»EF₯V
0^
-------
-------
Contents
Introduction 2
Section A. National Environmental Achievement Track Entry Criteria 4
1. Environmental Management System (EMS) 4
2. Demonstrated Environmental Achievements and Commitment to
Continued Improvement 5
3. Public Outreach and Performance Reporting 7
4. Record of Sustained Compliance with Environmental Requirements 8
Section B. Incentives for Participation 9
1. Immediate Benefits 9
2. Incentives Pending Administrative Actions 10
3. Incentives Pending a Performance Track Rulemakings 10
4. Incentives Pending Other Rulemakings 11
Section C. Implementation 12
1. Application and Notification Process 12
2. Continued Compliance 13
3. Protocol for Site Visits 13
4. Annual Performance Report 14
5. Removal from the Achievement Track 14
Section D. The State Role and Relationship 15
Section E. Small Business Participation 17
National Environmental Achievement Track Program Description
-------
ntroduction
The National Environmental Performance
Track program is designed to recognize and
encourage top environmental performers
those who go beyond compliance with regulatory
requirements to attain levels of environmental per-
formance and management that benefit people,
communities, and the environment.
Our system of environmental protection contin-
ues to evolve. There is a growing recognition that
government should complement existing programs
with new tools and strategies that not only protect
people and the environment, but also capture
opportunities for reducing costs and spurring tech-
nological innovation.
Over the last several years, EPA has joined states,
businesses, and community and environmental
groups in experimenting with new approaches that
achieve high levels of environmental protection with
greater efficiency. EPA's Common Sense Initiative
was designed to improve environmental results by
tailoring strategies for six industry sectors. Project
XL offers an opportunity to test alternative manage-
ment strategies diat promise better results. The
national Environmental Leadership Program and
EPA Region I's Star Track program offer new ways
to encourage businesses to do better than required.
Likewise, many states have developed innovative
programs for improving environmental perform-
ance.
This program builds upon the lessons EPA has
learned from several state leadership programs and
from its own efforts. We learned that innovations in
environmental management can be used to create
strategic business opportunities and advantages
while maximizing the health and productivity of our
ecosystems and communities. We learned the
importance of keeping innovation programs simple
and their transaction costs low. We know that we
must focus on performance, not just the means of
achieving it, and derive measurable results from
our programs.
The Performance Track program is the culmina-
tion of these efforts. It will recognize innovation,
motivate others to improve, and complement exist-
ing regulatory activities. It has been designed so that
criteria for participation are proportional to the
benefits. It will encourage participation by small,
medium, and large facilities. It also emphasizes
the importance of effective state/EPA partner
ships and the need to inform and involve citizens
and communities.
EPA will be implementing the National
Environmental Performance Track program at two
levels. The first level, the National Environmental
Achievement Track (Achievement Track), is designed
to recognize facilities that consistently meet their
legal requirements and have implemented high-
quality environmental management systems, as well
as to encourage them to achieve more by continu-
ously improving their environmental performance
and informing and involving the public.
The second level, the National Environmental
Stewardship Track (Stewardship Track), is still under
development. It is being designed to recognize and
encourage broader and higher levels of voluntary
environmental performance than those expected
under the Achievement Track. These may include
improvement in several categories of environmental
performance; a focus on environmental manage-
ment and performance with regard to customers,
National Environmental Achievement Track Program Description
-------
suppliers, and transporters; attention to product
stewardship; and even better community engage-
ment and public outreach. EPA plans to launch the
Stewardship Track in June 2001.
In developing the Achievement Track, EPA has
consulted extensively with stakeholders and state
environmental agencies. EPA initially proposed to
develop a Performance Track program in its report,
Aiming for Excellence, which it published in July
1999. In March 2000, EPA released a draft program
description and held five public meetings across the
country on this proposal. In addition, EPA has
consulted closely with state officials, including a
national forum to discuss state programs, issues,
and participation.
This document describes the criteria a facility
will voluntarily meet to qualify for the Achievement
Track, the incentives EPA intends to provide, the
approach EPA intends to take to implement the
program, and how EPA will manage this program
with the states.
National Environmental Achievement Track Program Description
-------
Section A.
National Environmental
Achievement Track Entry Criteria
T
o qualify for the Achievement Track, a facility
will demonstrate that it:
Has adopted and implemented an environ-
mental management system (EMS) that
includes the elements specified below;
Is able to demonstrate specific environmental
achievements and commit to continued
improvement;
Commits to public outreach and performance
reporting; and
Has a. record of sustained compliance with
environmental requirements.
1. Environmental Management System (EMS)
A facility will certify that it has an EMS in
place.1 The EMS will include the elements listed
below and will have gone through at least one full
cycle of implementation (i.e., planning, setting per-
formance objectives, EMS program implementation,
performance evaluation, and management review).
