Desk Top Guide
to
Partners for the Environment
U.S. Environmental Protection Agency's
Partnership Programs
artners
for the
ivironment
EPA
230/
2000.2
Office of Policy, Economics, and Innovation
401 M. St. SW, Mail Code 1803
Washington, D.C. 20460
202-260-6135
www.epa.gov/partners
U.S. EPA Headquarters uo•;.>-
Mail code 3201
1200 Pennsylvania Avenue NW
Washington DC 20460
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Table of Contents
Desk Top Guide to Partners for the Environment
INTRODUCTION 1
The Role and Value of Partnership Programs 1
PART I: A FRAMEWORK FOR PARTNERSHIPS 3
Partners for the Environment: The Designation for Partnerships Agency-wide 3
Partnership Program Coordinating Committee: A Support System for Partnership
Programs 3
Collaborating with the Partnership Coordinating Committee: Increasing Your Success . 4
Benefits of Collaboration 5
Cross-Program Learning 5
Access to Experts 5
Leveraging Resources 5
PART II: STARTING A PARTNERSHIP PROGRAM 7
Preliminary Steps to Creating a Partnership Program 7
Legal Considerations 8
Designing a Program 8
Identify the Problem 9
Involve Stakeholders 9
Identify Partners 11
Establish Program Goals and Objectives 11
Choose a Program Approach 12
Build Evaluation Into the Process 12
Determine Incentives and Benefits of Participation 13
Scope Out a Budget 14
Develop a Communication Strategy 14
Preparing an Exit Strategy 15
CLOSING 15
APPENDICES 17
APPENDIX A: Examples of different ways partnership programs approach
environmental problem solving 17
APPENDIX B: Partnership Programs Charter and Cover Memorandum 18
APPENDIX C: Guidance from the Office of General Council 22
APPENDIX D: Bibliography and Resources 24
APPENDIX E: Partners for the Environment: Participation Programs 25
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Desk Top Guide to Partners for the Environment
U.S. EPA's Partnership Programs
INTRODUCTION
Over the past decade, EPA's national strategy for protecting the environment has been
changing in important ways. These changes include a new emphasis on partnership programs,
known collectively as Partners for the Environment. EPA launched its first two partnership
programs in 1989; now in 1999 there are more than 40. Through these partnership programs,
EPA is demonstrating that voluntary goals and commitments achieve superior environmental
results in a timely and cost-effective way.
With the advent of the year 2000,
Partners for the Environment maintains its
commitment to achieving improved
environmental results through creativity and
ingenuity. Partnership programs are
advancing the Agency's mission to protect
human health and the environment by making
significant contributions to:
"Afaso/ute/y key to ERA s success is forging strong
partnerships- businesses, communities,
environmentalists, public health groups, government
at all levels- pooling time, talent and resources to
find protective, common-sense, cost effective
solutions." - Carol Browner
• reducing emissions, pollution, and pesticide risk;
• conserving resources;
improving energy efficiency;
• saving money;
effecting institutional changes throughout business and industry; and
• serving as laboratories for testing new and innovative approaches to environmental
protection.
The Desk Top Guide is designed primarily for EPA employees who are considering
designing and/or implementing a new partnership program. It captures the best advice of staff
with several years of experience who have partnered with companies on a voluntary basis. You
are invited to use it as a guidance tool and reference document for building a sound partnership
program. More important, consider the Desk Top Guide as an open invitation to work with a
group of committed individuals who represent partnership programs in the Agency, the
Partnership Program Coordinating Committee (PPCC).
For a quick overview of Partners for the Environment, check us out at www.epa.gov/partners
The Role and Value of Partnership Programs
All Partners for the Environment programs strive to significantly impact environmental
problems through creative and innovative solutions. Partnering employs a distinct approach
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from that taken in our traditional capacity as a regulator. A 1999 characterization1 of partnership
programs found that Partners for the Environment address eight of EPA's ten strategic goals,
with pollution prevention often cited as a primary goal of most programs. Partnership programs
complement current regulations by providing an additional tool to motivate business, industry
and communities to improve their environmental performance voluntarily. They are not attempts
to circumvent traditional regulatory programs nor render the current regulatory system obsolete.
Partnership programs' strength lies in their flexibility to address complex environmental
problems in the context of a rapidly changing economy — where increased productivity comes
less from manufacturing advances and more from knowledge-based services. The emergence of
new environmental issues, a better informed public and the increasing importance of market-
based incentives for improving corporate environmental performance all significantly increase
opportunities for voluntary programs. The best partnership programs take advantage of these
trends to create powerful, effective environmental programs which advance the goals of both
private industry and the Agency.
Already, the benefits to partners and to the environment are compelling. Partners set
ambitious goals to conserve water and energy, and reduce greenhouse gasses, toxic emissions,
solid wastes, indoor air pollution and pesticide risk. In 1998, partners reported:
eliminating 7.8 million tons of solid waste;
saving nearly 1.8 billion gallons of clean water;
• preventing the release of 80 million metric tons of carbon dioxide, the primary pollutant
linked to global warming and the equivalent of removing 17 million cars from the road;
• saving 510 trillion BTUs of energy; and
saving $3.3 billion from their combined efforts to prevent pollution, increase efficiency,
and conserve natural resources.
Results like these clearly demonstrate the environmental and economic benefits of EPA's
partnership programs.
1Characterization of Selected EPA Partnership Programs, Final Report May 20, 1999.
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PART I
A FRAMEWORK FOR PARTNERSHIPS
Partners for the Environment and the
Partnership Program Coordinating Committee
Though partnership programs are housed throughout the Agency and Regions, they share
a common structure and framework. Understanding that structure will benefit you and your
program. Within it, there are different opportunities for participation - consultation, shared
problem-solving, education, collaboration - each with its own advantages to your program.
Partners for the Environment:
The Designation for Partnerships Agency-wide
EPA's partnership programs address a variety of environmental needs. Collectively, the
programs known as Partners for the Environment include voluntary partnerships between EPA
and external entities - primarily business and industry, but also governmental agencies,
environmental and public interest groups, communities and private citizens - aimed at achieving
improved environmental results. These cooperative relationships are:
voluntary, non-regulatory;
• mutually beneficial to all parties;
based on shared goals and joint responsibility;
interactive and reciprocal; and
• non-prescriptive.
