Government Performance and Results Act: Information on Science Issues in
EPA's Performance Report for Fiscal Year 1999 and Performance Plans for
Fiscal Years 2000 and 2001 (Correspondence, 08/31/2000,
GAO/RCED-00-270R).

This correspondence focuses on the Environmental Protection Agency's
(EPA) Performance reports for fiscal years 1999, 2000, and 2001. Over
the years, GAO identified several weaknesses in EPA's science programs.
EPA partially addressed these weaknesses in its performance plan for
fiscal year 2001. EPA's draft strategic plan generally complies with the
Government Performance and Results Act, but GAO noted that several areas
of the plan could be improved.

--------------------------- Indexing Terms -----------------------------

 REPORTNUM:  RCED-00-270R
     TITLE:  Government Performance and Results Act: Information on
	     Science Issues in EPA's Performance Report for Fiscal
	     Year 1999 and Performance Plans for Fiscal Years 2000 and
	     2001
      DATE:  08/31/2000
   SUBJECT:  Environmental policies
	     Performance measures
	     Reporting requirements
	     Agency missions
	     Strategic planning
	     Mission budgeting
IDENTIFIER:  Government Performance and Results Act
	     GPRA

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GAO/RCED-00-270R

EPA Science Issues United States General Accounting
Office

Washington, DC 20548 Resources, Community, and

Economic Development Division

B- 286079 August 31, 2000 The Honorable F. James Sensenbrenner, Jr.
Chairman, Committee on Science House of Representatives

Subject: Government Performance and Results Act: Information on Science
Issues in EPA's Performance Report for Fiscal Year 1999 and Performance
Plans for Fiscal Years 2000 and 2001

Under the Government Performance and Results Act (GPRA) of 1993, the
Environmental Protection Agency (EPA) published a 5- year strategic plan in
1997. The plan established 10 strategic goals to serve as a framework for
EPA's planning and resource allocation decisions. Since fiscal year 1999,
EPA has also issued annual performance plans that set annual performance
goals to provide a direct link between the agency's strategic goals and its
day- to- day activities. EPA issued its performance plan for fiscal year
2001 in February 2000. GPRA further requires annual performance reports on
the degree to which annual goals were met. In March 2000, EPA issued its
first performance report, which described the progress the agency made in
achieving its fiscal year 1999 goals. EPA's revised strategic plan for
fiscal years 2000- 2005 is due September 29, 2000, and the agency has made a
June 2000 draft for the revised plan available to the Congress and other
interested parties for comment and consultation.

To facilitate your review and oversight of EPA's science programs, you asked
us to review selected science programs and provide you with information on
(1) whether EPA links science issues in its performance report for fiscal
year 1999 with performance plans for fiscal years 2000 and 2001 and whether
the agency's funding request for fiscal year 2001 is linked to specific
science activities in its performance plan for that year, (2) whether EPA's
performance plan for fiscal year 2001 addresses weaknesses in the agency's
science program that we previously identified, and (3) the extent to which
EPA's draft strategic plan for fiscal years 2000- 2005 complies with GPRA's
requirements. To address our objectives, we focused on EPA's sound science,
climate change, and waste management programs that have major science
components.

B- 286079

GAO/ RCED- 00- 270R EPA Science Issues 2

Science Activities Are Generally Linked in EPA's Performance Report, Plans,
and Budget Request

EPA generally links the science activities in its performance report for
fiscal year 1999, performance plans for fiscal years 2000 and 2001, and
budget request for fiscal year 2001. In each of these documents, EPA
explains the purpose of its research and how it expects the results to
contribute to its strategic objectives. Where appropriate, EPA also links
its science goals across fiscal years. For example, in fiscal year 1999, EPA
finished the first stage of an ecological monitoring system for the Mid-
Atlantic Region that it planned to eventually expand to other regions. EPA's
performance plan for fiscal year 2000 contains a goal to report on the
monitoring findings in the Mid- Atlantic Region and the costeffectiveness of
the monitoring system. EPA's follow- on goal shown in the performance plan
for fiscal year 2001 is to expand the scope of this research to establish
baseline data for estuaries nationwide. According to EPA, these data will
allow the agency to evaluate the effects of environmental management
policies on a national and regional basis. (Enc. I lists EPA's performance
goals for science for fiscal years 1999 through 2001.)