A facility that has adopted systems based on EMS
models with a Plan-Do-Check-Act framework
would meet most of these elements.
EPA recognizes that die scope and level of for-
mality of the EMS will vary, depending on the
nature, size, and complexity of the facility. EPA's
experience with a variety of programs suggests that
these EMS elements are within die capability of
small facilities and can be met through a variety of
approaches. To help small facilities implement an
EMS, EPA will make guidance documents and
assistance materials available.A facility will certify
that it has implemented an EMS that includes
these elements:
Policy
A written environmental policy, defined by
top facility management, that includes com-
mitments to: (1) compliance with both legal
requirements and voluntary commitments;
(2) pollution prevention (based on a pollution
prevention hierarchy where source reduction is
the first choice); (3) continuous improvement
in environmental performance, including
areas not subject to regulations; and (4)
sharing information about environmental per-
formance and the operation of the EMS with
the community.
Planning
Identification of significant environmental
aspects2 and legal requirements, including pro-
cedures for integrating anticipated changes to
the facility's requirements or commitments
into the EMS.
Measurable objectives and targets to meet poli-
cy commitments and legal requirements, to
reduce the facility's significant environmental
impacts, and to meet the performance com-
mitments made as part of the facility's partici-
pation in the program (under Section A.2). In
1 For purposes of the Achievement Track, an EMS represents an organization's systematic efforts to meet its environmental requirements, including
maintaining compliance and achieving performance objectives that may be related to unregulated aspects of the organization's activities.
2 An "environmental aspect" is defined as an "element of an organization's activities, products, or services that can interact with the environment."
Facilities are asked to use their list of significant environmental aspects in selecting performance commitments under this program (see Section A.2).
National Environmental Achievement Track Program Description
-------
setting objectives and targets, the facility
should consider the following criteria: prevent-
ing non-compliance, preventing pollution at
its source, minimizing cross-media pollutant
transfers, and improving environmental per-
formance.
Active, documented programs to achieve the
objectives, targets, and commitments in the
EMS, including the means and time-frames
for their completion.
Implementation and Operation
* Established roles and responsibilities for meet-
ing objectives and targets of the overall EMS
and compliance with legal requirements,
including a top management representative
with authority and responsibility for the EMS.
Defined procedures for: (1) achieving and
maintaining compliance and meeting perform-
ance objectives; (2) communicating relevant
information regarding the EMS, including the
facility's environmental performance, through-
out the organization; (3) providing appropriate
incentives for personnel to meet the EMS
requirements; and (4) document control,
including where documents related to the
EMS will be located and who will maintain
them.
General environmental training programs for
all employees, and specific training for those
whose jobs and responsibilities involve activi-
ties directly related to achieving objectives and
targets and to compliance with legal require-
ments.
Documentation of the key EMS elements,
including the environmental policy, significant
environmental aspects, objectives and targets, a
top management representative, compliance
audit program, EMS audit program, and over-
all EMS authority.
Operation and maintenance programs for
equipment and for other operations that are
related to legal compliance and other signifi-
cant environmental aspects.
An emergency preparedness program.
Checking and Corrective Action
An active program for assessing performance
and preventing and detecting non-
conformance with legal and other require-
ments of the EMS, including an established
compliance audit program and an EMS audit
program.
An active program for prompt, corrective
action of any non-conformance with legal
requirements and other EMS requirements.
Management Review
Documented management review of perform-
ance against the established objectives and
targets and the effectiveness of the EMS in
meeting policy commitments.
Although a third-party audit of die EMS is
not necessary to qualify for the Achievement
Track, a facility is asked in the application
form if it has undergone such an audit. If it
has not, it will have conducted a self-
assessment. A facility will retain EMS docu-
mentation and provide a summary of its
performance, including performance against
objectives and targets, and a summary of the
results of compliance and EMS audits, in its
Annual Performance Report (discussed in
Section C.4).
2. Demonstrated Environmental
Achievements and Commitment to
Continued Improvement
A facility will demonstrate specific environmen-
tal achievements and commit to continued improve-
ments in its environmental performance. The
framework for reporting on performance is based on
the Global Reporting Initiative (GRI), which EPA
also has used in Region Is StarTrackprogram. This
framework distinguishes two levels of performance:
categories and aspects. A category is a class of envi-
ronmental impacts (e.g., water discharges). An aspect
is an element of an organization's activities, prod-
ucts, or services that can interact with the environ-
ment (e.g., discharges of heavy metals). EPA's
approach to reporting is consistent not only with
the GRI but with generally accepted EMS practice.
National Environmental Achievement Track Program Description
-------
The categories and aspects for use in the
Achievement Track program are listed in the
Environmental Performance Table located in the
Application Instructions. Three of the categories in
the Table relate to the use of resources. They are
energy use, water use, and materials use. Four of the
categories relate to the negative effects of activities
or processes. These include air emissions, waste
generation, water discharges, and accidental releases.
