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1	UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
*	WASHINGTON, D.C. 20460
PRO^C
THE ADMINISTRATOR
Thank you for your interest in the U.S. Environmental Protection Agency's
National Environmental Performance Track.
Performance Track is a voluntary public-private partnership that encourages
continuous environmental improvement through the use of environmental management
systems, local community involvement, and measurable results. Through Performance
Track, EPA recognizes and rewards businesses and public facilities that demonstrate
strong environmental performance beyond current requirements. While building a
collaborative relationship with EPA, Performance I rack participants realize
environmental results beyond what could be achieved through regulation and
enforcement alone.
Program members demonstrate in their daily business operations that economic
prosperity and environmental protection can go hand in hand. Clearly, superior
environmental performance is valuable not only to a company's good name and
reputation but also to the nation's success in making our air cleaner, our water purer, and
our land better protected for future generations.
I invite you to learn more about this innovative partnership program, and I
encourage you to consider applying for membership. Thanks to the National
Environmental Performance Track Program, hundreds of top-performing facilities around
the country are already earning the recognition and rewards they deserve. By joining
them, you can too.
Christine Todd Whitman

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Contents
Introduction	2
Section A. National Environmental Performance Track Entry Criteria	3
1.	Environmental Management System (EMS)	3
2.	Demonstrated Environmental Performance and Commitment to
Continued Improvement	4
3.	Public Outreach and Performance Reporting	6
4.	Record of Sustained Compliance with Environmental Requirements	7
Section B. Implementation	8
1.	Application and Notification Process	8
2.	Continued Compliance	9
3.	Protocol for Site Visits	9
4.	Annual Performance Report	9
5.	Removal from Performance Track	10
Section C. The State Role and Relationship	11
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Introduction
The National Environmental Performance
Track (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 performance and management
that benefit people, communities, and the environment.
Our system of environmental protection continues
to evolve. There is a growing recognition that govern-
ment 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 technological 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. Performance Track builds upon the lessons
EPA has learned from several state leadership programs
and from its own efforts, such as the Common Sense
Initiative, Project XL, Environmental Leadership
Program, and EPA Region Is Star Track program. We
learned that innovations in environmental management
can be used to create strategic business opportunities
and advantages while maximizing the health and pro-
ductivity of our ecosystems and communities. We
learned the importance of keeping innovation pro-
grams 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 recognizes innovation, moti-
vates others to improve, and complements existing
regulatory activities. It has been designed so that cri-
teria for participation are proportional to the benefits.
It encourages participation by small, medium, and
large facilities. It also emphasizes the importance of
effective state/EPA partnerships and the need to inform
and involve citizens and communities.
EPA is implementing Performance Track at two
levels. The first level is designed to recognize facili-
ties that consistently meet their legal requirements
and have implemented high-quality environmental
management systems, as well as to encourage them
to achieve more by continuously improving their
environmental performance informing and involving
the public.
The second level is still under development.
Stewardship will be designed for organizations that
are leaders within their industries and at the forefront
of protecting the environment. At a very general
level, EPA considers Stewardship as a holistic view
toward the environment where entities take respon-
sibility for minimizing their environmental footprint.
In developing Performance Track, EPA consulted
extensively with stakeholders and state environmen-
tal agencies. EPA initially proposed to develop the
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 Performance Track
and EPA's approach for implementing the program.
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Section A.
National Environmental
Performance Track Entry Criteria
To qualify for Performance 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
performances 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 the scope and level of for-
mality of the EMS will vary, depending on the
nature, size, and complexity of the facility. EPAs
experience with a variety of programs suggests that
these EMS elements are within the 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
' For purposes of Performance Track, an EMS represents an organizations 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.
^ An "environmental aspect" is defined as an "element of an organizations 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).
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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 compliance with legal requirements.
•	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.
. Aji 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 the EMS is
not necessary to qualify for Performance 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 documentation and provide a
summary of its performance, including per-
formance against objectives and targets, and a
summary of the results of compliance and EMS
audits, in its Annual Performance Report (dis-
cussed in Section B.4).
2. Demonstrated Environmental Performance
and Commitment to Continued
Improvement
A facility will demonstrate specific environmen-
tal performances 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 I's StarTrack program. 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.
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The categories and aspects for use in
Performance Track program are listed in the
Environmental Performance Table located in the
Application Package. 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 cate-
gories 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 perform-
ance 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
year. Small facilities have the option of documenting
improvement for at least one environmental
aspect from any category.3 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 facility
will participate in Performance Track (the standard
term for participation). The aspects selected 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 performance 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 B.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 Performance Track.
EPA encourages each facility to use the results of
its participation in EPA, state, and other partnership
programs to document its progress in improving
performance. Participation in a partnership program
would not on its own qualify a facility, but improve-
ments that occur in the context of such a program
would. For example, as a result of participation in
EPA's WasteWise, ClimateWise, WAVE (Water
' 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 mote 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 status as a small business in the application for admission to Performance
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.
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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 improvement.
EPA's Partnership Programs coordinators will advise
facilities on the best ways to link efforts in these
programs with participation in Performance 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 matters
that affect them; and reporting on the performance
of its EMS and other performance commitments.
The facility also will be asked to provide a short list
of community/local references who are familiar with
the facility and to list any ongoing citizen suits
against the facility.
Once a facility is accepted into Performance
Track, EPA will list it as a participant and make a
copy of its application available 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 has committed to
reporting (described in Section A.2 above). Each
facility will provide this information to the local
community in its Annual Performance Report.