In this document, the terms "partnership programs" and "Partners for the Environment"
are used interchangeably. Please note that both refer to partnership programs which match the
above definition and are part of the Partnership Programs Coordinating Committee.
Partnership Program Coordinating Committee:
A Support System for Partnership Programs
In 1995, the Partnership Programs Coordinating Committee (PPCC) was established to
encourage partnership programs to network and build an alliance in support of their unique
approach to environmental protection. It is staffed by people who work directly and indirectly
with partnership programs in both Headquarters and the Regions. Then-Deputy Administrator
Fred Hansen signed the Charter for coordination of EPA's partnership programs on August 8,
1998.2 The Charter establishes the roles of the PPCC, the Office of Reinvention (now the Office
2 See Appendix B: Charter for Coordination of EPA's Partnership Programs
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of Policy, Economics, and Innovation), and the Reinvention Action Council Advisors (RAC).3
Today, more than 40 partnership programs work through the PPCC to share lessons
learned and to jointly solve or raise common issues. Partnership representatives from all media
offices, OECA, ORD, and the 10 Regions serve on the PPCC. Members work together to:
• provide up-to-date information on partnership programs and their successes;
jointly market Fanners for the Environment programs;
• identify and address cross-cutting policy issues as needed and recommend options to the
RAC;
• review and provide advice to new partnership programs to ensure coordination and
consistent external communication; and
• prepare guidance on development, implementation and evaluation of partnership
programs.
The Office of Policy, Economics, and Innovation (formerly the Office of Reinvention) is
responsible for coordinating the activities of the PPCC. The Deputy Associate Administrator is
the permanent co-chair of the PPCC. Another senior EPA official, such as a Deputy Regional
Administrator or a Deputy Assistant Administrator, serves as co-chair on a rotational basis for a
two-year term. Co-chairs assign staff to support for the activities related to partnership programs
coordination. The Office of Policy, Economics, and Innovation:
provides day-to-day management of PPCC functions and maintains a central repository of
information on partnership programs;
coordinates with the PPCC to support new partnership programs;
serves as the initial Agency contact for general inquiries about partnership programs;
• identifies cross-cutting policy issues, assists the PPCC and RAC Advisors in resolution of
issues as needed, and involves or informs the RAC and AAs about partnership programs;
and
• encourages that partnership program evaluation be conducted and used to identify
improvements in how the Agency does business.
Collaborating with the Partnership Coordinating Committee:
Increasing Your Success
New endeavors at EPA tend to raise the question, "Is anyone else doing this?" Working
through the PPCC helps answer this question by providing immediate and easy access to Agency
staff working in partnerships and by providing information about whether or not other programs
are addressing similar environmental problems or reaching the same target audience. The
Fanners for the Environment charter, in fact, calls for all EPA partnership programs to be
represented on the PPCC. Offices with multiple partnership programs may have one
representative who takes the lead in maintaining a relationship with the PPCC, but all partnership
3 See Appendix B: Charter for Coordination of EPA's Partnership Programs
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program staff are encouraged to attend meetings. Many find it advantageous to hear and share
information first hand and attend the meetings regularly.
If you have not attended a PPCC meeting, contact the Office of Policy, Economics, and
Innovation (OPEI) and meet with the Partnership Program Coordinator, the primary contact for
partnership programs Agency-wide, to get information about upcoming meetings or events. You
can also discuss the key aspects of your program - desired outcomes, sectors/entities whose
actions your program seeks to affect, incentives used to encourage partners- to help orient your
program with the others in the Agency. The Partnership Program Coordinator can refer you to
other program managers doing similar work so you can best take advantage of the experience at
hand.
For more information on Partners for the Environment, check out our Web site at
www.epa.gov/partners. From there, you can link to all EPA individual partnership program
sites.
Benefits of Collaboration
The PPCC provides a forum for exchanging Agency expertise on partnership programs.
Three primary benefits of collaborating with the PPCC include cross-program learning, access to
experts, and leveraging resources.
Cross-Program Learning
Partnership programs are often laboratories for testing new ways of doing business.
Individually, programs address different environmental problems, but collectively they share
many of the same operational challenges and successes. For example, getting partners to report
results is difficult for everyone. Discussions concerning programs' data collection efforts and
strategies, or partners' responses, are typical conversations that surface in PPCC meetings.
Programs also share information and lessons learned about program evaluations and performance
measures, providing valuable teaching tools in these critical topic areas. A primary activity of
the PPCC, therefore, is fostering this type of cross-program learning among members.
Access to Experts
Many members of the PPCC have a long history with the partnering approach; others are
at earlier stages of program development. Access to a collective source of experience is valuable
for anyone considering a new partnership program. As existing programs mature, they routinely
share their successes and challenges with newer programs. Bringing your questions and ideas to
this group will expose you to a wide range of expertise in what works and what doesn't work
when using a partnership approach.
Leveraging Resources
Perhaps the most significant benefit of working together with fellow partnership
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programs is leveraging resources. For example, joint marketing both publicly and within the
Agency helps promote all of the partnership programs. The Office of Policy, Economics and
Innovation maintains a Web site with all the Partners for the Environment programs listed and
with links to individual Web sites. OPEI is also increasingly responding to inquiries about
partnership programs by linking potential partners with appropriate programs and by networking
across partnership programs to provide support to specific industrial groups. Being part of the
whole ensures that you, too, tap into and benefit from these resources.
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PART II
STARTING A PARTNERSHIP PROGRAM
Preliminary Steps to Creating a Partnership Program
EPA is increasingly using partnerships to improve environmental protection. But is a
partnership program the best solution for the environmental problem you face? Before
designing, creating or implementing any new initiative, there are many factors to consider. A
thoughtful review of the following questions should help you evaluate the pros and cons of
starting a new partnership program.
Q Do existing EPA programs or initiatives already address the issue you are exploring? If
so how does your proposal compare to the existing programs? How does it differ?