EPA's performance plan for fiscal year 2001 is generally linked to its
science activities in its budget justification for that year. As result of
EPA's decision to combine the performance plan with its budget
justification, the agency now shows how much it is requesting for each
strategic science objective and the objective's supporting performance
goals. For each objective, EPA has included tables that detail some of the
requested amounts by key programs. For example, under the objective
“Increase Use of Integrated, Holistic, Partnership Approaches”
in the budget justification for fiscal year 2001, EPA indicates that the
$17.1 million requested for the objective is divided between two key
programs: the “Innovative Community Partnership Program” and the
“Regional Geographic Program.” However, EPA's budget request
does not always provide the total amounts requested for all activities under
each of its strategic objectives. For example, EPA requested $115 million
for its “Research for Ecosystem Assessment and Restoration”
strategic objective. However, the budget request identifies specific
activities for only about $52 million, or 45 percent, of the $115 million
requested. 1

EPA Partially Addresses Weaknesses That We Previously Identified

We have identified several weaknesses in EPA's science programs over the
years, including (1) the uneven implementation of peer review procedures for
EPA's scientific and technical products, (2) gaps in scientific data, and
(3) the lack of performance goals and measures that show the environmental
results of EPA's

1 See Environmental Protection Agency: Comparing Annual Budgets for Science
and Technology (GAO/ T- RCED- 00- 132, Mar. 23, 2000).

B- 286079

GAO/ RCED- 00- 270R EPA Science Issues 3 science activities. EPA partially
addresses these weaknesses in its performance

plan for fiscal year 2001. In 1996, we reported on the uneven implementation
of EPA's policy for peer reviews- the critical evaluations of scientific and
technical work products by independent experts. In addition, we reported on
the need for EPA to educate all staff about the merits of, and procedures
for, conducting peer reviews. 2 Although EPA's performance plan does not
include goals for improving peer reviews, the plan does discuss the actions
that were taken in response to our findings. For example, EPA issued a Peer
Review Handbook, which provides guidance on implementing peer reviews
agencywide. Nonetheless, the National Research Council of the American
Academy of Sciences and EPA's Science Advisory Board believe that further
improvements are needed to expand the scope of peer reviews and make them
more independent. 3 For example, these groups have said that project
managers for work products should no longer be allowed to lead peer reviews
of these products. However, EPA's performance plan for fiscal year 2001 does
not address this or other peer review issues.

In September 1999, we reported that EPA lacks fundamental environmental and
scientific data about pollutants and their effects on human health and the
environment. For example, EPA lacks toxicity data for more than one- third
of the chemicals produced in large volumes. 4 EPA established the Office of
Environmental Information in October 1999 to, among other things, fill
significant gaps in the agency's data. Although EPA has not established
performance goals or measures for environmental or scientific data
improvements, the agency's draft strategic plan for fiscal years 2000- 2005
includes a strategic goal for its information activities called
“Quality Environmental Information.” According to EPA, beginning
with fiscal year 2002, the agency's performance plan will contain specific
outcome- oriented goals and measures for its initiatives to improve the
quality of its information.

In an April 2000 review of EPA's performance plan for fiscal year 2000, we
found that no performance goals, and only one performance measure showing
changes in environmental conditions, had been established for EPA's research
and development activities. 5 Under this measure, a 30- percent cumulative
reduction in a variety of emissions, including toxic chemicals and volatile
organic compounds, was to result from the introduction of various
environmental strategies. Officials of EPA's Office of Research and
Development told us that its

2 See Peer Review: EPA's Implementation Remains Uneven( GAO/ RCED- 96- 236,
Sept. 24, 1996). 3 See Strengthening Science at the U. S. Environmental
Protection Agency: Research Management and Peer Review Practices, National
Research Council (draft report, 2000) and An SAB Report:

Review of the Peer Review Program of the Environmental Protection Agency(
EPA- SABRSAC- 00- 002, Nov. 1999). 4 See Environmental Information: EPA Is
Taking Steps to Improve Information Management, but Challenges Remain( GAO/
RCED- 99- 261, Sept. 17, 1999).

5 See Managing for Results: EPA Faces Challenges in Developing Results-
Oriented Performance Goals and Measures( GAO/ RCED- 00- 77, Apr. 28, 2000).

B- 286079

GAO/ RCED- 00- 270R EPA Science Issues 4 activities provide scientific and
engineering information, models, methods, and

tools. The officials further stated that specific changes in pollutant
levels generally cannot be tied to its activities in a quantifiable manner.
These officials also noted that the models, methods, and tools are inputs to
the development of environmental regulations and policies, and frequently
advance the state environmental science, thereby better enabling EPA to
achieve its environmental outcomes. While EPA officials state that it is
inherently difficult to link research activities to specific environmental
outcomes, other measures can be used to measure the results of these
activities. For example, EPA's Science Advisory Board has recommended that
goals for science activities should concentrate on outcomes- in terms of
improved understanding of the environment- rather than

outputs, such as data collected and reports issued. 6

EPA's Draft Strategic Plan Generally Complies With the Results Act, but
Several Areas Could Be Improved

EPA's June 2000 draft strategic plan for fiscal years 2000- 2005 generally
complies with the GPRA requirements that such plans include a mission
statement, longterm strategic goals, strategies for achieving the strategic
goals, linkage between long- term strategic goals and annual performance
goals, and a description of the program evaluations used in establishing or
revising performance goals. In addition, EPA's draft plan contains
information on the functions that crosscut those of other agencies, as
suggested by the Office of Management and Budget's (OMB) guidance. However,
EPA could improve several areas of its draft strategic plan for fiscal years
2000- 2005.