The final two categories relate to efforts to preserve
or restore resources and to the environmental per-
formance of products. Within each category, EPA
has listed one or more environmental aspects that a
facility may choose from in reporting on its per-
formance.
EPA will not specify which categories and
aspects a facility should select in making its per-
formance commitments. However, the facility's
future performance commitments need to be closely
tied to the significant environmental aspects and the
related objectives and targets as identified in its
EMS. In addition, the facility should take the fol-
lowing factors into account in selecting categories
and aspects for future performance commitments:
local or regional environmental concerns or
priorities;
cross-media impacts of performance improve-
ments; and
progress that can be made through pollution
prevention.
Each applicant will demonstrate past achieve-
ments and commit to and report on future improve-
ments. To demonstrate past performance, a facility
is asked to select at least two environmental aspects
from any of the categories in the Environmental
Performance Table and to describe the improvements
in its performance during the current and preceding
one year. Small facilities have the option of docu-
menting improvement for at least one environmen-
tal aspect from any category3. Facilities are
encouraged to document performance achievements
beyond the minimum.
In making future performance commitments,
facilities should select at least four environmental
aspects, drawn from two or more categories. Small
facilities should select at least two aspects from two
or more categories. Again, facilities are encouraged
to commit to more than the minimum. These com-
mitments should cover the three years that the facil-
ity will participate in the Achievement Track (the
standard term for participation). The aspects select-
ed for past and future performance may or may not
be the same, depending on the facility's priorities
and the status of its performance improvement
efforts.
In documenting past achievements and commit-
ting to continued improvement, a facility will not
rely on any actions that represent compliance with
existing legal requirements at the federal, state, trib-
al, or local levels. These improvements will represent
actions taken by a facility that go beyond existing
legal requirements. A facility will be asked to
describe its progress in meeting these commitments
in an Annual Performance Report (See Section C.4).
There will be no absolute or relative level of
improvement in either past or future performance
needed to qualify for the program. EPA is asking
each facility to document and commit to a level of
performance that is consistent with its own situa-
tion, capabilities, and goals. However, each facility is
encouraged to commit to significant improvements
that it is willing to justify publicly as a participant
in the Achievement Track.
EPA encourages each facility to use the results of
its participation in EPA, state, and other partnership
programs to document its achievements in improv-
ing performance. Participation in a partnership pro-
gram would not on its own qualify a facility, but
improvements that occur in the context of such a
program would. For example, as a result of partici-
3 EPA recognizes that, depending on the nature and extent of a facility's operations, a small facility may have fewer environmental aspects as well
as more limited resources for measuring and committing to specific improvements in performance. For purposes of this program, a facility will be
considered to be a "small" facility if the company as a whole is a small business as defined by the Small Business Administration (see FR 30386,
Vol. 65, No 94, May 15,2000) and if the facility itself employs fewer than fifty full-time equivalent employees. A facility will self-certify as to its sta-
tus as a small business in the application for admission to the Achievement Track. If a facility is part of a larger company, it is the larger company
as a whole that needs to meet the Small Business Administration definition.
National Environmental Achievement Track Program Description
-------
pation in EPA's WasteWise, ClimateWise, WAVE
(Water Alliances for Voluntary Efficiency), Design
for the Environment, or Metal Finishing Strategic
Goals programs, a facility may be able to document
past performance and commit to future improve-
ment. EPA's Partnership Programs coordinators will
advise facilities on the best ways to link efforts in
these programs with participation in the
Achievement Track.
3. Public Outreach and Performance
Reporting
A facility will demonstrate its commitment to
public outreach and report periodically on its per-
formance. There is no standard set of outreach
activities, beyond what is required in the Annual
Performance Report. Each facility's approach to
community reporting beyond this Report will
depend on its size, scale of operations, and setting.
EPA expects that applicants will already have
established a public outreach program. For example,
participants in the Responsible Care program or
endorsers of the CERES (Coalition for
Environmentally Responsible Economies) principles
typically have outreach programs that may include a
community advisory panel, newsletters, performance
reporting, sponsorship of community activities, and
other outreach activities. Many small facilities have
adopted lower-cost but effective outreach programs.
In the application, each facility will be asked to
describe its activities and plans in three areas: identi-
fying and responding to community concerns;
informing community members of important mat-
ters that affect them; and reporting on the perform-
ance of its EMS and other performance
commitments. The facility also will be asked to pro-
vide a short list of community/local references who
are familiar with the facility and to list any ongoing
citizen suits against the facility.
During its evaluation process, EPA will list the
facility as an applicant on the Performance Track
web site. If a facility is accepted, EPA will list it as a
participant and make a copy of its application avail-
able to the public.