3 Is the issue covered under specific statutory or regulatory authority? On occasion your
program may have to explain its purpose based either on specific legislative authority or
on its ability to achieve the Agency's federal mandate. (Please see Appendix C for
important guidance from the Office of General Council regarding partnership programs).
Q Will you be targeting a specific industrial sector, such as print shops or auto repair
services? If so, what is the relationship between EPA and that sector? Is the relationship
one of collaboration or is it adversarial?
Q Have others expressed an interest in addressing the issue voluntarily? Often, trade
associations or even other federal agencies are working on the same issue.
Q Do stakeholders perceive this issue as high priority?
Q Does your target audience (prospective partners) perceive this issue as high priority? No
matter how important this is to your office, if it isn't important to the partner it isn't likely
to succeed as a voluntary activity.
G What are the incentives to encourage participation? There is no single motivator for
encouraging voluntary partnering. Each environmental concern and each target group
represents new opportunities for creativity and innovative approaches.
Thinking critically about these Agency-wide and external stakeholder questions
beforehand will help you determine whether or not a partnership program is likely to be effective
for achieving your goals and objectives. It is also important, however, to consider internal
support issues within your own organization. Specifically:
Q What are the incentives for you and your office to implement such a program?
Q What kind of resource commitment does it require and can you meet that commitment?
Q Do you have support of middle and senior management?
G Do you have support of your colleagues?
Failing to consider these support issues may cause significant obstacles in starting a new
program. This is not meant to dissuade you, but rather to encourage all employees to recognize
how these issues affect your daily work. These questions should serve as catalysts for you to get
senior management on board from the beginning and to encourage you to do some internal
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lobbying before proceeding.
If you do conclude that a partnership program is advantageous and has internal support,
there are a number of steps to take to ensure that your program is created with the greatest chance
for success. The first step is to consult with the PPCC (See Part I.) This will allow you to
benefit from cross program learning, access to expertise, and leveraging of resources. In short, it
will allow you to take advantage of the wealth of knowledge available concerning partnership
programs.
The next step is to think about program design. In May 1999, OAR published a
Characterization of Selected EPA Partnership Programs that helpfully outlined all partnership
programs based on the following criteria:
• Primary Environmental Objective
• Key Desired Outcomes
• Key Sectors/Entities Whose Actions the Program Seeks to Effect
• Key Incentives
Key Methods the Program Uses to Encourage Desired Actions
EPA Strategic Goals Promoted
* Program Elements
If you consider the legal and design issues below, you will address these criteria and lay the
ground work for an effective program that is likely to succeed.
Legal Considerations
Partnership programs must meet the letter of the law that guides EPA's mission and the
relationship that is built between EPA and members of the public. As you consider the design
suggestions laid out below, be aware of the legal guidelines that are also a critical part of your
success. Become familiar with these several areas of concern:
• Legal Authority to Undertake the Program
• Federal Advisory Committee Act (FACA)
• Legal Limitations or Restraints on Budget
• Partner Agreements
Promoting Partnerships
It is important to review Appendix C for further explanation about each of these areas.
Contact the Office of General Counsel for guidance on specific questions you may have.
Designing a Program
So how do you start? Where do you start? Program success depends upon clear goals
and objectives from the outset coupled with reliable methodologies for measurement and
evaluation over the long term. Stated simply, know where you are now, where you are going,
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how you are going to get there, and how you will know once you have arrived. Here are 10
helpful steps to designing a successful program.
1. Identify the Problem
2. Involve Stakeholders
3. Identify Partners
4. Establish Program Goals and Objectives
5. Choose a Program Approach
6. Build in an Evaluation Process
7. Determine Incentives and Benefits of Participation
8. Scope out a budget
9. Develop a communication strategy
10. Prepare an exit strategy
1. Identify the Problem
Clearly state the problem you are trying to solve. Is the problem one of poor environmental
performance on the part of a certain sector or is it a specific environmental impact that needs to
be addressed? Is there a geographical area that needs particular attention? Once you identify the
problem, you can start to strategize about how to solve it, whom to target, and what approach to
take. Framing your program around a well-defined problem will allow you to better design and
implement your program, as well as clearly communicate your mission to others. The problem
statement should be the "constant" to which you can always return to benchmark your progress
and results, e.g., the "variables."
"When we were designing the program initially, we
took several design options on the road and
discussed the options with stakeholders. These
conversations were very useful; we based our
decisions in many cases on what we learned from
them. Having a few potential partners willing to do
this earfy on may help pave the way for quicker
success." Partnership Program Staff
For example, as supplies shrink and
demands rise, competition among industrial,
agricultural and domestic uses for available
water resources rises. Through the Water
Alliances for Voluntary Efficiency (WAVE)
program, EPA seeks to ensure that adequate
U.S. water resources remain available to
support both human and environmental
needs. The WAVE program protects the
environment and sustains wildlife habitats by
reducing water use, wastewater discharges, and energy use. Less wastewater and reduced
consumption mean less energy is needed to heat, pump, and process water. This translates into
both water and energy savings. Thus, WAVE addresses the problem of resource conservation
with technical support that enables firms to improve water and energy efficiency.
2. Involve Stakeholders
EPA has learned a tremendous amount in recent years about the value and benefit of
involving outside parties to participate in decision making processes- in particular, those parties
that stand to be most affected by EPA decisions- our stakeholders. As the Agency moves toward
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increasing the opportunities and quality of stakeholder involvement at EPA, we are growing to
rely on stakeholder input as an integral component in defining and developing new programs. In
doing so, the Agency must be careful to comply with the Federal Advisory Committee Act
(FACA).
Our stakeholder community extends well beyond commonly thought of industry partners.
Many partnership programs seek support from trade associations, state and local governments,
and professional organizations. The Landfill Methane Outreach Program (LMOP), for example,
forms partnerships with individual states to lower barriers and increase opportunities for landfill
gas energy recovery. Although LMOP's official partners are states, the LMOP network includes
alliances with utilities, the landfill gas-to-energy industry, and trade associations. Although
perhaps not obvious at first glance, these key players are all stakeholders with vested interests in
the impacts and outcomes of the program.