ï¿½ In the 1997 strategic plan, EPA elaborated on its mission statement with a
series of purpose statements. The statements were provided to clarify the
scope of EPA's mission. By including such purpose statements in the draft
strategic plan, EPA would focus the mission statement more directly on the
agency's core activities.

ï¿½ EPA's discussion of human capital requirements for meeting its strategic
objectives could be more comprehensive. Under its “Effective
Management” strategic goal, EPA states that managing human capital
will be a key priority. EPA notes that it will work hard to “secure,
develop, empower, and retain talented people” through such efforts as
workforce planning and training. The only other substantive discussion of
human capital requirements is under EPA's strategic goal for “Quality
Environmental Information.” EPA states that staff resources for
environmental information activities will be a critical factor affecting its
success under this goal. However, EPA does not discuss any means or
strategies for addressing this goal.

6 See An SAB Report: Review of the FY 2001 Presidential Science and
Technology Budget Request for the Environmental Protection Agency( EPA- SAB-
RSAC- 00- 007, Mar. 17, 2000).

B- 286079

GAO/ RCED- 00- 270R EPA Science Issues 5

ï¿½ Program evaluations are an essential element of performance management.
EPA's draft plan identifies previous or ongoing evaluations for each of its
strategic goals. However, EPA's discussion of future evaluations was limited
to its “Clean and Safe Water” strategic goal, for which it
listed three potential program evaluations. Providing additional details on
future evaluations of other strategic goals would bring the discussion more
in line with GPRA's requirements.

ï¿½ EPA's draft strategic plan could be made more informative if it provided
information on how EPA's goals complement or supplement those of other
agencies, such as the Departments of Health and Human Services, Agriculture,
and the Interior. EPA's 1997 strategic plan included a matrix that gave a
“bird's eye view” of the extent to which EPA's goals were
interrelated with those of other agencies. By including such information in
its draft plan, EPA would provide perspective on its contribution to federal
efforts to improve health and environmental conditions.

(Enc. II contains additional observations on the draft strategic plan.)

Agency Comments and Our Evaluation

We provided EPA with a draft of this report for review and comment. EPA
officials, including the Director of the Planning Staff, Office of Planning,
Analysis, and Accountability, informed us that they generally agreed with
the information presented in the draft report. However, the officials wanted
to emphasize two revisions that EPA is making to its draft strategic plan
for June 2000. First, they told us that EPA's final strategic plan will
include an expanded discussion of the agency's human capital activities and
will provide a matrix showing the extent to which its strategic goals are
interrelated with those of other agencies.

Second, concerning program evaluations, EPA officials said that the agency
has created the Office of Program Evaluation within EPA's Office of the
Inspector General and the Evaluation Support Division to support and
advocate agencywide evaluation activities. They also said that the agency
will revise its draft strategic plan to identify information on additional
ongoing program evaluations. However, EPA did not clarify how it intends to
meet GPRA's and OMB's requirements that it identify future program
evaluations for each strategic goal.

EPA officials said that they will not include statements of purpose in the
strategic plan as we suggested in our draft report because the statements
would duplicate other information. While we believe that providing
statements of purpose in a prominent, central place would be useful to the
reader, we recognize that such statements, which are not required by GPRA or
OMB, are at EPA's discretion.

B- 286079

GAO/ RCED- 00- 270R EPA Science Issues 6 The EPA officials also provided
technical clarifications, which were incorporated

into the report, as appropriate.

Scope and Methodology

To address our objectives, we focused on EPA's sound science, climate
change, and waste management programs that have major science components. We
reviewed GPRA and OMB's Circular A- 11, which provide criteria for strategic
plans, annual performance plans, and performance reports. We reviewed EPA's
performance report for fiscal year 1999, performance plans for fiscal years
2000 and 2001, and June 2000 draft strategic plan for 2000- 2005. We also
analyzed EPA's research strategy documents and reviewed our reports on EPA's
science programs and performance planning activities. We conducted our
review from July through August 2000 in accordance with generally accepted
government auditing standards.

---- As arranged with your office, unless you publicly announce its contents
earlier, we plan no further distribution of this report for 30 days from the
date of this report. At that time, we will send a copy to the Honorable
Carol M. Browner, Administrator, EPA, and will make copies available to
others on request. If you or your staff have any questions about this
report, please call me at (202) 512- 6111. Key contributors to this report
were Ed Kratzer, Ralph Running, Rosemary Torres- Lerma, and Bernice Dawson.

Sincerely yours, Peter F. Guerrero Director, Environmental

Protection Issues Enclosures - 2

Enclosure I

GAO/ RCED- 00- 270R EPA Science Issues

7

EPA's Science Performance Goals for Fiscal Years 1999 Through 2001

Strategic goal Performance plan for FY 1999 Performance report for FY 1999

a Performance plan for FY 2000 Performance plan for FY 2001

1 Identify and evaluate at least two plausible biological mechanisms by

which particulate matter causes death and disease in humans.

