harmful algal blooms and their impacts on human health and the environment
may not be operating at maximum effectiveness. A strategic action plan, as well as additional health advisories for
cyanotoxins associated with some blooms and further action to develop revised nitrogen and phosphorus numeric
water-quality criteria recommendations for states to adopt, could benefit the Agency as it expects to receive at least
$60 million in additional funding related to hypoxia in the Gulf of Mexico and the Mississippi and Ohio Rivers.

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Appendix D

Distribution

The Administrator

Deputy Administrator

Assistant Deputy Administrator

Chief of Staff, Office of the Administrator

Deputy Chief of Staff, Office of the Administrator

Deputy Chief of Staff for Management, Office of the Administrator

Agency Follow-Up Official (the CFO)

Assistant Administrators

Regional Administrators

Principal Deputy Assistant Administrators

Deputy Assistant Administrators

Deputy Regional Administrators

Agency Follow-Up Coordinator

General Counsel

Associate Administrator for Congressional and Intergovernmental Relations
Associate Administrator for Public Affairs

Director, Office of Continuous Improvement, Office of the Chief Financial Officer
Director, Office of Regional Operations

Director, Office of Program Analysis, Regulatory, and Management Support, Office of Water
Associate Director, Office of Program Analysis, Regulatory, and Management Support, Office of Water
Audit Follow-Up Coordinators

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