The Environmental Technology Verification Program (ETV) also relies heavily on
stakeholder involvement. ETV is carried out through a wide variety of partnerships with public
and private testing and evaluation organizations, each guided by the expertise of a stakeholder
group. These groups consist of buyers and users of technology, developers and vendors, state
and federal regulatory personnel, and consulting engineers. ETV stakeholder groups assist in
developing policies and procedures, prioritizing types of technologies to be verified, and
designing and implementing outreach activities to the verification customer groups they
represent.
Critical thinking about stakeholders, therefore, involves being cognizant of FACA and
considering not only those directly involved or affected by your program, but also those who
have an impact on your potential partners, or the indirect stakeholders. Including all relevant
parties requires a little bit of ingenuity and a lot of public outreach. It challenges us to think
"outside our box" and consider all perspectives on a given issue.
Consumer Labeling Initiative: The Importance of Building Trust
The Consumer Labeling Initiative (CD), is an effort to put consumers' needs first by helping
customers find, read, and understand labels and information so that they can compare household
products and use those products safely and effectively. When the initiative started, industry assumed
that EPA wanted to issue a new rule, so they were hesitant to engage with CLI staff. CLI did not
require new laws, however. Rather, it aimed to benefit consumers with improved and increased
communications with responsible corporations and citizens. After the initial misunderstanding, CLI
realized that their challenge lay in anticipating misconceptions and then figuring out the fastest way to
convey the right message. They spoke to large corporations on their terms; proving that consumers
would be happier and company's bottom lines would be improved as a result of CLI. As soon as CLI
got this message across, the big companies jumped on board and trade associations followed closely
behind. Three years later, CLI has replaced suspicion and recalcitrance with collaboration and built
mutual trust among stakeholders.
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3. Identify Partners
To actively engage and encourage partners' participation, you must clearly define your
target audience. Put simply, make sure the right people are at the table. One way to think about
your target audience is to think categorically. Some programs work with partners in specific
sectors or subsectors, such as agriculture or electronics. Others target partners that share certain
characteristics like small businesses, waste generators, or communities. Still others choose
partners based on a specific environmental issue, such as greenhouse gas emissions or solid
waste disposal, or on an expected response to a certain kind of incentive or approach.
Thinking categorically, a program addressing urban sprawl, toxic release, or pesticide risk
might target the sector or group which has the greatest impact or poses the greatest threat to that
issue. The Pesticide Environmental Stewardship Program (PESP) employs this approach.
Conversely, AgStar and the State and Local Outreach Program first identify their target audience
(dairy and swine operations or local governments) and then design their program around
audience needs. Whatever your approach, certain rules of thumb pertain to all programs.
r'' Know and research your target audience: Do your homework and get some background
information on your prospective partners beforehand.
•" Offer incentives accordingly: Incentives offered too broadly often lose their impact, while
programs targeting hostile or uninterested partners are handicapped from the beginning,
regardless of their incentive
•^ Understand your partner's motives: Know your prospective partners' high priority
concerns. Understand if and why partners want to participate. Are their motives financial?
Are they looking for public recognition? Are they eager to keep the regulatory community
off their back?
•^ Gauge partner interest: Has the target audience come forth voluntarily or are you doing a
lot of pushing and prodding trying to sell them on your idea?
•/ Facilitate open and effective communication: Positive and constant interaction throughout
the entire process is crucial to successfully engage partners and sustain productive
relationships.
These practical considerations, taken together, will maximize transparency with partners
about program goals and objectives and facilitate open and effective partnerships.
4. Establish Program Goals and Objectives
It is crucial to establish goals and objectives, preferably quantitative ones. The Agency is
increasingly striving toward more vigorous program evaluation and increased use of performance
measures. Rather than setting your goals in terms of outputs, such as the number of partners
participating, think about outcomes, such as dollars saved, emissions reduced, or tons of solid
waste eliminated from the waste stream. As the Agency now measures performance based on
GPRA criteria, be sure to maintain a results-oriented focus.
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5. Choose a Program Approach
Each partnership program incorporates its own unique program design or approach into its
framework. The Characterization of Selected EPA Partnership Programs provides commonly
used program designs. In practice, programs mix and match approaches, using a variety of tools
and incentives to accomplish program goals. These different approaches provide elements of
design, or "building blocks," for individual programs. You may choose to incorporate any or all
of the following approaches into your program design.
* Provide recognition and awards: Recognize environmentally positive practices and
achievements, and conduct national, state and local award ceremonies and recognition
programs. Be mindful of Agency guidance on the use of appropriated funds for awards and
ceremonies. (Climate Wise, Waste Wise, Pesticide Environmental Stewardship Program)
• Promote outreach and education: Improve access to and flow of information among
decision makers; improve the quality and quantity of information generated; provide
technical and educational assistance. (Adopt your Watershed, Environmental Accounting
Project)
• Enable cost savings: Promote practices and technologies that shift to more environmentally
beneficial and cost-effective products or processes, or reduce operation and compliance
costs directly. (Water Alliances for Voluntary Efficiency, Design for the Environment)
• Facilitate market transformation: Sustain change in inefficient markets by increasing
supply and demand of energy efficient equipment and labels or develop public preference
for environmentally friendly products and services. (Energy Star)
* Promote environmental stewardship: Encourage environmental improvements that extend
beyond actions required by law or maintained as status quo; influence decision making by
encouraging partners to "do the right thing" for environmental protection. (Pesticide
Environmental Stewardship Program)
• Build capacity: Help partners with limited know-how identify and characterize problems,
set priorities, develop action plans, or connect with other interested parties. (State and
Local Outreach Program)
• Advance new technology: Test new technologies and promote proven ones by removing
economic and technical barriers; promote increased use of new pollution prevention
technologies to supplement or replace existing ones. (Environmental Technology
Verification, AgStar)
* Provide regulatory flexibility: Offer regulatory, policy, or procedural flexibility to regulated
parties in order to achieve better environmental results. (Project XL)
6. Build Evaluation Into the Process
"In WasteWise, we live or die based on our ability to deliver credible, numerical measures of
progress. As a result, we spend enormous amounts of time trying to design measurements
that are meaningful and to which our partners will respond. " -Director, Waste Wise
Evaluation is important because it allows you to assess the effectiveness of your program,
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it demands accountability from partners and EPA staff, and it lets you communicate your
achievements to others. EPA's increased emphasis on flexible, cooperative and performance-
based management necessitates better and more rigorous evaluation. Quantifiable goals are
desirable because they make benchmarking possible, they promote competition and they drive
continuous improvement.