In fiscal year 1999, the Environmental Protection Agency

(EPA) identified and evaluated two plausible biological mechanisms by

which particulate matter causes death and disease in humans.

Provide new information on the atmospheric concentrations, human

exposure, and health effects of particulate matter, including

particulate matter (PM) 2.5, and incorporate it and other peer

reviewed research findings in the second External Review Draft of the

PM Air Quality Criteria Document for National Ambient Air Quality

Standards review. Provide new information on the

atmospheric concentrations of, human exposure to, health effects of,

and mechanisms of toxicity of particulate matter, and facilitate PM

National Ambient Air Quality Standards through Air Quality

Criteria Document development and consultation.

1 Complete health assessments for five air toxics to be indicated as

high priority by EPA and its regional offices.

In fiscal year 1999, the research program completed health

assessments for four high- priority air toxics- one short of the five

assessments that were planned. Provide methods to estimate human

exposure and health effects from high- priority urban air toxics and

complete health assessments for the highest- priority hazardous pollutants,

including fuel/ fuel additives. Provide new information and

methods to estimate human exposure to and health effects from

high- priority urban air toxics, and complete health assessments for the

highest- priority hazardous air pollutants, including fuel/ fuel

additives. 1 None

b Not applicable Develop tropospheric ozone

precursor measurement methods, emissions information to guide State

Implementation Plan's (SIP) development under the current

national ambient air quality standards (NAAQS) for ozone.

Develop tropospheric ozone precursor measurement methods,

emissions- based air quality models, observation- based modeling

methods, and source emissions information to guide SIPs'

development under the current NAAQS.

a EPA discussed only the goals that it identified as being the “vital
few” for congressional reporting purposes for its performance report
for fiscal

year 1999. However, to provide a complete picture, we have listed all of
EPA's performance goals for science in the table. b

“None” indicates that there is no related goal.

Enclosure I

GAO/ RCED- 00- 270R EPA Science Issues

8

Strategic goal Performance plan for FY 1999 Performance report for FY 1999

a Performance plan for FY 2000 Performance plan for FY 2001

1 Evaluate Models- 3/ Community Multi- Scale Air Quality against filed

data to demonstrate reliability in NAAQS for ozone.

Not applicable Provide new information on the atmospheric concentrations of,

human exposure to, and health and environmental effects of troposheric

ozone and incorporate it and other peer- reviewed research findings in

and External Review Draft of the Ozone Air Quality Criteria Document

for NAAQS review. Develop Air Quality Criteria

Documents for tropospheric ozone, nitrogen oxide, and sulfur dioxide

through planning, development, and consultation.

1 Complete preliminary evaluations of Models- 3/ Community Multi- Scale

Air Quality for PM to demonstrate reliability NAAQS attainment

planning for PM. Not applicable Develop PM measurements,

methods, emissions- based air quality models, and source emissions and

control information to guide development of SIPs under the

current PM NAAQS. Provide new information on

particulate matter source emissions, measurements, methods, and

emissions- based air quality models to guide development of SIPs under

the PM NAAQS. 1 Develop a preliminary urban scale

Models- 3/ Toxics Model for community- based human exposure

assessment for air toxics having known emissions and air chemistry.

Not applicable Develop (1) an air quality model incorporating air toxics, as
their air

chemistry and emissions become known and (2) source emissions and

control information for both mobile and stationary sources to guide cost

effective risk management options. Develop (1) and air quality model

incorporating air toxics, as their air chemistry and emissions become

known and (2) source emissions and control information for both mobile

and stationary sources to guide cost effective risk management.

2 EPA will develop critical dose response data for disinfectant by

products, waterborne pathogens, and arsenic for addressing key

uncertainties in the risk assessment of municipal water supplies.

In fiscal year 1999, EPA met its goal of developing dose- response

information on disinfectant byproducts, waterborne pathogens,

and arsenic for characterizing potential exposure risks from

consuming drinking water. Reduce uncertainties and improve

methods associated with the evaluation and control of risks posed

by exposure to disinfection by products in drinking water.

None

Enclosure I

GAO/ RCED- 00- 270R EPA Science Issues

9

Strategic goal Performance plan for FY 1999 Performance report for FY 1999

a Performance plan for FY 2000 Performance plan for FY 2001

2 None Not applicable

Reduce uncertainties and improve methods associated with the

evaluation and control of risks posed by exposure to microbial

contaminants in drinking water. Reduce uncertainties and improve

methods associated with the assessment and control of risks

posed by exposure to microbial contaminants in drinking water with a

focus on the emerging pathogens on the Contaminant Candidate List.