Identifying and Responding to Community Concerns
A facility should be able to demonstrate that it
has established mechanisms for identifying and
responding to local concerns regarding the environ-
mental effects of its operations. Examples are con-
cerns about emissions, odors, traffic congestion,
water discharges, and emergency warnings. At a
minimum, a small facility should be able to docu-
ment that it has designated a point of contact with
direct access to facility management and has adopt-
ed procedures for responding to questions or con-
cerns of local residents.
Other typical efforts could include a designated
community liaison official, periodic public meetings
or open houses, and similar mechanisms. The level
of public outreach would depend not only on the
size of the facility, but also on the degree of commu-
nity interest and the environmental effects of the
facility's operations.
Informing Community Members of Important
Matters that Affect Them
Each applicant should describe the mechanisms
it uses to inform the community of important issues
related to the facility's environmental performance.
Many of the mechanisms for identifying and
responding to local concerns may meet this objec-
tive as well. Open houses, community meetings,
web pages, advisory panels, or customer displays
could be especially appropriate. Again, these efforts
should be appropriate to a facility's size, operations,
and setting.
Reporting on the Facility's Performance
Commitments
Whatever means a facility employs for commu-
nity outreach, it should explain specifically how it
provides the public with the environmental per-
formance information that it is committed to
reporting (described in Section A.2 above). Each
facility will provide this information to the local
community in its Annual Performance Report.
National Environmental Achievement Track Program Description
-------
4. Record of Sustained Compliance with
Environmental Requirements
A facility will have a record of compliance with
environmental laws and be in compliance with all
applicable environmental requirements at the time
of application. The facility will maintain its compli-
ance for the duration of its participation in the
Achievement Track.
In evaluating the compliance record of an appli-
cant, EPA, along widi its state partners, will consult
available databases and enforcement information
sources. The scope of this screen and the screening
criteria are based on the guidelines presented in the
Agency's Compliance Screening for Partnership
Programs Guidance4, with certain design changes
appropriate for this program. EPA may later add to
or modify these criteria, as needed, and as it devel-
ops die National Environmental Stewardship Track.
Participation in the Achievement Track will not
be appropriate if the compliance screen shows -any
of the following, under federal or state law.
Criminal Activity
Corporate criminal conviction or plea for
environmentally-related violations of criminal
laws involving the corporation or a corporate
officer within the past 5 years.
Criminal conviction or plea of employee at the
same facility for environmentally-related viola-
tions of criminal laws within the past 5 years.
Ongoing criminal investigation/prosecution of
corporation, corporate officer, or employee at
the same facility for violations of environmen-
tal law.
Civil Activity
Three or more significant civil violations at the
facility in the past 3 years.5
Unresolved, unaddressed Significant Non-
compliance (SNC) or Significant Violations
(SV) at the facility.
Planned but not yet filed judicial or adminis-
trative action at the facility.
Ongoing EPA- or state-initiated litigation at
the facility.
Situation where a facility is not in compliance
with the schedule and terms of an order or
decree.
In addition, EPA may also consider whether
there are significant problems or a pattern of non-
compliance in an applicant's overall civil or criminal
compliance history.
EPA encourages each facility to assess its own
compliance record under these criteria as it makes a
decision regarding application to the Achievement
Track.
4 This guidance is available at http://es.epa.gov/oeca/oc/polover.pdf.
5 The term "significant" with respect to violations or non-compliance refers to how the violation is characterized under the applicable media
enforcement response policy, available at http://www.epa.gov/oeca/main/strategy/.
8
National Environmental Achievement Track Program Description
-------
Section B.
ICI
*o promote participation in the program and
the environmental and other benefits that will
come with it, EPA intends to offer several
incentives and is considering others.
In EPA's March proposal on the Performance
Track program, which was the subject of several
public meetings and written comment, EPA out-
lined considerations that would influence its choice
of incentives for the Achievement Track. EPA has
continued to rely on these considerations. EPA has
excluded incentives that would involve a relaxation
of substantive standards of performance or that
would require statutory change. Many comments
indicated a preference for incentives that apply
broadly to different types of facilities; that reduce
the reporting, monitoring, and other operating costs
of the current system; and that can be implemented
nationally.
EPA believes it is important to offer the kinds of
incentives described here for several reasons. First,
the achievements of these facilities deserve public
recognition. Second, some of the reporting and
other administrative requirements that are necessary
for other facilities may not be needed for partici-
pants that have met the entry criteria for the
Achievement Track. Third, these incentives may
offer the opportunity for qualifying facilities to
apply their resources to achieving even better envi-
ronmental performance. And finally, the availability
of these incentives should encourage other facilities
to make environmental improvements that will
enable them to qualify for participation.