Evaluation isn't always easy, however. It requires us to set priorities, define our universe,
normalize data and verify our reporting and testing techniques. There is room for
misinterpretation and worse, miscalculation. But nothing is impossible! At first, use consensus
building to define measures. Keep the effort simple and small in the beginning; the evaluation
process will gradually grow to include more complex and holistic measures. Consider using
tools such as the Global Reporting Initiative (GRI)4 from the Coalition for Environmentally
Responsible Economies (CERES)5 to come up with environmental indicators.
Remember that results are critical to engage senior management, secure discretionary
funding and gain recognition. Supervisors respond to numbers and the best way to measure and
communicate program success is through quantitative measurement. This short list of steps can
serve as a starting point in your evaluation process:
• Set baselines from which you can measure all future success (i.e., evaluate the situation at
the beginning so you can measure improvements);
• Set quantifiable goals
• Create benchmarks or milestones to gauge your progress along the way;
• Use performance measures (consider outcomes rather than outputs). Environmental
benefits and cost savings are examples of two such measures.
7. Determine Incentives and Benefits of Participation
When meeting with stakeholders, take time to learn what is important and valuable to them
as a group so that your program can be designed with partner-identified motivators in mind.
Creativity and innovation play an important role in designing a program that not only benefits the
Agency, but also entices prospective partners to join in a cooperative role with a regulator.
As you determine what kind of incentives to
build into your program, balance the incentives or
benefits provided to partners according to the action
The Metal Finishing Goals Project
found that accessible, easy to
understand compliance information
about their sector was not available.
They have since produced a plain
language compliance manual to be kept
The Global Reporting Initiative, convened by CERES^^sj^ifj^^aJ^^ifteligfo
globally applicable guidelines for preparing enterprise-level sup^gafej^ ffigft|gers>ecrhis manual
www.slobalreportmg.org/ proved to be an excellent tool and one
of the best benefits to come out of the
industry's partnership with EPA.
5 CERES is a non-profit coalition of investors, public pension funds, foundations, labor unions,
and environmental, religious and public interest groups, working in partnefslnpMvitncompaniestowanr
the common goal of corporate environmental responsibility worldwide. See www.ceres.org/
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undertaken. For instance, you might host a public recognition ceremony for a business that has
reached exceptional environmental goals, but simply offer a certificate of acknowledgment for
partners who have taken a first step toward program commitments.
To increase your understanding of using incentives, it will be useful to consult a report
titled, Using Incentives in EPA Programs,6 developed by a cross-Agency work group, to help
Agency staff better understand the use of incentives in EPA's regulatory and non-regulatory
programs.
8. Scope Out a Budget
A 1999 survey showed that budgets for partnership programs range from $150,000 to just
over $1 million. Many programs spend a significant percent of their budgets on contractor
assistance to manage data bases or produce marketing and outreach materials. Some items to
consider when you develop a budget for partnership programs include:
/ What size staff will be required to get started and to adequately implement your program?
y' What is the Agency's and the partner's cost, if any, of the incentive(s) you are offering?
/ Will a data base be required to adequately manage partner information and
communications?
S What types of outreach are needed to promote the program?
/ Will a Web site be created and if so, what is the cost of developing and maintaining it?
/ How will you budget for the cost of evaluation?
/" Is contractor support necessary?
Partnership programs participating in the PPCC all face budgetary challenges. Conferring
with them may give you insight to answer these questions and help in your initial budget
preparation.
9. Develop a Communication Strategy
Communications strategies target many areas, such as recruitment or promotion of new
EPA programs. Initially, your communications may be aimed at recruiting partners. Consider
all available channels of outreach - trade associations, meetings, conferences, direct mail, Web
sites, list servers, satellite broadcasts, etc. Once partners start signing up, you will need to
maintain contact with them to keep them up-to-date on program information and to ensure their
level of enthusiasm remains high. Personal contact and word of mouth figure prominently in
creating interest in programs, so fostering strong relationships with current partners can lead to
new contacts for potential partners. Web sites, list servers, and newsletters all help keep the
partner network alive.
Partnership programs invest on average about 20 percent of their budget on marketing.
' See Appendix D
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Many develop logos and symbols to create visual icons or use a consistent set of colors to create
a memorable look. Name recognition and recall are especially important when you rely heavily
on word of mouth. Professional marketing assistance is an asset and one to be seriously
considered at some stage of program maturity. A label recognizing energy efficiency, for
example, makes a strong case for Energy Star products.
Of course, one of your most difficult audiences may be the one in your own backyard -
EPA staff. Getting internal recognition for work that is not part of EPA's traditional approach is
a challenge to partnership programs. Seek opportunities to tell your story, share your success
and market your program at staff meetings and in offices where you can leverage resources to
improve outreach. Be sure to highlight any program evaluation results or summaries of
environmental results to communicate your message to fellow EPA staff.
10. Preparing an Exit Strategy
Trying to envision the end goal will provide a helpful road map as your program grows and
develops. Will your program always exist? Is its goal finite so that someday you can reach an
end point and declare success? Is your mission ongoing and adaptive to the needs of the present?
Preparing an exit strategy (or purposefully deciding not to use one) is a step rarely taken in
program design, but it can be a beneficial part of the planning process.
There are two exit strategies to consider. One is for partners who successfully meet their
goals and another is for the program as a whole.
Initially, you will drive hard to get a considerable number of partners to participate in your
program. Mature programs see that different strategies are needed for different types of partners,
such as for those who have achieved their goals and for those who are still struggling. Once a
partner reaches their goal, will you retain them as a partner? For what purpose? Is there a role
for the achievers in your program? For those who sign up but don't act, how long will you carry
them on your rolls? There are no right answers for these questions, but they are important to ask
and perhaps easier to answer in the beginning of the process rather than at a crucial point
requiring a decision.