2 By 2003: Deliver support tools, such as watershed models,

enabling resource planners to select consistent, appropriate

watershed management solutions and alternative, less costly wet

weather flow control techniques. In fiscal year 1999, EPA continued

efforts to deliver support tools, such as watershed models, which enable

resource planners to select consistent and appropriate

watershed management solutions and alternatives as well as costly

wet- weather flow technologies. EPA is making progress toward this

goal in 2003, which it expects to reach.

Develop modeling, monitoring, and risk management methods that

enable planners and regulatory officials to more accurately

characterize receiving and recreational water quality and to

select appropriate control technologies.

None 2 EPA will provide data and

information for use by states and regions in assessing and managing

aquatic stressors in the watershed to reduce toxic loadings and

improve ecological risk assessment.

In fiscal year 1999, EPA provided data and information for use by

states and its regional offices in assessing and managing aquatic

stressors in watersheds to reduce toxic loadings and improve

ecological risk assessment. Develop the scientific rationale for

numerical criteria for surface waters. Develop a conceptual framework for

the diagnosis and assessment of water quality impairment in U. S.

watersheds. Identify the primary life support

functions of surface waters that contribute to the management and

sustainability of watersheds. Develop the framework for

diagnosing adverse chemical pollutants in surface waters.

Enclosure I

GAO/ RCED- 00- 270R EPA Science Issues

10

Strategic goal Performance plan for FY 1999 Performance report for FY 1999

a Performance plan for FY 2000 Performance plan for FY 2001

3 None Not applicable Provide methodologies to evaluate the risk to human
health posed by

food- use products. Develop pesticides exposure and

effects data, risk assessment methods and models for children,

and control technologies needed to comply with the requirements of the

Food Quality and Protection Act. 4

Improve in vitro screening methods for one- electron mechanisms of

toxicity among industrial chemicals. Not applicable Provide methods and
models to

evaluate the impact of environmental stressors on human health and

ecological end points for use in guidelines, assessments, and

strategies. Develop exposure data, health risk

assessment methodologies, and control technologies to improve the

characterization of health risks and reduce community exposures to

environmental chemical stressors. 5 Demonstrate and verify the

performance of 18 innovative technologies by 2001, emphasizing

remediation and characterization of groundwater and soils.

In fiscal year 1999, work under the program proceeded according to

schedule to meet the 2001 targets, as EPA completed demonstrations

of seven innovative technologies through partnerships with the private

sector and other government agencies.

Enhance scientifically defensible decisions for site cleanup by

providing targeted research and technical support.

Provide technical information to support scientifically defensible and

cost- effective decisions for cleaning up complex sites, hard- to- treat

wastes, mining, oil spills near shorelines, and brownfields to

reduce risk to human health and the environment.

5 Complete prototype model for assessing cumulative exposure- risk

assessments integrating the environmental impact of multiple

chemicals through multiple media and pathways.

In fiscal year 1999, EPA completed a test version of a cumulative

exposure model that integrates the environmental impact of multiple

chemicals through multiple media and pathways.

Enhance scientifically defensible decisions for active management of

wastes, including combustion, by providing targeted research and

technical support. Provide technical information to

support Resource Conservation and Recovery Act regulatory

development for waste identification, containment, and combustion.

Enclosure I

GAO/ RCED- 00- 270R EPA Science Issues

11

Strategic goal Performance plan for FY 1999 Performance report for FY 1999

a Performance plan for FY 2000 Performance plan for FY 2001

6 Conduct preliminary assessment of the consequences of climate

change at three geographical locations: (Mid- Atlantic, Gulf Coast,

and upper Great Lakes). EPA completed the Mid- Atlantic and

Great Lakes regional assessments as well as the human health

sectarian assessments on schedule in fiscal year 1999, but the Gulf

Coast regional assessment is behind schedule because of

difficulties in obtaining a high- quality project proposal able to pass

rigorous scientific peer review. Assess the consequences of global

change and climate variability at a regional scale.

Assess the consequences of global change (particularly climate change

and climate variability) on human health and ecosystems.

7 By 1999, complete five to seven monitoring pilot projects in

environmental monitoring for public access and community tracking

(EMPACT) cities. During fiscal year 1999, EPA

awarded eight grants to local communities for innovative

monitoring research pilot projects, exceeding the agency's goal of five

to seven pilot projects for the program.

By fiscal year 2000, 75 percent of EMPACT communities have in place,

or have initiated, community- based strategies for time- relevant

environmental monitoring, information management, and

communication that will result in sustained community capacity to

deliver timely environmental information.

c None

7 Publish guidelines for Carcinogenic Risk Assessment, Neurotoxity Risk

Assessment, and a technical report on the health risk assessment of

chemical mixtures. Not applicable Develop data interpretation tools and

risk communication tools to provide the public and environmental

communities with time- relevant information.

Provide guidance for risk assessment to improve the scientific

basis of environmental decision making.

c The goal for fiscal year 2000 is no longer considered a research and
development activity and has been transferred to the Office of Environmental

Information.