1. Immediate Benefits
EPA intends to offer several incentives that will
be available to participants at the time they enter
the program. These include recognition, access to
information sources, and program incentives that do
not require revision of existing guidance documents
or rulemaking. Specifically, these include:
An Achievement Track facility will be a low
priority for inspection targeting purposes.
As a discretionary factor in the assessment of
penalties, EPA will consider a facility's good
faith participation in the program as an indica-
tion of its good faith efforts to comply.
Use of the Achievement Track logo at a partic-
ipating facility, in communications with out-
side parties about the facility, and in other
ways (although not in endorsing products).
Listing on the Performance Track web site and
other EPA sites, in promotional materials
related to Partnership Programs, in feature
articles, and in case studies that profile accom-
plishments.
Special recognition for Charter Members at an
event to be held in late fall of 2000.
Participation in Achievement Track peer
exchanges, including special invitation confer-
ences, workshops, and networks, in which
facilities share successful practices and receive
recognition.
Opportunities to be featured in a Performance
Practices Database EPA is developing.
Information sessions with senior EPA officials
to share lessons learned, help design the
Stewardship Track, and improve the
Achievement Track.
National Environmental Achievement Track Program Description
9
-------
2. Incentives Pending Administrative Actions
Some incentives that EPA is considering would
require actions by the Agency to modify existing
guidance documents or administrative procedures;
die incentives will be available when those steps
have been completed. In some cases, other steps also
must be taken before a facility may take advantage
of die incentives being considered. For example,
responsibility for implementing parts of many envi-
ronmental programs is delegated to states. In such
cases, states may need to revise regulations, agree on
a revised delegation package, re-issue permits, or
take other actions.
EPA would make the following incentives avail-
able to facilities in the Achievement Track through
administrative actions (other than rulemaking) or by
issuing or amending guidance documents:
More direct access to the reduced reporting
and monitoring available under the Discharge
Monitoring Reports (DMRs) provisions of the
Clean Water Act. EPA intends to modify the
current (1996) burden reduction guidance for
DMRs to allow Achievement Track member-
ship to substitute for certain screening require-
ments set out in that document.
Greater flexibility under the Best Available
Control Technology (BACT) requirement of
the Clean Air Act. For Achievement Track
facilities that may not be able to begin con-
struction widiin 18 months of their BACT
determination, EPA would encourage states to
extend the applicability period through a sim-
plified control technology review. EPA intends
to recommend that the states adopt this sim-
plified review.
More advantageous terms for Achievement
Track facilities under the State Revolving
Funds (SRF) program of the Clean Water Act,
such as reduced loan rates and extended pay-
back terms. EPA intends to provide materials
to states that will encourage them to incorpo-
rate this change into their SRF policies.
A greater opportunity for expedited review of
new reduced risk pesticide products under the
Federal Insecticide, Fungicide and Rodenticide
Act. If all of a pesticide registrant's U.S. pesti-
cides manufacturing facilities are participants
in the Achievement Track, this participation
would become an additional factor that EPA
would use in granting an expedited review.
EPA would add participation to the list of fac-
tors through administrative action.
3. Incentives Pending a Performance
Track Rulemaking
EPA also is considering changes to its current
regulatory programs to offer incentives to
Achievement Track facilities. These incentives will
be developed under a coordinated Performance
Track rulemaking. They include:
Reducing the frequency of reports required
under the Maximum Achievable Control
Technology (MACT) provisions of the Clean
Air Act. In this incentive, EPA intends to
reduce significantly the frequency of required
MACT reporting for all Achievement Track
facilities. EPA also intends to further reduce
reporting reductions for Achievement Track
facilities that achieve MACT or better emis-
sion levels through pollution prevention meth-
ods such as process changes. EPA intends to
accomplish this through a single generic rule-
making covering all MACT standards.
Streamlined monitoring, reporting, and other
procedural requirements for Publicly-Owned
Treatment Works (POTWs) in the
Achievement Track.
Reducing the reporting costs for POTWs in
the Achievement Track that must publish
notices of violations by facilities that use their
services. These POTWs would be allowed to
use the Internet rather than paid newspaper
notices.
The opportunity for Achievement Track facili-
ties to consolidate reporting under various
environmental statutes into a single report.
EPA expects that this consolidated reporting
would be phased in with a pilot program, and
potentially followed with a larger program.
This incentive may require rulemaking.
10
National Environmental Achievement Track Program Description
-------
4. Incentives Pending Other Rulemakings
Finally, EPA is determining the feasibility of an
additional set of incentives or activities. These
include the following provisions:
The opportunity for expedited review for com-
panies that submit Premanufacturing
Notifications (PMNs) under the Toxic
Substances Control Act, if the substance is
manufactured in an Achievement Track facility
and the applicant uses EPA's Pollution
Prevention Framework in preparing the PMN
submission. This incentive would require rule-
making.