IN CLOSING
There is no single definition specifying who or what a partnership program is. In fact,
Partners for the Environment depends on diversity, flexibility, and entrepreneurship. That said,
it is important to remember that many programs do share some distinct commonalities. We aim
to voluntarily improve environmental performance and results of business, industry and
communities and carry out our programs in ways that assure compliance with applicable laws
and regulations, (even when compliance makes our programs a bit more complicated). We
commit to setting clear and quantifiable goals and to measuring how we do in meeting those
goals. And lastly, we are in a continuous process of learning and self-improvement, looking
within and outside the Agency to tap into some of the best thinking about emerging
environmental issues and strategies for tackling those issues.
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As you process the information in this guidance, we hope to have answered questions about
the nuts and bolts of partnership programs. More than likely, we have raised more questions than
we have answered, but those questions are the ones that will steer you toward creating a
successful and sustainable partnership. We encourage you to bring those questions (that we
couldn't or didn't anticipate) to the PPCC, and we will work with you to ensure that the expertise
and experience ofPartners for the Environment is shared and used for the benefit of all.
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APPENDICES
APPENDIX A
Examples of different ways partnership programs approach environmental problem solving.
Programs that address non-regulated environmental concerns:
Climate Wise is encouraging companies to change their thinking about energy use and
efficiency. As part of the nation's Climate Change Action Plan, Climate Wise has partnered
with nearly 500 companies, representing more than 1.4 percent of US industrial energy use.
Under the program, companies evaluate all aspects of their operations to identify opportunities
to increase energy efficiency and reduce greenhouse gas emissions. Collectively, Climate Wise
partners have committed to reducing 620,000 metric tons of emissions, the equivalent of taking
2.2 million cars off the road.
Programs that achieve environmental performance beyond that required in regulated areas:
The Pesticide Environmental Stewardship Program (PESP) operates on the premise that while
society benefits from pesticides, some pesticides also present risks. PESP is working to reduce
pesticide use and risk through a combination of innovative approaches to integrated pest
management, annual grant awards, educational outreach, and development of predictive models
and information management systems that ensure effectiveness of pesticide applications.
Programs that explore innovative ways to collaborate with partners to address environmental
problems:
Design for the Environment (DfE) helps selected industry sectors incorporate environmental
considerations into their operations. Through partnerships with various industry sectors and
stakeholders, DfE evaluates environmentally friendly alternatives to current processes and finds
incentives to encourage continuous environmental improvement. New information is gained
and shared on the environmental, economic, and performance implications of traditional and
alternative manufacturing methods and technologies.
Programs that promote environmental stewardship through pollution prevention
Natural landscaping, a Region 5 initiative, prevents pollution, enhances biodiversity and
encourages sound ecological practices through natural landscaping- the use of plants native to
the region at the time of European settlement in North America. EPA promotes the use of
native plants whenever practicable in landscape projects. Natural landscaping has numerous
advantages over conventional turf lawns, including reduced landscaping installation and
maintenance costs; avoidance of lawn chemicals; improved habitat and water management;
aesthetic benefits; and environmental stewardship.
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APPENDIX B
MEMORANDUM
Partnership Programs Charter and Cover Memorandum
SUBJECT: Coordination of EPA's Partnership Programs
FROM: Fred Hansen
Deputy Administrator
TO: Assistant Administrators
Regional Administrators
Associate Administrators
General Counsel
Inspector General
EPA's partnership programs are producing significant environmental results. More than 6,000
partner industries and communities voluntarily prevent pollution and conserve valuable resources while
also saving money. Throughout headquarters and regions, partnership programs are providing a
cooperative, non-regulatory means for meeting environmental goals.
The Reinvention Action Council (RAC) has recommended, and I concur, that through the day-to-
day management of the Office of Reinvention (OR), the Partnership Programs Coordinating Committee
(PPCC) will continue coordination among the partnership programs with senior-level support and advice
from a subgroup of the RAC. A charter setting out the functions and responsibilities for coordination of
the Agency's partnership programs is attached. Specifically, the charter:
• reinforces the Office of Reinvention's responsibility for management of the PPCC;
• establishes a subgroup of the RAC to serve as advisors for the partnership programs;
• requires all Agency partnership programs to be represented on the PPCC;
• requires AAs/RAs with multiple partnership programs to designate a lead representative responsible
for insuring coordination and providing necessary information;
requires new or developing partnership programs to consult with the PPCC and OR prior to program
launch; and
• directs PPCC development of evaluation guidance and its use by the programs-
Please review your office's or region's staff participation in the PPCC and designate a
representative from each of your programs to the PPCC. In addition, offices and regions with multiple
programs shall designate a lead representative to the PPCC. Please submit the names of your
representatives to Rebecca Nachtrieb (202/260-7423), the OR partnership programs coordinator, by
August 14, 1998.
Attachment
cc: Carol Browner
Deputy Assistant Administrators
Deputy Regional Administrators
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Charter for Coordination
of
EPA's Partnership Programs
PURPOSE
This charter establishes an operating structure for internal coordination and communication
related to EPA's partnership programs. Coordination among EPA's partnership programs is
conducted by the Partnership Programs Coordinating Committee (PPCC) and the Reinvention
Action Council (RAC) Advisors (a subcommittee of the RAC), and is managed by the Office of
Reinvention (OR).
EPA's partnership programs work with external partners to demonstrate that voluntary goals and
commitments achieve real environmental results in a timely and cost-effective way. Through its
array of partnership programs, collectively referred to as Partners for the Environment, EPA
works cooperatively with industry and others to effect long-term institutional changes. The
partnerships result in improved public health and environmental protection and are mutually
beneficial by preventing pollution at lower costs.