Enclosure I

GAO/ RCED- 00- 270R EPA Science Issues

12

Strategic goal Performance plan for FY 1999 Performance report for FY 1999

a Performance plan for FY 2000 Performance plan for FY 2001

8 Complete and evaluate a multitiered ecological monitoring

system for the Mid- Atlantic region and provide select land cover and

aquatic indicators for measuring status and trends.

In fiscal year 1999, EPA completed the first stage of the Environmental

Monitoring and Assessment Program (EMAP) effort in support of

the agency's fiscal year 2001 commitment to complete and

evaluate a multitiered ecological monitoring system for the Mid

Atlantic region and provide select land cover and aquatic indicators for

measuring status and trends. Report on monitoring findings in the

Mid- Atlantic region as a cost effective means of measuring the

condition of these systems. Develop monitoring designs,

including indicators, for streams in western watershed.

Develop monitoring designs for national coastal monitoring.

Establish baseline conditions from which changes and, ultimately

trends, in the ecological conditions of the nation's estuaries can be

confidently documented and from which results of environmental

management policies can be evaluated at regional scales.

8 None Not applicable Publish a conceptual model for developing watershed
assessment

techniques that would assist local, regional, and national environmental

decisionmakers in maintaining the ecological integrity of the watershed.

None 8 Analyze existing monitoring data for

acid deposition and ultraviolet radiation- B (UVB) and implement a

multiple site UVB monitoring system for measuring status and

trends. EPA performed several prototype

analyses addressing wet and dry deposition trends of sulfur and

nitrogen to meet the agency's fiscal year 1999 commitment to analyze

existing monitoring data for acid deposition.

None None 8 Provide ecological risk assessment

case studies for two watersheds, final guidelines for reporting

ecological risk assessment, and ecological risk assessment

guidance and support. In fiscal year 1999, EPA provided

ecological risk assessment case studies for two watersheds, final

guidelines for reporting ecological risk assessment, and ecological risk

assessment guidance and support. None Develop methods for regional scale,

comparative risk/ vulnerability assessment using the Mid- Atlantic

as a case study.

Enclosure I

GAO/ RCED- 00- 270R EPA Science Issues

13

Strategic goal Performance plan for FY 1999 Performance report for FY 1999

a Performance plan for FY 2000 Performance plan for FY 2001

8 Develop and verify innovative methods and models for assessing

the susceptibilities of populations to environmental agents aimed at

enhancing risk assessment and management strategies and

guidelines. EPA also made significant progress

in fiscal year 1999 toward meeting its long- term goal of developing and

verifying innovative methods and models for assessing the

susceptibilities of populations to environmental agents.

None None 8 Complete and submit an external

review draft of the Air Quality Criteria Document for carbon

monoxide. Not applicable None None

8 Initiate field exposure study of children to two endocrine- disrupting

chemicals. EPA completed a protocol for a field

study of children exposed to two endocrine- disrupting chemicals.

Develop tools to identify hazards and formulate strategies to manage risks

from exposure to endocrine disrupting chemicals capable of

inducing adverse effects in humans and wildlife.

None 8 Improve computational efficiency of

the fine particulate matter model by 25 percent.

EPA finished work on the air component of the Multimedia

Integrated Modeling System and met its fiscal year 1999 goal of

improving computational efficiency in the analysis of particulate matter

by 25 percent. None None

Enclosure I

GAO/ RCED- 00- 270R EPA Science Issues

14

Strategic goal Performance plan for FY 1999 Performance report for FY 1999

a Performance plan for FY 2000 Performance plan for FY 2001

8 None Not applicable

Develop risk assessment guidance and regional assessments

concerning risks to children exposed to environmental contaminants.

Implement completed Human Health Risk Assessment Research Strategy

focusing on research to improve extrapolation, cumulative and

aggregate risks, mixtures, susceptible populations,

harmonization of cancerous and noncancerous risk assessments, and

evaluating the effectiveness of public health decisions.

8 Produce first- generation exposure models describing residential

exposure to pesticides. Produce a first- generation

chlorpyrifos/ pesticide exposure model and a technical report on

children's activities associated with potentially high exposures.

In fiscal year 1999, EPA produced a first- generation model that can be

used in a prospective context to provide reliable assessments of the

potential risks to human populations posed by exposure to pesticides

and other toxic chemicals. Develop initial measurements,

methods, and models to evaluate exposures and effects of

environmental contaminants, particularly in children.

Develop initial measurements, methods, and models to evaluate

exposures and effects of environmental contaminants,

particularly in children. 8 None Not applicable Initiate a research program
to

address the most pressing issues related to the prevention, control, and

elimination of mercury as a human health and environmental problem.

Provide recommendations both about revising, if needed, EPA's

reference dose for methymercury and for managing risks from

environmental exposures to mercury.