Granting authority for Achievement Track
facilities to accumulate wastes for up to 180
days (double the current limit of 90 days)
before triggering the requirement for obtaining
a Resource Conservation and Recovery Act
(RCRA) Part B storage permit. This incentive
would require rulemaking.
EPA will identify and evaluate other incentives
that may be made available to participants in the
Achievement Track, and later in the Stewardship
Track, as the program matures. These would be
implemented through the required administrative
processes, including notice and comment rulemak-
ing when that is appropriate.
National Environmental Achievement Track Program Description
11
-------
Section C.
mplementation
Copies of the application materials are avail-
able either from the Performance Track web
site or from the Performance Track
Information Center.6 The implementation process is
based on the following principles:
Fair, effective, and timely evaluation of appli-
cations;
Timely response to concerns of participants
and community stakeholders;
Close cooperation among EPA offices and
with state and tribal agencies;
Ongoing evaluation of the Achievement Track,
with the goal of continuous improvement as it
matures; and
Low transaction costs, consistent with achiev-
ing the goals of the Achievement Track.
This section provides an overview of EPA's
approach to implementing the Achievement Track.
It covers: (1) the application and notification
process; (2) continued compliance; (3) the protocol
for site visits; (4) the Annual Performance Report;
and (5) removal from the program.
1. Application and Notification Process
A facility formally applies for the Achievement
Track by submitting the application form. EPA uses
the information on the form (with the appropriate
self-certifications), the results of the compliance
screening, and information from consultations with
EPA regional offices and state agencies in evaluating
a facility's qualifications. EPA will not conduct site
visits as a part of the formal selection process.
However, EPA regional offices and state agencies
may, on occasion, request a program site visit with
an applicant when more information on a facility's
qualifications is needed.
EPA will first review the application for com-
pleteness and notify the facility when the substan-
tive review has begun. An EPA committee, made up
of representatives from headquarters and regional
offices, will conduct a substantive review. Through
the appropriate regional office, EPA will consult
with the state in which the facility is located to help
determine the facility's eligibility for the
Achievement Track. As part of this review, EPA will
also conduct a compliance screen to evaluate the
facility's past performance record.
A facility that is accepted into the Achievement
Track will receive written notification from EPA.
EPA will announce that a facility has been accepted
through the Performance Track web site. A facility
will be accepted for participation in the program for
a period of three years. A facility that is not accepted
will receive a brief explanation for EPA's decision.
Once a facility is accepted, it becomes eligible
for the incentives offered in the Achievement Track.
It will become eligible for other incentives as they
are formally added to the program. EPA's standard
acceptance letter will define the specific incentives
available at the time of acceptance and the condi-
tions under which they are granted or may be used
(e.g., the conditions for the use of the program
logo). EPA will notify participants of other incen-
tives as they become'available.
6 The Web site address is . The Performance Track Information Center can be contacted through email at
plrack@indecon.com or by telephone at 1-888-339-PTRK (7875).
12
National Environmental Achievement Track Program Description
-------
A facility should understand that its participa-
tion in the Achievement Track program is discre-
tionary with EPA, that it may not challenge a
decision to be rejected or removed from the pro-
gram, and that the fact of its participation is not rel-
evant to any issue of law or fact in any legal
enforcement proceeding for violations of environ-
mental requirements.
The first application period for the Achievement
Track will begin on July 5, 2000 and end on
September 30, 2000. Facilities that submit applica-
tions by September 1, 2000 and are accepted will
qualify as Charter Members of the Achievement
Track. These will be announced in a special recogni-
tion ceremony in late December 2000. All other
selections from the first application period will be
announced in December 2000. EPA plans to open a
second application period in the first quarter of
2001.
2. Continued Compliance
This program recognizes and promotes improved
environmental performance, but is built on a foun-
dation of sustained compliance. There are several
components of this program that help to assure con-
tinued compliance, such as an EMS that meets spec-
ified criteria (including compliance with legal
requirements), compliance self-audits, and an annu-
al certification that the facility is meeting the pro-
gram entry criteria and is continuing to maintain
compliance. In recognition of these and other pro-
gram elements, and of good faith participation in
this program, facilities will not be subject to greater
enforcement scrutiny solely as a result of their par-
ticipation in the Achievement Track.