SCOPE
Role of the PPCC
The Partnership Programs Coordinating Committee (PPCC) will be responsible for coordination,
communication, marketing, measurement, identification and evaluation of cross-cutting issues,
and development of policy and implementation guidance. The PPCC fosters coordination and
internal communication among partnership programs, avoids duplication of efforts and services,
improves resource utilization, and promotes common approaches to evaluation and performance
measurement. It also provides a means to consolidate the Agency's message and market the
programs in a way that reduces confusion about the number, scope and purpose of partnership
programs. Specifically, the PPCC will:
• provide up-to-date information on partnership programs and their successes;
• jointly market Partners for the Environment programs;
• identify and address cross-cutting policy issues as needed and recommend options to the
RAC Advisors;
• review and provide advice to new partnership programs to ensure coordination and
consistent external communication; and
prepare guidance on development, implementation and evaluation of partnership
programs.
Role of OR
The Office of Reinvention (OR) will oversee policy on partnership programs and facilitate both
policy and coordination issues. Specifically, OR will:
• provide day-to-day management of PPCC functions and maintain a central repository of
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information on partnership programs;
• coordinate with the PPCC to support new partnership programs;
• serve as the initial Agency contact for general inquiries about partnership programs;
• identify cross-cutting policy issues, assist the PPCC and RAC Advisors in resolution of
issues as needed, and involve or inform the RAC and AAs; and
• ensure that evaluations are conducted by the partnership programs and reviewed for
improvements in how the Agency does business.
Role of RAC Advisors
The RAC Advisors, a subcommittee of the Reinvention Action Council (RAC), will assist OR
and the PPCC by providing senior management advice and guidance on partnership programs
policy and coordination issues. The RAC Advisors will:
• be advocates for the partnership approach;
• identify and frame major cross-cutting issues, deciding whether the PPCC, OR, the RAC
Advisors or another office will be responsible for analysis and recommendations;
• make decisions or elevate partnership program policy or management issues;
• ensure timely and effective implementation of policy decisions by the partnership
programs and the RAC; and
• ensure that the RAC makes resources available to conduct activities to promote and
improve partnership programs.
Composition
All partnership programs are required to be represented on the PPCC. Offices/Regions with
multiple partnership programs shall designate a lead representative responsible for insuring
coordination and providing information. Programs may also be represented on the PPCC by
national partnership program directors. The Deputy Associate Administrator for Reinvention
Policy is the permanent co-chair of the Partnership Programs Coordinating Committee. Another
senior EPA official, such as a Deputy Regional Administrator or a Deputy Assistant
Administrator, serves as co-chair on a rotational basis for a two-year term. Co-chairs will
provide staff support for the activities related to partnership programs coordination.
The RAC Advisors shall have no more than six members and shall include representation from
Regions and Headquarters Offices that support several partnership programs. The Deputy
Associate Administrator for Reinvention Policy will be a permanent member of the RAC
Advisors; all other members will serve for a term of two years and may be reappointed by the
Associate Administrator for Reinvention.
MEETINGS
The PPCC shall meet monthly to conduct its business. Work groups and subcommittees of the
PPCC shall meet as needed. The Co-Chairs or their designee shall attend the PPCC monthly
meetings and shall meet with PPCC members and subcommittees as needed. The RAC Advisors
shall convene as necessary upon the request of the Co-Chairs, the PPCC and/or OR.
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DURATION
Coordination of EPA's partnership programs will be needed on a continuing basis as determined
by the Administrator or Deputy Administrator. This charter shall be reviewed five years after
approval.
8/10/98
Fred Hansen, Deputy Administrator /s/
Date
U.S. EPA Headquarters Library
Mail code 3201
1200 Pennsylvania Avenue NW
Washington DC 20460
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APPENDIX C
Guidance from the Office of General Council
Partnership programs, though not legislated, must still follow the laws, rules, and codes
of conduct that guide how federal programs are administered. A representative from the General
Council's office sits on the Partnership Program Coordinating Committee and assists with advice
on the processes used to implement programs. The following guidelines are meant to raise your
awareness of particular areas that pertain to partnership programs. Please consult with Jim
Drummond of OGC (drummond.janies@EPA.gov)if you would like more details on the
information presented below.
Legal Authority to Undertake the Program
EPA has broad authority to cooperate with the private sector to protect the environment.
However, there are limits, particularly when financial arrangements with private parties are
involved, that you may need to keep in mind. Some of these limitations are governed by the
Federal Advisory Committee Act (FACA; P.L. 92-463). Others are driven by the rules
that govern ethics or can be found within Agency policy.
Considering the Federal Advisory Committee Act (FACA)
FACA rules apply to specific situations when we establish a group of stakeholders to advise the
Agency on how we get our work done. The Science Advisory Board is perhaps the best know of
the FACA committees in the Agency. As partnership programs engage the public during the life
of the program, certain precautions may be necessary to comply with the rules of FACA. For
example, you may ask your stakeholders for individual input on what is important to them, but
you cannot establish a group and ask for a group opinion on what EPA should do or what kinds
of policies EPA should implement to respond to their needs. There are often FACA concerns
when dealing with outside parities for advice. If you have any doubt about the approach you are
taking, contact OGC for expert advice.
Legal Limitations or Restraints On Budget
Recognition and Awards
You must be mindful of the legal limits on the use of appropriated funds for awards and award
ceremonies and agency policies encouraging prudent stewardship. At the time of this writing,
the Pollution Prevention Act provides the broadest authority under which the Agency gives
awards and recognition to companies. Delegation of Authority 1200 TN-489: 1-111. Awards for
Source Reduction Programs under the Pollution Prevention Act
(http://intranet.epa.gov/rmpolicy/ads/dm/masterto.htm) is your reference to what is allowed
under the Pollution Prevention Act and the recommendation for expenditures on awards.
In addition to this Agency guidance, it is recommended that costs related to ceremonies are held
to a reasonable level and that prudent stewardship of public funds is practiced.
Financial Arrangements with Partners
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Be aware of legal limitations on the Agency's ability to accept donations of funds, goods and
services from outside parties. EPA cannot improperly "augment" its appropriations through
contributions from partners. There may be occasions, however, where a partnering company may
wish to sponsor a reception prior to an awards ceremony. This is possible under certain
circumstance. Check with OGC for clarification.
Use of Grants and Cooperative Agreements
Many partnership programs use grants or cooperative agreements to seed the goals they are
working to promote. Take care to ensure that any financial arrangements with partners are
proper legally and are conducted in an arms length, business like manner. For example, when
EPA enters into cooperative agreements to provide financial assistance to its partners, the
Agency must comply with the Federal Grants and Cooperative Agreement Act.