Enclosure I

GAO/ RCED- 00- 270R EPA Science Issues

15

Strategic goal Performance plan for FY 1999 Performance report for FY 1999

d Performance plan for FY 2000 Performance plan for FY 2001

8 None Not applicable Provide decision- support tools and methods that can
be applied to

determine the value and costs of solutions to environmental problems,

and develop partnerships to assist in the application of these tools and

methods to community- based environmental programs, including

tribal partners. Complete the development of one or

more computer- based tools that simulate product, process, or system

design changes, and complete proof of- process structure for one or more

generic technologies (apply to more than one environmental problem) to

prevent or reduce pollution in chemicals and industrial processes.

Prepare and deliver pollution prevention tools and methodologies

for multiple economic sectors in order to enhance a preventive

approach to risk management and advance the use of pollution

prevention and sustainable development.

8 Use of a pilot program to verify environmental technologies.

Not applicable Use of a pilot program to verify environmental technologies.

Develop, evaluate, and deliver technologies and approaches that

eliminate, minimize, or control high risk pollutants from multiple sectors.

Emphasis will be placed on preventive approaches for industries

and communities having difficulty meeting control/ emission/ effluent

standards. d

EPA discussed only the goals that it identified as being the “vital
few” for congressional reporting purposes for its performance report
for fiscal year 1999. However, to provide a complete picture, we have listed
all of EPA's performance goals for science in the table.

Enclosure II

GAO/ RCED- 00- 270R EPA Science Issues 16

GAO's Observations on EPA's Draft 2000 Strategic Plan

The Government Performance and Results Act (GPRA) required each federal
agency to develop, by the end of fiscal year 1997, a strategic plan covering
at least a 5- year period. The act stipulated that each plan should state
the agency's mission, identify long- term strategic goals, and describe how
the agency intends to achieve these goals through its activities and human
capital, information, and other resources. Agencies are required to update
their plans as least every 3 years. The Environmental Protection Agency
(EPA) issued its strategic plan in September 1997 and plans to issue its
revised plan by September 29, 2000. The agency has made the revised plan
available to the Congress and other interested parties for comment and
consultation.

EPA's 2000 draft strategic plan complies with GPRA's requirements and/ or
guidance provided by the Office of Management and Budget (OMB) for (1) a
mission statement, (2) long- term strategic goals, (3) strategies for
achieving the strategic goals, (4) a linkage between the agency's longterm
strategic goals and annual performance plans, (5) the identification of
those key external factors that could significantly affect EPA's ability to
achieve its strategic goals, (6) a description of program evaluations used
in establishing or revising the goals, and (7) references to the roles and
responsibilities of other agencies.

Mission Statement

GPRA mandates a “comprehensive mission statement covering the major
functions and operations of the agency.” OMB's guidance states that a
mission statement should be brief, defining the agency's basic purpose, with
particular emphasis on its core programs and activities.

EPA's draft strategic plan states that the agency's mission is “to
protect human health, and to safeguard the natural environment- air, water,
and land- upon which life depends.” The draft plan's overarching
statement is general but states concisely what EPA is broadly charged with
doing under its statutes. In its 1997 Strategic Plan, EPA elaborated on its
mission statement with a series of purpose statements that provided a clear
picture of the scope of the agency's mission. Such statements are not
included in the draft strategic plan. The mission statement could be
improved by including such statements, which would focus the mission
statement more directly on the agency's core activities.

Goals and Objectives

Under GPRA, an agency's strategic plan must describe the general goals and
objectives, including outcome- related goals and objectives, for the major
functions and operations of the agency. These goals should explain what
results are expected from the agency's major functions and when to expect
those results.

EPA's plan identifies 10 goals, which have multiple objectives. The goals
are generally outcomeoriented and measurable and are developed along the
same lines as EPA's statutory requirements and organizational structure.
Likewise, EPA's strategic goals are linked to objectives that, for the most
part, are outcome- oriented. Such objectives should encourage EPA to focus
more attention on performance goals and measures based on outcomes(
results), rather than outputs( activities and processes).

Enclosure II

GAO/ RCED- 00- 270R EPA Science Issues 17

However, as we stated in our September 1999 report on EPA's information
management, 1 getting the data needed to measure progress toward the
objectives will remain a challenge for EPA. Under goal 7 (Quality
Environmental Information), EPA discusses the importance of enhancing the
quality of its data by developing integrated data systems. EPA also states
that it will set annual performance goals and measures to gauge its progress
toward this goal. This would demonstrate the agency's commitment to hold
itself accountable for obtaining the data needed to manage for results.

Achieving Goals and Objectives

Under GPRA, an agency's strategic plan must address how the goals and
objectives are to be achieved, including a description of the operational
processes; skills and technology; and human capital, information, and other
resources required to meet those goals and objectives.