Compliance issues may arise from time to time
at an Achievement Track facility. This notice
describes how Achievement Track facilities can
quickly and efficiently address these instances. In
fact, EPA expects that a vigorous, performance- and
compliance-focused EMS will identify for prompt
correction any instances of actual or potential non-
compliance. In general, facilities are rewarded for
their self-identification, correction and prompt dis-
closure of violations through penalty mitigation
under EPA's Audit Policy, and Achievement Track
participants will likewise be able to avail themselves
of this compliance incentive, under the conditions
specified in the Policy. In addition, EPA recognizes
that violations may be discovered during the course
of an on-site Achievement Track program visit. EPA
similarly will allow the application of the Audit
Policy to violations discovered in this manner, pro-
vided that the facility could not reasonably be
expected to have known about or identified the vio-
lation prior to the on-site visit. Finally, in the
unlikely event that an Achievement Track facility
becomes subject to an enforcement action, EPA will
consider, as a discretionary factor in the assessment
of penalties, the facility's good faith participation in
the program as an indication of the facility's good
faith efforts to comply.
3. Protocol for Site Visits
To evaluate the effectiveness of the Achievement
Track program, EPA will conduct program site visits
with a limited number of facilities each year. During
a program site visit, a facility will make available
materials that directly support its participation in
the Achievement Track, including the EMS,
progress on performance commitments, and infor-
mation on community outreach. The protocol for
arranging and conducting these site visits is:
A facility will receive notice in advance of the
visit and have an opportunity to schedule the
timing with EPA to accommodate facility pro-
duction schedules and deadlines.
The scope of the visit will be to assess the
facility's implementation of the Achievement
Track program, including its EMS, its progress
in meeting its performance commitments, and
its public outreach efforts.
e The visit may include representatives from
EPA headquarters, the EPA regional office, the
state environmental agency, and (subject to the
approval of the facility) possibly from the local
community and other Achievement Track
facilities.
The visit will be conducted according to a
written protocol that will be made available to
the facility well in advance of the visit. EPA
expects that the visits would take from a few
hours to a full working day, depending on the
size and complexity of the facility.
National Environmental Achievement Track Program Description
13
-------
EPA will visit up to twenty percent of partici-
pants in a given year. Facilities may request a
program site visit from EPA.
4. Annual Performance Report
To remain in the Achievement Track, a partici-
pant will complete and submit an Annual
Performance Report to EPA and the public. The
purposes of this report are to provide information
on the effectiveness of the program, to demonstrate
the facility's progress toward its performance com-
mitments, and to ensure that the facility is main-
taining its qualifications under the program. This
brief summary report may be submitted electroni-
cally or in writing. A draft format will be available
on the Performance Track web site. The public will
have an opportunity to comment on the format
before it becomes final.
The Annual Performance Report will include the
following categories of information:
Summary of the EMS performance (based on
objectives and targets), including a summary
of die EMS and compliance audits performed
and any corrective action taken;
Brief progress report on the facility's perform-
ance commitments;
Summary of the facility's public outreach
activities; and
Self-certification that the participant continues
to meet the Achievement Track criteria.
The report will be due approximately one year
after acceptance into the program, and annually
thereafter. EPA will notify the facility of the due
date in the acceptance letter. EPA is not planning to
prescribe a means for public transmission of the
report but will provide a menu of options from
which participants may choose (e.g., company web
site, publication in local press, mailings). EPA is -
considering providing specialized assistance in this
area for small facilities.
A facility should maintain on-site the supporting
documentation used to prepare its Annual
Performance Report and make this documentation
available to EPA upon EPA's request.
5. Removal from the Achievement Track
There may be cases when a facility encounters
significant performance problems that may warrant
its removal from the Achievement Track. At EPA's
discretion, a participant may be removed from the
Achievement Track for such reasons as falsifying
information in the application or Annual Perfor-
mance Report, failing to file an Annual Performance
Report, misrepresenting environmental performance
in advertising or marketing claims, or for compli-
ance problems that would be seen as inconsistent
with the Achievement Track entry criteria.
EPA expects that a participating facility will con-
tinue to meet the Achievement Track criteria, such
as maintaining its EMS and conducting appropriate
public outreach, while it is in the program. Failure
to meet the EMS and public outreach commitments
could constitute grounds for removal. EPA also
expects that a facility will strive to meet the per-
formance goals stated in its application to the pro-
gram. However, facilities are encouraged to establish
ambitious goals, which they may not always be able
to meet. Inability to meet the facility's performance
commitments (as discussed under Section A.2) will
not, in and of itself, be a cause for removal from the
program. However, an inability to make any
progress or a decline in facility performance could
result in removal from the Achievement Track.
Should EPA decide that it may be necessary to
remove a facility from the Achievement Track, EPA
intends to provide the facility with notice of its
intention. The facility will be allowed thirty days to
respond by taking corrective measures. If corrective
measures resolve the issues, EPA will withdraw its
notice of intention. A facility may also withdraw
from the program at any time by notifying EPA of
its intent in writing. Once an entity leaves the
Achievement Track, voluntarily or at EPA's discre-
tion, it must relinquish the continued use of any
and all incentives associated with participation in
the Achievement Track.
14
National Environmental Achievement Track Program Description
-------
Section D.