The Agency can collaborate with a recipient in carrying out the funded project. However,
cooperative agreements cannot be used to obtain services for the direct use or benefit the
Agency.
Partner Agreements
Some of the Agency's most effective partnership programs enter into Memoranda of Agreement
with their partners to structure and memorialize the cooperative nature of the venture. These
agreements are not legally required. However, they can be an effective means of ensuring that
the Agency is not vulnerable to a future claim for compensation that may violate the "voluntary
services" provision of the Anti-Deficiency Act.
Promoting Partnerships
Marketing efforts must not run afoul of the "publicity and propaganda" restriction that applies to
the use of appropriated funds. In addition to applying to "grass roots" lobbying on pending
legislation, this restriction applies to "self aggrandizement" or "puffery" which promotes the
Agency. It does not apply to informational activities intended to inform the public about Agency
partnership programs.
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APPENDIX D
Bibliography and Resources
Aiming for Excellence
EPA Document 100-R-99-006
Online. Available. http://www.epa.gov/reinvent/taskforce/report99/
Better Decisions Through Consultation and Collaboration
To be published in the first quarter of 2000
http://www.epa.gov/stakeholders
Boosting Your Bottom Line (a marketing brochure for Partners for the Environment)
EPA Document 100-R-OO-OOl
Call 202/260-6135 to request a copy
Catalogue of the Agency's Partnership Programs
EPA Document 100-B-07-003
Online. Available, http://www.epa.gov/partners/resources.html
Characterization of Selected EPA Partnership Programs
Final Report, May 20, 1999
Call 202-260-6135 to request a copy.
Compliance Screening for EPA Partnership Programs
April 5,1999
Online. Available, http://www.epa.gov/partners/resources.html
Constructive Engagement Resource Guide: Practical Advice for Dialogue Among Facilities,
Workers, Communities and Regulators
EPA Document 745-B-00-008
Taking Stock of the Future: A Management Review of Partnership Programs at EPA
August 31, 1999
Call 202-260-6135 to request a copy.
Using Incentives in EPA Programs
March 2000
Call 202-260-6135 to request a copy.
Project XL Stakeholder Involvement: A Guide for Project Sponsors and Stakeholders
EPA Document 100-F-99-001
Online. Available. http://www.epa.gov/projectxl/xlimpr_b.htm
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APPENDIX E
Partners for the Environment: Participating Programs
Adopt Your Watershed
Encourages and facilitates citizen involvement in local watershed protection activities.
202-260-1956 (800-832-7828) www.epa.gov/adopt
AgStar
Promotes cost-effective methods for reducing methane emissions at dairy and swine operations
through improved manure management. 202-564-9041. 800-95AGSTAR (800- 952-4782)
www.epa.gov/agstar
Climate Wise
Reduces industrial greenhouse gas emissions and energy costs through comprehensive pollution
prevention and energy efficiency programs. 202-260-4407. 800-459-WISE
www.epa.gov/climatewise
Coalbed Methane Outreach
Encourages profitable recovery and use of methane liberated from coal mines by helping identify
viable technologies, markets and finance sources. 202-564-9468. www.epa.gov/coalbed
Consumer Labeling Initiative
Makes health, safety, and environmental information on household product labels easier for
people to find, read, understand and use, and encourages people to "Read the Label First!" before
buying using, or disposing of products. 202-260-7768. www.epa. gov/oppintr/labeling
Design for the Environment
Helps business incorporate environmental considerations into the design of products, processes,
and technical management systems. 202-260-1678. www.epa.gov/dfe
Energy Star
Maximizes energy efficiency in commercial, industrial, and residential settings by promoting
new building and product design and practices. 888-STAR-YES (782-7937).
www.epa.gov/energystar
Environmental Accounting
Increases business understanding of environmental costs and incorporation of these costs into
routine operations. 202-260-3844. www. epa. gov/oppintr/acctr
Environmental Technology Verification
Accelerates the entrance of new environmental technologies into the marketplace by verifying
the performance of innovative technologies to problems that threaten human health or the
environment. 202-564-3212. www.epa.gov/etv
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Green Chemistry
Promotes the design of chemical products and processes that reduce or eliminate the use and
generation of hazardous substances. 202-260-3960. www.epa.gov/dfe/greenchern
Indoor Air Quality
Promotes simple, low-cost methods for reducing indoor air quality risks. 202-564-9733.
www.epa.gov/iaq
Landfill Methane Outreach Program
Reduces methane emissions from landfills by installing products to capture gases and produce
electricity, steam, or boiler fuel. 202-564- 9797 www.epa.gov/lmop
Natural Gas STAR
Encourages natural gas industry to reduce leaks through cost-effective best management
practices. 202- 564-9736 www.epjugov/gasstar
Pesticide Environmental Stewardship Program
Promotes integrated pest management and reduces pesticide risk in agricultural and
nonagricultural settings. 800-972-7717. www.pesp.org
Ruminant Livestock Efficiency
Reduces methane emissions from ruminant livestock operations. 202-564-9043.
www.epa.gov/rlep
State and Local Outreach
Reduces greenhouse gas emissions from states and local communities by empowering officials
with information and technical assistance. 202- 260-4314 www.epa.gov/globalwarming
Voluntary Aluminum Industrial Partnership
Reduces perfiouorocarbon gas emissions from aluminum smelting. 202-564-9044.
www.epa.gov/vaip
Waste Minimization National Plan
Reduces persistent, bioaccumulative, and toxic chemicals in hazardous waste. 703-308-8489
www.epa.gov/wastemin
WasteWise
Reduces business and solid waste through prevention, reuse and recycling. 703-308-8755
(800-EPA-WISE) www.epa.gov/wastewise
WAVE (Water Alliances for Voluntary Efficiency)
Promotes water efficiency in hotels, schools, universities and office buildings. 202-260-7288.
www.epa.gov/owm/genwave
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U.S. EPA Headquarters Library
Mail code 3201
1200 Pennsylvania Avenue NW
Washington DC 20460
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