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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
Performance Track.
In evaluating the compliance record of an appli-
cant, EPA, along with 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 the next level of the program.
Participation in Performance Track will not be
appropriate if the compliance screen shows any of
the following, under federal or state law:
•	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 Performance Track.
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 environmental 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.
^ This guidance is available at http://es.epa.gov/oeca/oc/polover.pdf.
^ 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.
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Section B.
Implementation
Copies of the application materials are available
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 Performance Track,
with the goal of continuous improvement as it
matures; and
•	Low transaction costs, consistent with achiev-
ing the goals of Performance Track.
This section provides an overview of EPA's
approach to implementing Performance Track. It
covers: (I) 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 Performance Track
by submitting the application form. EPA uses the
information on the form (with the appropriate self-
certifications), the results of the compliance screen-
ing, and informatio*1 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 Performance
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 Performance Track
will receive written notification from EPA within 90
days of the end of the application period. 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 peri-
od 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 program. The facili-
ty will receive a letter that defines the specific incen-
tives available at the time of acceptance and the
conditions 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.
,	. wWVtf.cpa.gov/pcrformancctraclc. Performance Track Information Center can be contacted through email at ptrack@indecon.com or by
8
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A facility should understand that its participa-
tion in Performance Track is discretionary with
EPA, that it may not challenge a decision to be
rejected or removed from the program, and that the
fact of its participation is not relevant to any issue of
law or fact in any legal enforcement proceeding for
violations of environmental requirements.
Applications for the Performance Track program
are currently accepted twice a year, from February 1 -
April 30 and from August 1- October 31.
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 Performance Track.
Compliance issues may arise from time to time
at a Performance Track facility. 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-iden-
tification, correction, and prompt disclosure of vio-
lations through penalty mitigation under EPA's
Audit Policy. Performance Track participants will
likewise be able to avail themselves of this compli-
ance incentive, under the conditions specified in the
Policy. In addition, EPA recognizes that violations
may be discovered during the course of an on-site
Performance Track program visit. EPA similarly will
allow the application of the Audit Policy to viola-
tions discovered in this manner, provided that the
facility could not reasonably be expected to have
known about or identified the violation prior to the
on-site visit. Finally, in the unlikely event that a
Performance Track facility becomes subject to an
enforcement action, EPA will consider, as a discre-
tionary 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 Performance Track,
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 Performance
Track, including the EMS, progress on performance
commitments, and information on community out-
reach. 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 Performance Track, including
its EMS, its progress in meeting its performance
commitments, and its public outreach efforts.
•	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 commu-
nity and other Performance 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.
•	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
Performance Track members must submit an
Annual Performance Report to EPA and the public.
This report serves to demonstrate participating facil-
ities' progress toward meeting their performance
commitments, ensure that the facilities are main-
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taining their qualifications under the program, and
provide information on the effectiveness of the pro-
gram. The report format is available on the
Performance Track Web site.
The Annual Performance Report includes the
following categories of information:
•	Summary of the performance of the facility's
EMS (based on objectives and targets), including
a summary of the 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.
•	Self-certification that the participant continues
to meet the Performance Track criteria.
Annual Performance Reports are due on the first
day of the fifth calendar year quarter after a facility
is accepted into the program, and annually there-
after. Generally, this will mean that Winter/Spring
applicants will submit reports on or before October
1st and Summer/Fall applicants will submit reports
on or before April 1st.
Reports to EPA may be submitted electronically
or in hard copy. EPA does not prescribe a specific
means of transmitting the report to the public. For
example, participants may choose to post their
report on web sites, disseminate information in
newsletters or press releases, hold open houses,
organize meetings, or convene community advisory
panels.
Each member should maintain on site the sup-
porting documentation used to prepare its Annual
Performance Report, and make this documentation
available to EPA upon request.
5. Removal from Performance Track
There may be cases when a facility encounters
significant performance problems that may warrant
its removal from Performance Track. At EPA's discre-
tion, a participant may be removed from the program
for such reasons as falsifying information in the
application or Annual Performance Report, failing
to file an Annual Performance Report, misrepresenting
environmental performance in advertising or mar-
keting claims, or for compliance problems that would
be seen as inconsistent with Performance Track
entry criteria.
EPA expects that a participating facility will con-
tinue to meet Performance 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 performance
goals stated in its application for the program.
However, facilities are encouraged to establish ambi-
tious 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 program.
Should EPA decide that it may be necessary to
remove a facility from Performance 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
Performance Track, voluntarily or at EPA's discre-
tion, it must relinquish the continued use of any
and all incentives associated with participation in
the program.
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Section C.
The State Role and
Relationship
The National Environmental Performance
Track will rely on EPAs partnership with
state environmental agencies (and, where
applicable, Indian tribes) for its long term success.
State agencies run many federally-delegated pro-
grams and are responsible for important incentives
(e.g., changes in permitting, reporting, and inspec-
tion 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 objectives—such 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 Performance Track.
EPA has consulted extensively with the states
sponsoring programs similar to Performance Track,
and with many other states that do not have such a
program but that are interested in the concept. In
May 2000, EPA brought 20 state officials together
in a national forum to discuss program design and
implementation. Senior EPA officials have also visit-
ed or spoken with commissioners from states that
are leading the way in offering recognition 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-
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grams of the opportunities and eligibility requirements
of Performance 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 Performance Track and program
office personnel. EPA will work with these states to
develop complementary application 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.
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