The State Role and
Relationship
National Environmental Achievement
Track will rely on EPA's partnership with state
environmental agencies (and, where applica-
ble, Indian tribes) for its long term success. State
agencies run many federally-delegated programs and
are responsible for important incentives (e.g.,
changes in permitting, reporting, and inspection
policies). States are likely to have more frequent
contact with facilities, making each state's relation-
ship with program participants key to overall suc-
cess. In addition, many states have programs with
similar objectivessuch as a commitment to
improved environmental performance (beyond what
is required by law), EMS use, public involvement,
and a strong compliance history. Several state pro-
grams start with tiers that may serve as an "on-
ramp" to the Achievement Track.
EPA has consulted extensively with the states
sponsoring programs similar to the Achievement
Track, and with many other states that do not have
such a program but that are interested in the con-
cept. In May 2000, EPA brought 20 state officials
together in a national forum to discuss program
design and implementation. Senior EPA officials
have also visited or spoken with commissioners from
states that are leading the way in offering recogni-
tion and incentives to top performers.
EPA will form a joint committee of selected state
and EPA officials to monitor and improve this pro-
gram as it is implemented. Based on discussions
with state leaders, EPA has developed specific prin-
ciples to guide this relationship. EPA will:
Work closely with designated state contacts,
and include states in decisions on facilities
within their jurisdiction, with the objective of
having no surprises between EPA and the
state;
Minimize duplication with state efforts and
build on existing state programs to the extent
possible;
Respect state programs with different policy
and environmental objectives, and work with
states to minimize inconsistencies with nation-
al objectives and actions;
Encourage participation by all the states, tai-
lored to state interests and capabilities; and
Work jointly with the states to monitor imple-
mentation and seek continuous improvement
in the program.
All states will be affected in some way by this
program. However, the degree of involvement by
each state will vary, based on the number of appli-
cants and the level of state interest. EPA assumes,
at a minimum, that states will want to be informed
of actions relating to facilities under their jurisdic-
tion and to have the opportunity to conduct their
own compliance screening. Conducting even mini-
mal screening and providing a central point of con-
tact poses a new workload on state programs. EPA
will seek to provide financial and technical assis-
tance to states.
EPA has been working closely with states that
have similar programs, and will continue to work
with them to align and integrate national and state
programs as much as possible. EPA envisions estab-
lishing a form of reciprocity for all equivalent state
and national elements. For each element designated
as equivalent, qualification at the state level would
mean automatic "qualification at the national level,
and vice versa. EPA welcomes the interest expressed
by many states that want to participate actively in
the national program. These states can also play a
major role in informing participants in existing pro-
National Environmental Achievement Track Program Description
15
-------
grams of the opportunities and eligibility require-
ments of the Achievement Track, as well as in
evaluating and monitoring the national program
over time.
EPA will work closely with states that are estab-
lishing new programs, to achieve maximum compat-
ibility between state and national efforts. For
example, EPA could facilitate peer exchanges among
states, and facilitate contact with EPA Performance
Track and program office personnel. EPA will work
with these states to develop complementary applica-
tion procedures.
EPA will invite all states, including those with-
out similar programs, to support the national pro-
gram as much as they are able. In these cases, EPA
will consider providing support for compliance
screening and selected site visits in the event that a
state cannot perform these activities. At a minimum,
these states will be asked to designate a contact to
receive notification of EPA actions.
In the near term, after consulting with states,
EPA will decide which applicants qualify for the
national program. As the program matures, EPA
will work with the states to determine the most
appropriate long term state role in implementing
the program.
16
National Environmental Achievement Track Program Description
-------
Section E.
Small Business Participation
ny program for improving environmental
performance must aim for participation by
ksmall businesses and other small entities,
such as local governments. EPA is making every
effort to make the Achievement Track accessible for
small entities. This effort is reflected in several
aspects of the design. For example, depending on
the nature and extent of a facility's operations, the
EMS for a small facility may be simpler than one
for a larger, more complex facility. For the same rea-
son, a small facility may have fewer environmental
aspects. In addition, a small facility is not asked
to make as many performance commitments as
other participants.
EPA has held numerous discussions with repre-
sentatives of small business interests and is encour-
aging participation by qualified small businesses and
their facilities. In addition, EPA may create a more
active and focused developmental program for small
businesses and other small entities, with the goal of
helping to expand their capacities for participation
in the Achievement Track and, later, in the
Stewardship Track. This program would build upon
existing EPA activities, such as the Sustainable
Industry Program, Design for the Environment,
EMS projects with local governments, other part-
nership programs, and compliance assistance pro-
grams for small entities.
National Environmental Achievement Track Program Description
17
-------
CO
Z>
a
CD
I
In
o
a.
ffi
CO
a>
Q-
S.
C
O
-o
I
CL
------- |