For each goal, the plan has sections on the importance of the goal, the
objectives of the goal, the results they intend to achieve over the next
several years, and the means and strategies to achieve these goals. However,
EPA's discussion of human capital requirements for meeting its strategic
goals and objectives could be more comprehensive. Under goal 10 (Effective
Management), EPA states that managing human capital will be a key priority.
The agency notes that it will work hard to “secure, develop, empower,
and retain talented people” through efforts such as workforce planning
and training. The only other substantive discussion of human capital
requirements is under goal 7 (Quality Environmental Information). In the
draft strategic plan, EPA states that staff resources for environmental
information will be a critical factor affecting its success under this goal.
EPA also notes that it is important to address the challenge of recruiting
and retaining skilled information and technology personnel. However, EPA
does not discuss any means or strategies for addressing this challenge.

Relationships Between Long- Term Strategic and Annual Performance Goals

GPRA requires that an agency's strategic plan contain a description of how
the performance goals included in its annual performance plans relate to the
general goals and objectives of the strategic plan. OMB directs that the
strategic plan should briefly outline (1) the type, nature, and scope of the
performance goals to be included in a performance plan; (2) the relationship
between the performance goals and the general goals and objectives; and (3)
the relevance and use of performance goals in helping determine the
achievement of general goals and objectives.

Each goal in EPA's draft strategic plan has a section entitled
“Relating Annual Performance Goals to Strategic Objectives.” The
information in these sections generally conforms to the GPRA requirements
and OMB Circular A- 11. For example, under goal 5 (Better Waste Management
and Restoration of Contaminated Waste Sites, and Emergency Response), EPA
discusses the general type, nature, and scope of the performance goals and
their relationship to the strategic goal and objectives. The plan also gives
examples of performance goals to be used

1 Environmental Information: EPA Is Taking Steps to Improve Information
Management, but Challenges Remain (GAO/ RCED- 99- 261, Sept. 17, 1999).

Enclosure II

GAO/ RCED- 00- 270R EPA Science Issues 18

to measure progress, such as the number of contaminated sites cleaned up and
the number of hazardous waste sites with controls in place to prevent
dangerous releases.

Key External Factors

GPRA requires that a strategic plan identify factors external to the agency
and beyond the agency's control that could significantly affect the
achievement of goals and objectives. OMB's guidance directs the agencies to
identify each key external factor, indicate how it is linked with a
particular goal, and describe how each factor may affect the accomplishment
of the goal.

With the exception of goal 10 (Effective Management), EPA's draft strategic
plan identifies external factors that could affect the achievement of goals
and measures. For example, under goal 9 (A Credible Deterrent to Pollution
and Greater Compliance With the Law), EPA states that its projected
performance would be affected by natural catastrophes, such as major floods
or significant oil spills. Such disasters would require a redirection of
resources to address immediate environmental threats.

Program Evaluation

GPRA requires that strategic plans describe the program evaluations used in
establishing or revising goals and objectives with a schedule of future
program evaluations. The act defines program evaluations as assessments,
through objective measurement and systematic analysis, of the manner and
extent to which federal programs achieve intended objectives. According to
OMB's guidance, the schedule of future program evaluations should outline
the general methodology to be used.

EPA's draft strategic plan identified some means of evaluating for each of
the agency's 10 goals. The discussion included GAO reviews, peer review,
cost- benefit analyses, and internal evaluations of regional, state, and
tribal performance. However, the discussion focused on past or ongoing
evaluations. EPA's discussion of future evaluations was limited to goal 2
(Clean and Safe Water), for which, EPA listed three potential future program
evaluations. Providing information on future program evaluations would bring
the discussion more in line with GPRA's requirements.

Crosscutting Functions

Consistent with OMB's guidance, agencies' strategic plans should reflect
program goals that crosscut those of other agencies. Likewise, the agencies
should coordinate among themselves to ensure that information is shared and
duplication is eliminated.

EPA's draft strategic plan, in discussing strategies and external factors,
includes references to the roles and responsibilities of other agencies. For
example, under goal 6 (Reduction of Global and Cross- Border Environmental
Risks), EPA states that it is working with the Department of State, the
National Oceanic and Atmospheric Administration, and other federal agencies
to negotiate and implement legally binding, multilateral agreements that
address significant sources of marine pollution. The plan also devotes a
chapter to six cross- agency programs that promote partnerships with states
and tribes and enlist the efforts of others outside EPA. For example, the

Enclosure II

GAO/ RCED- 00- 270R EPA Science Issues 19

plan discusses its state partnerships with the National Environmental
Performance Partnership System and the Environmental Council of States.

While EPA addresses crosscutting efforts, the discussion does not provide a
complete picture of how its goals complement or supplement those of other
agencies that share responsibilities with EPA. For example, the Department
of Health and Human Services has responsibilities for protecting human
health, and the Departments of Agriculture and the Interior have
responsibilities for protecting the environment. In its 1997 Strategic Plan,
EPA included a matrix showing how the programs of these and other agencies
intersected with EPA's programs. Although it did not provide detailed
information, the matrix gave a bird's eye view of the extent to which other
agencies had goals related to EPA's. Providing such information in its
revised plan would provide a perspective on EPA's contribution to federal
efforts to improve health and environmental conditions.

(160544)

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